COMPLEX ARBITRATIONS MULTIPARTYPDF电子书下载

Introduction 1

Chapter Ⅰ Who are the Parties to the Contract(s) or to the Arbitration Clause(s) Contained Therein?The Theories Applied by Courts and Arbitral Tribunals 7

Section Ⅰ Introduction 7

Section Ⅱ Representation and Agency 10

Section Ⅲ Third-party Beneficiaries and Guarantee Clauses (clauses de porte-for) 14

Section Ⅳ Universal and Individual Transfers 18

Section Ⅴ Estoppel 20

Section Ⅵ Incorporation by Reference 29

Section Ⅶ Consent or Conduct as an Expression of Implied Consent or as an Alternative to Consent 32

Section Ⅷ Existence Between the Parties of a Community of Rights and Interests 39

Section Ⅸ Confusion and Fraud;Alter Ego and Piercing the Corporate Veil 43

Section Ⅹ Equity and Good Administration of Justice 47

Chapter Ⅱ May an Arbitration Clause be Extended to Non-signatories:Individuals,States or Other Companies of the Group? 49

Section Ⅰ Introduction.The So-Called Group of Companies Doctrine 49

Section Ⅱ The Impact of the Requirement That the Arbitration Clause Be in Writing 52

Section Ⅲ Analysis of Case Law 54

Sub-section Ⅰ The Factual Schemes 54

Sub-section Ⅱ Extension to One or More Non-Signatories as Additional Defendant(s) 55

Ⅰ.Extension to the Parent Company 55

Ⅱ.Extension to a State 62

Ⅲ.Extension to One or More Subsidiaries or One or More Companies of the Group That Are Not Subsidiaries 69

Ⅳ.Extension to a Sister Corporation and an Employee 75

Ⅴ.Extension to Another Company,Unrelated to the Signatory 76

Ⅵ.Extension to a Director or General Manager or CEO or to the Owner of the Group 77

Ⅶ.Extension to an Individual (Possibly a Majority Shareholder of the Group) and Another Company Within the Group 81

Sub-section Ⅲ Extension to One or More Non-signatories as Additional Claimant(s) 84

Ⅰ.Extension to the Parent Company 84

Ⅱ.Extension to a State 85

Ⅲ.Extension to an Individual (Possibly a Majority Shareholder of the Group) and Other Companies Within the Group 88

Ⅳ.Extension to One or More Subsidiaries or One or More Companies Within the Group That Are Not Subsidiaries 90

Ⅴ.Extension to a Director and Principal Shareholder 96

Section Ⅳ Conclusions 96

Chapter Ⅲ The Possibility of Bringing Together in One Single Proceeding all the Parties who have Participated in the Performance of One Economic Transaction through Interrelated Contracts 101

Section Ⅰ Introduction 101

Section Ⅱ Groups of Contracts 101

Sub-section Ⅰ The Issues and the Various Contractual Schemes 101

Sub-section Ⅱ General Remarks 104

Sub-section Ⅲ Basic Principles 105

Section Ⅲ Analysis of Case Law 108

Sub-section Ⅰ The Parties Are Different but the Contracts Contain the Same Arbitration Clause or at Least the Clauses Are Compatible 109

Ⅰ.Awards Refusing Consolidated Jurisdiction and Eventually Taking the Connected Contract into Consideration 109

Ⅱ.Awards and Decisions Accepting Consolidated Jurisdiction 111

Sub-section Ⅱ The Parties Are Different and the Contracts Do Not Contain Identical or Compatible Arbitration Clauses or One of Them Does Not Contain an Arbitration Clause 114

Ⅰ.Incompatible Arbitration Clauses 114

Ⅱ.Arbitration Clause(s) and Jurisdiction Clause(s) 118

Ⅲ.One or More Identical or Compatible Arbitration Clauses and One or More Contracts without Arbitration Clause 120

Ⅳ.Even If an Arbitral Tribunal Does Not Have Jurisdiction on a Contract,It May Take It into Consideration 126

Ⅴ.The Issue of Bank Guarantees 129

Sub-section Ⅲ The Parties Are the Same and They Have Concluded Two or More Contracts,One Without an Arbitration Clause,or Containing a Clause Which Gives Jurisdiction to National Courts,or Another Incompatible Arbitration Clause.Court Decisions 133

Ⅰ.Connected Agreements.Absence of an Arbitration Clause in One of Them 133

Ⅱ.Incompatible Arbitration Clauses 137

Ⅲ.One or More Contracts containing an Arbitration Clause and One Containing a Jurisdiction Clause 138

