Presentación Clase MASC - SAG 2023 - Segundo Parcial

ALTERNATIVE DISPUTE RESOLUTION
Universidad Panamericana – Campus Guadalajara

Law School
Prof. Santiago Aguilar
ADRs - Introducion to Class
- Introduction to the Syllabus
Syllabus - Santiago Aguilar Garibay 2020.docx
- Introductory Case
Introductory Case - ADR 2020.docx
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Métodos Alternativos de de Resolución
de Disputas
Concepto:
Se refieren a aquellos procedimientos mediante los cuales, dos o más

partes en la esfera privada, de manera directa, con o sin la ayuda de
un tercero, resuelven su controversia. Las partes resuelven sus
problemas FUERA de los tribunales juduciales/jurisdiccionales del
Estado.
Todos los MASC tienen las siguientes características.
- Son consensuales
- En todos, salvo en la negociación, participa un tercero neutral
- Pueden resolver la controversia. El arbitraje siempre la resuelve
- Flexibles
- Promueven la proximidad
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Jurisprudencia\Acceso a los mecanismos Alternativos
como derecho humano.pdf
Jurisprudencia\Arbitraje - Implicaciones normativas de

reforma constitución 2008.pdf
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INTRODUCCIÓN
DOS TIPO DE MASC
- Autocompositivos
Las partes resuelven directamente.
- Heterocompositivos
Resuelve un tercero.
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Introducción
Autocompositivos
a. Negociación
b. Mediación
c. Conciliación
Third Party problem solving ADRs (Heterocompositivos)
a. Peritaje
b. Arbitraje
c. Páneles de Resolución de Disputas
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Introducción
Negociación
“A method of dispute resolution where the parties themselves or the

representatives of each party attempt to settle conflicts without resort
to the courts. An impartial third party is not involved.” (Barron’s Law Dictoniary, Steven Gifts, 6
ed, 2010, p. 358)
Estamos en el contexto de negociación para RESOLVER DISPUTAS…

En este contexto la negociación es distinta, y requiere de técnicas
específicas y avanzadas.
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Introducción
Cuando negociamos todos tenemos unos motores internos,

SILENCIOSOS para la otra parta, que dirigen dicha negociación.
Esos motores internos o SILENT MOVERS están ligados a los intereses

que tenemos.
Los INTERESES se diferencian de las POSICIONES. Las POSICIONES se

relacionan con cuestiones subjetivas, ligadas a nuestra manera de ver
las cosas, de interpretar el entorno, el contexto, los hechos.
Por su parte los INTERESES se relacionan con cuestión objetivas. Están

ligados a un resultado, definible, medible.
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Negociacción
La CLAVE para resolver controversias entre dos partes enfrentadas es

conocer los intereses de la otra parte. OLVIDARNOS de las posiciones.
ESTO IMPLICA:
- Analizar cuáles posiciones he tomado que no sirven para llegar al

resultado. Una vez hecho el análisis ERRADICAR las posiciones.
- Determinar cuáles conductas, propuestas, acciones u omisiones de
la otra parte pueden ser posiciones.
- Definir claramente mis intereses. PONERLOS POR ESCRITO.
- No siempre es fácil…
- Determinar cuáles son los INTERESES de la OTRA PARTE.
- ¿Cómo se logra? A base de preguntas.
- LAS PREGUNTAS en una negociación son FUNDAMENTALES.
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Negociación
Hay un concepto conocido como BATNA que sirve para sintetizar

nuestros INTERESES y poner LÍMITES en la negociación.
Hay que saber cuándo una negociación no servirá. Para eso hay que
poner LÍMITES.
BATNA:
BEST
ALTERNATIVE
TO A
NEGOTIATED
AGREEMENT
En español M.A.A.N. (Mejor Alternativa a un Acuerdo Negociado)
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Negociación
Para aplicar el BATNA o el MAAN, se tiene que planear. “STRATEGIZE”
Poner por escrito cuál es el mejor escenario a una negociación…

normalmente es un litigio… ¿es mejor el litigio? ¿qué implica en costos,
tiempos, prestigio, aspecto comercial, etc.? Normalmente el BATNA
tiene como referencia la situación actual al momento de inicio de
negociación
¿ES MEJOR UN MAL ARREGLO QUE UN BUEN PLEITO?
Otro concepto es el ZOPA (Zone of Possible Agreement). Esa zona se

determina por los rangos legales, económicos y comerciales o de
negocio dentro de los cuales puede haber un acuerdo… determina
de manera indirecta lo NO NEGOCIABLE.
Esto también implica analizar, determinar, practicar, hacer estrategia.

