Dispute resolution in Austria : an introduction / Manfred Heider, Michael Nueber, Hubertus Schumacher, Alfred Siwy & Gerold Zeiler.
2015
KJJ1768 .H45 2015 (Map It)
Available at Cellar
Formats
| Format | |
|---|---|
| BibTeX | |
| MARCXML | |
| TextMARC | |
| MARC | |
| DublinCore | |
| EndNote | |
| NLM | |
| RefWorks | |
| RIS |
Items
Details
Author
Title
Dispute resolution in Austria : an introduction / Manfred Heider, Michael Nueber, Hubertus Schumacher, Alfred Siwy & Gerold Zeiler.
Published
Alphen aan den Rijn, The Netherlands : Wolters Kluwer, [2015]
Copyright
©2015
Call Number
KJJ1768 .H45 2015
Former Call Number
Aus 778 H3628 2015
ISBN
9789041158277 (hardback)
9041158278 (hardback)
9041158278 (hardback)
Description
xxi, 211 pages ; 25 cm
System Control No.
(OCoLC)929824584
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Table of Contents
Preface
xvii
List of Abbreviations
xix
ch. 1
Arbitration
1
I.
Introduction and Legal Framework
1
A.
General
1
B.
Legal Framework
1
C.
Scope of Application of Austrian Arbitration Law
2
D.
Austria as Place of Arbitration
3
E.
Vienna International Arbitral Centre (VIAC)
3
F.
Excursus: Overview about Arbitrating under the Vienna Rules 2013
4
G.
Selected Issues
5
II.
Arbitration Agreement
6
A.
Introduction
6
B.
Capacity to Conclude an Arbitration Agreement and Arbitrability
6
a.
Capacity to Conclude an Arbitration Agreement
6
1.
General
6
2.
Capacity of Business Associations
7
3.
Representation
8
b.
Arbitrability
10
1.
General
10
2.
Pecuniary Claims
10
3.
Non-pecuniary Claims
12
4.
Invalid Arbitration Agreement Sua Sponte
12
5.
Exceptions
13
c.
Lacking Capacity and Lacking Arbitrability
14
C.
Content-Related and Formal Requirements
14
a.
General
14
b.
Mandatory and Facultative Content
15
c.
Formal Requirements
16
D.
Interpretation of the Arbitration Agreement
16
E.
Applicable Law
17
F.
Arbitration Agreements with Consumers and Employees
18
III.
Arbitral Proceedings
19
A.
Arbitral Tribunal
19
a.
Initiation of Arbitration Proceedings
19
b.
Seat
20
c.
Relationship between Arbitral Tribunals and State Courts
20
d.
Constitution of the Arbitral Tribunal
21
1.
Personal Qualities of the Arbitrators
21
2.
Number of Arbitrators
22
3.
Appointment of Arbitrators
22
e.
Challenge of Arbitrators
24
1.
Introduction
24
2.
Challenge Procedure before the Arbitral Tribunal
25
3.
Challenge Procedure before the Austrian Supreme Court
26
4.
Case Law
26
f.
Liability of Arbitrators
28
g.
Premature Termination of an Arbitrator's Mandate
28
1.
Grounds
28
2.
Appointment of a Substitute Arbitrator
29
B.
Arbitral Proceedings
30
a.
Introduction
30
b.
Competence of the Arbitral Tribunal to Rule on Its Own Jurisdiction
31
c.
Parties' Representatives
31
d.
Parties' Right to Object to the Arbitral Tribunal's Jurisdiction
31
e.
Fair-Treatment of the Parties
32
f.
Right to Be Heard
33
g.
Confidentiality
33
h.
Statement of Claim and Answer to the Statement of Claim
34
i.
Counterclaim and Set-Off
35
j.
Intervention by a Third Party
36
k.
Taking of Evidence
36
l.
Experts
38
m.
Legal Aid by State Courts
39
C.
Applicable Law to the Dispute and Mandatory Rules of Law
40
a.
Structure of Section 603 ACCP and the Reception of the UNCITRAL Model Law
40
b.
