The Vienna Rules

Name: The Vienna Rules | A Commentary on International Arbitration in Austria
Brand: Kluwer Law International
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A Commentary on International Arbitration in Austria

Franz T. Schwarz Christian W. Konrad(Autor*in)

Kluwer Law International (Verlag)

Erschienen am 28. August 2009

1138 Seiten

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Inhalt

Cover
Half Title Page
Title Page
Copyright Page
Dedication
Preface
Table of Contents
List of Abbreviations
Table of Cases and Awards
Bibliography
Article 1 The Institution
I. THE JURISDICTION OF THE VIAC
A. INTRODUCTION
1. Historical Background of the VIAC
2. The Services Provided by the VIAC
2.1. The Nature of the VIAC
2.2. Administration of Dispute Settlement
2.3. Cooperation with Other Arbitral Institutions
2.4. Infrastructure for Ad Hoc Proceedings
2.5. Appointing Authority
2.6. Conciliation Proceedings
3. The VIAC's Relationships with the Parties and the Arbitrators
3.1. The Relationship Between the VIAC and the Parties
3.2. The Relationship Between the VIAC and the Arbitrators
B. THE ARBITRATION AGREEMENT
1. Subjective Capacity to Conclude an Arbitration Agreement
1.1. General Principles
1.2. Arbitration Agreements Concluded by Consumers
1.3. Arbitration Agreements Concluded by States or State-Related Entities
1.4. Consequences of a Lack of Subjective Arbitrability
2. An Agreement Concerning a 'Specified Legal Relationship'
3. Form Requirements
3.1. Some Policy Considerations
3.2. The 'In Writing' Requirement Under the Old Regime
3.3. The 'In Writing' Requirement Under the New Regime
3.4. Conclusion of the Arbitration Agreement by an Agent
3.5. Arbitration Clauses in Statutes
3.6. Objections to Defects of Form
4. The Effect of the Arbitration Agreement
5. Interpretation of the Arbitration Agreement
6. Other Forms of Dispute Resolution
7. Third Parties
8. The VIAC's Recommended Arbitration Clause
C. THE ADMINISTRATION OF 'ARBITRABLE' DISPUTES
1. Objective Arbitrability Under the Old Regime
2. Objective Arbitrability Under the New Law
3. Objective Arbitrability in Corporate Matters
4. Arbitration and Competition Law
5. When Is the New Law Applicable to Determine Objective Arbitrability?
6. Consequences of a Lack of Objective Arbitrability
7. Ex Officio Application by the Arbitral Tribunal
D. THE ADMINISTRATION OF 'INTERNATIONAL' DISPUTES
II. THE APPLICABLE VERSION OF THE VIENNA RULES
A. PREVIOUS AMENDMENTS OF THE VIENNA RULES
B. THE APPLICATION OF AMENDED RULES
C. INTERPRETATION OF THE VIENNA RULES
III. DOMESTIC ARBITRATION
Article 2 The Place of the Arbitration
I. INTRODUCTION
II. DETERMINING THE SEAT OF THE ARBITRATION
III. CONDUCTING PROCEDURAL ACTS ELSEWHERE
IV. THE IMPACT OF THE SEAT OF THE ARBITRATION
A. DENATIONALIZATION V. TERRITORIALITY
1. The Debate
2. The Emerging Compromise
3. The Approach under Austrian Law
B. THE SEAT'S IMPACT ON THE LAW APPLICABLE TO THE ARBITRATION AGREEMENT
C. THE SEAT'S IMPACT ON THE LAW APPLICABLE TO THE PROCEEDINGS
1. What is the Lex Arbitri?
2. Can the Parties Choose a 'Foreign' Procedural Law?
3. Mandatory Procedural Standards and Requirements
3.1. Mandatory Provisions under the Old Regime
3.2. Mandatory Provisions under the New Regime
D. THE SEAT'S IMPACT ON THE ASSISTANCE AND INTERVENTION OF THE COURTS
1. Subject Matter Jurisdiction
2. Assistance by the State Courts
3. Challenge and Termination of the Arbitrator's Mandate
4. Interim Measures
5. Recourse Against the Award
6. Enforcement of Foreign Awards
E. THE SEAT'S IMPACT ON THE LAW APPLICABLE TO THE SUBSTANCE OF THE DISPUTE
Article 3 The Board
I. THE COMPOSITION OF THE BOARD
A. INTRODUCTION
B. NUMBER AND TERM OF BOARD MEMBERS
II. THE PRESIDENT OF THE BOARD
III. MEETINGS AND DECISIONS OF THE BOARD
A. BOARD MEETINGS
B. DECISIONS OF THE BOARD
IV. CONFLICTS OF BOARD MEMBERS
V. DECISIONS BY CORRESPONDENCE
VI. DUTIES OF BOARD MEMBERS
A. STANDARD OF PERFORMANCE
B. INDEPENDENCE OF BOARD MEMBERS
C. CONFIDENTIALITY OBLIGATIONS
D. MONITORING THE ARBITRATION PROCEEDINGS
Article 4 The International Advisory Board
Article 5 The Secretary General
I. THE APPOINTMENT OF THE SECRETARY GENERAL
A. INTRODUCTION
B. APPOINTMENT PROCEDURE
II. AUTHORITY OF THE SECRETARY GENERAL
A. ACTIVITIES OF THE SECRETARIAT
B. ADMINISTRATION OF THE CENTRE
C. ASSISTANCE TO THE VIAC BOARD
D. FURTHER ACTIVITIES OF THE SECRETARIAT
III. DUTIES OF THE SECRETARY GENERAL
A. STANDARD OF PERFORMANCE
B. INDEPENDENCE OF THE SECRETARY GENERAL
C. CONFIDENTIALITY OBLIGATIONS
D. DECISIONS BY THE SECRETARY GENERAL
IV. INABILITY TO PERFORM
Article 6 Languages of Correspondence
I. SCOPE
II. REQUIREMENTS
Article 7 The Arbitrators
I. PARTY-AUTONOMY IN CHOOSING THE ARBITRATORS
A. INTRODUCTION
B. PREREQUISITES FOR SERVICE AS ARBITRATOR
1. 'Legal Capacity'
