Legal Instruments and Practice of Arbitration in the EU

302 Pages·2015·2.8 MB·English

DIRECTORATE GENERAL FOR INTERNAL POLICIES
POLICY DEPARTMENT C: CITIZENS' RIGHTS AND

CONSTITUTIONAL AFFAIRS

LEGAL AFFAIRS

Legal Instruments and Practice of

Arbitration in the EU

ANNEXES

PE 509.988 EN
DOCUMENT REQUESTED BY THE COMMITTEE ON LEGAL AFFAIRS

AUTHOR(S)

Mr Tony COLE (Principal Investigator)

Mr Ilias BANTEKAS (Investigator)

Mr Federico FERRETTI (Investigator)

Ms Christine RIEFA (Investigator)

Ms Barbara WARWAS (Researcher/Drafter/Administrator)

Mr Pietro ORTOLANI (Researcher/Drafter)

RESPONSIBLE ADMINISTRATOR

Mr Udo BUX
Policy Department C: Citizens' Rights and Constitutional Affairs
European Parliament
B-1047 Brussels
E-mail: [email protected]

LINGUISTIC VERSIONS

Original: EN

ABOUT THE EDITOR

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European Parliament, manuscript completed in November 2014.
© European Union, Brussels, 2014.

This document is available on the Internet at:
http://www.europarl.europa.eu/studies

DISCLAIMER

The opinions expressed in this document are the sole responsibility of the author and do
not necessarily represent the official position of the European Parliament.

Reproduction and translation for non-commercial purposes are authorised, provided the
source is acknowledged and the publisher is given prior notice and sent a copy.
CONTENTS

1. ANNEX A – ARBITRATIONS INVOLVING MEMBER STATES/SWITZERLAND, STATE

ENTITIES AND THE EUROPEAN UNION SINCE 1999 .............................................5

1.1. STATES AND STATE ENTITIES IN ARBITRATIONS OTHER THAN INVESTMENT

ARBITRATIONS, STATE-STATE ARBITRATIONS, AND WTO ARBITRATIONS ..........5

1.2. INVESTMENT ARBITRATIONS, STATE-STATE ARBITRATIONS, AND WTO

ARBITRATIONS ............................................................................................9

1.2.1. AUSTRIA ................................................................................................ 9

1.2.2. BELGIUM ................................................................................................ 9

1.2.3. BULGARIA ............................................................................................... 9

1.2.4. CROATIA ................................................................................................ 9

1.2.5. CYPRUS ................................................................................................ 10

1.2.6. CZECH REPUBLIC .................................................................................... 10

1.2.7. DENMARK ............................................................................................. 11

1.2.8. ESTONIA .............................................................................................. 11

1.2.9. FINLAND .............................................................................................. 11

1.2.10. FRANCE................................................................................................ 11

1.2.11. GERMANY ............................................................................................. 12

1.2.12. GREECE ................................................................................................ 12

1.2.13. HUNGARY ............................................................................................. 12

1.2.14. IRELAND .............................................................................................. 13

1.2.15. Italy................................................................................................... 13

1.2.16. LATVIA ................................................................................................ 13

1.2.17. Lithuania............................................................................................ 14

1.2.18. Luxembourg....................................................................................... 14

1.2.19. Malta.................................................................................................. 14

1.2.20. Netherlands ....................................................................................... 14

1.2.21. Poland ............................................................................................... 14

1.2.22. Portugal............................................................................................. 15

1.2.23. Romania ............................................................................................ 15

1.2.24. Slovak Republic ................................................................................. 16

1.2.25. Slovenia............................................................................................. 16

1.2.26. Spain ................................................................................................. 16

1.2.27. Sweden.............................................................................................. 17

1.2.28. United Kingdom ................................................................................. 17

1.2.29. Switzerland ........................................................................................ 17

1.2.30. European Union (formerly European Communities) ........................... 18

2. ANNEX B – KEY FEATURES OF NATIONAL ARBITRATION LAW IN THE

MEMBER STATES AND SWITZERLAND ............................................................1

2.1. AUSTRIA ...............................................................................................1

2.2. BELGIUM ...............................................................................................5

2.3. BULGARIA ..............................................................................................8

2.4. CROATIA .............................................................................................14

2.5. CYPRUS .............................................................................................18

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Annex A – Arbitrations involving Member States/Switzerland, State Entities and the EU since 1999
______________________________________________________________

