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FIBA BAT Arbitration Rules (articles 0.1 to 15.2)

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Questions and Answers

What is the main purpose of the Basketball Arbitral Tribunal (BAT)?

*To provide an efficient and effective means of resolving disputes in the world of basketball

How many written submissions are allowed per party in a BAT arbitration?

*One

Who appoints the arbitrator in a BAT arbitration?

*BAT President

What is the language of the arbitration in a BAT arbitration?

<p>*English</p> Signup and view all the answers

What is the purpose of the recommended arbitration clause?

<p>*To submit possible disputes to the BAT</p> Signup and view all the answers

What is the name of the organization that created the Basketball Arbitral Tribunal (BAT)?

<p>*Fédération Internationale de Basketball (FIBA)</p> Signup and view all the answers

Which law governs the arbitration process of the Basketball Arbitral Tribunal (BAT)?

<p>*Chapter 12 of the Swiss Act on Private International Law</p> Signup and view all the answers

According to the recommended arbitration clause, what is the effect of a Final Payment Order issued by the BAT President?

<p>*It has the effects of a final and binding arbitral award between the parties to the dispute.</p> Signup and view all the answers

Under which circumstances can the BAT Vice-President substitute for the BAT President?

<p>*When the BAT President is prevented from exercising his/her functions due to a conflict of interest or whenever the BAT President so requests.</p> Signup and view all the answers

What is the condition for a party to file a Payment Order Request instead of a Request for Arbitration?

<p>*The relevant requirements as set out in the BAT Arbitration Rules must be met.</p> Signup and view all the answers

When can the BAT have jurisdiction over a dispute?

<p>*When the parties to the dispute have agreed in writing to submit the dispute to the BAT.</p> Signup and view all the answers

What power does the Arbitrator have?

<p>*The power to rule on his/her own jurisdiction.</p> Signup and view all the answers

What happens if a party does not raise an objection to a failure to comply with the rules or directions?

<p>*The party is deemed to have waived its right to object.</p> Signup and view all the answers

Who determines the procedure in the arbitration proceedings?

<p>*The Arbitrator.</p> Signup and view all the answers

Under what circumstances can the Arbitrator refuse to proceed with the arbitration?

<p>*If the Arbitrator considers that arbitration is not appropriate to resolve the dispute.</p> Signup and view all the answers

What is the default language of documents provided to the BAT?

<p>*English</p> Signup and view all the answers

Who decides if the proceedings will be held in a language other than English?

<p>*The Arbitrator</p> Signup and view all the answers

Who can assist the parties during the arbitration?

<p>*Counsel or any other person of their choice</p> Signup and view all the answers

How must submissions, notifications, and communications be transmitted to the BAT?

<p>*By email only, unless technically impossible</p> Signup and view all the answers

Where must Requests for Arbitration be filed?

<p>*The BAT Secretariat's main e-mail address</p> Signup and view all the answers

What happens if a party does not receive a notification or communication?

<p>*A third party may be designated to receive the notification</p> Signup and view all the answers

What may the Arbitrator request if a party files a submission other than by email?

<p>*An electronic copy of the submission</p> Signup and view all the answers

What is the purpose of the template Request for Arbitration?

<p>*To provide a standard format for the Request</p> Signup and view all the answers

How are time limits for the filing of written submissions or other procedural acts determined?

<p>*By the Arbitrator, by reference to a specific date</p> Signup and view all the answers

What happens if the Arbitrator appointed by the BAT President is unavailable?

<p>*The BAT President appoints another Arbitrator</p> Signup and view all the answers

What is the purpose of the written declaration sent by the Arbitrator to the BAT Secretariat?

<p>*To declare the Arbitrator's independence and acceptance of the arbitration</p> Signup and view all the answers

On what grounds can an Arbitrator be challenged?

<p>*If the circumstances give rise to legitimate doubts regarding the Arbitrator's independence</p> Signup and view all the answers

Who determines the challenge to an Arbitrator?

<p>*The BAT President</p> Signup and view all the answers

Under what circumstances can FIBA, the BAT President, BAT Arbitrators, and BAT personnel be held liable?

<p>*In cases of grossly negligent or wilful acts or omissions</p> Signup and view all the answers

What is the time limit for challenging an Arbitrator?

<p>*Within 7 days after the ground for the challenge has become known</p> Signup and view all the answers

Who extends time limits or grants new time limits for the filing of written submissions or other procedural acts?

<p>*The Arbitrator</p> Signup and view all the answers

What information must a Request for Arbitration contain?

<p>*The names, postal addresses, telephone, facsimile numbers, e-mail addresses of the Claimant and Respondent</p> Signup and view all the answers

What must be received by the BAT Secretariat before the arbitration can proceed?