2. Personal and Voluntary Service
3. Active Austrian Judges
4. Expert Determination
5. Nationality of the Arbitrator
6. Non-Lawyer Arbitrators
7. Additional Requirements Imposed by Agreement
8. Practical Considerations
9. Interviewing Prospective Arbitrators
10. The VIAC Roster of Arbitrators
II. INSTITUTIONAL REQUIREMENTS FOR APPOINTMENT
III. BOARD MEMBERS AS ARBITRATORS
IV. THE PERFORMANCE OF THE ARBITRATOR'S DUTIES
A. THE ARBITRATORS' DUTIES
1. Duty to Resolve the Dispute
2. Duty to Comply with Due Process
3. Duty of Independence and Impartiality
4. Duty of Efficient Conduct
5. Duty of Secrecy
6. Duty to Meet Certain Qualification Requirements
7. Duty of Diligence
8. Ancillary and Cost-Efficiency Duties
9. Ethical Duties
10. Additional Duties Imposed by the Parties in the Ongoing Arbitration
B. THE INDEPENDENCE AND IMPARTIALITY OF ARBITRATORS
1. Attempts at International Harmonization
2. The Standard of Impartiality and Independence in International Arbitration
2.1. Impartiality and Independence
2.2. Neutrality
3. The Standard of Independence and Impartiality Under Austrian Law
3.1. The Standard of Impartiality and Independence Under the Former ZPO
3.2. The Standard of Impartiality and Independence Under the New ZPO
4. Some Examples Regarding Impartiality and Independence
5. Some Particular Issues Regarding Impartiality and Independence
5.1. Different Standard for Party-Appointed Arbitrators?
5.2. Continuing Obligation of Impartiality
5.3. The Impact of Settlement Discussions
5.4. Independence in a Globally Active Legal Profession
5.5. Ex Parte Communications
V. DISCLOSURE
A. DISCLOSURE UNDER THE FORMER ZPO AND VIENNA RULES
B. DISCLOSURE UNDER THE NEW ZPO AND VIENNA RULES
C. THE PARTIES' DISCLOSURE OBLIGATIONS
VI. THE SECRETARY OF THE TRIBUNAL
Article 8 The Liability of Arbitrators and the VIAC
I. ARBITRATOR LIABILITY
A. CONCEPTUAL APPROACHES TO THE LIABILITY OF ARBITRATORS
1. The Concept of Judicial Immunity
2. The Concept of Contractual Liability
B. LIABILITY OF ARBITRATORS UNDER AUSTRIAN LAW
1. The Statute
2. Section 594(4) ZPO and Contractual Liability
3. Liability for Illegal Acts
C. CONTRACTUAL RESTRICTION OF LIABILITY
II. THE LIABILITY OF THE VIAC
Article 9 The Statement of Claims
I. FILING THE STATEMENT OF CLAIMS
A. INTRODUCTION
B. FILING THE STATEMENT OF CLAIMS
1. Designation of Addressee
2. Form of Filing
3. Case Administration
C. COMMENCEMENT OF THE PROCEEDINGS AND PENDENCY OF THE DISPUTE
1. Statute of Limitations
2. Lis Pendens
II. NUMBER OF COPIES
III. THE CONTENT OF THE STATEMENT OF CLAIMS
A. MANDATORY CONTENT UNDER AUSTRIAN LAW
B. REQUIRED CONTENT UNDER THE VIENNA RULES
1. Article 9(3)(a): The Designation of the Parties and their Addresses
2. Article 9(3)(b): Specific Claim and Particulars
3. Article 9(3)(c): The Amount in Dispute
4. Article 9(3)(d) and (e): Specifics Regarding the Arbitrator(s)
C. ADDITIONAL CONSIDERATIONS
1. Language of the Statement of Claims
2. Power of Attorney
3. Payment of Registration Fee