Sub-section Ⅳ May an Arbitral Tribunal Hearing a Dispute that Arises Principally from a Specific Contract Decide Issues Arising from Connected Agreements Entered into by the Same Parties when One of them Does Not Contain an Arbitration Clause or Contains a Clause which Gives Jurisdiction to National Courts or another Incompatible Arbitration Clause?Arbitral Awards 140

Ⅰ.Identical Arbitration Clauses 140

Ⅱ.One or More Contracts Contain an Arbitration Clause (Identical or Compatible);the Other(s) Does (Do) Not 141

Ⅲ.One Contract Containing an Arbitration Clause,Another One Containing a Jurisdiction Clause 152

Ⅳ.Incompatible Arbitration Clauses and the Difference between Giving Effect to an Agreement and Taking this Agreement into Consideration 154

Ⅴ.Different Wording of the Clauses.Are They Incompatible? 157

Sub-section Ⅴ Conclusions 160

Chapter Ⅳ Joinder of Parties and Joinder of Claims:Voluntary and Compelled Intervention of Third Parties,Cross-claims and Consolidation 163

Section Ⅰ Who are the Parties to the Arbitral Proceedings? 164

Section Ⅱ May a Non-Party to the Arbitration Intervene in the Proceedings? 165

Section Ⅲ May a Party to the Arbitration Proceedings Join a Non-Party in the Course of the Procedure? 166

Sub-section Ⅰ Ad Hoc Arbitration 166

Sub-section Ⅱ Institutional Arbitration 168

Ⅰ.ICC Arbitration 169

A.The Old Approach 169

B.The New Approach 171

Ⅱ.Other Institutions 175

Section Ⅳ May a Respondent to the Arbitration Procedure File a Cross-claim against Another Respondent in the Same Arbitration? 178

Section V To What Extent is it Possible To Consolidate Two Related Arbitration Proceedings? 179

Sub-section Ⅰ Overview 179

Sub-section Ⅱ Consolidation by the Institution 180

Ⅰ.The ICC Rules 180

Ⅱ.CEPANI Rules 183

Sub-section Ⅲ Consolidation by the Court 185

Sub-section Ⅳ ICSID and NAFTA 188

Section Ⅵ Is There a Duty to Bring into the Arbitration Proceedings All the Parties to the Agreement? 191

Section Ⅶ Briefs Amicus Curiae 192

Sub-section Ⅰ NAFTA 193

Sub-section Ⅱ ICSID 195

Sub-section Ⅲ Other Conventions 196

Chapter Ⅴ Setting in Motion of Arbitral Proceedings and Appointment of Arbitrators 197

Section Ⅰ Setting in motion of arbitral proceedings 197

Sub-section Ⅰ Decisions Involving Multiple Respondents 198

Sub-section Ⅱ Decisions Involving Multiple Claimants 199

Section Ⅱ Appointment of Arbitral Tribunal 200

Chapter Ⅵ Arbitration Proceedings 209

Section Ⅰ Specific Issues That May Arise in the Course of the Arbitral Proceedings 209

Sub-section Ⅰ Opposability of the Name-borrowing Provision 209

Sub-section Ⅱ Pass-through Claims 210

Sub-section Ⅲ Direct Action of the Subcontractor Against the Employer 213

Sub-section Ⅳ Determination of the Law Applicable to the Various Contracts of the Contractual Chain 214

Sub-section Ⅴ Joint Responsibility for Debts Incurred by a Company of the Group and Set-off 216

Section Ⅱ How to Minimise the Difficulties That Can Arise from Separately Conducted Parallel Arbitral Hearings 218

Sub-section Ⅰ Appointment of the Same Arbitrators 218

Sub-section Ⅱ Communication of Information or Documents Obtained in Another Arbitration 219

Sub-section Ⅲ Independence and Impartiality of the Arbitrator Appointed in Parallel Cases 220

Sub-section Ⅳ How to Alleviate the Inconveniences That Can Result from the Existence of Parallel Arbitrations 223

Chapter Ⅶ Enforcement of the Arbitral Award 227

Chapter Ⅷ The Res Judicata Effect of an Award Rendered in a Connected Arbitration Arising from the Same Project 239

Section Ⅰ Res Judicata,a General Principle of International Law Recognised by Civilised Nations 239

Sub-section Ⅰ The Principle of Res Judicata in International Law 239

Sub-section Ⅱ Res Judicata in National Legal Systems 242

Ⅰ.Res Judicata in English Law 242

Ⅱ.Res Judicata in Civil Law Legislation 243

Section Ⅱ Res Judicata Applied to Arbitral Awards 246

Chapter Ⅸ Classwide Arbitration 257

Section Ⅰ The Issues 257

Section Ⅱ Presentation of the Class Action Model:Conditions,Advantages and Disadvantages 260

