Cláusulas Escalonadas em Contratos de Construcción · Contratos de Construcción IX Congreso...
16
Cláusulas Escalonadas em Contratos de Construcción IX Congreso Internacional de Arbitraje-Costa Rica ICC Eliana Baraldi March 8, 2018
Transcript of Cláusulas Escalonadas em Contratos de Construcción · Contratos de Construcción IX Congreso...
Claacuteusulas Escalonadas em Contratos de Construccioacuten
IX Congreso Internacional de Arbitraje-Costa Rica
ICC
Eliana BaraldiMarch 8 2018
Claacuteusulas Escalonadas en Contratos de Construccioacuten
a Panorama General en Diversas Jurisdiccionesi Brasilii Colombiaiii Estados Unidos
b Doctrina Admisibilidad o Jurisdiccioacuten
c Consecuencias legales del incumplimiento de la claacuteusula escalonadai Incumplimiento de deberes fiduciarios (buena fe)ii Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta
sunt servanda)iii Peacuterdidas y dantildeosiv Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadasi Desde la perspectiva del abogadoii Desde la perspectiva del aacuterbitro
Brasil
bull Ley nordm 131402015 ndash Ley de Mediacioacuten
bull No es obligatoria (art 2ordm sect2ordm )
bull Puede ser obligatoria si las partes asiacute lo pactan ndash art 23 da Ley de Mediacioacuten
Art 23 Se em previsatildeo contratual de claacuteusula de mediaccedilatildeo as partes secomprometerem a natildeo iniciar procedimento arbitral ou processo judicial durantecerto prazo ou ateacute o implemento de determinada condiccedilatildeo o aacuterbitro ou o juizsuspenderaacute o curso da arbitragem ou da accedilatildeo pelo prazo previamente acordadoou ateacute o implemento dessa condiccedilatildeo
bull El aacuterbitro debe dar cumplimiento al acuerdo de arbitraje y respetar la voluntad de las partes
Brasil
Fernanda Rocha Lourenccedilo Levy ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo comercial no contexto da arbitragemrdquo p 290-291
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Admisibilidad Jurisdiccioacuten
LAURA GHITTI ndash ldquoMecanismos Preacute-Arbitrais
de quem eacute a uacuteltima palavrardquo Revista
Brasileira de Arbitragem 2014 vol XI Issue
44 pp 72-73
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das
estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios
multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles
P 10
El tribunal arbitral no tendraacute jurisdiccioacuten mientras
no se lleve a cabo el procedimento de mediacioacuten
Brasil
Vinculante No-vinculante
Fernanda Rocha Lourenccedilo Levy
ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo
comercial no contexto da arbitragemrdquo
p292
LUIacuteS FERNANDO GUERRERO
ldquoEfetividade das estipulaccedilotildees voltadas agrave
instituiccedilatildeo dos meios multiportas de
soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado
2012 Orientador Carlos Alberto Salles p
109
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Claacuteusulas Escalonadas en Contratos de Construccioacuten
a Panorama General en Diversas Jurisdiccionesi Brasilii Colombiaiii Estados Unidos
b Doctrina Admisibilidad o Jurisdiccioacuten
c Consecuencias legales del incumplimiento de la claacuteusula escalonadai Incumplimiento de deberes fiduciarios (buena fe)ii Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta
sunt servanda)iii Peacuterdidas y dantildeosiv Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadasi Desde la perspectiva del abogadoii Desde la perspectiva del aacuterbitro
Brasil
bull Ley nordm 131402015 ndash Ley de Mediacioacuten
bull No es obligatoria (art 2ordm sect2ordm )
bull Puede ser obligatoria si las partes asiacute lo pactan ndash art 23 da Ley de Mediacioacuten
Art 23 Se em previsatildeo contratual de claacuteusula de mediaccedilatildeo as partes secomprometerem a natildeo iniciar procedimento arbitral ou processo judicial durantecerto prazo ou ateacute o implemento de determinada condiccedilatildeo o aacuterbitro ou o juizsuspenderaacute o curso da arbitragem ou da accedilatildeo pelo prazo previamente acordadoou ateacute o implemento dessa condiccedilatildeo