IV. THE AGREEMENT SPECIFYING THE JURISDICTION OF THE VIAC
A. INTRODUCTION
B. PRIMA FACIE SCRUTINY OF THE ARBITRATION AGREEMENT
V. OPPORTUNITY TO REMEDY DEFECTS IN THE STATEMENT OF CLAIMS
A. INTRODUCTION
B. FAILURE TO PROVIDE THE ARBITRATION AGREEMENT
C. REFUSAL TO PROCEED WITH THE CASE
VI. REFUSAL TO ADMINISTER THE CASE
A. INTRODUCTION
B. IMPROPER DEVIATION FROM THE VIENNA RULES
C. PROCEDURE
D. CONSEQUENCES OF THE VIAC'S REFUSAL
Article 10 Memorandum in Reply
I. SERVICE OF THE STATEMENT OF CLAIMS
A. INTRODUCTION
B. PROPER STATEMENT OF CLAIMS AS A PREREQUISITE OF SERVICE
C. SERVICE OF THE STATEMENT OF CLAIMS
D. THE RESPONSE PERIOD
E. EXTENSIONS OF THE RESPONSE PERIOD
II. THE MEMORANDUM IN REPLY
A. MANDATORY CONTENT UNDER AUSTRIAN LAW
B. REQUIRED CONTENT UNDER THE VIENNA RULES
1. Article 10(2)(a): Reply to the Pleadings in the Statement of Claims
2. Article 10(2)(b) and (c): Particulars Regarding the Number, Name and Address of the Arbitrators
C. FORMAL REQUIREMENTS
D. ADDRESSEE OF THE MEMORANDUM IN REPLY
E. FAILURE TO SUBMIT A PROPER OR TIMELY MEMORANDUM IN REPLY
Article 11 Counter-Claim, Amendments and Set-Off
I. JURISDICTION OVER COUNTER-CLAIMS
A. INTRODUCTION
B. JURISDICTION
C. TIMING
II. FILING OF THE COUNTER-CLAIM
III. DISMISSAL OF THE COUNTER-CLAIM
A. INTRODUCTION
B. SAME ARBITRATION AGREEMENT
C. IDENTICAL PARTIES
D. SUBSTANTIAL DELAY
IV. REPLY TO THE COUNTER-CLAIM
V. AMENDMENTS OF EXISTING CLAIMS
A. AMENDMENTS UNDER AUSTRIAN LAW
B. AMENDMENTS UNDER THE VIENNA RULES
VI. SET-OFF
A. JURISDICTION
B. COST IMPLICATIONS
Article 12 Transmission of the File to the Arbitrators
I. INTRODUCTION
II. SUBMISSION OF THE FILES TO THE ARBITRATORS
A. STATEMENT OF CLAIMS IN DUE FORM
B. ACCEPTANCE OF THE ARBITRATOR'S MANDATE AND 'CONFIRMATION OF OBJECTIVITY'
C. DEPOSIT AGAINST COSTS HAS BEEN PAID
Article 13 Time Limits, Service and Communications
I. TIME LIMITS
A. INTRODUCTION
B. WHEN DO TIME LIMITS COMMENCE?
C. WHEN ARE TIME LIMITS OBSERVED?
D. EXTENSIONS OF TIME LIMITS
II. EFFECTIVE SERVICE
A. COMMUNICATIONS IN ARBITRAL PROCEEDINGS
1. Communications of the Parties
2. Communications of and amongst the Arbitral Tribunal
3. Communication with the Secretary General
4. Communication with the Board
5. Communication with State Courts
B. FORM OF COMMUNICATIONS
C. RECIPIENTS OF DELIVERY
1. To the Address Most Recently Notified
2. Actual and/or Demonstrable Transmission
III. SERVICE TO THE PARTY REPRESENTATIVE
Article 14 Nomination and Appointment of Arbitrators
I. NUMBER OF ARBITRATORS
A. INTRODUCTION
B. SOLE ARBITRATOR OR THREE-MEMBER TRIBUNAL?
C. AGREEMENT OF THE PARTIES ON THE NUMBER OF ARBITRATORS
D. LIMITS OF PARTY AUTONOMY
E. RECOMMENDED ARBITRATION CLAUSE
II. DETERMINATION BY THE BOARD
A. PROCEDURE
B. TIMING
C. REASONED DECISION
D. CRITERIA TO DETERMINE THE APPROPRIATE NUMBER OF ARBITRATORS
III. NOMINATION OR APPOINTMENT OF A SOLE ARBITRATOR
A. TERMINOLOGY: NOMINATION AND APPOINTMENT
B. JOINT NOMINATION BY THE PARTIES
1. Joint Nomination after Board Decision on Number of Arbitrators
