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

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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 Seat Scope of Clause Scope of Clause Institution and Rules Institution and Rules Language Language Number of Arbitrators Number of Arbitrators Interim Remedies Interim Remedies Consolidation/Joinder Consolidation/Joinder

Main Arbitral Institutions and Rules Arbitral Institutions Arbitral Institutions ICC, LCIA, AAA/ICDR, CPR, JAMS, CIETAC, HKIAC, SIAC, SCC Rules Rules –Administered: AAA, ICDR, ICC –Non-administered: UNCITRAL

The Panel: Does it Matter? Number of Arbitrators Number of Arbitrators Impartiality Impartiality Arbitrator Selection: Arbitrator Selection: –List Method (ICDR) –Party Appointed Arbitrators Select Chair –Institution or Court appoints chair –Investigations –Interviews Effect of Choice Effect of Choice –Bias in favor of party –Pre-existing opinions/biases on issues 6

Organizational Meeting Seat Seat Procedural (arbitration) law of seat Mandatory provisions Unless otherwise agreed by the parties Choice of Applicable Substantive Law Choice of Applicable Substantive Law Witnesses Witnesses Disclosures/Discovery Disclosures/Discovery –IBA Rules –ICDR Guidelines –Not U.S. style 7

Organizational Meeting Briefing Briefing –Statement of Claim –Statement of Defense –Other Memorials Confidentiality Confidentiality Timetable Timetable Fees and Costs Fees and Costs Procedural Order(s); Terms of Reference Procedural Order(s); Terms of Reference 8

Ethical Issues Arbitrators Arbitrators –ICDR: The Code of Ethics for Arbitrators –IBA: International Principles on Conduct Counsel/Parties Counsel/Parties –IBA: International Principles –Local Rules of Ethics Ex Parte Communications Ex Parte Communications Use of Ancillary Court Proceedings Use of Ancillary Court Proceedings 9

Evidentiary Issues and Witnesses Witnesses Witnesses –Statements/Reports –Compulsion of Party Witnesses –Third Party Witnesses –Coaching Evidentiary issues Evidentiary issues –No Evidence Code –IBA Rules 10

Hearing Procedure Procedure –Argument –Presentation of Witnesses –Arbitral Role Post-Hearing Memorials Post-Hearing Memorials Endgame Endgame 11

12 Enforcement Enforcement is the procedure for converting an international arbitral award into a national judgment Enforcement is the procedure for converting an international arbitral award into a national judgment International arbitral awards are only useful if enforceable International arbitral awards are only useful if enforceable New York Convention and Panama Convention New York Convention and Panama Convention –More than 140 signatories –Limited grounds to challenge –Key provisions No equivalent law for foreign judgments No equivalent law for foreign judgments

Mark Nadeau DLA Piper Partner Phoenix (T) (M) (E) John H Mathias, Jr. Jenner & Block Partner Chicago (T) (F) (E) Annette C. Escobar Astigarraga Davis Partner Miami (T) (F) (E) Bette Shifman CPR International Institute for Conflict Prevention & Resolution Vice President & Special Counsel New York (T) (E) Your First International Arbitration: Dos and Don’ts ABA Section of Litigation Annual Conference, Scottsdale, Arizona April 2014