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Kluwer Law International - Documento Apelacion Arb Internacional
Kluwer Law International - Documento Apelacion Arb Internacional
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Arbitraje Kluwer
Contenido
• 1. INTRODUCCIÓN
• 6. CONCLUSIÓN
Autor
Noam Zamir (/search?authorfullnamereversed=Zamir%2c+Noam)
Peretz Segal (/search?authorfullnamereversed=Segal%2c+Peretz)
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Publicación
Arbitraje Internacional (/journal?title=Arbitration International)
Referencia bibliográfica
Noam Zamir y Peretz Segal, 'Apelación en arbitraje internacional: un mecanismo
de apelación arbitral eficiente y asequible', en William W.Park (ed), Arbitration
International , (© The Author (s); Oxford University Press 2019, Volumen 35
Número 1 ) págs.79 - 93
(†)
RESUMEN
Este artículo sostiene que los laudos arbitrales internacionales deben estar
sujetos a apelaciones arbitrales. Revisa la historia del arbitraje y su
característica de finalidad de los laudos. Luego, examina críticamente los
diversos argumentos sobre la cuestión de si tales laudos deben ser objeto
de apelación. Sostiene que, aunque la tendencia de limitar la capacidad de
una parte insatisfecha de apelar ante los tribunales nacionales es esencial
para el arbitraje internacional, las instituciones de arbitraje deberían
proponer servicios de apelación arbitral. Esto equilibraría entre el derecho
de apelación, que es un elemento del acceso a la justicia, por un lado, y la
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1. INTRODUCCION
En la mayoría de los casos, una parte insatisfecha en un procedimiento
arbitral internacional solo puede intentar anular el laudo o resistirse a la
ejecución a través de los tribunales nacionales. Los motivos para anular un
P 79
laudo o resistirse a su ejecución son muy estrechos y limitan las opciones
P 80
de la parte insatisfecha para impugnar el laudo. Si bien las partes pueden
acordar someter su laudo a una apelación arbitral, esto generalmente no
sucede porque, en ausencia de un acuerdo para apelar en el acuerdo de
arbitraje original, la parte ganadora en la mayoría de los casos no tiene
ningún incentivo para aceptar otra ronda de procedimientos de arbitraje. .
La habitual ausencia de un mecanismo de apelación disponible en el
arbitraje, a diferencia de los tribunales, se conoce comúnmente como la
característica de la finalidad del arbitraje. (1) Esta característica a menudo
se considera una de las ventajas más atractivas del arbitraje.
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apelar sobre una cuestión de derecho con el permiso del tribunal. (10)
P 82 Finalmente, en la misma línea, en Kenia, en el arbitraje interno, las partes
P 83 también pueden apelar sobre cualquier cuestión de derecho que surja del
laudo. (11)
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Las razones en contra de la apelación son aún más fuertes cuando se trata
de arbitraje internacional, en el que las partes provienen de diferentes
jurisdicciones y, en ocasiones, con falta de familiaridad y confianza en los
sistemas legales de cada uno. (29) De hecho, las partes comerciales
internacionales suelen recurrir al arbitraje internacional precisamente
porque quieren evitar el uso de tribunales nacionales que no conocen o en
los que no confían. Abrir la puerta a tales apelaciones socavará la
integridad del sistema de arbitraje internacional y obstaculizará el
concepto de finalidad del arbitraje, ya que las partes en el arbitraje sabrán
que los tribunales nacionales siempre pueden utilizarse como instancia de
apelación. (30)
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La encuesta anual de 2015 reveló una imagen similar, aunque las cifras
fueron diferentes:
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Así, se sostiene que las instituciones arbitrales deben someter los laudos
arbitrales internacionales a un recurso arbitral. Sin embargo, para
salvaguardar el interés de estos usuarios de arbitraje que están interesados
en apelar sin derogar el derecho de aquellos que no están interesados en
apelar, la apelación debe basarse en un mecanismo de exclusión voluntaria.
(40) Si bien el argumento en contra puede ser que incluso si la mayoría de
las partes opta por no participar, al ofrecer reglas para dicho proceso, una
institución daría legitimidad a demoras y costos adicionales sin una buena
razón, (41) sigue siendo importante recordar que Es poco probable que el
P 91
mecanismo de apelación sugerido reemplace en un día las prácticas
P 92
actuales y, por lo tanto, las partes aún podrían elegir otras instituciones
que se nieguen a utilizar un mecanismo de apelación.(42)
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Fourthly, both of the CPR and the ECA establish as a general rule that the
loser in the appeal should pay the costs of the appeal. However, while the
CPR rules gives discretion to the appeal tribunal to deviate from this rule,
(54) the ECA rules seem to leave no discretion to the tribunal. (55) In
contrast, JAMS rules state that the 'Award of the Arbitrator may allocate
attorneys' fees and expenses and interest (at such rate and from such date
as the Arbitrator may deem appropriate) if provided by the Parties'
Agreement or allowed by applicable law [. . .]'. (56)
Fifthly, both JAMS and the ECA set time limits for issuing the appeal award.