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MEDIACIÓN
Es un proceso en el que las partes se apoyan o son ayudadas por un

tercero en la negociación de su disputa. Generalmente es un proceso
informal. El tercero es llamado MEDIADOR.
El Mediador NO RESUELVE LA DISPUTA. El Mediador únicamente facilita

la negociación usando diferentes técnicas. Dependiendo de la
jursdicción o las reglas aplicables al proceso, en su caso, el mediador
puede proponer soluciones (en cuyo caso estamos ante una
CONCILIACIÓN.)
Hay dos tipos de mediaciones:
- Facilitativa
- Evaluativa
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MEDIACIÓN
Mediación Facilitativa
In this type of mediation “the mediator moderates a structured process

of communication aimed at generating a negotiated outcome of the
parties’ own creation” (The Practice of Mediation – Frenkel & Stark 2ed, 2012 p. 76.; emphasis added)
Mediación Evaluativa
In this type of mediation, “by contrast, the mediator assumes (or

determines)that the parties want her to assist in obtaining a settlement
by providing feedback on their viewpoints and positions and/or
offering help or direction as to possible agreement terms.” (Id.)
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ADRs & Introduction to Arbitration
Mediación Facilitativa
a. Enfoque en el proceso de negociación

b. Promoción de negociaciones cara a cara
c. No cuestiona a las partes respect a sus posiciones o puntos de
vista, y por el contrario busca common places.
d. Intenta no dar opiniones
Mediación Evaluativa
a. El mediador utiliza su conocimiento de la industria y/o el derecho

b. Se enfoca en las posiciones e intereses
c. Evalua el caso de las partes, sus debilidades y fortalezas,
d. Sugiere posibles soluciones. S-2
Mediación
DIAGRAMA DEL TIPO DE MEDIACIONES
(The Practice of Mediation – Frenkel & Stark 2ed, 2012 p. 77).
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MEDIACIONES
Ejemplos de cláusulas de Mediación

“The parties may at any time, without prejudice to any other proceedings, seek to settle any
dispute arising out of or in connection with the present contract in accordance with the ICC
Mediation Rules.”
“In the event of any dispute arising out of or in connection with the present contract, the
parties agree in the first instance to discuss and consider referring the dispute to the ICC
Mediation Rules.”
“(x) In the event of any dispute arising out of or in connection with the present contract, the
parties shall first refer the dispute to proceedings under the ICC Mediation Rules. The
commencement of proceedings under the ICC Mediation Rules shall not prevent any party
from commencing arbitration in accordance with sub-clause y below.”
(y) All disputes arising out of or in connection with the present contract shall be finally settled
under the Rules of Arbitration of the International Chamber of Commerce by one or more
arbitrators appointed in accordance with the said Rules.” TWO-TIER CLAUSE (CLÁUSULA
ESCALONADA) S-2
MEDIACIÓN
Acuerdos adicionales.
“In the event of a dispute arising out of or relating to this contract, including any question
regarding its existence, validity or termination, the parties shall seek settlement of that dispute
by mediation in accordance with the LCIA Mediation Rules, which Rules are deemed to be
incorporated by reference into this clause.”
"In the event of a dispute arising out of or relating to this contract, including any question
regarding its existence, validity or termination, the parties shall first seek settlement of that
dispute by mediation in accordance with the LCIA Mediation Rules, which Rules are deemed
to be incorporated by reference into this clause.
If the dispute is not settled by mediation within [............] days of the commencement of the
mediation, or such further period as the parties shall agree in writing, the dispute shall be
referred to and finally resolved by arbitration under the LCIA Rules, which Rules are deemed to
be incorporated by reference into this clause.
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Reglas de Mediación
ICC Mediation Rules
https://iccwbo.org/dispute-resolution-services/mediation/mediation-
rules/
LCIA Mediation Rules
http://www.lcia.org/Dispute_Resolution_Services/LCIA_Mediation_Rule
s.aspx
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Conciliación
It is very similar to Mediation with one important difference: the conciliator may, it she decides
to do so, propose solutions to the Parties.
The parties may request the conciliator to make proposals
In certain jurisdictions or for certain practitioners there is no difference between mediation and
conciliation.
Conciliation Rules – UNCITRAL

https://www.uncitral.org/pdf/english/texts/arbitration/conc-rules/conc-rules-e.pdf
Conciliation Clause – UNCITRAL

“Where, in the event of a dispute arising out of or relating to this contract, the parties wish to
seek an amicable settlement of that dispute by conciliation, the conciliation shall take place
in accordance with the UNCITRAL Conciliation Rules as at present in force.”
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Common features to mediation and conciliation
A. There may not be a settlement. That does not mean the process was unsuccessful.
Example – Hotel Construction
If there is a settlement the parties may elect to draft the settlement themselves or ask
the neutral to do so. (Convenio Transaccional).
B. The neutral cannot act on an arbitration proceeding or court proceeding (as

expert) later.
C. Both of the proceedings are generally confidential
D. It is the parties that make the settlement and not the neutral that
decides the dispute!
E. Often are part of a two tier or multi-tier proceeding.
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Métodos Alternos de Solución de
Controversias
Peritaje
It is a process by which a third party determines a fact by applying