2. Joint Nomination if Number of Arbitrators Has Been Agreed by the Parties
C. APPOINTMENT BY THE BOARD
1. The Appointment Process
2. Culpa in Eligendo
D. APPOINTMENT BY THE AUSTRIAN COURTS
IV. NOMINATION AND APPOINTMENT OF A CO-ARBITRATOR
A. NOMINATION BY THE PARTIES
B. APPOINTMENT BY THE BOARD
V. NOMINATION AND APPOINTMENT OF THE CHAIRMAN
A. NOMINATION BY THE CO-ARBITRATORS
B. APPOINTMENT BY THE BOARD
C. APPOINTMENT BY THE AUSTRIAN COURTS
VI. BINDING EFFECT OF NOMINATION
Article 15 Multi-Party Arbitration
I. ADMISSIBILITY OF MULTI-PARTY CLAIMS
A. INTRODUCTION
B. ADMISSIBILITY OF MULTI-PARTY ARBITRATION UNDER THE VIENNA RULES
1. Mandatory Requirements
2. Elective Requirements
2.1. Mandatory Joinder
2.2. Other Factual or Legal Connection Between the Respondents
2.3. Agreement
2.4. Subsequent Submission by the Respondents
2.5. Defaulting Respondents
II. FAILURE TO SERVE THE CLAIM ON ALL RESPONDENTS
III. DETERMINING THE NUMBER OF ARBITRATORS IN MULTI-PARTY PROCEEDINGS
IV. ARTICLES 15(6)-15(7): APPOINTMENT OF THE ARBITRATOR FOR RESPONDENTS
A. DUTCO AND THE EQUALITY OF THE PARTIES IN CONSTITUTING THE TRIBUNAL
B. ENSURING EQUALITY BETWEEN THE PARTIES
C. AUSTRIAN LAW
D. THE VIENNA RULES
V. CONSOLIDATION AND JOINDER
A. INTRODUCTION
B. PRE-AGREED CONSOLIDATION
C. CONSOLIDATION UNDER THE VIENNA RULES
D. JOINDER
1. Agreement to Join a Party or an Intervener
2. Joining Non-Signatories
2.1. Succession
2.2. Third-Party Beneficiary
2.3. Estoppel and Abuse of Law
2.4. Corporate Veil Piercing
2.5. Group of Companies
2.6. Domestic Law or Transnational Principles?
VI. DECISION ON ADMISSIBILITY OF MULTI-PARTY PROCEEDINGS
Article 16 The Challenge of Arbitrators
I. CHALLENGING ARBITRATORS FOR LACK OF INDEPENDENCE OR IMPARTIALITY
A. INTRODUCTION
B. THE STANDARD FOR CHALLENGING AN ARBITRATOR
C. THRESHOLD FOR THE CHALLENGE OF A PARTY'S OWN NOMINATION
II. INITIATING THE CHALLENGE
A. THE CHALLENGE OF AN ARBITRATOR UNDER AUSTRIAN LAW
1. Decision by the Tribunal
2. Voluntary Withdrawal or Agreement
3. Four Week Time Limit
B. THE CHALLENGE OF AN ARBITRATOR BEFORE THE VIAC
1. Reasoned Application
2. Without Delay
3. Waiving the Right to a Challenge and Setting Aside the Award
III. THE BOARD'S DECISION ON THE CHALLENGE
A. OPPORTUNITY FOR VOLUNTARY WITHDRAWAL
B. DECISION-MAKING
C. REMEDIES BEFORE THE STATE COURTS
IV. CONTINUATION OF THE PROCEEDINGS DURING THE CHALLENGE
Article 17 Early Termination of the Mandate of Arbitrators
I. REASONS FOR EARLY TERMINATION
A. INTRODUCTION
B. GROUNDS OF TERMINATION
1. Agreement on Termination
2. Voluntary Withdrawal from Office
3. Successful Challenge
4. Removal by the Board
II. REQUEST TO REMOVE THE ARBITRATOR
A. GROUNDS FOR REMOVAL
B. PROCEDURE
C. EX OFFICIO REMOVAL
D. COURT REVIEW
Article 18 Consequences of Challenge or Early Termination of Mandate
I. APPOINTING A REPLACEMENT ARBITRATOR
II. REPEATING PREVIOUS STAGES OF THE PROCEDURE
Article 19 Jurisdiction of the Arbitral Tribunal
I. OBJECTION TO JURISDICTION
A. INTRODUCTION
B. TIMELY PLEADING