Section Ⅲ Is it for the Courts or the Arbitrator(s) to Decide Whether a Class Action May Be Submitted to Arbitration:The Green Tree Case 264

Section Ⅳ The Determination Whether a Particular Agreement Authorises or Prohibits Classwide Arbitration 266

Sub-section Ⅰ No General Class Action Exemption from Arbitration 266

Sub-section Ⅱ Agreements Authorising Classwide Arbitration 267

Sub-section Ⅲ Agreements Prohibiting Classwide Arbitration 267

Sub-section Ⅳ Silent Agreements 271

Section Ⅴ Classwide Arbitration Procedure 274

Section Ⅵ Is Classwide Arbitration Desirable? 276

Section Ⅶ Institutional Rules for Class Arbitrations 277

Appendix 1 A Selection of Provisions on Multiparty Arbitration in International Conventions,National Legislations and Institutional Rules 281

Ⅰ.International Conventions 281

A.NAFTA (North American Free Trade Agreement) 281

B.Draft Model Agreement on International Investment prepared by the International Institute for a Sustainable Development,January 2005 285

C.United States Model Bilateral Investment Treaty (2004) 287

Ⅱ.National Legislations 289

A.Australian International Arbitration Act 1974 289

B.Belgian Judicial Code,Part VI (4 July 1972) 291

C.Canada 291

D.English Arbitration Act 1996 292

E.Netherlands Arbitration Act.1 December 1986 Code of Civil Procedure.Book Four:Arbitration 292

F.Hong Kong Arbitration Ordinance,effective 27 June 1997 294

G.Ireland's Arbitration (International Commercial) Act 1998 294

H.New Zealand Arbitration Act 1996 295

I.The Spanish Law 60/2003 of 23 December on Arbitration 297

J.USA.Federal Rules of Civil Procedure (2003) 298

Ⅲ.Institutional Rules 298

A.Rules of Arbitration of the International Chamber of Commerce (ICC) (effective 1 January 1998) 298

B.American Arbitration Association (effective 1 July 2003) 298

C.Association Francaise d'Arbitrage (AFA) 299

D.Rules of Arbitration and Conciliation of the International Arbitral Centre of the Austrian Federal Economic Chamber (Vienna Rules) (effective 1 January 2001) 299

E.CEPANI Arbitration Rules (effective 1 January 2000) 300

F.The Chartered Institute of Arbitrators Arbitration Rules (2000 edn) (effective 1 December 1999) 301

G.China International Economic and Trade Arbitration Commission (CIETAC) Rules (effective May 1,2005) 302

H.Rules of the Deutsche Institution fur Schiedsgerichtsbarkeit (DIS) in force as of July 1,1998 302

I.Rules of Proceedings of the Court of Arbitration attached to the Hungarian Chamber of Commerce and Industry (effective April 1,2000) 303

J.The Japan Commercial Arbitration Association Commercial Arbitration Rules (effective 1 st March 2004) 303

K.Arbitration Rules of the London Court of International Arbitration (LCIA) (effective 1 January 1998) 305

L.London Maritime Arbitration Association Rules (effective 1 January 2002) 305

M.Rules of Arbitration of the Milan Chamber of Commerce (effective 1 January 2004) 306

N.Arbitration Rules of the Netherlands Arbitration Institute (effective 13 November 2001) 306

O.Rules of the Singapore International Arbitration Center (effective 22 October 1997) 307

R Swiss Rules of International Arbitration (effective 1 January 2004) 307

Q.Court of Arbitration for Sport (CAS) (in force since 22 November 1994) 309

R.WIPO Arbitration and Mediation Rules (effective 1 October 2002) 310

Appendix 2 A Selection of Multiparty-Multicontract Arbitration Clauses 313

Ⅰ.Proposed Multi-party Arbitration Agreement for an International Joint Venture in which a Number of Contracts are Made Among Diverse Parties with a View to Realizing a Common Economic Transaction 313

Ⅱ.Clause Referred to in ICC Case no.5333 of 1986 318

Ⅲ.The Eurodisney Arbitration Clause 321

Ⅳ.Another Model Multiparty Arbitration Clause 325

Ⅴ.Clause Referred to in ICC Case no.8708 of 1997 330

Ⅵ.Clause Referred to in ICC Award no.7844 of 1994 330

Ⅶ.Further Clauses 330

Appendix 3 Institutional Rules for Class Arbitrations 339

Ⅰ.American Arbitration Association Supplementary Rules for Class Arbitrations (effective 8 October 2003) 339

Ⅱ.JAMS Class Action Procedures (February 2005) 346

Appendix 4 The New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards 351

Selected Bibliography 357

Subject Index 385