specialized knowledge. At the end of the procedure the expert issues
a determination establishing its decision. It is normally used for
technical matters. The decision may or may not be binding upon the
parties.
It can be used before or during jurisdictional proceedings.
It is often used in complex infrastructure projects.
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Métodos Alternos de Solución de
Controversias
Paneles de Resolución de Disputas o Dispute Boards
Un órgano permanente no estatal de resolución de disputas entre

particulares.
Ejemplos
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Arbitraje
Artículos 1416 II, III del Código de Comercio.
(read and discuss article) AD HOC
“Es una institución por la cual un tercero resuelve una diferencia que
divide a dos o más partes en ejercicio de la misión jurisdiccional que le
ha sido confiada por ellos.”
(Arbitraje, Francisco González Cossío, 3 ed, 2011, p. 45 citando a Charles Jarrosson)
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Arbitration
How has the Mexican Jurisprudence define Arbitration?
Jurisprudencia\Arbitraje definción.pdf
Jurisprudencia\Tesis - Acuerdo Arbitral Definición y Obligatoriedad.docx
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Diagram comparing ADRs. (The Practice of Mediation – Frenkel & Stark 2ed, 2012 p. 77).
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INTRODUCCIÓN AL ARBITAJE
Artículo 17 de la Constitución
CPEUM.pdf
Jurisprudencia
Jurisprudencia\Acceso a los mecanismos Alternativos
como derecho humano.pdf
INTRODUCCIÓN AL ARBITRAJE
NO todo es arbitrable.
Read and Discuss Model Law Article 1 5) Ley Modelo de Arbitraje

UNCITRAL.pdf
Read and discuss articles II.1 and V.2 of the New York Convention.
Convención Nueva York.pdf
Read and Discuss Commerce Code Articles 1457 II; 1462 II
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Introducción
¿Qué dice doctrina?
ARBITRABILIDAD CONTROVERSIAS.pdf
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Arbitrability is then important.
To determine arbitrability one has to look at:
1. Law applicable to the merits (al fondo del litigio – ley sustantiva)
2. Law of the seat of arbitration
3. Law of the place of enforcement.
We’ll discuss this later in the semester. For now it is important that we remember that
in Mexico it has been generally agreed that only the following matters cannot be
arbitrated:
1) Estén expresamente excluidas por la ley

2) Materias que versan sobre derechos no disponibles
3) Materias que versan sobre cuestiones de orden público
4) Perjudiquen derechos de terceros
Read article 615 del CPCDF
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ARBITRATION’S MAIN CHARACTERISTICS
Neutrality (Independence and Impartial)

Forum Debitoris
Specialization
Flexibility
Agility
Confidentiality
Proximity
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Type of Arbitrations
Domestic vs. International
Read article 1416 II, III Commerce Code:

Read and discuss article Model Law 1 3)
Ley Modelo de Arbitraje UNCITRAL.pdf
Equity (ex equa et bono) vs. Strict law
Read and dicuss article 28 3) Model Law; article 1445 Commerce Code
Institutional (administered) vs. Ad hoc – Hybrid
Ver: Jurisprudencia\Jurisprudencia Subclasificaciones Arbitraje.docx

Jurisprudencia\Arbitraje comercial, acuerdo o compromiso arbitral amigable
componedor.pdf
Commercial vs Investment S-2

Nature of Arbitration
Why is it important to determine the nature of arbitration? It affects the position taken towards
arbitration by legislators and courts… specifically with respect to how the process is regulated
and assisted (overseen) and the award treated and enforced (or reviewed).
There are different theories as to the nature of arbitration. Let’s analyze them:
1. Jurisdictional Theory – It postulates that arbitration exists because the State has delegated
such possibility to the arbitrators. It is the State that has decided within its sovereignty to allow
other proceedings to resolve disputes and therefore it has to oversee and intervene in such
proceedings in such a way to ensure that justice is rendered.
2. Contractual Theory – It postulates the origin of arbitration is purely contractual. The State has
no control over the process. Because arbitration exists by virtue of the parties’ will the State has
not delegated any sort of jurisdictional authority to the arbitrators; rather such authority.
3. Mixed or Hybrid Theory – It postulates that the arbitration is not a delegation by the state. It
also states that it is the product of the parties’ will and consent, and that the process is entirely
private and driven by the parties’ agreements; however, arbitration takes place within a
jurisdiction, and therefore cannot be completely subtracted from such jurisdiction’s public
order.
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Discuss theories…. What do you think?
Position Internationally…
Convención Nueva York.pdf See Articles I and V
What has the Mexican State and Jurisprudence said?...
Jurisprudencia\Arbitraje concepto genérico y finalidad.pdf
Jurisprudencia\Arbitraje - Implicaciones normativas de reforma

constitución 2008.pdf
Jurisprudencia\Arbitraje Comercial Principios que rigen.doc
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National & International Framework
1. National
1. Commerce Code – TITLE IV, BOOK V

a. 1415- 1480
Mostly Based in UNCITRAL MODEL LAW.
2. Civil Codes
2. International
1. New York Convention