<p>*The non-reimbursable handling fee</p> Signup and view all the answers

What happens if the non-reimbursable handling fee is not received by the BAT Secretariat?

<p>*The Request for Arbitration will be deemed withdrawn</p> Signup and view all the answers

What is the date on which a BAT arbitration commences?

<p>*The date of receipt by the BAT Secretariat of a Request for Arbitration</p> Signup and view all the answers

What factors does the BAT Secretariat consider when fixing an advance on costs?

<p>*The sum in dispute and the complexity of the case</p> Signup and view all the answers

What happens if a party fails to pay its share of the advance on costs?

<p>*The other party may substitute for it</p> Signup and view all the answers

What is the maximum amount of the initial advance on costs for an award without reasons?

<p>*EUR 6,000</p> Signup and view all the answers

Does Article 9 of BAT Arbitration Rules apply to counterclaims?

<p>*Yes, mutatis mutandis</p> Signup and view all the answers

What is the maximum amount of the initial advance on costs for an award with reasons when the sum in dispute does not exceed EUR 100,000?

<p>*EUR 9,000</p> Signup and view all the answers

Under what circumstances can an order for provisional and/or conservatory measures be made ex parte?

<p>*In cases of extreme urgency</p> Signup and view all the answers

What condition must be met before requesting provisional and/or conservatory measures?

<p>*The Request for Arbitration has been filed or with the Request</p> Signup and view all the answers

What happens when a party submits a Request for Arbitration?

<p>*The BAT President determines if the subject matter is arbitrable</p> Signup and view all the answers

What right do parties waive when they agree to submit their dispute to the BAT Rules?

<p>*The right to request provisional and/or conservatory measures from a state court</p> Signup and view all the answers

Under what circumstances may the BAT President consolidate two or more Requests for Arbitration into one arbitration?

<p>*When the claims are based on the same contract or directly related contracts</p> Signup and view all the answers

What must the Answer (of the Request for Arbitration) contain?

<p>*All written evidence on which the Respondent intends to rely and any request for the holding of a hearing and for the examination of (a) witness(es)</p> Signup and view all the answers

Who informs the parties about the Arbitrator's appointment?

<p>*The BAT Secretariat</p> Signup and view all the answers

What happens to claims that are not based on the same contract nor on contracts that directly relate to each other?

<p>*They are not deemed to have a sufficiently close connection</p> Signup and view all the answers

What happens if a party requests a suspension of the arbitration and it exceeds two months?

<p>*An abeyance fee of EUR 500 will apply.</p> Signup and view all the answers

What authority does the Arbitrator have regarding the exchange of submissions?

<p>*The Arbitrator determines whether a further exchange of submissions is necessary.</p> Signup and view all the answers

What is one of the Arbitrator's powers?

<p>*To order the production of (additional) evidence.</p> Signup and view all the answers

What happens if a party fails to pay the abeyance fee?

<p>*The Arbitrator will lift the suspension and refuse to grant any new suspension.</p> Signup and view all the answers

Is the Arbitrator authorized to attempt to bring about a settlement to the dispute?

<p>*Yes</p> Signup and view all the answers

What happens if the Arbitrator decides to hold a hearing?

<p>*The parties will be consulted beforehand.</p> Signup and view all the answers

What is the Arbitrator's role in hearings with witnesses?

<p>*The Arbitrator invites the witnesses to tell the truth and warns them about false testimony.</p> Signup and view all the answers

Who is responsible for the availability of their witnesses?

<p>*The parties</p> Signup and view all the answers

Under what circumstances can the Arbitrator make a hearing dependent?

<p>*On the payment of an additional advance on costs by one or both parties</p> Signup and view all the answers

Can the Arbitrator hold a hearing by telephone or video conference?

<p>*Yes, the Arbitrator has the discretion to decide</p> Signup and view all the answers

How hearings are held?

<p>*The hearings before the BAT shall be in private</p> Signup and view all the answers

What happens if the Claimant fails to submit its Request for Arbitration?

<p>*The BAT President (or Arbitrator) may decide that the Request for Arbitration is deemed withdrawn.</p> Signup and view all the answers

What happens if the Respondent fails to submit an Answer at all?

<p>*The Arbitrator may nevertheless proceed with the arbitration and deliver an award.</p> Signup and view all the answers

What happens if a party fails to abide by a Procedural Order or fails to appear at a hearing?

<p>*The Arbitrator may nevertheless proceed with the arbitration and deliver an award.</p> Signup and view all the answers

How does the Arbitrator decide the dispute?