2.6. CZECH REPUBLIC .................................................................................21

2.7. DENMARK ..................................................................................................... 25

2.8. ENGLAND...................................................................................................... 30

2.9. ESTONIA ...................................................................................................... 35

2.10. FINLAND ...................................................................................................... 38

2.11. FRANCE ........................................................................................................ 43

2.12. GERMANY ..................................................................................................... 48

2.13. GREECE........................................................................................................ 53

2.14. HUNGARY ..................................................................................................... 58

2.15. IRELAND ...................................................................................................... 63

2.16. ITALY ........................................................................................................ 67

2.17. LATVIA ........................................................................................................ 74

2.18. LITHUANIA ................................................................................................... 78

2.19. LUXEMBOURG ................................................................................................ 83

2.20. MALTA ........................................................................................................ 87

2.21. NETHERLANDS ............................................................................................... 93

2.22. POLAND ....................................................................................................... 99

2.23. PORTUGAL .................................................................................................. 104

2.24. ROMANIA ................................................................................................... 109

2.25. SCOTLAND .................................................................................................. 115

2.26. SLOVAKIA ................................................................................................... 121

2.27. SLOVENIA ................................................................................................... 125

2.28. SPAIN ...................................................................................................... 129

2.29. SWEDEN ..................................................................................................... 135

2.30. SWITZERLAND ............................................................................................. 140

REFERENCES ...........................................................................................146

3. ANNEX C – ARBITRAL INSTITUTIONS QUESTIONNAIRES ..............................1

3.1. ARBITRATION AND MEDIATION CENTRE OF PARIS (CMAP) ...........................1

3.2. ARBITRATION INSTITUTE OF THE FINLAND CHAMBER OF COMMERCE ................4

3.3. ARBITRATION INSTITUTE OF THE STOCKHOLM CHAMBER OF COMMERCE (SCC) ........8

3.4. BARCELONA ARBITRATION COURT (TAB) ................................................14

3.5. BELGIAN CENTRE FOR MEDIATION AND ARBITRATION (CEPANI) .................18

3.6. CENTRE FOR EFFECTIVE DISPUTE RESOLUTION (CEDR)..............................21

3.7. CHAMBER OF ARBITRATION OF MILAN .....................................................24

3.8. CIVIL AND MERCANTILE COURT OF ARBITRATION (CIMA) ..........................29

3.9. COURT OF ARBITRATION ATTACHED TO THE HUNGARIAN CHAMBER OF COMMERCE

AND INDUSTRY ....................................................................................32

3.10. COURT OF ARBITRATION OF THE ESTONIAN CHAMBER OF COMMERCE AND

INDUSTRY ..........................................................................................37

3.11. COURT OF ARBITRATION OF THE HAMBURG CHAMBER OF COMMERCE .............40

3.12. COURT OF ARBITRATION OF THE POLISH CHAMBER OF COMMERCE .................43

3.13. CYPRUS ARBITRATION & MEDIATION CENTRE (CAMC) ..............................49

3.14. DANISH INSTITUTE OF ARBITRATION ......................................................53

3.15. DEPARTMENT OF ARBITRATION, ATHENS CHAMBER OF COMMERCE AND INDUSTRY....57

3.16. DIS (GERMAN INSTITUTE OF ARBITRATION)............................................63

3
3.17. INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION ..................................67

3.18. ITALIAN ASSOCIATION FOR ARBITRATION ................................................74

6.30. LONDON COURT OF INTERNATIONAL ARBITRAITON (LCIA) .........................77

3.19. LONDON MARITIME ARBITRATORS ASSOCIATION .......................................82

3.20. MADRID COURT OF ARBITRATION (CAM) ................................................85

3.21. MALTA ARBITRATION CENTRE ................................................................90

3.22. NETHERLANDS ARBITRATION INSTITUTE..................................................93

3.23. PERMANENT ARBITRATION COURT OF THE SLOVAK BANKING ASSOCIATION ....97

3.24. SCOTTISH ARBITRATION CENTRE ..........................................................100

3.25. SPANISH COURT OF ARBITRATION (CEA) ..............................................103

3.26. SWISS CHAMBERS' ARBITRATION INSTITUTION ......................................107

3.27. VENICE CHAMBER OF ARBITRATION ......................................................110

3.28. VIENNA INTERNATIONAL ARBITRAL CENTRE ...........................................114

3.29. VILNIUS COURT OF COMMERCIAL ARBITRATION (VCCA) ..........................118

REPORTERS ............................................................................................123

4
Annex A – Arbitrations involving Member States/Switzerland, State Entities and the EU since 1999
______________________________________________________________

1. Annex A – Arbitrations involving Member States/ Switzerland,
State Entities and the European Union Since 1999

This Annex lists all identified arbitrations involving Member States/Switzerland, State
Entities and the European Union where a decision occurred from January 1st, 1999 up
through August 2014. It must be emphasised that because of the confidentiality involved in
much arbitration no list of this type can be exhaustive, and so it is unavoidable that further
arbitrations will exist beyond those listed below.