Choice of Law by the Parties
41
c.
Determination of the Applicable Law by the Arbitral Tribunal
42
d.
Limits of the Choice of Law by the Parties
42
1.
Ordre Public
42
2.
Mandatory Rules
43
e.
Decision Ex Aequo Et Bono
44
f.
Decisions Disregarding the Parties' Choice of Law
44
D.
Interim Measures
44
a.
Introduction
44
b.
Parallel Jurisdiction of Courts and Arbitral Tribunals to Order Interim Measures
45
1.
General
45
2.
Mandatory Character of Section 585 ACCP
45
3.
Jurisdiction of the Courts
46
c.
Power of the Arbitral Tribunal to Order Interim or Protective Measures
46
1.
General
46
2.
Substantive Preconditions for Interim Measures
46
3.
Procedure
47
4.
Kind of Measures That Can Be Ordered
47
5.
Formal Requirements
48
6.
Enforcement of Interim Measures
48
E.
Multi-Party Arbitration
49
a.
Basis of Multi-Party Arbitration
49
b.
Appointment of Arbitrators in Multi-Party Situations
50
c.
Inclusion of Third Parties
51
F.
Costs
52
a.
Introduction
52
b.
Statutory Provisions
52
1.
General
52
2.
Definition of Procedural Costs
52
3.
Procedure
53
4.
Advance on Costs
53
c.
Excursus: Costs under the Vienna Rules
54
1.
General
54
2.
Definition of Procedural Costs
54
3.
Procedure
54
4.
Advance on Costs
56
5.
Determination of Costs
57
G.
Award and the Termination of the Proceedings
57
a.
Default by a Party
57
b.
Termination of the Arbitral Proceedings
58
c.
Effects of an Arbitral Award
59
d.
Arbitral Award
60
1.
Formal Requirements
60
2.
Decision-Making
61
e.
Settlement
62
f.
Request for Correction and Interpretation
63
IV.
Challenge and Control of Arbitral Awards
63
A.
Limited Control of Arbitral Awards by State Courts
63
a.
Introduction
63
1.
No Judicial Review of the Case
64
2.
Grounds for Challenge May Not Be Waived in Advance
64
3.
Grounds for Challenge under the NYC
64
B.
Subject to Challenge
65
C.
Action to Set-Aside an Arbitral Award
65
a.
Nature of the Action
65
b.
Requirements for an Action to Set-Aside an Arbitral Award
65
D.
Grounds for Challenge - to Be Asserted by the Parties
66
a.
Defective Arbitration Agreement (Section 611(2) Item 1 ACCP)
66
1.
Lack of a Valid Arbitration Agreement (Alternative 1)
66
2.
Wrongful Denial of Jurisdiction by the Arbitral Tribunal (Alternative 2)
67
3.
Defective Arbitration Agreement (Alternative 3)
67
b.
Violation of Due Process (Section 611(2) Item 2 ACCP)
67
1.
No proper Notice of the Appointment of an Arbitrator or of the Initiation of the Arbitral Proceedings (Alternatives 1 and 2)
68
2.
Other Reasons Where a Party Was Unable to Present His Case (Alternative 3)
68
c.
Ultra Petita (Section 611(2) Item 3 ACCP)
69
1.
Arbitral Tribunal Decides on a Matter That Does Not Fall in the Scope of the Arbitration Agreement (Alternative 1)
69
2.
Arbitral Tribunal Renders an Award Which Goes beyond the Scope of the Arbitration Agreement (Alternative 2)
69
3.
Arbitral Tribunal Renders an Award Which Goes beyond the Parties' Plea for Legal Protection (Alternative 3)
69
d.
Irregular Composition of the Arbitral Tribunal (Section 611(2) Item 4 ACCP)
70
e.
Violation of Procedural Public Policy (Section 611(2) Item 5 ACCP)
71
f.
Grounds for Revision under Section 530(1) Numbers 1-5 CCP (Section 611(2) Item 6 ACCP)
71
E.