<p>*Applying general considerations of justice and fairness without reference to any particular national or international law.</p> Signup and view all the answers

What happens if the parties do not choose the rules of law to apply in the arbitration if the parties agree that the Arbitrator is not authorised to decide ex aequo et bono?

<p>*Swiss law is applied.</p> Signup and view all the answers

What happens if the parties do not agree on the rules of law to apply?

<p>*The Arbitrator decides the dispute according to the rules of law chosen by the Arbitrator</p> Signup and view all the answers

What is the effect of an express and specific agreement of the parties on the Arbitrator's authority?

<p>*The Arbitrator is not authorized to decide the dispute ex aequo et bono</p> Signup and view all the answers

What is the basis of the Arbitrator's decision in a BAT arbitration?

<p>*General considerations of justice and fairness</p> Signup and view all the answers

Study Notes

Creation and Purpose of the BAT

  • The Basketball Arbitral Tribunal (BAT) was created by Fédération Internationale de Basketball (FIBA) to provide an efficient and effective means of resolving disputes in the world of basketball.

Characteristics of BAT Arbitration

  • BAT Arbitration Rules aim to provide a simple, quick, and inexpensive means of resolving disputes.
  • The rules require cooperation from parties and their counsel or representative, with limited written submissions (typically one per party) and short time limits.

Conduct of BAT Arbitration Proceedings

  • BAT arbitration proceedings are conducted before a single arbitrator appointed by the BAT President.
  • Arbitrators decide ex aequo et bono (according to what is fair and good).
  • Hearings are only held upon a decision by the Arbitrator.
  • The following arbitration clause is recommended for use: "Any dispute arising from or related to the present contract shall be submitted to the Basketball Arbitral Tribunal (BAT) in Geneva, Switzerland and shall be resolved in accordance with the BAT Arbitration Rules by a single arbitrator appointed by the BAT President."
  • The seat of the arbitration shall be Geneva, Switzerland.
  • The arbitration shall be governed by Chapter 12 of the Swiss Act on Private International Law, regardless of the parties' domicile.
  • The language of the arbitration shall be English.
  • The arbitrator shall decide the dispute ex aequo et bono.

Creation of the Basketball Arbitral Tribunal (BAT)

  • The Basketball Arbitral Tribunal (BAT) was created by Fédération Internationale de Basketball (FIBA).

Governing Law of the Arbitration

  • The arbitration is governed by Chapter 12 of the Swiss Act on Private International Law.
  • This applies regardless of the domicile of the parties involved.

Arbitration Clause

  • The recommended arbitration clause for disputes arising from or related to a contract should be submitted to the Basketball Arbitral Tribunal (BAT) in Geneva, Switzerland.
  • A single arbitrator appointed by the BAT President will resolve the dispute in accordance with the BAT Arbitration Rules.
  • The arbitrator shall decide the dispute ex aequo et bono.

Payment Order Procedure

  • If a Request for Arbitration is filed, a party may instead file a Payment Order Request, which will initiate a Payment Order Procedure conducted in accordance with the BAT Arbitration Rules.
  • The Payment Order Procedure is subject to the relevant requirements set out in the BAT Arbitration Rules.
  • A Final Payment Order issued by the BAT President has the effects of a final and binding arbitral award between the parties to the dispute.

Arbitration Governance

  • The seat of the arbitration is Geneva, Switzerland.
  • The arbitration is governed by Chapter 12 of the Swiss Act on Private International Law, regardless of the parties' domicile.

Language and Substitute

  • The language of the arbitration is English.
  • The BAT Vice-President substitutes for the BAT President when the BAT President is unable to exercise their functions, including instances of conflict of interest.

Jurisdiction of BAT

  • The BAT has jurisdiction when parties agree in writing to submit a dispute, including reference to its former name "FIBA Arbitral Tribunal (FAT)", as long as FIBA and its divisions are not directly involved in the dispute.

Arbitrator's Power

  • The Arbitrator has the power to refuse to proceed with the arbitration at any time if deemed inappropriate.
  • The Arbitrator has the power to rule on their own jurisdiction, including objections to the arbitration agreement.

Proceedings

  • The Arbitrator determines the procedure in the proceedings, unless otherwise specified.
  • Parties that proceed with the arbitration without raising objections to the proceedings or directions given by the Arbitrator are deemed to have waived their right to object.

Language Requirements

  • Documents submitted to the BAT in a language other than English must be accompanied by a certified translation into English, unless the Arbitrator decides otherwise.
  • The Arbitrator may decide to hold proceedings in another language after consulting with the parties.