C. ADMISSION OF DELAYED OBJECTIONS
D. DIFFERENT TREATMENT OF FORMAL AND SUBSTANTIVE DEFECTS OF THE ARBITRATION AGREEMENT
II. KOMPETENZ-KOMPETENZ
A. INTRODUCTION
B. DECISION BY THE ARBITRATOR(S)
C. COURT REVIEW
D. COST DECISIONS
III. THE DOCTRINE OF SEPARABILITY
A. INTERNATIONAL RECOGNITION
B. PRESUMPTION OF SEPARABILITY
C. THE SEPARABILITY DOCTRINE IN AUSTRIAN LAW
D. LIMITS OF THE SEPARABILITY DOCTRINE
Article 20 The Conduct of the Proceedings
I. BASIC PRINCIPLES OF ARBITRAL PROCEEDINGS
A. INTRODUCTION
B. CONFLICTING PREMISES
C. THE RIGHT TO FAIR AND EQUAL TREATMENT
1. Fair Treatment in International Arbitration
2. Fair Treatment in Austrian Arbitration Law
3. Fair Treatment Under the Vienna Rules
D. THE RIGHT TO BE HEARD
1. Basis for the Right to Be Heard in Austrian Law
2. Scope of the Right to Be Heard
2.1. Factual Assertions
2.2. Facts in the Public Domain
2.3. Legal Issues
2.4. Issues Raised by the Arbitrators Ex Officio
3. The Restrictive Approach Under Austrian Jurisprudence
4. Recent Criticism of the Austrian Oberster Gerichtshof
5. The Impact of the 2006 Reform on the Previous Case Law
6. Causality
7. Limits to the Right to Be Heard
7.1. Evidentiary Cut-Off Date
7.2. 'Reasonable Opportunity'
7.3. Irrelevant Evidence
7.4. Appropriate Time Limits
E. CONTROLLING THE CONDUCT OF THE ARBITRATION
1. The Arbitrators' Discretion and the Parties' Agreement
1.1. The Primacy of the Parties' Agreement
1.2. The Arbitrator's Discretion
2. Managing the Conduct of the Arbitration
2.1. The Preliminary Hearing
2.2. Selected Issues of Case Management
(i) Procedural Timetable
(ii) Taking of Evidence
(iii) Identifying the Relevant Issues
(iv) Bifurcation or Other Segmentation of Proceedings
II. THE LANGUAGE OF THE ARBITRATION
III. WRITTEN SUBMISSIONS AND THE RIGHT TO AN ORAL HEARING
A. THE RIGHT TO AN ORAL HEARING
B. WRITTEN SUBMISSIONS IN ARBITRATION
C. THE RIGHT TO COMMENT
IV. THE ORAL HEARING
A. INTRODUCTION
B. FIXING THE HEARING DATE AND NOTIFYING THE PARTIES
C. PRIVACY OF THE HEARING (AND CONFIDENTIALITY OF ARBITRATION)
1. The Privacy of the Hearing
2. The Confidentiality of Arbitration
D. THE RECORD OF THE HEARING
V. THE TAKING OF EVIDENCE
A. INTRODUCTION
B. THE ARBITRATORS' RIGHT (OR DUTY) TO ESTABLISH THE RELEVANT FACTS
1. The Arbitrator's Duty to Establish the Facts Under the fZPO
2. The Arbitrator's Right to Establish the Facts Under the ZPO
C. WITNESS TESTIMONY
1. Written Witness Testimony
2. Oral Witness Testimony
3. Witness Preparation
D. DOCUMENTARY EVIDENCE
1. Document Disclosure in Common Law and Civil Law Litigation
2. Document Disclosure in International Arbitration
E. COURT INTERVENTION TO ASSIST THE TAKING OF EVIDENCE
VI. EX PARTE PROCEEDINGS
A. INTRODUCTION
B. NO DECISION BY DEFAULT
C. RIGHT TO PROCEED WITH ONE PARTY ALONE
VII. THE OBLIGATION TO OBJECT AGAINST PROCEDURAL IRREGULARITIES
A. OBJECTING AGAINST PROCEDURAL IRREGULARITIES UNDER THE VIENNA RULES
B. OBJECTING AGAINST PROCEDURAL IRREGULARITIES UNDER AUSTRIAN LAW
VIII. CLOSING THE PROCEEDINGS
