LA CLAUSOLA ARBITRALE UNIVERSITA DI TRENTO FACOLTA DI GIURISPRUDENZA A/A DIRITTO DELL ARBITRATO INTERNAZIONALE

Transcript

1 LA CLAUSOLA ARBITRALE UNIVERSITA DI TRENTO FACOLTA DI GIURISPRUDENZA A/A DIRITTO DELL ARBITRATO INTERNAZIONALE 1

2 ASSE PORTANTE DELL ARBITRATO MANIFESTAZIONE DELLA VOLONTA DELLE PARTI CLAUSOLA E COMPROMESSO 2

3 SEGUE DEROGA ALLA GIURISDIZIONE O ALLA COMPETENZA? 3

4 SEGUE AUTONOMIA DELLA CLAUSOLA ARBITRALE MIDNIGHT CLAUSE: rischio di dannosi compromessi errata scelta legge applicabile errata scelta sede 4

5 segue CONVENZIONE DI NEW YORK 1958: ART. II, COMMA 1 E 2 [CONVENZIONE GINEVRA 1961, ART. 1.2] FISSA I REQUISITI DELLA CLAUSOLA PER ARBITRATO INTERNAZIONALE 5

6 REQUSITI SECONDO NEW YORK DEVE RISULTARE DA ATTO SCRITTO DEVE RIGUARDARE CONTROVERSIE SORTE O CHE POSSANO INSORGERE TRA LE PARTI 6

7 SEGUE LE CONTROVERSIE DEVONO RIFERIRSI AD UN RAPPORTO DETERMINATO LA CONTROVERSIA DEVE ESSERE ARBITRABILE 7

8 ARBITRABILITA DELLA CONTROVERSIA LEGGE APPLICABILE ALLA CLAUSOLA ARBITRALE LEGGE DEL LUOGO OVE SI CELEBRA L ARBITRATO LEGGE DEL LUOGO DI ESECUZIONE 8

9 SEGUE LE PARTI DEVONO AVERE LA PIENA CAPACITA AI SENSI DELLA LEGGE LORO APPLICABILE (ART. V, 1.1.) 9

10 SEGUE LA CLAUSOLA DEVE SODDISFARE I REQUISITI DI VALIDITA DELLA LEGGE CUI LE PARTI HANNO ASSOGGETTATO L ARBITRATO O, IN MANCANZA DI SCELTA, DELLA LEGGE DEL LUOGO OVE IL LODO E STATO PRONUNCIATO 10

11 L ACCORDO SCRITTO ART bis C.P.C. ART. 178 LEGGE DIR. INT. PRIV. SVIZZERO ART. 7.2 LEGGE MODELLO UNCITRAL ART LEGGE TEDESCA DI RIFORMA ART C.P.C. FRANCESE ART. 7.2 LEGGE MODELLO UNCITRAL 11

12 ACCORDO SCRITTO O SOTTOSCRITTO? ART. II.2 NEW YORK: Cass. S.un , n. AN ARBITRAL CLAUSE IN A CONTRACT OR IN AN ARBITRATION AGREEMENT, SIGNED BY THE PARTIES. DALL ULTIMA PARTE DELL ART N.2 (CONV. DI New York 1958) SI PUO DESUMERE SOLTANTO CHE.. L ESIGENZA DELLA FORMA SCRITTA DEBBA INTENDERSI, TUTTAVIA, OSSERVATA SE ED IN QUANTO SIA ACCERTABILE CONCRETAMENTE, IN ALTRO MODO, LA PROVENIENZA PERSONALE DELLE VICENDEVOLI PUR SEMPRE SPECIFICHE DICHIARAZIONI SCRITTE 12

13 ARBITRABILITA CONCETTO STRETTAMENTE CONNESSO CON I LIMITI IMPOSTI DALL ORDINE PUBBLICO ORDINE PUBBLICO INTERNO E INTERNAZIONALE 13

14 SEGUE CASS , N. 228 Il limite dell ordine pubblico internazionale è rappresentato da quei principi accettati da nazioni di civiltà affine intesi alla tutela di alcuni diritti fondamentali dell uomo, mentre l ordine pubblico interno consiste nel complesso dei principi fondamentali che caratterizzano la struttura etico sociale della comunità nazionale in un determinato momento storico e nei principi inderogabili che sono immanenti nei più importanti istituti giuridici del nostro ordinamento. 14