Representation and Correspondence

  • Parties may be assisted by counsel or any other person of their choice.
  • All submissions, notifications, and communications with the BAT must be made through the BAT Secretariat.
  • Submissions, notifications, and communications must be transmitted by email only, except in cases where email is not technically feasible.
  • Requests for Arbitration must be filed to the BAT Secretariat's main email address ([email protected]).
  • Claimants must use the template Request for Arbitration provided on the BAT website.

Notification and Communication

  • Notifications and communications from the BAT to the parties or their counsel will be made to the addresses indicated in the Request for Arbitration and the Answer.
  • Parties can specify alternative addresses in writing at a later point in time.
  • If delivery cannot be effected to a party, the Arbitrator may designate a third party to receive notifications and communications on behalf of the party.
  • Any notice or communication delivered to the designated third party will be deemed to have been received by the party.

Submission Requirements

  • If a party submits a document in a non-electronic format, the Arbitrator may request an electronic copy of the submission.

Time Limits and Extensions

  • The Arbitrator determines time limits for filing written submissions or other procedural acts, referencing a specific date.
  • The Arbitrator has the sole discretion to extend time limits or grant new time limits.
  • Requests for extension must be filed before the last day of the relevant time limit, stating the reasons for the request.

Appointment and Declaration of Arbitrator

  • A single Arbitrator is appointed by the BAT President on a rotational basis from the published list of BAT arbitrators.
  • If the appointed Arbitrator becomes unavailable, resigns, is challenged, or declines the appointment, the BAT President appoints another Arbitrator.
  • Before proceeding with arbitration, the Arbitrator must send a written declaration of acceptance and independence to the BAT Secretariat.
  • Parties are informed about the existence and content of the declaration.

Challenging the Arbitrator

  • An Arbitrator can be challenged if circumstances raise legitimate doubts about their independence.
  • Challenges must be brought in writing within seven days after the ground for the challenge becomes known.
  • Challenges are determined exclusively by the BAT President, who rules on the challenge after hearing from all parties and the Arbitrator.

Liability

  • FIBA, the BAT President, BAT Arbitrators, and all personnel involved in a BAT arbitration cannot be held liable for any act or omission in connection with arbitration proceedings, except in cases of grossly negligent or wilful acts or omissions.

Commencement of BAT Arbitration

  • A BAT arbitration commences on the date of receipt of a Request for Arbitration by the BAT Secretariat.

Requirements for a Request for Arbitration

  • The Request for Arbitration must contain:
    • Names, postal addresses, telephone numbers, facsimile numbers, and email addresses of the Claimant and the Respondent and their respective counsel.
    • A statement of all the facts and legal arguments relied upon by the Claimant.
    • The Claimant's request for relief.
    • The total amount of any interest or late payment penalties sought in relation to any period prior to the date of filing of the Request for Arbitration.
    • A copy of any written contract containing the agreement to have the dispute resolved by arbitration before the BAT.
    • All written evidence relied upon by the Claimant.
    • Any request for a hearing and for the examination of witnesses.

Conditions for Proceeding with Arbitration

  • The arbitration will not proceed until the non-reimbursable handling fee is received in the BAT bank account.
  • The BAT Secretariat may fix a final date for the payment of the non-reimbursable handling fee, failing which the Request for Arbitration shall be deemed withdrawn.

Advance on Costs

  • The BAT Secretariat fixes an advance on costs to be paid equally by both parties, unless decided otherwise by the Arbitrator, into the BAT bank account.
  • The advance on costs is determined considering the sum in dispute and the complexity of the case.

Initial Advance on Costs

  • For an award without reasons, the initial advance on costs does not exceed EUR 6,000.
  • If the sum in dispute does not exceed EUR 100,000, the initial advance on costs for an award with reasons does not exceed EUR 9,000.

Consequences of Non-Payment

  • If a party fails to pay its share, the other party may substitute for it.
  • The Arbitrator will not proceed with the arbitration until the full amount of the advance on costs is received.
  • If payment is not made by the final date fixed by the BAT Secretariat, the Request for Arbitration shall be deemed withdrawn.

Counterclaims

  • Article 9 applies equally to counterclaims.