2. Panama Convention
3. Montevideo Convention
..\..\UM\ARBITRATION IN LATIN AMERICA\Essay documents\Tabla vigencia tratados.docx
4. Investment Arbitration
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The National and International Framework coexists, thus it is important to determine the extent
of that coexistence and the hierarchy of the different applicable laws.
Article 1415-Commerce Code
See New York Convention, Panama Convention & Montevideo Convention

Convención de Panamá.pdf
Convención de Montevideo.pdf
What is the hierarchy of laws in Mexico?
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Law Hierarchy
Materiales Clases\Mat. Clase 3\Jurisp. Jerarquía de Leyes.pdf
What happens when there are two treaties dealing with the same matters (mismo ámbito de
aplicación material y especial), but with inconsistent provisions?
Vienna Convention on Treaties - Vienna Convention on Treaties.pdf Articles 26-30
Other Rules Applicable to Arbitration
- Institutional Rules (Reglamentos Institucionales)

- Non Mandtory Rules
- Guidelines
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INTRODUCTORY EXPLANATION OF LAWS APPLICABLE TO ARBITRATION
The laws applicable to arbitration vary depending on the different matters that have to be
dealt with and the stage of the process. In summary we could say that there are three
different set of laws that are relevant to arbitration:
A. Laws applicable to the arbitration agreement

B. Laws applicable to the arbitration process (derecho adjetivo)
C. Laws Applicable to the merits (derecho sustantivo)
D. Laws applicable to the validity and recognition/enforcement of the award
E. Public Order
The question after all of the foregoing is… how can we summarize the issue of law applicable
to arbitration.
Let’s see the Arbitration Laws Pie.
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A. Laws applicable to the arbitration agreement
These refer to those laws that regulate the i) substantial and ii) formal validity of the arbitration
clause.
There are some basic points of reference to determine such law.
a. Parties agreement – have the parties agreed on the law applicable to the arbitration
agreement? Does the law applicable to the contract also applies to the arbitration clause?
Why is this important?
b. Law of the seat or place of arbitration.

Título IV - Arbitraje Comercial.pdf 1416 I, 1423-1423
If the arbitration process is seated in Mexico what law applies to determine the substantial and
formal validity of the arbitration agreement?
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B. Laws applicable to the arbitration process (derecho adjetivo)
These refer to those rules and laws regulating the arbitration proceeding.
a. Parties agreement. Again it is the parties who decide what rules to apply… how?
- Deciding on the institutional rules applicable to the contract

- Selecting the arbitration seat.
In institutional proceedings the institution’s rules apply first, and the laws of the seat of
arbitration.
In ad hoc arbitrations, there are no institutional rules applying to the procedure, thus the laws
of the seat of arbitration become more relevant.
IN BOTH CASES THE RULES AND THE LAWS ARE SUPERSEDED BY PUBLIC ORDER.
ICC_865_SPA_Arbitraje-Mediación.pdf Artículo 19
Título IV - Arbitraje Comercial.pdf 1415, 1417 II, 1435 S-2

C. Laws Applicable to the merits (derecho sustantivo)
These refer to the laws or rule of law applicable to the merits of the dispute (al fondo de la
controversia).
They may be different from those applying to the arbitration clause due to the autonomy of
the arbitration clause (principio de la separabilidad de la cláusula arbitral).
a. These laws are determined by the parties.

b. If no agreement, it depends on what the arbitration rules or the law of the seat of arbitration
(if there is no institutional rules) state.
Título IV - Arbitraje Comercial.pdf 1445

ICC_865_SPA_Arbitraje-Mediación.pdf Artículo 21
ICDR_Rules_General_English_2011_06_15.pdf Artículo 28
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D. Laws applicable to the validity and recognition/enforcement of the award
These refer to the law that will be apply when determining by a court whether an award can
be annulled and whether it can be recognize and enforced.
a. Validity o Setting Aside Proceedings – Law of the Seat of Arbitration

b. Recognition and Enforcement – Law of the jurisdiction where the award’s recognition and
enforcement is sought.
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The question after all of the foregoing is… how can we summarize the issue of law applicable to
arbitration.
Arbitration Laws Pie.
1. Parties Agreement
2. Institutional Rules
3. Seat of Arbitration
4. Public Order 1
2
3
4 S-2
The Arbitration Agreement
The arbitration agreement is the seed or cornerstone of the arbitration process.
“In general, the arbitration agreement provides the basis for arbitration. It is defined as an
agreement to submit present or future disputes to arbitration.
This generic concept comprises two basic types:
a) A clause in a contract, by which the parties to a contract undertake to submit to arbitration the
disputes that may arise in relation to that contract (arbitration clause); or
b) An agreement by which the parties to a dispute that has already arisen submit the dispute to
arbitration (submission agreement).
The arbitration clause therefore refers to disputes not existing when the agreement is executed.
Such disputes, it must be noted, might never arise. That is why the parties may define the subject
matter of the arbitration by reference to the relationship out of which it derives.”
(UNCTAD/EDM/Misc.232/Add.39; emphasis added)
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The Arbitration Agreement
Main legal references.
A. Article 1416 I, 1424 Commerce Code