15 CORRUZIONE 1963: GIUDICE U.S.A. 1983: LODO ICC LAGERGREEN CONSIDERO LA CONTOVERSIA NON ARBITRABILE L ARBITRO UNICO (INGLESE) SI RITENNE COMPETENTE A DECIDERE E GIUDICO IL CONTRATTO ILLECITO 15

16 SEGUE APPROCCIO DELL ARBITRO INGLESE E OGGI RITENUTO IL PIU CORRETTO E L UNICO PERSEGUIBILE PER ACCERTARE, NEL CORSO DEL GIUDIZIO, IL FATTO CORRUTTIVO 16

17 ACCERTAMENTO DELL ARBITRABILITA DELLA CONTROVERSIA OGGETTO E CONTENUTO DELLA CLAUSOLA ARBITRALE ES.: le controversie non connesse che non sono richiamate nella clausola, rende le stesse non arbitrabili 17

18 SEGUE: ACCERTAMENTO. LEGGE APPLICABILE ALLA C.A. LEGGE DEL LUOGO OVE VIENE CELEBRATO L ARBITRATO LEGGE DEL LUOGO OVE IL LODO SARA O POTRA ESSERE ESEGUITO 18

19 CAPACITA DELLE PARTI QUALE CAPACITA? ART. 5.1 (a) Conv. New York 1958 PERSONA FISICA O GIURIDICA ART. 808, II COMMA, C.p.c. 19

20 VALIDITA DELLA C.A. ART. 5.1.(a) Conv. New York 1958: under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award is made. 20

21 segue QUANDO PUO ESSERE ECCEPITA L INVALIDITA DELLA CLAUSOLA ARBITRALE? IL VIZIO DI FORMA TOCCA LA VALIDITA DELLA C.A.. IL VIZIO VA ACCERTATO SECONDO LA LEGGE APPLICABILE INDICATA DALLE PARTI O, IN ASSENZA, SI GUARDERA AL LUOGO SEDE 21

22 CONTENUTO DELLA DELLA C.A. CRITERI DI NOMINA DEL TRIBUNALE ARBITRALE AUTORITA DI NOMINA NORME PROCEDURALI O RINVIO A REGOLAMENTI SPECIFICI (ICC, AAA, IBA RULES, UNCITRAL GIUDELINES, ecc..) 22

23 CONTENUTO DELLA C.A. LEGGE APPLICABILE TERMINE PER LA PRONUNCIA DEL LODO LINGUA DELLA PROCEDURA COSTI 23

24 ESEMPI DI C.A. ENGLISH LAW ARBITRATION, IF ANY, LONDON ACCORDING ICC RULES [contenuta in uno scambio di telex - non raccomandabile] 24

25 SEGUE Tutte le dispute e le divergenze insorte in conseguenza del presente Accordo o ad esso collegate saranno se possibile risolte tramite trattative tra soci. Se le dispute e le divergenze non potranno essere risolte tramite trattative, esse saranno sottoposte alla Commissione arbitrale presso la Corte Arbitrale della Camera di Commercio di Ginevra (Svizzera) [clausola Uzbekistan] 25

26 Segue: clausola Croazia The parties in this Agreement shall use their reasonable endeavours to settle any dispute between them by common agreement. Any dispute with respect to the validity, interpretation or application of this Agreement that cannot be so settled, shall be determined by the competent Swiss Court. The decision of such arbitration shall be final and binding on the parties 26

27 Segue The parties will try to settle the possible disputes amicably or through arbitration. If the parties can not settle the dsputes through arbitration then this Agreement shall be subject to and construed in accordance with Swiss law. 27

28 MODELLI DI CLAUSOLE ARBITRALI ARBITRATO AMMINISTRATO AAA: Any controversy or claim arising out of or relating to this contract shall be determined by arbitration in accordance with the International Rules of the American Arbitration Association. The parties may wish to consider adding: a) The number of arbitrators b) The place of arbitration c) The language of the arbitration 28

29 ICC CLAUSE ANY DISPUTES ARISING IN CONNECTION WITH THE PRESENT CONTRACT SHALL BE FINALLY SETTLED UNDER THE Rules of [Conciliation and] Arbitration OF THE INTERNATIONAL CHAMBER OF COMMERCE [or ICC] BY ONE OR MORE ARBITRATORS APPOINTED IN ACCORDANCE WITH THE SIAD RULES 29

