Austrian Yearbook on International Arbitration 2013

Transcription

1 Austrian Yearbook on International Arbitration 2013 von Christian Klausegger, Peter Klein, Florian Kremslehner, Alexander Petsche, Nikolaus Pitkowitz, Jenny Power, Irene Welser, Gerold Zeiler, Amelie Abt, Gordon Blanke, Stavros Brekoulakis, Nael G. Bunni, Delyan Dimitrov, Thomas Eilmansberger, Todd J. Fox, Richard M. Franklin, Florian Haugeneder, Dr. Werner Jahnel, Reto M. Jenny, Christina Knahr, Michael Kramer, Dr. Christoph Liebscher, Mark Mangan, Alexandr Mare?, Michael Molitoris, Klaus Oblin, Veit Öhlberger, Gunnar Pickl, Marek Procházka, Jörg Risse, Noah Rubins, Markus Schifferl, Laurence Shore, Alfred Siwy, Christoph Stippl, Anna-Maria Tamminen, Guido E. Urbach, Eva M. Vázquez Pozón, Michael Wietzorek, Dr. Stephan Wilske 7. Auflage Austrian Yearbook on International Arbitration 2013 Klausegger / Klein / Kremslehner / et al. schnell und portofrei erhältlich bei beck-shop.de DIE FACHBUCHHANDLUNG Thematische Gliederung: Schiedsgerichtsbarkeit, Streitschlichtung, Mediation Verlag C.H. Beck München 2013 Verlag C.H. Beck im Internet: ISBN

2 Table of Contents Introduction Overview The Editors and Authors III V XIII Chapter I Issues Specific to Arbitration in Europe Stefan Kröll The European Convention of International Commercial Arbitration The Tale of a Sleeping Beauty I. Introduction II. Historical Background and Scope of Application III. Overview on the Matters Regulated and the Structure of the European Convention IV. Underlying Principles V. Detailed Analysis of Selected Provisions A. Article II: Subjective Arbitrability of Legal Persons of Public Law B. Article VI: The Laws Applicable to the Arbitration Agreement C. Article IV (1): The Magna Charta of Party Autonomy D. Article IX: Setting Aside of the Arbitral Award VI. Remaining Relevance VII. Conclusions Daniel Busse Rome I and Rome II : Applicability in International Arbitration I. Introduction II. Background in Practice A. Choice of Non-State Law? B. Restrictions on Choice of State Law? C. Strict Rules in Cases without a Choice of Law? III. Starting Point: Procedural Law at the Place of Arbitration A. State Law Provisions B. Consequences for the Application of Other State Law on Conflicts of Laws IV. The Most Common Arguments A. The Wording of Rome I B. The Wording of Rome II C. The System of EU Regulations D. The History of the Rome Regulations and the Rome Convention E. Recognition and Enforcement of Arbitral Awards V. Most Important: Flexibility of Arbitration VI. Conclusion

3 VIII Table of Contents Siegfried H. Elsing References by Arbitral Tribunals to the European Court of Justice for Preliminary Rulings III. Content and Purpose of Article 267 TFEU III. Overview over the Jurisprudence of the European Court of Justice A. Case 61/65, Vaassen-Göbbels (1966) B. Case 246/80, Broekmeulen (1981) C. Case 102/81, Nordsee (1982) D. Case C-125/04, Denuit and Cordenier v. Transorient (2005) III. Critical Assessment A. Arguments in Support of the European Court of Justice s Position Strict Textual Interpretation of the Provision Risk of an Excessive Number of Applications and Increased Workload for the Court Risk of Manipulation and Misuse of the Procedure Effectiveness of the Arbitral Proceedings Golden Bridge Alternative? a) Concept b) Court Assistance c) Review of the Arbitral Award B. Arguments Against the Position of the European Court of Justice Consistency with the Decision in Eco Swiss v. Benetton No Linkage Indeed? Interest in an Efficient Arbitration and Grounds of Procedural Efficiency Paramount Importance of a Uniform and Homogenous Interpretation of EU Law IV. Concluding Remarks Alice Fremuth-Wolf The European Convention on International Arbitration as a Tool to Remedy Pathological Arbitration Agreements There s still Life in the Old Dog yet! III. Introduction and Historical Background III. The Advantage of the European Convention as a Tool to Remedy Pathological Clauses Compared to National Laws A. Direct Resort to National Courts B. Resort to an Arbitral Tribunal C. Resort to Art. IV European Convention III. The Role of Art. IV (5) and (6) European Convention in Saving Pathological Clauses A. The Main Differences between Art. IV (5) and (6) B. The Competent Authority IV. Open Questions A. Applicable Rules and Procedure B. Possible Challenge of the Decision C. Lis pendens and the Impact of the Proposal for a (Recast) Regulation of the European Parliament and of the Council on Jurisdiction and the Recognition and Enforcement of Judgments in Civil and Commercial Matters on the European Convention Lis pendens The European Convention and the Reg. 44/2001 (Recast)