Compare with Article 7 Model Law.
B. Article 2, New York Convention
C. Article 1 Panama Convention
Título IV - Arbitraje Comercial.pdf

Ley Modelo de Arbitraje UNCITRAL.pdf
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AUTONOMÍA DE LA CLÁUSULA
ARBITRAL
CONCEPTO
El principio de la autonomía del acuerdo arbitral, llamado también de
separabilidad, implica que el acuerdo arbitral es independiente del
contrato principal y por tanto no necesariamente se afecta por los vicios
del contrato principal. En otras palabras, el acuerdo arbitral debe
entenderse como separado del contrato y por tanto el análisis de su
existencia y validez es autónomo de aquel del contrato principal. En
realidad es una ficción jurídica a efecto de que la cláusula arbitral (que
dota de competencia al tribunal que debe decidir la controversia)
sobreviva los ataques a la existencia y validez que alguna de las partes
haga al contrato principal.
UTILIDAD
• Si el acuerdo arbitral no fuese autónomo, la inexistencia o invalidez
del contrato principal acarrearía la inexistencia o invalidez de la
cláusula arbitral, y con ello la imposibilidad de que la controversia
sea resuelta mediante arbitraje. Dicho de otro modo, lo resuelto
por los árbitros sería la nada si se determinase que el contrato
principal es inexistente o nulo.
• Lo anterior no quiere decir que la cláusula arbitral no pueda tener

vicios o incluso ser inexistente, sin embargo ese análisis es autónomo
del análisis al contrato principal. La existencia y la validez de la
cláusula arbitral se estudia por los árbitros cuando deciden si, bajo
ese acuerdo, son competentes o no para conocer de la
controversia.
CONSECUENCIAS DE LA AUTONOMÍA
• El acuerdo arbitral sobrevive la inexistencia e invalidez del contrato
principal.
• Hace posible que se cumpla la voluntad de las partes de resolver sus

“controversias” incluyendo cuando éstas versan sobre la inexistencia e
invalidez del contrato.
• Las causas de inexistencia e invalidez del acuerdo arbitral y del contrato

principal pueden coincidir o diferir.
• La autonomía del acuerdo arbitral permite al tribunal arbitral conocer o

determinar su propia competencia, es decir ellos deciden si son
competentes o no.
REGULACIÓN EN MÉXICO
• Artículo 1432 del Código de Comercio:
“El tribunal arbitral estará facultado para decidir sobre su propia

competencia, incluso sobre las excepciones relativas a la
existencia o validez del acuerdo de arbitraje. A ese efecto, la
cláusula compromisoria que forme parte de un contrato se
considerará como un acuerdo independiente de las demás
estipulaciones del contrato. La decisión de un tribunal arbitral
declarando nulo un contrato, no entrañará por ese solo hecho
la nulidad de la cláusula compromisoria…”
The Arbitration Agreement – Substantial
Validity
As any other contract, the arbitration clause or agreement requires of
consent and a valid purpose to exist. In addition it requires, under certain
arbitration laws (including the Mexican arbitration law) to meet formal
requirements.
Accordingly we can speak of (I) substantial validity and (II) formal validity.
Laws applicable to one or the other
(I) Substantial validity:

a. Law agreed by the parties
b. Law of the seat of arbitration
- Articles 1457 and 1462 Commerce Code
- Article V - NY Convention
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The Arbitration Agreement – Formal
Validity
(II) Formal Validity
a. Domestic arbitration – Arbitration Law (Commerce Code)
- Articles 1416, 1423 Commerce Code
b. International Arbitration – NY Convention, Panama Convention,
Seat’s Arbitration Law… what if the arbitration law is less rigurous in
the formal requirments?
- Article 1 Panama Convention
- Article 2 NY Convention, Article VII NY Convention

Jurisprudencia\Tesis - Equivalencia Funcional Acuerdo.pdf

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The Arbitration Agreement -
ENFORCEABILITY
Arbitration as ADR would NOT be effective if the arbitration agreement
would not be enforceable by the States.
ENFORCEABILITY – OBLIGATORIEDAD, EXIGIBILIDAD DEL ACUERDO

ARBITRAL.
STATE COURTS, including in Mexico, are bound, obligated to enforce

arbitration agreements and order (refer) the parties to go to arbitration to
resolve their disputes.
For those purposes, arbitration laws include provisions that direct courts to
refer the parties to arbitration whenever one of the parties so requests.
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ENFORCEABILITY
DOMESTIC ARBITRATIONS
ARTICLE 1424 Commerce Code