30 CAMERA ARBITRALE DI MILANO TUTTE LE CONTROVERSIE DERIVANTI DAL PRESENTE CONTRATTO SARANNO RISOLTE MEDIANTE ARBITRATO SECONDO IL REGOLAMENTO DELLA CAMERA ARBITRALE NAZIONALE ED INTERNAZIONALE DI MILANO. IL TRIBUNALE ARBITRALE SARA COMPOSTO DA UN ARBITRO UNICO/TRE ARBITRI, NOMINATO/I IN CONFORMITA A TALE REGOLAMENTO. 30

31 SEGUE IL TRIBUNALE ARBITRALE GIUDICHERA SECONDO LA LEGGE (OPPPURE: SWECONDO EQUITA ). LA SEDE DELL ARBITRATO SARA. LA LINGUA DELL ARBITRATO SARA 31

32 CLAUSOLA VENCA OGNI CONTROVERSIA DERIVANTE DA O CONNESSA AL PRESENTE CONTRATTO CON PARTICOLARE RIGUARDO, MA SENZA ALCUN INTENTO LIMITATIVO, ALLA SUA CONCLUSIONE, ESECUZIONE, VALIDITA, INADEMPIMENTO, RISOLUZIONE E DETERMINAZIONE DEI DANNI CONSEGUENTI, SARA GIUDICATA IN CONFORMITA AL REGOLAMENTO DELLA CAMERA ARBITRALE DI VENEZIA DA UN TRIBUNALE ARBITRALE 32

33 SEGUE COMPOSTO DA UNO O PIU ARBITRI NOMINATI IN CONFORMITA A DETTO REGOLAMENTO. IL TRIBUNALE ARBITRALE GIUDICHERA RITUALMENTE SECONDO LA LEGGE. SEDE DELL ARBITRATO SARA. LA LINGUA DELL ARBITRATO SARA LA LINGUA. 33

34 KUALA LUMPUR CLAUSE ANY DISPUTES, CONTROVERSY OR CLAIM AIRISING OUT OF OR RELATING TO THIS CONTRACT, OR THE BREACH, TERMINATION OR INVALIDITY THEREOF, SHALL BE DECIDED BY ARBITRATION IN ACCORDANCE WITH THE RULES of ARBITRATION of the KUALA LUMPUR REGIONAL ARBITRATION CENTRE 34

35 ALTRE ISTITUZIONI INTERNAZIONALI PERMANENT COURT OF ARBITRATION ICSID LONDON COURT OF ARBITRATION NETHERLANDS ARBITRATION INSTITUTE CAIRO REGIONAL CENTRE FOR COMMERCIAL ARBITRATION ARBITRAL CENTRE OF THE FEDERAL ECONOMIC CHAMBER, VIENNA HONG KONG INTERNATIONAL ARBITATION CENTRE ARBITRATION INSTITUE OF THE STOCKOLM CHAMBER OF COMMERCE ZURICH CHAMBER OF COMMERCE 35

36 ARBITRATO AD HOC Qualunque controversia nascente o connessa al presente contratto con particolare riguardo, ma senza intento limitativo, alla sua conclusione, esistenza, esecuzione, interpretazione, inadempimento, risoluzione, determinazione di danni, sarà sottoposta alla cognizione di un Collegio Arbitrale composto di tre membri, il quale giudicherà secondo diritto [e ritualmente] 36

37 segue Ciascuna parte designerà un arbitro; la parte attrice nella richiesta di arbitrato e la parte convenuta nella risposta alla richiesta di arbitrato; il terzo arbitro, che fungerà da presidente del Collegio Arbitrale, sarà nominato dai due arbitri designati dalle parti. 37

38 SEGUE Qualora la parte convenuta non provveda a designare il proprio arbitro entro venti giorni dalla data di ricevimento della richiesta di arbitrato contenente la nomina dell arbitro di parte attrice o qualora gli arbitri nominati dalle parti non raggiungano un accordo per la designazione del terzo arbitro, entro 20 giorni dalla nomina dell arbitro della convenuta, 38

39 segue l arbitro della convenuta o il terzo arbitro, secondo il caso, sarà designato da [AUTORITA DI NOMINA]. L arbitrato avrà luogo a.., ed il Collegio renderà il lodo entro giorni dalla data in cui tutti gli arbitri avranno accettato l incarico [entro giorni dalla chiusura del dibattimento] 39

