introduction and basic principles - rwiffffffff-fc61-e805... · 3/1/2016 · icc arbitration...

Introduction and Basic Principles International ArbitrationProf. Dr. Daniel Girsberger, LL.M.

1 March 2016

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Nature of International Arbitration

Typical situation

Daniel GirsbergerIntroduction and Basic Principles 2

Construction CpyBrazil

InvestorIndia

SubcontractorUSA

ConstructionContract +

Arbitration Clause

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Nature of International Arbitration

./. Typical situation


Construction CpyRespondent

InvestorClaimant

Subcontractor(joined Party)

“Any dispute in relation to this contract shall be resolved by arbitration in accordance with the Rules of International Arbitration of the Swiss Chambers’ Arbitration Institution. The seat of the arbitration shall be Zurich

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Internationality of Arbitration

./. Typical Situation


Party 1 (Claimant)

Place of Arbitration

Party 2(Respond

ent)

Party 3 (Resp. 2)

Assets Party 3

Assets Party 2

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Types of Dispute Resolution

Various types of dispute resolution


Arbitration

State Court Proceedings

Alternative Dispute Resolution

Binding Decision

- Mediation- Conciliation- Expert

determination- Dispute Review

Boards- etc.

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Arbitration vs State Court Proceedings


In Common Differences

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Advantages and Disadvantages


Advantages Disadvantages

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Arbitral Proceedings

Overview


Claimant Arbitral Tribunal Respondent

Notice of Arbitration

Answer to the notice of arbitration

Formation and constitution of the arbitral tribunal

Exchange of written arguments

Statement of claim / [reply]

Statement of defense / [rejoinder]

Oral hearing (Witness Hearing …)

Post-hearing brief Post-hearing brief

Award

Recognition and enforcement Recognition and enforcement

Tim

e

Tim

e

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Legal Sources

Domestic vs International


National (Arbitration) Legislation

Arbitration Agreement / Rules

„Lex arbitri“

Civil Procedure Acts /

Specific Arbitration Statutes

Constitution Treaties

Arbitration Agreement / Rules

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Seat of the Arbitral Tribunal

Seat / Place / Venue – Difference?

Seat• Is the legal connection of the arbitration and the parties to the

legal jurisdictionPlace / Venue• The term place is sometimes used to refer to the physical location

where the arbitration proceedings are held, i.e., the «venue» of thearbitration.

• Regularly: Presumption that place where arbitration is to take place(«venue») will constitute its seat.


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Determination of the Seat

Relevant factors

Determined by:1. Express Agreement2. Implied Agreement• choice of venue or• reference to (institutional or ad hoc) rules with default rules, e.g.

Art. 18 ICC Rules, Art. 18 UNCITRAL Rules, Art. 16 LCIA Rules• Determination by Arbitral Tribunal or• Institution

3. Courts


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Know your lex arbitri!

Considerations

• Legal Framework• Agreement to arbitrate• Commencing the arbitration• Choice of law• Appointing the tribunal• Challenges to arbitrators• Interim relief

• Procedure• Award• Costs and interest• Challenging awards• Enforcement jurisdiction• Further considerations


http://globalarbitrationreview.com/know-how/topics/61/jurisdictions/

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Important Factor: Influence of State Courts

Key Issues

• Extent and Duration of State Court Interference

• Extent and Duration of Appeals in State Courts


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Influence of State Courts

Statutory Framework for Challenge

• Sole competent court• e.g. 191(1) Swiss PILA; § 615 Austrian CCP

• Multi-tiered system• e.g. F, UK, US, GER

• Grounds for setting aside• converging, but still important differences

• Waiver• e.g. 192(1) Swiss PILA; 1522 French NCPC; 51 Swedish AA


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Influence of State Courts

Duration / Success Rate


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Types of arbitration

Institutional – Ad hoc Arbitration


Institutional Arbitration Ad hoc Arbitration

e.g. ICC

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Arbitration Institutions Worldwide