Overview of the Basketball Arbitral Tribunal (BAT)

  • Created by Fédération Internationale de Basketball (FIBA) to resolve disputes in the basketball world
  • Provides an efficient and effective means of resolving disputes through arbitration

Key Features of BAT Arbitration

  • Simple, quick, and inexpensive process
  • Requires cooperation from parties and their counsel
  • Arbitration proceedings conducted before a single arbitrator appointed by the BAT President
  • Arbitrator decides ex aequo et bono (fairness and equity)
  • Hearings held only upon decision by the Arbitrator
  • Seat of arbitration is Geneva, Switzerland
  • Arbitration governed by Chapter 12 of the Swiss Act on Private International Law
  • Language of arbitration is English
  • Use the following arbitration clause to refer disputes to the BAT: "Any dispute arising from or related to the present contract shall be submitted to the Basketball Arbitral Tribunal (BAT) in Geneva, Switzerland and shall be resolved in accordance with the BAT Arbitration Rules by a single arbitrator appointed by the BAT President. The seat of the arbitration shall be Geneva, Switzerland. The arbitration shall be governed by Chapter 12 of the Swiss Act on Private International Law, irrespective of the parties' domicile. The language of the arbitration shall be English."

BAT Vice-President and President

  • BAT Vice-President substitutes for the BAT President whenever necessary
  • BAT President appoints the Arbitrator and decides on challenges to the Arbitrator

Jurisdiction and Applicability

  • BAT has jurisdiction when parties agree in writing to submit disputes to the BAT
  • FIBA and its divisions are not directly involved in the dispute
  • Arbitrator has the power to rule on their own jurisdiction

Procedure and Conduct of Arbitration

  • Arbitrator determines the procedure in the proceedings
  • Parties may be assisted by counsel or other persons of their choice
  • All submissions, notifications, and communications to and from the BAT must be made through the BAT Secretariat
  • Documents in languages other than English must be accompanied by a certified translation

Commencement of Arbitration

  • Arbitration commences on the date of receipt of a Request for Arbitration
  • Request for Arbitration must contain specific information and documents

Advance on Costs and Handling Fee

  • Non-reimbursable handling fee must be received in the BAT bank account before arbitration proceeds
  • Advance on costs is fixed by the BAT Secretariat and paid in equal shares by both parties
  • Arbitration will not proceed until the full amount of the advance on costs is received

Arbitrator's Powers

  • The Arbitrator may make an order for provisional and/or conservatory measures upon request.
  • In cases of extreme urgency, such orders can be made ex parte.

Conditions for Provisional Measures

  • Orders for provisional and/or conservatory measures can be made conditional upon the posting of a security.

Request for Provisional Measures

  • Requests for provisional and/or conservatory measures can only be brought:
    • Together with the filing of a Request for Arbitration.
    • After the filing of a Request for Arbitration.

Waiver of Right to State Court Measures

  • By submitting to these Rules, parties expressly waive any right to request provisional and/or conservatory measures from any state court.

Filing and Prima Facie Determination

  • After filing, the Request for Arbitration shall be forwarded to the BAT President for a prima facie determination.
  • The determination is whether the subject matter of the dispute is arbitrable and the arbitration can thus proceed.

Arbitrator Appointment

  • If the BAT President determines that the arbitration can proceed, he/she shall appoint the Arbitrator (as per Article 8.1).

Consolidation and Deconsolidation of Requests for Arbitration

  • The BAT President or Arbitrator may consolidate two or more Requests for Arbitration into one arbitration if there is a sufficiently close connection between the claims.
  • Claims are deemed to have a sufficiently close connection if they are based on the same contract or contracts that directly relate to each other.
  • Absent exceptional circumstances, claims not based on the same contract or related contracts shall not be consolidated.
  • The BAT President or Arbitrator may also deconsolidate a Request for Arbitration into two or more arbitrations.

Arbitrator's Appointment and Communication

  • The BAT Secretariat informs parties about the Arbitrator's appointment.
  • The Secretariat communicates the Request for Arbitration and the time limit for the Answer to the parties.

Answer Requirements

  • The Answer must contain a defence of lack of jurisdiction.
  • The Answer must include a statement of defence, covering all facts and legal arguments relied upon by the Respondent.
  • The Answer must provide names and addresses of the Respondent and its counsel, if not already stated in the Request for Arbitration.
  • The Answer may include counterclaims and details of the relief sought.
  • The Answer must include all written evidence relied upon by the Respondent.
  • The Answer may request a hearing and the examination of witnesses.

Arbitration Process

  • After the Request for Arbitration and Answer are filed, the Arbitrator decides whether further submissions are necessary.
  • If not necessary, further submissions will not be considered.

Procedural Orders

  • The Arbitrator can issue Procedural Orders, including:
    • Ordering production of additional evidence or parties' responses to specific questions.
    • Giving directions for further proceedings.

Settlement Attempts

  • The Arbitrator is authorized to attempt to bring about a settlement to the dispute.

Suspension of Arbitration

  • The Arbitrator may suspend arbitration upon request by one or both parties.
  • If a suspension exceeds two months (or combined with earlier suspensions), an abeyance fee of EUR 500 applies for each period of up to six months.
  • If the abeyance fee is not paid into the BAT bank account within the set time limit, the Arbitrator may:
    • Lift any existing suspension.
    • Refuse to grant new suspensions until the fee is paid.