Article 21 Experts and Expert Witnesses
I. INTRODUCTION
II. EXPERTS IN INTERNATIONAL ARBITRATION
III. EXPERTS APPOINTED BY THE TRIBUNAL
IV. EXPERTS APPOINTED BY THE PARTIES
Article 22 Interim Measures of Protection
I. THE TRIBUNAL'S POWER TO GRANT INTERIM RELIEF
A. INTRODUCTION
B. THE TRIBUNAL'S AUTHORITY TO GRANT INTERIM RELIEF
1. Interim Measures in Austrian Doctrine Before the 2006 Reform
2. The Basis for Interim Relief Under the ZPO
3. The Basis for Interim Relief Under the Vienna Rules
C. PROCEDURAL PRECONDITIONS FOR INTERIM RELIEF
1. Power by Default
2. Order Upon Application by a Party
3. No Ex Parte Relief
4. As Between the Parties
5. Security
6. Contractual Obligation to Comply
D. SUBSTANTIVE PRECONDITIONS FOR INTERIM RELIEF
1. Necessary Relief with Respect to the Subject Matter of the Arbitration
2. Frustration of Final Award
3. Irreparable Harm
4. No Pre-Judgment of the Case
5. Prima Facie Establishment of the Applicant's Case
6. Urgency
7. Balancing the Parties' Interests
8. Standard of Proof
9. Interim Relief Despite Jurisdictional Objection
10. Deviating from the Substantive Requirements of Section 593(1) ZPO and Article 22
11. Modifying and Terminating Interim Measures
E. CATEGORIES OF INTERIM RELIEF
1. Orders Ensuring Enforcement of the Final Award and Preventing Irreparable Harm
2. Orders Protecting the Status Quo
3. Orders Preventing the Aggravation of the Dispute
4. Orders Protecting the Taking of Evidence
5. Orders Regulating a Relationship
6. Orders Involving the Tribunal
7. Orders for Security of Costs
II. FORMAL CONSIDERATIONS
III. REASONED ORDER
A. REQUIREMENTS
B. ORDER OR AWARD
IV. RECORD OF THE ORDER
V. CONFIRMATION OF ENFORCEABILITY
VI. PARALLEL JURISDICTION OF THE STATE COURTS
A. INTERIM MEASURES BY STATE COURTS
B. DUTY TO INFORM THE TRIBUNAL AND THE VIAC
VII. ENFORCING ARBITRAL INTERIM MEASURES IN AUSTRIA
1. Jurisdictional Basis
2. Procedure
3. Adapting Foreign Relief to the Austrian System
4. Grounds to Refuse Enforcement
5. Grounds to Set Aside the Enforcement
Article 23 Authorized Agents
I. INTRODUCTION
II. FREE CHOICE OF PARTY REPRESENTATIVE
III. AUTHORIZATION
Article 24 Applicable Law and Equity
I. THE SUBSTANTIVE LAW APPLICABLE TO THE DISPUTE
A. INTRODUCTION
B. CHOICE OF LAW BY THE PARTIES
1. The Choice of a National Law
2. The Choice of Other Legal Rules
2.1. General Principles of Law and Lex Mercatoria
2.2. Trade Usages
2.3. Tronc Commun and Other Special Choice-of-Law Clauses
3. Restrictions on the Parties' Autonomous Choice
4. No Renvoi
II. DETERMINATION OF THE APPLICABLE LAW BY THE ARBITRATORS
A. CONCEPTUAL APPROACH
B. 'THE LAW' V. 'RULES OF LAW'
C. 'INCORRECT' DETERMINATION BY THE ARBITRATORS
III. EQUITY-BASED DECISIONS
Article 25 Termination of the Proceedings
I. INTRODUCTION
II. TERMINATION BY AWARD
III. TERMINATION BY SETTLEMENT
IV. TERMINATION BY ORDER
A. WITHDRAWAL OF CLAIM
B. AGREEMENT ON TERMINATION
C. IMPOSSIBILITY TO CONTINUE PROCEEDINGS
D. FAILURE TO FILE THE CLAIM
V. CONSEQUENCES OF TERMINATION