Examples


CAM-CCBC

See belowAAA/ICDR

ICSIDCRCICA

CIETAC

HKIAC

KLRCA

SIAC

ACICA

JCAA

AFSA / ASA

KIAC

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Arbitration Institutions in Europe

Examples


ICCSCAI

DISLCIA

SCC

VIAC

CEPANI

NAI

CAM

CAS

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Survey on Success Factors for Institutions

Main influence on the choice of institution


Source: White & Case, Queen Mary University of London, 2015 International Arbitration Survey

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Institutions in Europe

Most Popular Type


38%

25%4%

8%

5%

4%

16%

Arbitral type and institutions most frequently used

Ad Hoc

ICC

AAA

LCIA

LMAA

SCC

Other

CIArb costs in International Arbitration Survey 2011, Courtesy of ICC, Gustav Flecke-Giammarco

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Costs

Comparison


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Costs Allocation

ICC Arbitration Statistics


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Development



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DevelopmentICC Arbitration Statistics

http://www.iccwbo.org/Products-and-Services/Arbitration-and-ADR/Arbitration/Introduction-to-ICC-Arbitration/Statistics/


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Origin of Parties



Number of parties in 2004

1682 parties

116 countries

Number of parties in 2014

2222 parties

140 countries

Source: 2013 Statistical Report, in: ICC International Court of Arbitration Bulletin, Vol. 25 No. 1 (August 2014)

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Origin of Arbitrators



2003 988 arbitrators

69 countries2013 1329 arbitrators

86 countries

Source: 2013 Statistical Report, in: ICC International Court of Arbitration Bulletin, Vol. 25 No. 1 (August 2014)

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Economic Sectors



3,10% 2,60% 2,90%

16,90%

0,70%

15,40%

7,60%6,30%

4,10%

6,30%

2,40%

4,50%

7,80%

5,60%

15,00%

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Institutional arbitration

Swiss Chambers’ Arbitration Institution

https://www.swissarbitration.org/sa/en/

Swiss Rules of International Arbitration (2004/2006/2012)

Chambers of Commerce and Industry of Basel, Berne, Geneva, Lausanne, Lugano, Neuchâtel, Zurich


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Development in Switzerland

Swiss Chambers’ Arbitration Statistics


Source: https://www.swissarbitration.org/sa/en/

Cases and awards 2014 2015

Cases submitted 106 100

Sole Arbitrator 58% 54%

Three Arbitrators 34% 28%

Unspecified 8% 18%

Domestic / Foreign Parties 30% / 70%

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Composition of Tribunals under SCAI

Swiss Chambers’ Arbitration Statistics 2015


5428

18

Number of arbitrators

Sole arbitrator 54%

Three member tribunal28%Not specified

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Procedures under SCAI

Swiss Chambers’ Arbitration Statistics 2015


43

36

3 18

Procedures

Normal 43%Expedited 36%Emergency Relief 3%Not specified 18%

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Sports arbitration

Court of Arbitration for Sports (CAS)

Court of Arbitration for Sport (CAS)based in Lausanne, Switzerland

http://www.tas-cas.orgCAS Code (revised as of 3.2013)

Leading institution in sports arbitration


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Development in sports arbitration

CAS Arbitration Statistics


Source: http://www.tas-cas.org/fileadmin/user_upload/CAS_Statistics_2013.pdf/

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Procedure in sports arbitration

CAS Arbitration Statistics


Source: http://www.tas-cas.org/fileadmin/user_upload/CAS_Statistics_2013.pdf/

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Applicable Law



Switzerland18%

England15,64%

France7.69%

Germany7.31%

New York4,4%

Italy1.64%

Spain3.28%

Brazil4.67%

Romania1.89%

Turkey4%

Source: 2013 Statistical Report, in: ICC International Court of Arbitration Bulletin, Vol. 25 No. 1

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Conclusion

3 Aspects

1. Importance of selecting seat

2. Importance of selecting institution (or ad hoc)

3. Importance of selecting applicable law / rules of law / ex aequoet bono / amiable compositeur


introduction and basic principles - rwiffffffff-fc61-e805... · 3/1/2016 · icc arbitration...

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