Basketball Arbitral Tribunal (BAT)

  • The BAT is a tribunal created by Fédération Internationale de Basketball (FIBA) to provide an efficient and effective means of resolving disputes arising in the world of basketball.
  • The BAT provides a simple, quick, and inexpensive means to resolve disputes, requiring cooperation from parties and their counsel or representatives.

Arbitration Rules

  • The BAT Arbitration Rules are designed to provide a quick and inexpensive means of resolving disputes.
  • The rules require cooperation from parties and their counsel or representatives, including limiting the number of written submissions and adhering to short time limits.
  • The arbitrator decides ex aequo et bono (according to what is fair and good) and hearings are only held upon the arbitrator's decision.

Arbitration Clause

  • The recommended arbitration clause for parties wishing to refer their disputes to the BAT is: "Any dispute arising from or related to the present contract shall be submitted to the Basketball Arbitral Tribunal (BAT) in Geneva, Switzerland and shall be resolved in accordance with the BAT Arbitration Rules by a single arbitrator appointed by the BAT President. The seat of the arbitration shall be Geneva, Switzerland. The arbitration shall be governed by Chapter 12 of the Swiss Act on Private International Law, irrespective of the parties' domicile. The language of the arbitration shall be English. The arbitrator shall decide the dispute ex aequo et bono."

Payment Order Procedure

  • The BAT Arbitration Rules provide for a Payment Order Procedure, which allows parties to file a Payment Order Request instead of a Request for Arbitration.
  • The Payment Order Procedure is conducted in accordance with the BAT Arbitration Rules.
  • Any Final Payment Order issued by the BAT President has the effects of a final and binding arbitral award between the parties to the dispute.

BAT Vice-President

  • The BAT Vice-President substitutes for the BAT President whenever the BAT President so requests or is unable to exercise the functions assigned to him under the Rules.
  • The BAT Vice-President may also substitute for the BAT President in cases of a conflict of interest.

Jurisdiction and Arbitration

  • The BAT has jurisdiction whenever parties to a dispute have agreed in writing to submit the dispute to the BAT.
  • The BAT Arbitrator has the power to rule on his/her own jurisdiction, including on any objection with respect to the existence, scope, or validity of the arbitration agreement.
  • The Arbitrator shall determine in his/her sole discretion the procedure in the proceedings.

Documents and Translations

  • Documents provided to the BAT in a language other than English must be accompanied by a certified translation into the English language, unless the Arbitrator decides otherwise.
  • The Arbitrator may decide, after consultation with the parties, to hold the proceedings in another language.

Parties and Counsel

  • Parties may be assisted by counsel or by any other person of their choice.
  • All submissions, notifications, and other communications to and from the BAT shall be made through the BAT Secretariat.
  • Requests for Arbitration shall be filed to the BAT Secretariat's main email address.

Commencement of Arbitration

  • A BAT arbitration shall commence on the date of receipt by the BAT Secretariat of a Request for Arbitration.
  • The Request for Arbitration shall contain the names, addresses, and contact information of the parties and their counsel, a statement of all the facts and legal arguments, the request for relief, and any written evidence.

Advance on Costs

  • The BAT Secretariat shall fix an advance on costs to be paid in equal shares by both parties, unless decided otherwise by the Arbitrator.
  • The advance on costs is fixed based on the sum in dispute and the complexity of the case.
  • If a party fails to pay its share, the other party may substitute for it.

Arbitrator's Appointment

  • The BAT President appoints the Arbitrator on a rotational basis from the published list of BAT arbitrators.
  • In the event that the Arbitrator is unavailable, resigns, is successfully challenged, or declines the appointment, the BAT President shall appoint another Arbitrator.
  • The Arbitrator shall send a written declaration of acceptance and independence to the BAT Secretariat.

Challenges and Liability

  • An Arbitrator may be challenged if the circumstances give rise to legitimate doubts regarding his/her independence.
  • The challenge shall be brought in writing within seven days after the ground for the challenge has become known to the party making the challenge.
  • FIBA, the BAT President, BAT Arbitrators, and all personnel involved in a BAT arbitration cannot be held liable for any act or omission in connection with arbitration proceedings except in cases of grossly negligent or wilful acts or omissions.

Provisional and Conservatory Measures

  • The Arbitrator may make an order for provisional and/or conservatory measures upon request.
  • Orders for provisional and/or conservatory measures can be made conditional upon the posting of a security.
  • Requests for provisional and/or conservatory measures can only be brought together with or after the filing of a Request for Arbitration.