A. FUNCTUS OFFICIO
B. ONGOING OBLIGATIONS OF THE TRIBUNAL
Article 26 Decision Making of the Arbitral Tribunal
I. QUORUM
A. INTRODUCTION
B. QUORUM REQUIREMENTS UNDER AUSTRIAN LAW
C. QUORUM REQUIREMENTS UNDER THE VIENNA RULES
D. THE TRIBUNAL'S DELIBERATIONS
E. DISSENTING OPINIONS
II. PROCEDURAL DECISIONS
Article 27 The Award
I. THE REASONED AWARD IN WRITING
II. STATEMENT OF DATE AND ARBITRAL SEAT
III. SIGNED AWARD
IV. CONFIRMATION BY THE VIAC
V. SERVICE AND EFFECT OF THE AWARD
VI. CONFIRMATION OF FINALITY AND ENFORCEABILITY
VII. PARTIAL AND INTERIM AWARDS
VIII. IMPLEMENTING THE AWARD
IX. RECOURSE AGAINST AN AWARD IN THE AUSTRIAN COURTS
A. JURISDICTION AND PROCEEDINGS
B. GROUNDS FOR SETTING ASIDE AN ARBITRAL AWARD
1. Jurisdictional Issues
2. Violation of the Right to be Heard
3. Decision Ultra Petita
4. Deficient Formation or Composition of the Arbitral Tribunal
5. Procedural Ordre Public
6. Reopening of Court Proceedings
7. Lack of Arbitrability
8. Substantive Ordre Public
C. CONSEQUENCES OF SETTING ASIDE PROCEEDINGS
D. DECLARATION THAT AN AWARD DOES OR DOES NOT EXIST
E. ENFORCEMENT OF FOREIGN AWARDS
Article 28 Settlement and Consent Award
Article 29 Correction and Interpretation of Awards
I. APPLICATION FOR CORRECTION, INTERPRETATION OR SUPPLEMENTATION OF THE AWARD
II. DECISION BY THE TRIBUNAL
III. EX OFFICIO CORRECTION
IV. APPLICATION FOR CORRECTION, INTERPRETATION OR SUPPLEMENTATION OF THE AWARD
Article 30 Publishing Awards and Decisions
I. PUBLISHING AWARDS
II. PUBLISHING PROCEDURAL ORDERS
III. PUBLISHING DECISIONS OF THE VIAC
Article 31 The Award on Costs
I. INTRODUCTION
II. DETERMINING THE COSTS OF THE ARBITRATION
III. DETERMINING THE COSTS OF THE PARTIES
A. LEGAL BASIS
B. DETERMINING WHAT COSTS WERE 'REASONABLE'
C. OTHER OUTLAY RELATED TO ARBITRATION PROCEEDINGS
IV. ALLOCATING THE COSTS BETWEEN THE PARTIES
A. INTERNATIONAL TRENDS
B. THE AUSTRIAN APPROACH
1. Traditional Method of Cost Allocation in Austria
2. The Modern Austrian Approach to Cost Allocation in Arbitration
V. DETERMINING THE COSTS ABSENT JURISDICTION ON THE MERITS
VI. PROCEDURAL CONSIDERATIONS
A. PROCEDURE
B. REQUEST FOR COSTS
C. TIMING OF COST DECISION
D. FORM OF COST DECISION
Article 32 Categories of Costs
Article 33 The Registration Fee
I. PAYMENT AND PURPOSE
II. INCREASE IN MULTIPARTY ARBITRATIONS
III. DEDUCTION FROM DEPOSIT
IV. FAILURE TO PAY THE REGISTRATION FEE
Article 34 The Determination of the Costs of the Arbitration and the Deposit
I. DETERMINING THE COSTS OF THE ARBITRATION
A. INTRODUCTION
B. AUTHORITY TO DETERMINE THE COSTS OF THE ARBITRATION
1. Administrative Costs
2. The Arbitrator's Fees
C. PROCEDURE FOR DETERMINING THE COSTS OF THE ARBITRATION
II. THE AMOUNT OF THE DEPOSIT AGAINST COSTS
A. CALCULATION OF THE AMOUNT OF THE DEPOSIT
B. PAYMENT OF THE DEPOSIT AGAINST COSTS
III. THE CLAIMANT'S FAILURE TO PAY THE DEPOSIT
IV. THE RESPONDENT'S FAILURE TO PAY THE DEPOSIT
A. PROCEDURAL CONSEQUENCES
B. REMEDY AGAINST NON-PAYMENT
V. INCREASE OF THE AMOUNT IN DISPUTE