Grounds for Challenge - Ex Officio
72
a.
Lack of Arbitrability (Section 611(2) Item 7 ACCP)
72
b.
Violation of Substantive Public Policy (Section 611(2) Item 8 ACCP)
72
F.
Additional Grounds to Set-Aside an Arbitral Award in Consumer or Labour-Related Arbitral Proceedings
73
G.
Procedure
74
a.
Austrian Arbitration Act 2013
74
b.
Procedure before the Austrian Supreme Court
75
c.
Costs
75
d.
Procedure in Consumer- and Labour-Related Arbitral Proceedings
75
e.
Right to Challenge an Arbitral Award
76
1.
Parties
76
2.
Third Parties
76
f.
Prayer for Relief
77
g.
Time Limit
77
h.
Confidentiality
77
i.
Effects of the Challenge
78
H.
Declaration of Existence or Non-existence of an Arbitral Award
78
V.
Recognition and Enforcement of Arbitral Awards
78
A.
Recognition and Enforcement of Domestic Arbitral Awards
78
a.
Introduction
78
b.
Enforcement Procedure
79
B.
Recognition and Enforcement of Foreign Arbitral Awards
79
a.
Introduction
79
b.
Enforcement Procedure
80
1.
General
80
2.
Jurisdiction (Section 82 AEA)
80
3.
Other Requirements (Sections 79 and 80 AEA)
80
4.
Grounds for Refusal of the Declaration of Enforceability (Section 81 AEA)
81
5.
Procedure (Section 83 AEA)
81
6.
Appeal (Section 84 AEA)
81
7.
Request for Declaration of Enforceability and for Enforcement (Section 84a AEA)
82
8.
Effect of the Declaration of Enforceability (Section 84b AEA)
82
9.
Setting-Aside and Amendments of the Declaration of Enforceability (Section 84c AEA)
82
10.
Recognition without Enforcement (Section 85 AEA)
82
c.
Primacy of Rules and Regulation of Public International Law (Section 86 AEA)
82
1.
Case Law of the Austrian Supreme Court on the New York Convention
83
2.
European Convention on International Commercial Arbitration
85
VI.
Alternative Dispute Resolution
86
A.
Methods of Alternative Dispute Resolution
86
a.
Introduction
86
b.
Direct Negotiations
86
c.
Mediation
86
1.
Introduction
86
2.
Austrian Mediation Act
87
d.
Conciliation
88
e.
Early Neutral Evaluation
88
f.
Mini Trial
88
g.
Expert Determination (Schiedsgutachten)
89
h.
Dispute Resolution Board
89
B.
Institutional Mediation and Conciliation
90
a.
Introduction
90
b.
VIAC Conciliation Rules
90
1.
Commencement of the Proceedings
90
2.
Appointment of a Conciliator
91
3.
Successful Settlement of the Dispute
92
4.
Termination of the Conciliation without Success
92
5.
Costs
92
c.
Mediation
93
d.
Neutral Evaluation
96
ch. 2
Litigation
97
I.
Introduction and Legal Framework
97
A.
General
97
B.
Legal Framework
97
II.
Court Structure and Jurisdiction
98
A.
Decision-Makers
98
a.
Judges
98
b.
Registrars (`Rechtspfleger)
98
B.
Constitution of Courts
98
a.
Single Judges or Tribunals
98
b.
Challenge of Judges
99
C.
Structure and Jurisdiction
99
a.
Three Instances
99
b.
Jurisdiction of the Courts Ratione Material
100
c.
Jurisdiction of the Courts Ratione Loci
101
d.
Forum Selection Clauses
103
e.
Consequences of the Lack of Jurisdiction
104
f.
Healing of the Lack of Jurisdiction
104
g.
Applications for Transfer of the Matter
104
h.
Application under Section 230a ACCP
105
i.
Application under Section 261(6) ACCP
105
III.
Proceedings
106
A.
Commencing the Proceedings
106
a.
Statement of Claim
106
1.
Content of the Statement of Claim
106
2.