1.1. States and State Entities in Arbitrations other than
Investment Arbitrations, State-State Arbitrations, and WTO
Arbitrations
While the remainder of this Annex will list by name arbitrations in which States or State
Entities have been involved, this information is much more difficult to generate about
commercial arbitrations and other arbitrations that do not fit into the categories used in
Section 4.2. Such arbitrations are often undertaken confidentially, meaning that no
information is publicly available on even the existence of the arbitration, or where its
existence is known, on the specific parties involved.
For this reason it was decided that a list of known arbitrations of this type would provide a
misleading picture of the involvement of States, Parastatal or Public Entities in arbitration.
As a more useful measure, information was gathered from European arbitral institutions
regarding the number of arbitrations they have administered over the past 5 years, the
percentage of those arbitrations that were Investment Arbitrations or State-State
Arbitrations (WTO Arbitrations not being administered by independent arbitral institutions),
and the percentage that involved States, Parastatal or Public Entities. This information was
requested in a broader questionnaire supplied to all the primary arbitral institutions in the
European Union. The responses of those institutions that provided this data is reproduced
below, with an estimate of the number of arbitrations involving States, Parastatal or Public
Entities being calculated from the preceding ones.
While this data is obviously also not exhaustive, it provides the most reliable information
currently available on the extent of involvement of States, Parastatal and Public Entities in
arbitration in the European Union over the past 5 years.
Arbitration and Mediation Centre of Paris (CMAP)
Arbitrations commenced over past 5 years: approximately 90

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 0%
Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party
over past 5 years (including non-EU): 0% (none)
Barcelona Arbitration Court

Arbitrations commenced over past 5 years: 390

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU):
Less than 5%
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Policy Department C: Citizens' Rights and Constitutional Affairs
______________________________________________________________

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): Less than 5% (less than approximately 20)

Centre for Effective Dispute Resolution (CEDR)

Arbitrations commenced over past 5 years: 1,829

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 0%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 0% (none)

Court of Arbitration attached to the Hungarian Chamber of Commerce and Industry

Arbitrations commenced over past 5 years: 1111

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 6%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 6% (approximately 67)

Court of Arbitration of Madrid

Arbitrations commenced over past 5 years: 632

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years

(including non-EU): 4%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 4% (approximately 25)

Court of Arbitration of the Estonian Chamber of Commerce and Industry

Arbitrations commenced over past 5 years: 85 since 2010

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU):

10%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 10% (approximately 9 since 2010) (estimate of

approximately 11 over past 5 years)

Court of Arbitration of the Hamburg Chamber of Commerce
Arbitrations commenced over past 5 years: 25-50
Investor-State arbitrations: No response
State-State arbitrations: No response
Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 0%
Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party
over past 5 years (including non-EU): 0% (none)
Danish Institute of Arbitration

Arbitrations commenced over past 5 years: 647

Investor-State arbitrations: 0.3%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU):

7.7%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 7.4% (approximately 48)

6
Annex A – Arbitrations involving Member States/Switzerland, State Entities and the EU since 1999
______________________________________________________________

Department of Arbitration, Athens Chamber of Commerce and Industry
Arbitrations commenced over past 5 years: 25 completed
Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years
(including non-EU): 10% (approximately 3 completed) (possibly including Investor-State
and State-State arbitrations)
DIS (German Institute of Arbitration)
Arbitrations commenced over past 5 years: 743
Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years
(including non-EU): 2% (approximately 15) (possibly including Investor-State and State-
State arbitrations)
ICC International Court of Arbitration
(Data from the ICC was provided independently, and not via questionnaire)
Arbitrations commenced over past 5 years: 3,932
Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years
(including non-EU): approximately 10.1% (approximately 399) (possibly including
Investor-State and State-State arbitrations)
International Centre for Dispute Resolution (ICDR)
Arbitrations commenced over past 5 years: 4,879
Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years
(including non-EU): 0.23% (approximately 11) (possibly including Investor-State and
State-State arbitrations)
Italian Association for Arbitration

Arbitrations commenced over past 5 years: 23

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU):

10%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 10% (approximately 2)

London Court of International Arbitration (LCIA)
Arbitrations commenced over past 5 years: 1,297
Arbitrations involving a State, Parastatal or Public Entity as a party over past 5 years
(including non-EU): 5-10% (approximately 65-130) (possibly including Investor-State and
State-State arbitrations)
London Maritime Arbitrators Association

Arbitrations commenced over past 5 years: 6,200

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 0%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 0% (none)

Netherlands Arbitration Institute

Arbitrations commenced over past 5 years: 640

Investor-State arbitrations: 0%

State-State arbitrations: 0%

Arbitrations involving a State, Parastatal or Public Entity as a party (including non-EU): 8%

Commercial and other arbitrations involving a State, Parastatal or Public Entity as a party

over past 5 years (including non-EU): 8% (approximately 51)

7