40 segue Il lodo sarà definitivo ed inappellabile. [??] Per quanto ivi non previsto il Collegio Arbitrale si atterrà, in ordine alla procedura alle norme di cui agli artt. 806 c.p.c. [MAI RICHIAMARE IL SOLO C.P.C.] Le spese del procedimento, inclusi gli onorari dei difensori [che le parti dichiarano sin d ora di accettare] saranno posti a carico della parte soccombente [oppure saranno rimesse al giudizio degli arbitri] 40

41 Arbitration of Disputes Any controversy or claim arising out of this Agreement, other than injunctive relief or specific performance sought by either party, will be settled by binding arbitration pursuant to the Commercial Arbitration Rules of the American Arbitration Association if Customer is 41

42 segue Located in U.S.A., or the International Chamber of Commerce if Customer is located outside of the U.S.A., and judgment upon the award rendered by the arbitrators may be entered in any court having jurisdiction thereof. 42

43 segue Any such arbitration proceeding shall be conducted by a panel of three (3) arbitrators. Each party hereto shall select one arbitrator within thirty (30) days of the notice of arbitration, and the two arbitrators so selected shall select a third neutral arbitrator within thirty (30) days after the second arbitrator is chosen. 43

44 segue Any arbitration proceeding hereunder shall be conducted in the English language and on a confidential basis, and except as required by law or regulation, neither party to the arbitration nor any arbitrator may disclose the existence, content or results of any such proceeding. 44

45 segue All reasonable and necessary costs and fees (including attorney's fees) incurred in connection with the arbitration shall be assessed as deemed appropriate by the arbitrators. 45

46 segue Law and Venue. This Agreement shall be governed by and interpreted pursuant to the laws of England and Wales without reference to conflict of laws principles. Venue for any suit, cause of action, arbitration proceeding or other dispute relating to this Agreement shall be in London, England, and each party irrevocably submits to the jurisdiction of the English courts with respect to the 46

47 Law and Resolution of Conflicts 0.1 This agreement shall be construed in acordance with the law of the State of New York. 0.2 In case of any action by A to enforce this agreement, any claim, counterclaim, or other procedural aspect of such action 47

48 segue Shall be heard, at the sole election of A, exclusively before the arbitral tribunal referred to below or exclusively before the U.S. States Court for the Southern District of New York. B. in case of any decision of A. to institute 48

49 segue Action before the U.S. District Court for the S. D. of New York, hereby submits to the jurisdiction of said Court. Alternatively, in case of any decision of A. to institute an action before the arbitral tribunal, B. hereby agrees to comply with such election of forum, to submit to its jurisdiction, and waive any alternative forum. 49

50 segue 0.3 In case of any action by B. to enforce this agreement, any claim, counterclaim, or other procedural aspect of such action shall be heard, at the sole discretion of B., exclusively before the courts of general jurisdiction of Rome. 50

51 segue A., in case of any decision by B. to institute action before the Rome courts, hereby submits to such jurisdiction. Alternatively, in case of any decision by B. to institute an action before the arbitral tribunal, A. hereby agrees to comply with such election of forum, to submit to its jurisdiction and waive any alternative forum. 51

52 segue If A. does not select the U.S. District Court for the Southern Distric of New York, or if B. does not select the courts of Rome, Italy, within the limited provided by art. 0.2 and 0.3 above, any disputes arising from this ageement shall be submitted for settlement to Arbitration as hereinafter set forth, with its seat at Geneva, Switzerland. 52

53 segue The arbitration shall be established and conducted as follows: the Party that wishes to refer the dispute to Arbitration (hereinafter the Claimant ) shall notify the other party (hereinafter the Respondent ), by a registered letter stating the name and the address of the arbitrator appointed by 53

54 segue Who can be a citizen of any country, and setting forth the subject of the dispute and specific reference to this agreement. Within 30 days of receipt of the above letter, the Respondent shall appoint its arbitrator, who can be a citizen of any country, and shall inform the Claimant 54

55 segue of such appointment by a registered letter stating the name an address of the arbitrator appointed. 55

56 segue If either party fails to appoint its arbitrator in the letters referred to above, such arbitrator or arbitrators, at the request of either Party, will be appointed within 30 days of the date of the request by the President of the Chamber of Commerce of Geneva, Switzerland. 56

