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Introduction1

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 Tribunals7

Section Ⅰ Introduction7

Section Ⅱ Representation and Agency10

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

Section Ⅳ Universal and Individual Transfers18

Section Ⅴ Estoppel20

Section Ⅵ Incorporation by Reference29

Section Ⅶ Consent or Conduct as an Expression of Implied Consent or as an Alternative to Consent32

Section Ⅷ Existence Between the Parties of a Community of Rights and Interests39

Section Ⅸ Confusion and Fraud;Alter Ego and Piercing the Corporate Veil43

Section Ⅹ Equity and Good Administration of Justice47

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 Doctrine49

Section Ⅱ The Impact of the Requirement That the Arbitration Clause Be in Writing52

Section Ⅲ Analysis of Case Law54

Sub-section Ⅰ The Factual Schemes54

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

Ⅰ.Extension to the Parent Company55

Ⅱ.Extension to a State62

Ⅲ.Extension to One or More Subsidiaries or One or More Companies of the Group That Are Not Subsidiaries69

Ⅳ.Extension to a Sister Corporation and an Employee75

Ⅴ.Extension to Another Company,Unrelated to the Signatory76

Ⅵ.Extension to a Director or General Manager or CEO or to the Owner of the Group77

Ⅶ.Extension to an Individual (Possibly a Majority Shareholder of the Group) and Another Company Within the Group81

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

Ⅰ.Extension to the Parent Company84

Ⅱ.Extension to a State85

Ⅲ.Extension to an Individual (Possibly a Majority Shareholder of the Group) and Other Companies Within the Group88

Ⅳ.Extension to One or More Subsidiaries or One or More Companies Within the Group That Are Not Subsidiaries90

Ⅴ.Extension to a Director and Principal Shareholder96

Section Ⅳ Conclusions96

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 Contracts101

Section Ⅰ Introduction101

Section Ⅱ Groups of Contracts101

Sub-section Ⅰ The Issues and the Various Contractual Schemes101

Sub-section Ⅱ General Remarks104

Sub-section Ⅲ Basic Principles105

Section Ⅲ Analysis of Case Law108

Sub-section Ⅰ The Parties Are Different but the Contracts Contain the Same Arbitration Clause or at Least the Clauses Are Compatible109

Ⅰ.Awards Refusing Consolidated Jurisdiction and Eventually Taking the Connected Contract into Consideration109

Ⅱ.Awards and Decisions Accepting Consolidated Jurisdiction111

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 Clause114

Ⅰ.Incompatible Arbitration Clauses114

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 Clause120

Ⅳ.Even If an Arbitral Tribunal Does Not Have Jurisdiction on a Contract,It May Take It into Consideration126

Ⅴ.The Issue of Bank Guarantees129

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 Decisions133

Ⅰ.Connected Agreements.Absence of an Arbitration Clause in One of Them133

Ⅱ.Incompatible Arbitration Clauses137

Ⅲ.One or More Contracts containing an Arbitration Clause and One Containing a Jurisdiction Clause138

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 Awards140

Ⅰ.Identical Arbitration Clauses140

Ⅱ.One or More Contracts Contain an Arbitration Clause (Identical or Compatible);the Other(s) Does (Do) Not141

Ⅲ.One Contract Containing an Arbitration Clause,Another One Containing a Jurisdiction Clause152

Ⅳ.Incompatible Arbitration Clauses and the Difference between Giving Effect to an Agreement and Taking this Agreement into Consideration154

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

Sub-section Ⅴ Conclusions160

Chapter Ⅳ Joinder of Parties and Joinder of Claims:Voluntary and Compelled Intervention of Third Parties,Cross-claims and Consolidation163

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 Arbitration166

Sub-section Ⅱ Institutional Arbitration168

Ⅰ.ICC Arbitration169

A.The Old Approach169

B.The New Approach171

Ⅱ.Other Institutions175

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 Overview179

Sub-section Ⅱ Consolidation by the Institution180

Ⅰ.The ICC Rules180

Ⅱ.CEPANI Rules183

Sub-section Ⅲ Consolidation by the Court185

Sub-section Ⅳ ICSID and NAFTA188

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

Section Ⅶ Briefs Amicus Curiae192

Sub-section Ⅰ NAFTA193

Sub-section Ⅱ ICSID195

Sub-section Ⅲ Other Conventions196

Chapter Ⅴ Setting in Motion of Arbitral Proceedings and Appointment of Arbitrators197

