Your First International
Arbitration: Dos and Don’ts
Moderator:
Annette C. Escobar, Astigarraga Davis, Miami, FL
Speakers:
John H. Mathias, Jenner & Block LLP, Chicago, IL
Mark A. Nadeau, DLA Piper LLP, Phoenix, AZ
Bette Shifman, CPR International Institute for Conflict
Prevention & Resolution, Inc., New York, NY
ABA Section of Litigation Annual Conference, Scottsdale, Arizona April 2014
2
Basics of an International Arbitration

Initiating Arbitration
– Arbitral clause/rules/institutions
– The Panel
– Organizational Meeting

Issues During Arbitration
– Evidentiary Issues, Witnesses, and Arbitral Hearing

Post-Arbitration Issues
–
Enforcement
3
Arbitration Clauses
Seat
 Scope of Clause
 Institution and Rules
 Language
 Number of Arbitrators
 Interim Remedies
 Consolidation/Joinder

Main Arbitral Institutions and Rules

Arbitral Institutions
ICC, LCIA, AAA/ICDR, CPR, JAMS, CIETAC ,
HKIAC, SIAC, SCC

Rules
– Administered: AAA, ICDR, ICC
– Non-administered: UNCITRAL
The Panel: Does it Matter?



Number of Arbitrators
Impartiality
Arbitrator Selection:
–
–
–
–
–

List Method (ICDR)
Party Appointed Arbitrators Select Chair
Institution or Court appoints chair
Investigations
Interviews
Effect of Choice
– Bias in favor of party
– Pre-existing opinions/biases on issues
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Organizational Meeting

Seat
Procedural (arbitration) law of seat
Mandatory provisions
Unless otherwise agreed by the parties
Choice of Applicable Substantive Law
 Witnesses
 Disclosures/Discovery

– IBA Rules
– ICDR Guidelines
– Not U.S. style
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Organizational Meeting

Briefing
– Statement of Claim
– Statement of Defense
– Other Memorials
Confidentiality
 Timetable
 Fees and Costs
 Procedural Order(s); Terms of Reference

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Ethical Issues

Arbitrators
– ICDR: The Code of Ethics for Arbitrators
– IBA: International Principles on Conduct

Counsel/Parties
– IBA: International Principles
– Local Rules of Ethics


Ex Parte Communications
Use of Ancillary Court Proceedings
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Evidentiary Issues and Witnesses

Witnesses
–
–
–
–

Statements/Reports
Compulsion of Party Witnesses
Third Party Witnesses
Coaching
Evidentiary issues
– No Evidence Code
– IBA Rules
10
Hearing

Procedure
– Argument
– Presentation of Witnesses
– Arbitral Role
Post-Hearing Memorials
 Endgame

11
Enforcement



Enforcement is the procedure for converting an
international arbitral award into a national
judgment
International arbitral awards are only useful if
enforceable
New York Convention and Panama Convention
– More than 140 signatories
– Limited grounds to challenge
– Key provisions

No equivalent law for foreign judgments
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Your First International
Arbitration: Dos and Don’ts
Annette C. Escobar
Astigarraga Davis
Partner
Miami
(T) 305 372 8282
(F) 305 372 8202
(E) aescobar@astidavis.com
John H Mathias, Jr.
Jenner & Block
Partner
Chicago
(T) 312 923 2917
(F) 312 840 7317
(E) jmathias@jenner.com
Mark Nadeau
DLA Piper
Partner
Phoenix
(T) 480 606 5110
(M) 602 908 8820
(E) mark.nadeau@dlapiper.com
Bette Shifman
CPR International Institute for Conflict
Prevention & Resolution
Vice President & Special Counsel
New York
(T) 646 753 8226
(E) bshifman@cpradr.org
ABA Section of Litigation Annual Conference, Scottsdale, Arizona April 2014