57 segue Within 30 days of the appointment of the Respondent s arbitrator, the two arbitrators appointed by or on behalf of the Parties shall appoint a third arbitrator who will act as Chairman of the Arbitration. If the two arbitrators selected by or on 57

58 segue behalf of the Parties fail to agree upon the choice of the Chairman within 30 days after the appointment of the Respondent s arbitrator, the Chairman will be appointed, a the request of either Party, by the President of the Chamber of Commerce of Geneva. 58

59 segue 0.6 The Arbitration shall be conducted in accordance with the following rules: The Arbitration shall be held within Geneva, Switzerland, in camera in a suitable courtroom, if such is available, or, if not, in another suitable facility. 59

60 0.6.2 All hearings shall be held before three arbitrators (hereinafter referred as the Panel ) 60

61 0.6.3 The hearings before the Panel shall commence as soon as possible after its appointment, and, in all events within 60 days after the appointment of the Chairman. If any aritrator shall for any reason be unable to serve throughout the arbitration, his succesors shall be immediately appointed by the Party 61

62 segue or Parties by or on behalf of whom the arbitrator to be replaced was originally appointed. The arbitration proceeding will be adjourned only for that period of time necessary to so appoint a successor arbitrator and will immediately reccomence and proceed from the point of interruption to completion upon such appointment. 62

63 0.6.4 The rules with respect to the calling of witnesses, the taking of testimony from and the cross-examination of witnesses, and the admissibility of eidence shall be those applicable in the Canton of Geneva, Switzerland. 63

64 0.6.4 The English language shall be used in all proceedings, including but not limited to the papers, briefs and notices filed by the Parties, oral testimony and presentations, and the awards af the Panel, which shall be in writing. 64

65 0.6.5 The Panel shall provide for translation into English of documents submitted in evidence or otherwise presented to the Panel which are not written in English. The cost of such translation shall be borne by the Party offering the documents. 65

66 0.6.6 The Panel in its discretion may extend any time limits provided herein for justified reasons 66

67 0.6.7 Either Party shall be entitled to appear at the hearings by agents or attorneys of its choice and to be assisted by other persons of its choice. 67

68 0.6.8 Should either Party fail without sufficient cause to appear at a hearing properly convened, the Panel shall be entitled to proceed with Arbitration in such Party s absence. 68

69 0.6.9 A stenographic transcript by a competent stenographer shall be taken of all proceedings before the Panel. 69

70 The Claimant may file a brief with the Panel within 30 days after the end of the hearings before the Panel. A copy of the brief so filed shall be provided to the Respondent at the time of filing. 70

71 The Respondent may file a brief without 15 days after the filing of the Calimant s brief. Within 60 days after the filing of Respondent s brief, the Panel shall deliver by registered letter to both Parties its written award and a written opinion setting forth the reasons and facts supporting the award. 71

72 The award shall be determined by a majority of votes of three arbitrators and shall state the vote of each arbitrator. The Panel shall also be entitled to make interim, interlocutory or partial awards rendered on the same manner as set forth hereinabove, during the course of the Arbitation. 72

73 The award of the Panel shall be final and binding upon the Parties, and shall not be subject to review by or appeal to any court other authority. 73

74 By providing for this arbitration according to this article 0., the Parties undertake to carry out the award without delay. The award may be enforced by the successful Party in any court having jurisdiction over the unsuccessful Party or any asstes of the unsuccessful Party. 74

75 Each Party shall bear the fees, salaries or wages of, and other expenses related to, all of its agents, attorneys and other representatives who partecipate in the Arbitration on behalf of such Party and any reimbursement of travel and living expenses of any witnesses who appear on behalf of such Party. 75

76 All other costs of the Arbitration, including the fees paid to the Chamber of Commerce of Geneva, the fees paid to the Panel, the fees paid for the stenographic transcript, the expenses paid for the facility in which the hearing are held, and any other expenses for the Arbitration, after determination by the Panel, shall be paid by the Parties as directed by the Panel. 76

77 In general, such other costs shall be borne by the unsuccessful Party, provrded, however, the Panel shall, in its discertion, be entitled to apportion such other costs between the Parties in any manner it deems equitable. 77

78 If any question related to the conduct of the Arbitration arises which is not addressed by the rules set forth in this article, that question shall be determined in accordance with the applicable rules of Arbitration of the Chamber of Commerce of Geneva, to the extent such applicable rules are not inconsistent with this article. 78