JAMS rules stipulate that the appeal panel 'will issue the decision within
twenty-one (21) calendar days of the date of either oral argument, the
receipt of the new evidence or receipt of the record and of all briefs,
whichever is applicable or later'. (57) The ECA rules allow more time to the
appeal tribunal by elaborating that the appeal tribunal 'shall make its
award within six months, if there is no evidentiary stage, and otherwise
within nine months of its receipt of the file by rehearing the case and
deciding it on its merits'. (58)
Sixthly, probably with awareness of costs and speed of the proceedings,
JAMS rule provide the parties with the option to conduct the appeal
proceedings through written submissions only. According to the rules, the
parties 'may elect to rely on the memoranda or briefs previously submitted
to the Arbitrator(s)'. In the absence of such election, JAMS will try to obtain
the agreement of the Parties on a briefing schedule and if no agreement is
reached it will set the briefing schedule. (59) Furthermore, the rules
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establish that '[t]he Appeal Panel will conduct an oral argument if all Parties
request such argument, or may conduct oral argument, in complex cases or
unusual circumstances, on its own initiative'. (60) There is no explanation on
what constitutes 'complex cases or unusual circumstances'. Finally,
according to the rules '[o]rdinarily, only opening briefs (of no more than 25
double-spaced pages) will be allowed'. (61) The rule regarding the page-limit
is extremely useful in reducing costs as it both limits the legal counsel costs
and the time that the arbitrators spend on reviewing the pleadings.
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According to this suggested model, the appeal panel will have jurisdiction
to review fact and law issues regarding the award. The appeal panel may
also request clarifications from the first-instance tribunal before they
decide whether to differ from the first-instance award. Only when both
appellate arbitrators believe that the award was wrong on an issue, they
will issue a new award or a correction to the previous award. When the
appellate arbitrators are not in consensus to defer from the award, the
award becomes final.
Secondly, the appeal proceedings should be conducted via written
submissions. All the materials of the first instance arbitration will be in the
record. Thus, the appeal panel will be able to go through the pleadings,
witness statements and hearing transcripts to fully review the award.
Accordingly, the parties may elect to rely solely on the pleadings previously
submitted to the first instance arbitration or submit new pleadings in
addition.
Thirdly, the arbitral institution should set explicit page limits regarding the
written submission. The problem of lengthy submissions has been in the
centre of academic discourse in both litigation and arbitration. (64) While
distinguished arbitrators already called for the imposition of page limits
very little was done. (65) This could be explained by the parties', or more
accurately their legal counsel's, objection. (66) Nevertheless, as parties are
concerned about the possible costs and the perpetuation of the
proceedings, it is necessary to set page limits for the written submissions in
the appeal mechanism. JAMS should be commended for their clear rules on
this aspect. (67) We propose a 50-page limit for the statement of
case/defence and 25-page limit for the reply/rejoinder. However, as some
complicated cases may require more lengthy submissions, if the parties so
request and the tribunal agrees, the page limit could be changed.
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award should not include reasons although the appeal panel decides to
change the award, or that the appeal award should include reasons even
when the appeal panel decides to reject the appeal.
Finally, similarly to JAMS and the ECA, the time for completing and
delivering the appeal award must be set in advance. Setting a time limit for
drafting the award is becoming popular in general arbitral proceedings. For
example, the ICC Rules stipulate that as a general rule the arbitral tribunal
must render its final award is six months. (68) In the same vein,
International Centre for Settlement of Investment Disputes (ICSID)
arbitration rules establish that the tribunal must complete its award within
120 days after closure of the proceeding. (69)
While arbitrators do not like these time limits, they are necessary if we wish
to address the concern about the length of the appeal proceedings. While
writing awards can be a time-consuming task, there is no objective reason
why they cannot be completed very quickly if the award is without reasons
or in four months if the award is with reasons. Thus, we suggest that awards
without reasons should be issued within 30 days from the final submission
or the hearing. If the award is with reasons it should be issued within four
months. This deadline is in the middle between the two deadlines proposed
by JAMS and the ECA.