Prima Facie Determination

  • The BAT President makes a prima facie determination whether the subject matter of the dispute is arbitrable and the arbitration can thus proceed.
  • If the BAT President determines that the arbitration can proceed, he/she shall appoint the Arbitrator.

Consolidation and Deconsolidation

  • The BAT President (or the Arbitrator, once appointed) may consolidate two or more Requests for Arbitration into one arbitration.
  • The BAT President (or the Arbitrator, once appointed) may deconsolidate a Request for Arbitration into two or more arbitrations.
  • The BAT President (or the Arbitrator, once appointed) shall take into account whether there is a sufficiently close connection between the claims and whether they are subject to arbitration clauses that are identical in substance.

Further Proceedings

  • After the filing of the Request for Arbitration and the Answer, the Arbitrator shall determine in his/her sole discretion whether a further exchange of submissions is necessary.
  • The Arbitrator may also issue any Procedural Order, including ordering the production of evidence or giving directions for the further proceedings.
  • The Arbitrator is authorized to attempt to bring about a settlement to the dispute.
  • The Arbitrator may suspend the arbitration upon request by one or both parties, subject to the payment of an abeyance fee.

Arbitration Proceedings

  • Hearings are not mandatory in arbitration proceedings under these Rules, but may be held if deemed necessary by the Arbitrator after consulting with the parties.

Hearings

  • Hearings before the BAT (Board of Arbitration and Tribunal) are private.

Arbitrator's Discretion

  • The Arbitrator has sole discretion to decide whether to hold a hearing via telephone, video conference, or in person, and determine the location of an in-person hearing.

Conditions for Hearings

  • The Arbitrator may require an additional advance on costs from one or both parties as a condition for holding a hearing.

Witness Testimony

  • Witnesses must be invited to tell the truth, and the Arbitrator must inform them that false testimony may lead to criminal sanctions.

Party Responsibilities

  • Parties are responsible for ensuring the availability of their witnesses and must bear any costs and expenses related to their testimony.

Article 13.1 Hearings

  • Definition of Article 13.1 hearings: oral proceedings conducted by the European Patent Office (EPO) in relation to European patent applications.
  • Purpose of the hearing: to provide an opportunity for the applicant to present their case orally and for the Examining Division to discuss and clarify issues related to the patent application.

Conduct of the Hearing

  • The Examining Division, composed of one or more EPO employees, conducts the hearing.
  • The applicant or their representative can attend the hearing in person or via video conference.
  • The hearing is informal, not a formal trial.

Preparation

  • Review the patent application, search report, and any office actions before the hearing.
  • Prepare a clear and concise presentation of the invention and arguments in favor of patentability.

Consequences

  • The outcome of the hearing may result in patent granting, further office action, or application refusal.
  • The decision made during the hearing is not final and can be appealed to the Boards of Appeal.

Tips and Strategies

  • Be prepared to answer questions from the Examining Division and address any objections raised.
  • Focus on key issues and try to find common ground with the Examining Division.
  • Maintain a respectful and professional demeanor and communication during the hearing.

BAT Procedures

  • BATNA (Best Alternative to a Negotiation) is a crucial concept in Article 13.1 hearings, referring to the best outcome a party can achieve if negotiations fail.
  • BATNA Analysis is a process to identify and evaluate alternatives to a negotiated agreement.
  • BAT Procedures are a structured approach to analyze BATNAs, ensuring that parties are prepared for negotiations and potential hearings.

Key Steps in BAT Procedures

  • Identify Interests: determine the underlying interests and needs of each party.
  • Generate Options: develop a range of potential solutions.
  • Evaluate Options: assess the strengths and weaknesses of each option.
  • Select a BATNA: choose the best alternative to a negotiated agreement.

Private Hearings

  • Private Hearings are confidential, informal meetings between parties to an Article 13.1 hearing, facilitated by a neutral third-party expert.
  • The purpose of Private Hearings is to facilitate open communication, explore potential solutions, and narrow down issues.

Characteristics of Private Hearings

  • Confidential: discussions and information shared are not disclosed to the public or other parties.
  • Informal: no formal procedures or rules of evidence apply.
  • Neutral: facilitated by an expert with no stake in the outcome.

Benefits of Private Hearings

  • Improved Communication: encourages open and honest dialogue between parties.
  • Increased Flexibility: allows parties to explore creative solutions without committing to a specific outcome.
  • Efficient Resolution: can help resolve disputes more quickly and efficiently than traditional hearings.