El juez al que se someta un litigio sobre un asunto que sea objeto de un acuerdo de arbitraje,
remitirá a las partes al arbitraje en el momento en que lo solicite cualquiera de ellas, a menos que
se compruebe que dicho acuerdo es nulo, ineficaz o de ejecución imposible.
Si se ha entablado la acción a que se refiere el párrafo anterior, se podrá no obstante, iniciar o

proseguir las actuaciones arbitrales y dictar un laudo mientras la cuestión esté pendiente ante el
juez.
Sin menoscabo de lo que establece el primer párrafo de este artículo, cuando un residente en el
extranjero se hubiese sujetado expresamente al arbitraje e intentara un litigio individual o
colectivo, el juez remitirá a las partes al arbitraje. Si el juez negase el reconocimiento del laudo
arbitral en los términos del artículo 1462 de este Código, quedarán a salvo los derechos de la
parte actora para promover la acción procedente.
Compare with Article 8 Model Law. Ley Modelo de Arbitraje UNCITRAL.pdf S-3
ENFORCEABILITY
DOMESTIC ARBITRATIONS
Jurisprudencia\Tesis - Acuerdo Arbitral Definición y Obligatoriedad.docx
How is the process to refer the parties carried out… our law is a good modern law to that effect!!
See provisions 1464 and 1465 of the Commerce Code.
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ENFORCEABILITY
INTERNATIONAL ARBITRATIONS
New York Convention Article 2
IN BOTH DOMESTIC AND INTERNATIONAL ARBITRATION THE RULE THAT THE COMPETENT AUTHORITY TO
DETERMINE WHETHER THE CLAUSE IS VALID IS THE ARBITRAL TRIBUNAL. - THIS AUTHORITY IS KNOWN AS
COMPETENCE-COMPETENCE….
See articles 32 of the Commerce Code and 16 of the Model Law.
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ENFORCEABILITY
DRAFTING EFFECTIVE CLAUSES
- Use institutional clauses;

- Unless there is a significant reason not to do it, always add seat of
arbitration
- Add number of arbitrators…. One or three?
- Add language of proceeding when arbitration is international
- Add laws applicable to the substantial validity of the agreement.
- Keep it simple!!
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First stages of the Arbitral Porceeding
Matters that affect the Arbitration Proceedings
There are some issues or matters that will impact the whole arbitration
process, and therefore is important to understand them:
1. Seat of Arbitration (1416-III-b; 1422; 1436; 1448)

2. Laws Applicable to the Procedure (Normas – Lex Arbitri)
3. Laws applicable to the setting aside and/or enforcement of award
(lex arbitri – NYC)
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1. Seat of Arbitration. It determines three major matters:

• The law applicable to procedure (lex arbitri)
• The courts that will assist the arbitral tribunal and parties during
the arbitral process if needed.
• Courts that will hear of the set aside proceedings.
Example JINDAL Case
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2. Laws Applicable to the Procedure (Normas – Lex Arbitri).
The importance of these laws lays on the fact that depending on the type of
arbitration (ad hoc or institutional) such law will have more impact in the way the
proceeding is conducted.
Examples: Peruvian and Bolivian Law.
3. Laws applicable to the setting aside and/or enforcement of award (lex arbitri –
NYC).
The laws that applies to these matters will determine how much control or
interference state courts can have over the award.
S-4
Date in which proceedings are commenced.
- Internationally (21 MAL)

- Mexico (1437 Commerce Code)
- Arbitration Rules (Art. 2 ICDR; Art. 4 ICC).
Interim Meaures
- Internationally – 17-J
- Mexico 1425 – 1478; 1470, 1480 (ultimo párrafo)
- Arbitration Rules (CCI 28, ICDR 21)
S-4
First stages of the Arbitral Proceeding
Referral to arbitration – remisión al arbitaje
As seen before this means the process by which a court refers (directs)
the parties to arbitration.
Unlike other countries, in Mexico there is a special procedure to

achieve that. That procedure is governed by articles 1424; 1464-1465…
Internationally, courts of countries signatories of the NYC, are also

bound to refer parties to arbitration. See Article II.
S-4
Constitution of the Arbitral Tribunal
This is one of the most important matter of the arbitration procedure…

the owners of the decisions are the arbitrators.
The main principle is that no one reviews the merits of the decision
made by the abitrators. There is no appeal or other legal action that
can be filed to review the arbitrators’ decision. Some institutions review
certain formal aspects of the award, but thats it.
Consequently the decision on who is appointed as arbitrator is of

paramount importance.
S-4
Arbitral tribunals can be formed by one, three, five arbitrators. Practice

is one or three. The default rule when there is no agreement varies
depending on the institution.
According to commerce code if there is no agreement there shall be

one arbitrator. Model Law provides for three arbitrators in the abscense
of agreement.
Art. 1426 Commerce Code. Título IV - Arbitraje Comercial.pdf
S-4
According to the ICC – Artícle 12.
According to ICDR – Article 5
S-4
There are different methods of appointing arbitrators. Mainly two:
Sole arbitrator – the parties appoint; Three arbitrators - each party

appoints an arbitrator and those arbitrators appoint the President.
Sole arbitrator – she/he is appointed by institution; Three arbitrators:

each party appoints the arbitrators and the institution appoints the
President of the tribunal.
Other methods: all arbitrators are appointed by institution,