To ensure compliance with the deadline for drafting the award, it is
suggested that every week delay will result in a reduction of the arbitrators
salary unless the delays is attributable to factors beyond the arbitrators'
control or to exceptional circumstances, and without prejudice to any other
measures that the arbitral institution may take, such as replacing one or
more of the arbitrators. This approach is not novel. The ICC published
already in 2016 that it will reduce the fees of arbitrators who fail to meet
the deadlines of rendering the draft awards for scrutiny by the ICC. (70) We
suggested a reduction of 2 per cent for one week delay. Such a proposed
reduction should encourage arbitrators to finish the awards on time without
being considered a punitive sum.
In terms of allocation of costs, subject to the parties' express wishes as
elaborated in the arbitration-appeal agreement, it is suggested that the
appellant will deposit a reasonable sum to pay for the costs of the appeal
panel. When the appeal panel differs from the first instance award, it will
issue a decision regarding the allocation of costs, and follow the rule that
costs follow the event, ie loser pays, unless it believes that this will be
unfair to do so due to the facts of the case. (71)
6. CONCLUSION
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The question is therefore what appeal mechanism will serve the arbitration
users best. With this question in mind, the article suggests an efficient
appeal mechanism which addresses the arbitration users' concerns
regarding the duration and costs of the proceedings. While international
arbitration has developed tremendously in the past 15 years, it seems that
very little has changed when it comes to appeal arbitration. It is thus hoped
that this article will induce international arbitral institutions to consider
amending their rules and include specific provisions that will introduce and
regulate effective arbitral appeal mechanisms.
References
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issue will significantly affect the rights of the parties. [. . .](3) If the
arbitration agreement so provides, a party may appeal an award to the
court on a question of fact or on a question of mixed fact and law.')
11) Arbitration Act, 1995 [No 4 of 1995], s 39 ('(1) Where in the case of a
domestic arbitration, the parties have agreed that— (a) an application
by any party may be made to a court to determine any question of law
arising in the course of the arbitration; or (b) an appeal by any party
may be made to a court on any question of law arising out of the award,
such application or appeal, as the case may be, may be made to the
High Court.')
12) Convention on the Recognition and Enforcement of Foreign Arbitral
Awards, Jun 10, 1958, 21 UST 2517, 330 UNTS 38.
13) See ibid, art V.
14) Model Law, art 35.
15) Thomas E Carbonneau, 'At the Crossroads of Legitimacy and Arbitral
Autonomy' (2005) 16 Am Rev Int'l Arb 213, 213.
16) Arbitration Act, 1996, c 23, ss 69, 81(1) (UK).
17) Nouveau code de procédure civile [NCPC], art 1520 (Fr).
18) Federal Arbitration Act, 9 USC s 16.
19) Martin Shapiro, Courts: A Comparative and Political Analysis (University
of Chicago Press 1981) 1.
20) ibid 2.
21) ibid 52 ('appellate institutions are more fundamentally related to the
political purposes of central regimes than to the doing of individual
justice'.).
22) ibid 37.
23) Richard Ward and Amanda Akhtar, Walker & Walker's English Legal
System (11th edn, OUP 2011) 688. See also Simeon Djankov, 'Rafael La
Ports, Florencio Lopez-de-Silanes and Andrei Shleifer, “Courts” '(2003)
118(2) Quart J Econ 453–517.
24) See for instance, Nina Nichols Pugh, 'The Structure and Role of Courts
of Appeal in Civil Law Systems' (1975) 35(5) La L Rev 1163; Peter D
Marshall, 'A Comparative Analysis of the Right to Appeal' (2011) 22(1)
Duke J Comp & Int'l L 1–46.
25) 'Summary Record of Proceedings, Geneva Consultative Meetings of
Legal Experts, February 17–122, 1964' in History of the ICSID Convention,
vol II-1 (ICSID 2009) 427.
26) Digest, 2, 4, 8, 27 (Ulpian) (n 6 (/document/KLI-KA-AI-2019-01-005#n6)).
27)
Rowan Platt, 'The Appeal of Appeal Mechanisms in International
Arbitration: Fairness over Finality?' (2013) 30(5) J Int'l Arb 531–60, 534–36
(citing Lord Saville, 'The Arbitration Act 1996 and its Effect on
International Arbitration in England' (1997), 63 Arb 104, 108)
(Nevertheless, the author explains that the Departmental Advisory
Committee 'decided not to recommend the complete abolition of the
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