VI. ADDITIONAL EXPENSES
Article 35 Further Costs of Procedure
I. COST COVER FOR ALL PROCEDURAL ACTIONS
II. BUDGETING EXPENDITURES
III. FAILURE TO PAY ADDITIONAL COST DEPOSITS
IV. LIABILITY FOR PROCEDURAL COSTS
Article 36 Calculating the Costs of Arbitration
I. DETERMINATION OF ARBITRATION COSTS
A. INTRODUCTION
B. THE SCHEDULE OF ARBITRATION COSTS
C. EARLY TERMINATION OF THE PROCEEDINGS
II. MULTI-PARTY PROCEEDINGS
III. DECLARATION OF SET-OFF
IV. SEPARATE CALCULATIONS
V. PARTIAL CLAIM AND UNDERVALUATION
VI. RAISE OF FEES
VII. COMPREHENSIVE COST DETERMINATION
VIII. REDUCTION OF THE AMOUNT IN DISPUTE
IX. DETERMINATION OF CASH OUTLAYS
X. VALUE ADDED TAX
Article 37 Transitional Provisions
I. INTRODUCTION
II. THE APPLICATION OF AUSTRIAN ARBITRATION LAW
III. THE APPLICATION OF FUTURE VERSIONS OF THE VIENNA RULES
Annexes
Annex 1a International Arbitral Centre of the Austrian Federal Economic Chamber Rules of Arbitration 2006 (Vienna Rules 2006)
Annex 1b Internationales Schiedsgericht der Wirtschaftskammer Österreich Schiedsordnung 2006 (Wiener Regeln 2006)
Annex 2a International Arbitral Centre of the Austrian Federal Economic Chamber Rules of Arbitration 2001 (Vienna Rules 2001)
Annex 2b Internationales Schiedsgericht der Wirtschaftskammer Österreich Schiedsordnung 2001 (Wiener Regeln 2001)
Annex 3a International Arbitral Centre of the Austrian Federal Economic Chamber Conciliation Rules 2006
Annex 3b Internationales Schiedsgericht der Wirtschaftskammer Österreich Schlichtungsordnung 2006
Annex 4 Arbitrator's Declaration of Acceptance, Statement of Independence and Undertaking to Observe Rules on Costs
Annex 5 Guidelines for Arbitrators
Annex 6 Account Details
Annex 7 Schiedsgerichtsordnung für die Ständigen Schiedsgerichte der Wirtschaftskammern 2006
Annex 8a Code of Civil Procedure, Fourth Section: Arbitration (Austrian Arbitration Act 2006)
Annex 8b Zivilprozessordnung, Vierter Abschnitt: Schiedsverfahren
Annex 9a Former Code of Civil Procedure
Annex 9b Zivilprozessordnung (in der Fassung vor der Schiedsrechtsänderungsreform 2006 'Alte Fassung')
Annex 10 European Convention on International Commercial Arbitration 1961 (European Convention)
Annex 11 Convention on the Recognition and Enforcement of Foreign Arbitral Awards 1958 (New York Convention)
Annex 12 List of Bilateral Agreements Concluded by Austria That Refer to Arbitration
Annex 13 List of Multilateral Agreements Concluded by Austria That Refer to Arbitration
Annex 14 List of Bilateral Investment Treaties Concluded Between Austria and Other Countries
Annex 15 UNCITRAL Notes on Organizing Arbitral Proceedings 1996 (UNCITRAL Notes)
Annex 16 IBA Rules on the Taking of Evidence in International Commercial Arbitration (IBA Rules of Evidence)
Annex 17 IBA Guidelines on Conflicts of Interest in International Arbitration (IBA Conflict Guidelines)
Annex 18 IBA Rules of Ethics for International Arbitrators (IBA Rules of Ethics)
Index
Back Cover

Systemvoraussetzungen

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