Types of Claims
106
3.
Matter in Dispute
107
4.
Examination and Delivery of the Statement of Claim
108
5.
Summary Proceedings for the Issue of a Payment Order
108
6.
Regular Proceedings
109
b.
Defence of the Respondent
109
1.
Before District Courts
109
2.
Before Regional Courts
109
B.
Preparatory Hearing
110
C.
Evidentiary Hearing
111
D.
Evidence
112
a.
Subject of Evidence
113
b.
Classification of Evidence
114
c.
Standard of Proof
114
d.
Burden of Proof
115
e.
Judicial Evaluation of the Quantum of Claim (Section 273(1) ACCP)
115
f.
Illegally Obtained Evidence
116
g.
Types of Evidence
116
1.
Documentary Evidence
117
2.
Witness Testimony
119
3.
Expert Reports
120
4.
Inspections
122
5.
Hearing of the Parties in Person
122
E.
Security Deposit of Foreign Claimants (Aktorische Kaution)
122
F.
Court Settlements (Prozessvergleich)
123
G.
Withdrawal of the Court Action
124
H.
Amendment of Claim
125
I.
Acknowledgement of the Claim
125
IV.
Interim Measures
126
A.
Introduction
126
B.
Types of Claims to Be Secured
126
C.
Relationship to the Main Claim
127
D.
Types of Interim Measures
127
E.
Enforcement Proceedings to Secure a Claim
127
F.
Interim Measures to Secure a Pecuniary Claim (Section 379 AEA)
128
G.
Interim Measures to Secure a Claim for Specific Performance (Section 381 No. 1 AEA)
128
H.
Interim Measures to Secure a Right or a Legal Relationship (Section 381 No. 2 AEA)
129
I.
Procedure
129
a.
General
129
b.
Competent Court
130
c.
Application
130
d.
Approval
131
e.
Enforcement of the Interim Measure
132
f.
Remedies
132
g.
Annulment of the Interim Measure (Sections 399 et seqq. AEA)
132
h.
Costs and Damages
133
V.
Decision of the Court
133
A.
Introduction
133
B.
Judgment
134
a.
Categories of Judgment
134
1.
According to the Outcome
134
2.
According to the Type of Claim
134
3.
According to the Basis of the Judgment
135
4.
According to the Extent the Decision Deals with the Claims
139
b.
Delivery of the Judgment
142
1.
Oral Judgment (Section 414 ACCP)
142
2.
Written Judgment (Section 415 ACCP)
142
c.
End of Trial (Section 416(2) ACCP)
143
d.
Form and Structure of a Judgment (Section 417 ACCP)
143
1.
Head of the Judgment (Section 417(1)(1), (2) ACCP)
143
2.
Dispositive Provisions of a Judgment (Section 417(1)(3) ACCP)
144
3.
Reasoning of the Judgment (Section 417(1)(4) (2) ACCP)
144
4.
Further Elements of a Judgment
145
e.
Service of the Judgment
145
f.
Correction of the Judgment (Section 419 ACCP)
146
g.
Effects of the Judgment
147
1.
Substantive Legal Validity
147
2.
Enforceability
148
3.
Altering a Legal Position
149
4.
Effect on the Facts of the Case
149
C.
Court Order
149
a.
Types of Court Orders
149
1.
Decisions on the Merits
149
2.
Procedural Decisions
150
b.
Announcement of Court Orders
151
c.
Form of Court Orders
151
d.
Enforceability
151
VI.
Legal Remedies
152
A.
Introduction
152
B.
Legal Remedies
152
a.
Common Characteristics
152
1.
Suspensive Effect
152
2.
Devolutive Effect
153
3.
Bilateral Nature
153
b.
Extent of the Possibility to Appeal and Review
154
c.
Admissibility of Remedies
155
C.
Appeal against Judgments (Sections 461 Et Seqq. ACCP)
155
a.
General
155
b.
Grounds for Appeal
156
c.
Grounds for Annulment (Section 477 ACCP)
156
1.