S-4
Some institutional rules provide that the arbtrators have to be

confirmed by the institution. This is to add a further filter or quality
control…. Remeber how important is to have a good arbitrator
deciding the case.
The practice of confirming arbitrators was established by the ICC, but

now is followed by many institutions, including CAM.
S-4
What is better… one or three? It depends, but I would tend to say that
one is better, unless the disputes that may arise derive from complex
long term contracts.
What about ad hoc arbitrations in Mexico?… see articles 1426-1428

Commerce Code.
Do we really want to ask courts to assist us in the constitution of our

arbitral tribunal? S-4
The process by which the arbitral tribunal is constituted, may be very

complex. For example, one of the parties refuses to appoints its
arbitrator; one of the parties appoints a clearly non impartial and non
independent arbitrator; the arbitrator recuses itself; or there is a
challenge,
Example PERUPETROL
In Ad Hoc arbitrations those complexities are resolved with the

assistance of the court. In institutional arbitrations it is the institution itself
that assists the parties. S-4
Arbitrators’ Qualifications
Not every person can be arbitrator. Only those that are impartial and
independent can act as such.
Accordingly, whenever a person is appointed by one party as

arbitrator, that person has to confirm its impartiality and
Independence.
Those two concepts have different meanings.
Impartial – there is no subjective bias to favor one party or one side of

the case… Independent – there is no dependence (economical,
personal, or professional between the parties.
S-4
Artículo 1428.- La persona a quien se comunique su posible

nombramiento como árbitro deberá revelar todas las circunstancias
que puedan dar lugar a dudas justificadas acerca de su
imparcialidad o independencia. El árbitro, desde el momento de su
nombramiento y durante todas las actuaciones arbitrales, revelará sin
demora tales circunstancias a las partes, a menos que ya se hubiera
hecho de su conocimiento.
See Article 11 ICC
ICC_865_SPA_Arbitraje-Mediación.pdf
S-4
Those arbitrators that are not impartial or independent may be

challenged (recusados). However, neither arbitration laws nor
institutional rules provide for a list of facts where an arbitrator lacks
those qualities.
See IBA Guidelines.
Guidelines on Conflicts of Interest in Intl Arbitration 2004 - SPANISH.pdf
What are the rules to challenge arbirators?
Article 1429 and 1431 Commerce Code Título IV - Arbitraje

Comercial.pdf S-4
Conducting the Arbitration Proceedings
There are two basic principles that protect the integrity and fairness of
all arbitration proceedings. It is paramount that those principles are
fully respected at all times during the proceeding; otherwise the
arbitral award may be set aside or denied recognition and
enforcement.
Those two principles are:
1. Treat the parties equally

2. Give the parties full opportunity to present/argue their case.
Article 1434 – Commerce Code. Título IV - Arbitraje Comercial.pdf

Model Law, article 18. Ley Modelo de Arbitraje UNCITRAL.pdf
S-5
Our courts have confirmed the importance of respecting those
principles.
Jurisprudencia/71-2014 Arbitraje.doc
Arbitral Institutions also mandate tribunals to ensure those principles are

respected.
Article 22 ICC ICC_865_SPA_Arbitraje-Mediación.pdf

Article 20 Canaco Reglamento de Arbitrjae de la CANACO.pdf
How is it done in practice?
S-5
As long as the mentioned principles are respected, tribunals have very

broad authority and discretion to conduct the proceedings as they
deem appropriate…
Article 1435 Commerce Code Título IV - Arbitraje Comercial.pdf
Let’s stop for a second on the power of the arbitrators to determine the
admissibility, relevance, materiality and weight of any evidence. What
is the importance of this power? Are there any guidelines.
S-5
The parties can agree to use the IBA Guidelines on taking of evidence.
IBA Rules on the Taking of Evidence in Int Arbitration 201011 FULL (1).pdf
See articles 1.1, 2, 3 (Production of Documents), 9.1, 9.5, 9.6.
Under article 1.1 the Rules are not applicable unless the parties agree
to make the obligatory or ii) the tribunals determine to use them and
apply them. Why can they do that? 1435 Commerce Code
In addition to the “negative inferences” that arbitrators can make

under the IBA Rules, how can they make sure the parties present the
evidence? See article 1444 Commerce Code
Título IV - Arbitraje Comercial.pdf S-5

So now we know the authority that the tribunals have to conduct the
hearings. They have a lot of authority.
Now let go to what happens in the practice.
Usually the first procedural matter that arbitrators do once the tribunal
is constituted is to issue a first procedural order summarizing the process
until that stage and calling for a procedural conference call between
the parties.
That procedural conference call is usually the first approach to i)

defining the tribunals mission or the dispute’s scopem and ii) organizing
the procedure.
S-5
After the first procedural order/procedural conference, tribunals issue

what is known as terms of reference/Acta de Misión/Procedual Order
in which the tribunal defines amongst other important matters:
1. General Information of the case.