Section Ⅰ Setting in motion of arbitral proceedings197

Sub-section Ⅰ Decisions Involving Multiple Respondents198

Sub-section Ⅱ Decisions Involving Multiple Claimants199

Section Ⅱ Appointment of Arbitral Tribunal200

Chapter Ⅵ Arbitration Proceedings209

Section Ⅰ Specific Issues That May Arise in the Course of the Arbitral Proceedings209

Sub-section Ⅰ Opposability of the Name-borrowing Provision209

Sub-section Ⅱ Pass-through Claims210

Sub-section Ⅲ Direct Action of the Subcontractor Against the Employer213

Sub-section Ⅳ Determination of the Law Applicable to the Various Contracts of the Contractual Chain214

Sub-section Ⅴ Joint Responsibility for Debts Incurred by a Company of the Group and Set-off216

Section Ⅱ How to Minimise the Difficulties That Can Arise from Separately Conducted Parallel Arbitral Hearings218

Sub-section Ⅰ Appointment of the Same Arbitrators218

Sub-section Ⅱ Communication of Information or Documents Obtained in Another Arbitration219

Sub-section Ⅲ Independence and Impartiality of the Arbitrator Appointed in Parallel Cases220

Sub-section Ⅳ How to Alleviate the Inconveniences That Can Result from the Existence of Parallel Arbitrations223

Chapter Ⅶ Enforcement of the Arbitral Award227

Chapter Ⅷ The Res Judicata Effect of an Award Rendered in a Connected Arbitration Arising from the Same Project239

Section Ⅰ Res Judicata,a General Principle of International Law Recognised by Civilised Nations239

Sub-section Ⅰ The Principle of Res Judicata in International Law239

Sub-section Ⅱ Res Judicata in National Legal Systems242

Ⅰ.Res Judicata in English Law242

Ⅱ.Res Judicata in Civil Law Legislation243

Section Ⅱ Res Judicata Applied to Arbitral Awards246

Chapter Ⅸ Classwide Arbitration257

Section Ⅰ The Issues257

Section Ⅱ Presentation of the Class Action Model:Conditions,Advantages and Disadvantages260

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 Case264

Section Ⅳ The Determination Whether a Particular Agreement Authorises or Prohibits Classwide Arbitration266

Sub-section Ⅰ No General Class Action Exemption from Arbitration266

Sub-section Ⅱ Agreements Authorising Classwide Arbitration267

Sub-section Ⅲ Agreements Prohibiting Classwide Arbitration267

Sub-section Ⅳ Silent Agreements271

Section Ⅴ Classwide Arbitration Procedure274

Section Ⅵ Is Classwide Arbitration Desirable?276

Section Ⅶ Institutional Rules for Class Arbitrations277

Appendix 1 A Selection of Provisions on Multiparty Arbitration in International Conventions,National Legislations and Institutional Rules281

Ⅰ.International Conventions281

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 2005285

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

Ⅱ.National Legislations289

A.Australian International Arbitration Act 1974289

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

C.Canada291

D.English Arbitration Act 1996292

E.Netherlands Arbitration Act.1 December 1986 Code of Civil Procedure.Book Four:Arbitration292

F.Hong Kong Arbitration Ordinance,effective 27 June 1997294

G.Ireland's Arbitration (International Commercial) Act 1998294

H.New Zealand Arbitration Act 1996295

I.The Spanish Law 60/2003 of 23 December on Arbitration297

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

Ⅲ.Institutional Rules298

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 1,1998302

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 Clauses313

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 Transaction313

Ⅱ.Clause Referred to in ICC Case no.5333 of 1986318

Ⅲ.The Eurodisney Arbitration Clause321

Ⅳ.Another Model Multiparty Arbitration Clause325

Ⅴ.Clause Referred to in ICC Case no.8708 of 1997330

Ⅵ.Clause Referred to in ICC Award no.7844 of 1994330

Ⅶ.Further Clauses330

Appendix 3 Institutional Rules for Class Arbitrations339

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 Awards351

Selected Bibliography357

Subject Index385