bull El aacuterbitro debe dar cumplimiento al acuerdo de arbitraje y respetar la voluntad de las partes
Brasil
Fernanda Rocha Lourenccedilo Levy ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo comercial no contexto da arbitragemrdquo p 290-291
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Admisibilidad Jurisdiccioacuten
LAURA GHITTI ndash ldquoMecanismos Preacute-Arbitrais
de quem eacute a uacuteltima palavrardquo Revista
Brasileira de Arbitragem 2014 vol XI Issue
44 pp 72-73
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das
estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios
multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles
P 10
El tribunal arbitral no tendraacute jurisdiccioacuten mientras
no se lleve a cabo el procedimento de mediacioacuten
Brasil
Vinculante No-vinculante
Fernanda Rocha Lourenccedilo Levy
ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo
comercial no contexto da arbitragemrdquo
p292
LUIacuteS FERNANDO GUERRERO
ldquoEfetividade das estipulaccedilotildees voltadas agrave
instituiccedilatildeo dos meios multiportas de
soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado
2012 Orientador Carlos Alberto Salles p
109
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Brasil
bull Ley nordm 131402015 ndash Ley de Mediacioacuten
bull No es obligatoria (art 2ordm sect2ordm )
bull Puede ser obligatoria si las partes asiacute lo pactan ndash art 23 da Ley de Mediacioacuten
Art 23 Se em previsatildeo contratual de claacuteusula de mediaccedilatildeo as partes secomprometerem a natildeo iniciar procedimento arbitral ou processo judicial durantecerto prazo ou ateacute o implemento de determinada condiccedilatildeo o aacuterbitro ou o juizsuspenderaacute o curso da arbitragem ou da accedilatildeo pelo prazo previamente acordadoou ateacute o implemento dessa condiccedilatildeo
bull El aacuterbitro debe dar cumplimiento al acuerdo de arbitraje y respetar la voluntad de las partes
Brasil
Fernanda Rocha Lourenccedilo Levy ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo comercial no contexto da arbitragemrdquo p 290-291
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Admisibilidad Jurisdiccioacuten
LAURA GHITTI ndash ldquoMecanismos Preacute-Arbitrais
de quem eacute a uacuteltima palavrardquo Revista
Brasileira de Arbitragem 2014 vol XI Issue
44 pp 72-73
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das
estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios
multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles
P 10
El tribunal arbitral no tendraacute jurisdiccioacuten mientras
no se lleve a cabo el procedimento de mediacioacuten
Brasil
Vinculante No-vinculante
Fernanda Rocha Lourenccedilo Levy
ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo
comercial no contexto da arbitragemrdquo
p292
LUIacuteS FERNANDO GUERRERO
ldquoEfetividade das estipulaccedilotildees voltadas agrave
instituiccedilatildeo dos meios multiportas de
soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado
2012 Orientador Carlos Alberto Salles p
109
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Brasil
Fernanda Rocha Lourenccedilo Levy ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo comercial no contexto da arbitragemrdquo p 290-291
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Admisibilidad Jurisdiccioacuten
LAURA GHITTI ndash ldquoMecanismos Preacute-Arbitrais
de quem eacute a uacuteltima palavrardquo Revista
Brasileira de Arbitragem 2014 vol XI Issue
44 pp 72-73
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das
estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios
multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles
P 10
El tribunal arbitral no tendraacute jurisdiccioacuten mientras
no se lleve a cabo el procedimento de mediacioacuten
Brasil
Vinculante No-vinculante
Fernanda Rocha Lourenccedilo Levy
ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo
comercial no contexto da arbitragemrdquo
p292
LUIacuteS FERNANDO GUERRERO
ldquoEfetividade das estipulaccedilotildees voltadas agrave
instituiccedilatildeo dos meios multiportas de
soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado
2012 Orientador Carlos Alberto Salles p
109
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Brasil
Vinculante No-vinculante
Fernanda Rocha Lourenccedilo Levy
ldquoClaacuteusulas Escalonadas ndash a mediaccedilatildeo
comercial no contexto da arbitragemrdquo
p292
LUIacuteS FERNANDO GUERRERO
ldquoEfetividade das estipulaccedilotildees voltadas agrave
instituiccedilatildeo dos meios multiportas de
soluccedilatildeo de litiacutegiosrdquo ndash Tese de doutorado
2012 Orientador Carlos Alberto Salles p
109
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Brasil
Vinculante No-vinculante
Caso
TJPR ndash Apl Ciacutevel 1668801-0 7ordf
Cacircmara Ciacutevel Des Luiz Antocircnio
Barry ndash Relator ndash voto divergente
Relator designado ndash Ramon de
Medeiros Nogueira (2017)
TJDF ndash Agravo de Instrumento nordm 0701934-8720178070000
Agravante Companha Hidroeletrica do Satildeo Francisco
Agravado Norte Energia SA (2017)
Resumen
Nulidad del laudo arbitral por falta
de prueba de que la parte contraria
fue notificada de la intencioacuten de la
otra de negociar amigablemente
Violacioacuten de la autonomiacutea de la
voluntad (art 32 VIII Larb)
Confirmacioacuten del laudo arbitral dado que la
claacuteusula estipulaba que la controversia debiacutea
resolverse preferiblemente por mediacioacuten
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Colocircmbia
bull Art 13 del Coacutedigo General de Proceso concluye que la mediacioacuten no es obligatoria (como otros meacutetodos que requieren agotar requisitos de procedibilidad para acceder a cualquier operador de justicia)
bull El acceso a justicia sin haberse agotado los requisitos previstos por las partes no constituiraacute incumplimiento de la obligacioacuten de implementarlos ni impediraacute al impartidor de justicia empezar la demanda judicial o arbitral
bull El acceso a la justicia prevalece
Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22)
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Colocircmbia
Vinculante No-vinculante
Caso
Sentencia T-058 de 2009 Corte
Constitucional MP Jaime Araujo
Renteriacutea
Partes Empresa de
Telecomunicaciones de Bogotaacute SA
ESP e Tribunal de Arbitramento
Telefoacutenica Moacuteviles Colombia SA vs
Empresa de Telecomunicaciones de
Bogotaacute SA ESP
Sentencia del 4 de diciembre de 2006 Consejo
de Estado Radicado Exp 15239 CP Mauricio
Fajardo Goacutemez Partes Instituto de Desarrollo
Urbano (IDU) e Consoacutercio LAR
Resumen
La Corte anuloacute el laudo arbitral
porque el incumplimiento de las
etapas anteriores impidioacute la
constitucioacuten del tribunal arbitral y lo
hizo incompetente para decidir sobre
el conflicto
El uso de la mediacioacuten era electivo aunque las
partes esteacuten libres de aceptar la realizacioacuten de
diversas acciones encaminadas a abordar
directamente las controversias que surjan
entre ellas no tienen el poder de establecer
crear o aceptar requisitos de procedimiento
siendo tales soacutelo la competencia legislativa ndash
art 6ordm del Coacutedigo de Processo Civil
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Estados Unidos
No-Vinculante
CaseKemiron Atlantic v Aguakem International Inc ndash
Caso nordm 01-16400 United States Court of Appeal Eleventh Circuit (2002)
Wording
ldquo() in the event that a dispute cannot be settled between the parties the matter shall be
mediated within fifteen (15) days after receipt of notice by either party that the other
party requests the mediation of a dispute pursuant to this paragraph If the parties are
unable to select a mediator the Florida Mediation Group shall select a mediator The
parties agree to use their best efforts to mediate a dispute