2. The claims/counterclaims or matters in dispute.
3. The manner in which the process will be conducted
- Terms and times for statement of claim, counterclaims, joinder,
rejoinder.
- Manner in which evidence should be presented
- General ground rules
- Time and place of hearing
ICC_865_SPA_Arbitraje-Mediación.pdf Article 23 S-5

Let’s see two manners in which tribunals organize proceedings:
Chart R&H5_p390_Arbitral_Proceedings.pdf
Chart R&H5_p391_Arbitral_Proceedings2.pdf
S-5
How are hearings organized? Where do they take place?
Articles 1436,1438, 1440 Commerce Code
Article 18.2, 26 – ICC
ICC_865_SPA_Arbitraje-Mediación.pdf
S-5
After the hearing the tribunal may request the parties to submit
posthearing memorándums or final statements. Usually those are used
by parties to confirm their arguments, to remind arbitrators about their
arguments. No new arguments can be introduced.
After that is done, the arbitrators issue the award.
In tribunals with three abitrators the decision is made by majority.

Article 1446 Commerce Code
S-5
Very importantly, the award is deemed issued in the seat of arbitration

irrespective of the actual location of the arbitrators and parties or the
place where the hearings took place.
S-5

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ALTERNATIVE DISPUTE RESOLUTION

Universidad Panamericana – Campus Guadalajara

- Introduction to the Syllabus

Syllabus - Santiago Aguilar Garibay 2020.docx

Introductory Case - ADR 2020.docx

Se refieren a aquellos procedimientos mediante los cuales, dos o más

Todos los MASC tienen las siguientes características.

Jurisprudencia\Arbitraje - Implicaciones normativas de

DOS TIPO DE MASC

Las partes resuelven directamente.

Third Party problem solving ADRs (Heterocompositivos)

“A method of dispute resolution where the parties themselves or the

Estamos en el contexto de negociación para RESOLVER DISPUTAS…

Cuando negociamos todos tenemos unos motores internos,

Esos motores internos o SILENT MOVERS están ligados a los intereses

Los INTERESES se diferencian de las POSICIONES. Las POSICIONES se

Por su parte los INTERESES se relacionan con cuestión objetivas. Están

La CLAVE para resolver controversias entre dos partes enfrentadas es

- Analizar cuáles posiciones he tomado que no sirven para llegar al

Hay un concepto conocido como BATNA que sirve para sintetizar

En español M.A.A.N. (Mejor Alternativa a un Acuerdo Negociado)

Poner por escrito cuál es el mejor escenario a una negociación…

¿ES MEJOR UN MAL ARREGLO QUE UN BUEN PLEITO?

Otro concepto es el ZOPA (Zone of Possible Agreement). Esa zona se

Esto también implica analizar, determinar, practicar, hacer estrategia.

Es un proceso en el que las partes se apoyan o son ayudadas por un

El Mediador NO RESUELVE LA DISPUTA. El Mediador únicamente facilita

Hay dos tipos de mediaciones:

In this type of mediation “the mediator moderates a structured process

In this type of mediation, “by contrast, the mediator assumes (or

a. Enfoque en el proceso de negociación

a. El mediador utiliza su conocimiento de la industria y/o el derecho

Ejemplos de cláusulas de Mediación

The parties may request the conciliator to make proposals

Conciliation Rules – UNCITRAL

Conciliation Clause – UNCITRAL

Common features to mediation and conciliation

B. The neutral cannot act on an arbitration proceeding or court proceeding (as

C. Both of the proceedings are generally confidential

It is a process by which a third party determines a fact by applying

It can be used before or during jurisdictional proceedings.

It is often used in complex infrastructure projects.

Paneles de Resolución de Disputas o Dispute Boards

Un órgano permanente no estatal de resolución de disputas entre

Artículos 1416 II, III del Código de Comercio.

(read and discuss article) AD HOC

Jurisprudencia\Tesis - Acuerdo Arbitral Definición y Obligatoriedad.docx

Read and Discuss Model Law Article 1 5) Ley Modelo de Arbitraje

Read and Discuss Commerce Code Articles 1457 II; 1462 II

¿Qué dice doctrina?

Arbitrability is then important.

To determine arbitrability one has to look at:

1) Estén expresamente excluidas por la ley

ARBITRATION’S MAIN CHARACTERISTICS

Neutrality (Independence and Impartial)

Read article 1416 II, III Commerce Code:

Equity (ex equa et bono) vs. Strict law

Institutional (administered) vs. Ad hoc – Hybrid

Ver: Jurisprudencia\Jurisprudencia Subclasificaciones Arbitraje.docx

Commercial vs Investment S-2

Convención Nueva York.pdf See Articles I and V

What has the Mexican State and Jurisprudence said?...

Jurisprudencia\Arbitraje concepto genérico y finalidad.pdf