Consequences of Non-Compliance

  • Failure to submit a Request for Arbitration in accordance with Articles 6.1, 6.2, and 9.1, despite being requested to provide missing elements, may result in the Request being deemed withdrawn by the BAT President.
  • The Arbitrator has the same powers regarding counterclaims if a Claimant fails to submit a Request for Arbitration.

Consequences of Respondent's Non-Compliance

  • Failure to submit an Answer or submitting an incomplete Answer in accordance with Article 11.4 allows the Arbitrator to proceed with the arbitration and deliver an award.
  • The Arbitrator may also proceed with the arbitration and deliver an award if a party fails to:
    • Abide by a Procedural Order or other directions given by the Arbitrator.
    • Appear at a hearing.

Arbitration Procedure

  • The Arbitrator has the power to decide a dispute ex aequo et bono, meaning they apply general considerations of justice and fairness without referencing any specific national or international law.

Decision-Making Authority

  • If the parties have agreed that the Arbitrator cannot decide ex aequo et bono, the Arbitrator will decide the dispute according to the rules of law chosen by the parties.
  • If the parties have not chosen the rules of law, the Arbitrator will decide according to the rules they deem appropriate.

Applicable Law

  • The parties are responsible for establishing the contents of the applicable rules of law.
  • If the contents of the applicable rules of law have not been established, Swiss law will apply instead.

Arbitrator's Decision-Making Process

  • The Arbitrator decides disputes ex aequo et bono, applying general considerations of justice and fairness.
  • This approach does not involve reference to any particular national or international law.

Alternative Decision-Making Process

  • If the parties have an express and specific agreement that the Arbitrator cannot decide ex aequo et bono, then the Arbitrator:
    • Decides the dispute according to the rules of law chosen by the parties.
    • In the absence of a specific choice, decides according to the rules of law deemed appropriate by the Arbitrator.

The Basketball Arbitral Tribunal (BAT)

  • The BAT was created by Fédération Internationale de Basketball (FIBA) to provide an efficient and effective means of resolving disputes arising in the world of basketball.
  • The BAT is designed to provide a simple, quick, and inexpensive means of resolving disputes.
  • The BAT arbitration proceedings are conducted before a single arbitrator appointed by the BAT President.

Arbitration Rules

  • The BAT Arbitration Rules (the "Rules") require cooperation between parties and their counsel or representative.
  • The Rules are designed to provide a simple, quick, and inexpensive means of resolving disputes.
  • Parties wishing to refer their disputes to the BAT must use a specific arbitration clause in their contracts.

The Arbitration Procedure

  • The arbitration procedure commences on the date of receipt by the BAT Secretariat of a Request for Arbitration.
  • The Request for Arbitration must contain specific information, including the names and addresses of the parties, a statement of facts and legal arguments, and the relief sought.
  • The arbitration will not proceed until the non-reimbursable handling fee is received in the BAT bank account.

The Arbitrator

  • The Arbitrator is appointed by the BAT President.
  • The Arbitrator has the power to rule on his/her own jurisdiction.
  • The Arbitrator may decide to hold a hearing, and may also issue Procedural Orders.

Challenges to the Arbitrator

  • An Arbitrator may be challenged if circumstances give rise to legitimate doubts regarding his/her independence.
  • Challenges are determined exclusively by the BAT President.

Liability and Immunity

  • FIBA, the BAT President, BAT Arbitrators, and all personnel involved in a BAT arbitration cannot be held liable for any act or omission in connection with arbitration proceedings, except in cases of grossly negligent or wilful acts or omissions.

Provisional and Conservatory Measures

  • The Arbitrator may make orders for provisional and/or conservatory measures.
  • Orders for provisional and/or conservatory measures can be made conditional upon the posting of a security.

Settlement

  • The Arbitrator may attempt to bring about a settlement to the dispute.

Hearings

  • Hearings are not held in arbitration proceedings under these Rules unless the Arbitrator decides to hold a hearing after consultation with the parties.
  • Hearings are held in private.
  • The Arbitrator determines in his/her sole discretion whether a hearing is to be held by telephone or video conference or whether and where a hearing in person is to be held.

Evidence

  • The parties are responsible for the availability of their witnesses and shall bear any costs and expenses related to their testimony.### Arbitration Decision-Making

  • The Arbitrator's default approach is to decide the dispute ex aequo et bono, applying general considerations of justice and fairness without reference to any particular national or international law.

Alternative Dispute Resolution Approach

  • If the parties have an express and specific agreement, the Arbitrator can decide the dispute according to the rules of law chosen by the parties.
  • In the absence of a choice, the Arbitrator decides according to the rules of law they deem appropriate.
  • The parties are responsible for establishing the contents of the applicable rules of law.
  • If the contents of the applicable rules of law are not established, Swiss law applies by default.

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