In the event that the dispute cannot be settled through mediation the parties shall submit
the matter to arbitration within ten (10) days after receipt of notice by either party The
arbitration shall be conducted in accordance with the Commercial Arbitration Rules of the
American Arbitration Association then in effect The parties shall each select an
arbitrator and the two arbitrators thus selected shall select a third arbitrator These
three arbitrators shall constitute the arbitration panel It is understood that a judgment
or award rendered which may include an award of damages may be entered in any court
having jurisdiction thereofrdquo
Resumen
Kemiron comenzoacute el arbitraje directamente Aguakem requirioacute la suspensioacuten del proceso
debido a la claacuteusula Med-ARB Suspensioacuten no diferida Si las partes queriacutean participar en la
mediacioacuten lo habriacutean solicitado adecuadamente
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Estados Unidos
Vinculante
White v Kampner - Supreme Court of Connecticut (1994)
Wording
Any dispute or question arising under the provisions of this [agreement]
which has not been resolved under [the mandatory negotiation provision]
shall be determined by arbitration before one (1) arbitrator appointed by the
American Arbitration Association Arbitration proceedings shall occur at a
neutral location in Waterbury Connecticut and shall be conducted in
accordance with the rules then applicable of the American Arbitration
Association The decision of the arbitrator shall be final and may be entered in
any court having jurisdiction thereof Each party shall pay one-half of all costs
and expenses of such arbitration
Resumen
La corte decidioacute que los procedimientos pre-arbitrales eran un requisito
contractual obligatorio que es una condicioacuten previa a la arbitrabilidad de
cualquier disputa El arbitraje se limitoacute a aquellas cuestiones que no se
resolvieron en los procedimentos pre-arbitrales
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
b Admisibilidad o Jurisdiccioacuten
ldquoMoreover it is also important that pre-arbitration negotiation and litigation requirements not limit the partiesrsquo access to justice These provisions create the risk that parties will be prevented from pursuing presumptively meritorious claims and obtaining presumptively justified relief in the partiesrsquo agreed forum for dispute resolution Conditions restricting a partyrsquos access to adjudicative mechanisms in an agreed forum are not to be favoured or interpreted expansively Indeed one tribunal held that access to arbitration could not be limited in the absence of explicit statutory authority under applicable lawrdquo
Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal Swamprsquordquo httpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
Admisibilidad Jurisdiccioacuten
ICC Case 16765 Final Award 2015
ldquoIt appears from the provisions referred
to above that the Contract created a
multi-tier mechanism to be followed
should a dispute arise between the
Parties The Tribunal is of the view that
the Respondents Counterclaim on delay
damages is a matter of admissibility
rather than jurisdictionrdquo
ICC Case 16083 Interim Award 2015
ldquo() In the present case [Respondent]
objects to [Claimant]s claims in the Request
for Arbitration on the ground that [Claimant]
allegedly failed to comply with the pre-
arbitral procedures set forth in the Contract
According to [Respondent] this objection
goes to the jurisdiction of the Arbitral
Tribunal rather than the admissibility of
[Claimant]s claims in the Request for
Arbitration
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
c Consecuencias legales del incumplimiento de la claacuteusula escalonada
bull Incumplimiento de deberes fiduciarios (buena fe)
bull Deber contractual affirmative covenant obrigaccedilatildeo de fazer (pacta sunt servanda)
bull Peacuterdidas y dantildeos
bull Anulacioacuten del laudo arbitral