Infringements of Fundamental Prerequisites in the Decision-Making Process
157
2.
Infringements of Fundamental Principles regarding Party's Participation
157
3.
Infringements of the Worthiness of Protection of the Claim
158
4.
Infringements of Fair Trial Principle
158
d.
'Other' Relevant Procedural Defects (Section 496 ACCP)
158
1.
False Establishment of the Facts
159
2.
Transmitting Errors
159
3.
Incorrect Legal Assessment
159
4.
Restrictions to the Appeal According to Section 501 ACCP - Small Claims Appeal
160
D.
Appeal to the Supreme Court (Sections 502 Et Seqq. ACCP)
160
E.
Appeals against Court Orders (Sections 514 Et Seqq. ACCP)
161
F.
Appeals against Court Orders of the Appellate Court (Section 528 ACCP)
162
G.
Legal Remedies in the Form of Actions (Sections 529 Et Seqq. ACCP)
163
H.
Other Legal Remedies
164
VII.
Costs
165
A.
Principles
165
a.
Costs Follow the Event
165
b.
Reimbursement by Quota
165
c.
Allocation of Disbursements
166
B.
Exceptions
166
a.
Introduction
166
b.
Exceptions in Detail
166
1.
Negligible Loss of the Proceedings
166
2.
Determination of Cost in Cases in Which the Claim Is Based on Expert Opinion or the Judges Discretion
167
C.
Separation of Costs
167
D.
Costs in Case of Settlement
167
E.
Preliminary Costs
168
VIII.
Enforcement of Court Decisions
168
A.
General
168
a.
Legal Sources
168
b.
Parties and State Authorities
168
c.
Principles of the Execution Proceedings
169
B.
Enforcement Proceedings
170
a.
Course of the Proceedings
170
b.
Remedies in the Enforcement Proceedings and Court Actions of the Debtor or Third Parties
171
c.
General Prerequisites of the Enforcement Proceedings
171
1.
Domestic Jurisdiction
172
2.
Matter to Be Decided by the Court of Enforcement
172
3.
Party Status in the Enforcement Proceedings
172
4.
Capacity to Act in the Execution Proceedings
172
5.
Representation
173
d.
Special Prerequisites of the Execution Proceedings
173
1.
Competence of the Court to Decide about the Subject Matter
173
2.
Title
173
3.
Request for Enforcement
174
4.
Limitations of Enforcement
174
5.
Costs
175
6.
Execution of Foreign Titles
175
IX.
European Civil Procedure
175
A.
Introduction
175
B.
Brussels I Regulation
176
a.
Origin
176
b.
Structure and Scope
177
1.
Material Scope
178
2.
Territorial and Personal Scope
180
3.
Foreign Element
181
c.
Provisions regarding Jurisdiction
182
1.
General Jurisdiction (Article 4 Brussels I Recast)
182
2.
Special Jurisdiction (Articles 7, 8 and 9 Brussels I Recast)
182
3.
Insurance Matters, Consumer Contracts and Individual Employment Contracts (Articles 10 Et Seqq. Brussels I Recast)
183
4.
Exclusive Jurisdiction (Article 24 Brussels I Recast)
183
5.
Prorogation of Jurisdiction
183
6.
Jurisdiction Derived from Entering an Appearance
184
d.
European Lis Pendens and Related Actions
185
e.
Preliminary and Protective Measures
186
f.
Recognition and Enforcement
186
C.
European Service Regulation
188
ch. 3
International Conventions and Treaties
191
I.
Introduction
191
II.
Arbitration
192
A.
Multilateral Instruments
192
a.
ICSID-Convention
192
b.
Energy Charter Treaty
193
c.
NYC
194
d.
European Convention
195
B.
Bilateral Instruments
196
III.
Litigation
198
A.
Introduction
198
B.
Multilateral Instruments
199
a.
Lugano Convention
199
b.
Conventions on the Law of International Transportation
200
C.
Bilateral Instruments
200
D.
Security Deposit of Foreign Claimants
201
Index
203