4 Table of Contents IX IV. Examples of the Practice in Austria VI. Conclusions Lara M. Pair Cooperation between Arbitrators and the EU Commission Perils and Possibilities III. Introduction A. No Application of Lis Pendens or Res Judicata B. Roadmap III. Information Gathering A. Generally B. Access to Information by and through Parties C. Direct Information Requests by a Tribunal Cooperation between Competition Authorities Application to the Arbitral Context III. Further Obstacles IV. Conclusion IV. Annex Nikolaus Pitkowitz Is There Still a Scope of Application of the European Convention on International Commercial Arbitration? III. Introduction III. Relationship to other International Conventions and National Laws on Arbitration A. International Conventions New York Convention Paris Agreement and Moscow Convention B. UNCITRAL Model Law and National Laws on Arbitration III. The Scope of the European Convention (Article I) A. Ratione Personae (Subjective Criteria) Different Contracting States Habitual Place of Residence and Seat B. Ratione Materiae (Objective Criteria) Commercial International Trade C. Form Requirements of Arbitration Agreements IV. Right of Legal Persons of Public Law to Resort to Arbitration (Article II) IV. Conclusion Chapter II The Arbitration Agreement and Arbitrability Christoph Liebscher Antitrust and Arbitration A Status Report III. Introduction III. Getting in A. Objective Arbitrability B. Human Rights

5 X Table of Contents C. Scope D. Merger Control III. Doing the Work A. Scope of Application B. Ex officio Application C. Preliminary Ruling D. Parallel Proceedings E. Cooperation IV. Getting There A. Scope of Public Policy B. Scope of Review IV. Conclusions Thomas Weimann/Christine Heeg/Sven Hasenstab CEAC Arbitration Bridging the Gap between China and Europe III. General III. Specifics of Arbitration in China A. Institutional Arbitration Only B. Foreign Seat for Foreign-Related Arbitration Only C. Limited Choice of Institutions for Foreign-Related Arbitration D. No Recognition of Foreign Institutions within the PRC E. Enforcement of Arbitral Awards in the PRC F. Interim Conclusion III. Arbitration Administered by CEAC for Sino-European Disputes the Best of Two Worlds A. Development of CEAC B. The Concept Behind CEAC C. CEAC Arbitration Rules an UNCITRAL Plus Approach Combining the Best of Two Worlds Institutional Arbitration CEAC Appointing Authority Combination of Mediation/Conciliation and Arbitration CEAC Model Arbitration Clause CEAC Model Choice of Law Clause Time Limit for the Arbitral Award Predetermined Default Seat of Arbitration Efficient and Transparent Cost Schedule Service Orientation and New Ideas Internationally Recognised Rules on the Taking of Evidence and Ethical Issues D. Germany as CEAC s Seat E. Outlook Chapter III The Arbitrator and the Arbitration Procedure Irene Welser Sweetening or Baiting A New Crime for Arbitrators? III. Arbitrators as New Addressees of Anti-Corruption Legislation III. Which Arbitrators Are Subject to the Austrian Criminal Code?

6 Table of Contents XI A. Getting Started: At which Point Can a Person Be Considered an Arbitrator?. 153 B. Who Is an Austrian Arbitrator? C. Getting the Result: Which Arbitrators Are Subject to Anti-Corruption Laws? 157 III. The Different Faces of Anti-Corruption Law A. Bribery: The Devil s Face B. Acceptance of an Advantage/Granting an Advantage for Dutiful Performance: The Angel s Face C. Baiting or Sweetening: The Poker Face D. Illegal Intervention: The Hidden Face IV. Due or Undue Advantage That Is the Question V. Conclusion: The Consequences for Arbitrators Christian Klausegger/Therese Frank Ad Hoc Expert Determination Useful Tool or Too Much of a Headache I. Expert Determination A. Typical Clauses B. Key Elements of Expert Determination Clauses Submission of Certain Matters to Expert Determination Appointment and Qualification of Expert/Arbitrator Binding Effect Procedural Rules/Type of Investigation II. Nature of the Expert Determination Agreement, Applicable Law A. Nature of the Agreement B. Applicable Law III. Obstacles to a Successful Expert Determination A. Qualification of the Dispute Resolution Clause B. Failure to Obtain Expert Determination Failure to Initiate Expert Determination Failure to Cooperate in Expert Determination Impossibility to Initiate Expert Determination C. Challenge of Expert Determination Determination beyond the Scope of the Agreement Obvious Incorrectness Procedural Defects D. Conclusion and Recommendations Chapter IV The Awards and Courts Gábor Bárdosi Hungary: New Rules on Arbitration Related to National Assets I. Introduction II. The New Legislation: No Arbitration Clauses in Agreements III. The New Legislation: No Arbitration Proceedings IV. What Will Tribunals Do? V. What Will State Courts Do? VI. Setting Aside of an Award VII. International Conventions and Treaties

7 XII Table of Contents Markus Schifferl Decisions of the Austrian Supreme Court on Arbitration in III. Right to be Heard A. Facts of the Case B. Decision of the Supreme Court C. Additional Remarks III. Provisional Measures/Brussels I-Regulation A. Facts of the Case B. Decision of the Supreme Court C. Additional Remarks III. Arbitrability of Actions for Nullity A. Facts of the Case B. Decision of the Supreme Court C. Additional Remarks Annex Albert Henke/Lisa Beisteiner Conference Report Vienna Arbitration Days III. Introduction III. The First Panel III. The Second Panel IV. The Third Panel IV. The Fourth Panel Alfred Siwy Recent Publications Index