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del abogado
bull 1 Al redactar la claacuteusula
a) mencione expresamente que sea una condicioacuten previa al arbitraje
(ldquomustrdquo ldquoshallrdquo) o no (ldquocanrdquo ldquomayrdquo)
b) describa las obligaciones de las partesi Plazo
ii Inicio del periacuteodo de negociacioacuten o inicio de la mediacioacuten (notificacioacuten)
iii Nivel de los representantes de las partes que deben participar en la negociacioacuten
iv Proceso de negociacioacuten o mediacioacuten o representacioacuten la parte en la mediacioacuten
v Nuacutemero de reuniones de negociacioacuten o mediacioacuten
vi Evento especiacutefico que constituye la terminacioacuten de la mediacioacuten y la posibilidad de que las partes inicien el arbitraje
bull 2 Antes de empezar el arbitrajea) Compruebe que se han seguido todas las medidas preparatorias
b) Documente todos los pasos
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
d Recomendaciones en caso de Claacuteusulas Escalonadas
i Desde la perspectiva del aacuterbitro
bull Suspender el arbitraje
ldquoA despeito da tutela especiacutefica os MASCs (meios alternativos de soluccedilatildeo de controveacutersias) natildeo jurisdicionais podem ser vistos como questotildees preacutevias e uma vez existindo questatildeo sobre eles o magistrado deveraacute suspender o processo tendo em vista a convenccedilatildeo das partes (art 265 inciso II do CPC) aplicando contractual time limits e exigindo a tentativa de sua realizaccedilatildeo Em caso de recusa ou insucesso na negociaccedilatildeo mediaccedilatildeo ou conciliaccedilatildeo o processo civil ou a arbitragem
prosseguiriam em uma ordem absolutamente loacutegica de questotildeesrdquo
bull Cuidar el statute of limitations
LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndash Tese de
doutorado 2012 Orientador Carlos Alberto Salles p 140
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Bibliografiacutea
bull Gary Born and Marija Scekic ndash ldquoPre-Arbitration Procedural Requirements lsquoA Dismal SwamprsquordquohttpswwwwilmerhalecomuploadedFilesShared_ContentEditorialPublicationsDocumentspre-arbitration-procedural-requirementspdf
bull Jan Paulsson ndash ldquoJurisdiction and Admissibilityrdquo Global Reflectiacuteons on lnternatiacuteonal Law Commerce and Dispute Resolutiacuteon Liber Amicorum in honour of Robert Briner ICC Publishing Publication 693 wwwiccbookscom
bull Vlavianos George and Papas Vassili F L Multi-TIer Dispute Resolution Clauses as Jurisdictional Conditions Precedent to Arbitration httpsglobalarbitrationreviewcomchapter1142626multi-tier-dispute-resolution-clauses-as-jurisdictional-conditions-precedent-to-arbitration
bull Bernal Gutierrez R amp Puyo Posada E (2012) Las claacuteusula escalonadas o multinivel su aproximacioacuten em Colombia Revista de Arbitraje Comercial Y de Inversiones 5 (1) 196-203(httpwwwkluwerarbitrationcomdocumentkli-ka-1207005-nq=22clC3A1usula20escalonada2220AND2022colC3B4mbia22
bull Laura Ghitti ndash ldquoMecanismos Preacute-Arbitrais de quem eacute a uacuteltima palavrardquo Revista Brasileira de Arbitragem 2014 vol XI Issue 44 pp 72-73
bull Joseacute Emiacutelio Nunes Pinto ndash ldquoO mecanismo multietapas de soluccedilatildeo de controveacutersiasrdquohttpwwwambito-juridicocombrsiteindexphpn_link=revista_artigos_leituraampartigo_id=4510
bull Selma Ferreira Lemes ndash ldquoClaacuteusula Escalonada ou Combinada Mediaccedilatildeo Conciliaccedilatildeo e Arbitragemrdquo (p 14)httpselmalemesadvbrartigosClC3A1usula20Escalonada20ou20Combinada20-20MediaC3A7C3A3o20ConciliaC3A7C3A3o20e20Arbitragempdf
bull LUIacuteS FERNANDO GUERRERO ldquoEfetividade das estipulaccedilotildees voltadas agrave instituiccedilatildeo dos meios multiportas de soluccedilatildeo de litiacutegiosrdquo ndashTese de doutorado 2012 Orientador Carlos Alberto Salles P 109
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
Eliana Baraldi
elianabaraldisoutocorreacombr
+55 11 3530 8400
