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E-grāmata: Transnational Construction Arbitration: Key Themes in the Resolution of Construction Disputes

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Transnational Construction Arbitration addresses topical issues in the field of dispute resolution in construction contracts from an international perspective. The book covers the role of arbitral institutions, arbitration and dispute resolution clauses, expert evidence, dispute adjudication boards and emergency arbitrator procedures, investment arbitration and the enforcement of arbitral awards. These topics are addressed by leading experts in the field, thus providing an insightful analysis that should be of interest for practitioners and academics alike.

Foreword xiii
Biographies xv
Table of cases xxiii
Table of legislation xxxvii
Table of international treaties and conventions xli
Table of arbitration rules xliii
Chapter 1 Introduction 1(4)
Renato Nazzini
Objective
1(1)
Structure
2(1)
Approach
3(2)
Chapter 2 The Law Governing The Arbitration Agreement: A Transnational Solution? 5(20)
Renato Nazzini
Introduction
5(1)
The need for a separate inquiry into the law governing the arbitration agreement
6(4)
The first candidate approach: the law applicable to the main contract
10(2)
The second candidate approach: the law of the seat
12(4)
The third candidate approach: transnational rules
16(3)
Overcoming the challenges of a transnational approach
19(4)
The non-discrimination principle
19(2)
The estoppel principle
21(1)
The validation principle
22(1)
Conclusions
23(2)
Chapter 3 Multi-Tier Dispute Resolution Clauses In Construction Contracts 25(8)
Vivian Ramsey
Introduction
25(1)
Typical multi-tier clauses
25(1)
Problems with multi-tier clauses
26(1)
Enforceability of multi-tier clauses
27(5)
Conclusion
32(1)
Chapter 4 The Rise Of Arbitral Institutions And Their Role In Private Dispute Resolution 33(15)
John Uff
Origin of institutions
33(1)
Arbitration in the modern era
34(2)
Conduct of arbitration
36(1)
Fund holding
37(1)
Arbitrator's fees
38(1)
Terms of reference
39(1)
Challenges to arbitrators
40(1)
Ethics and conduct of advocates
41(1)
Scrutiny of awards
42(2)
Discussion and conclusions
44(4)
Chapter 5 Arbitration And The Expanding Circle Of Consenting Parties: Joinder Of Additional Parties And Consolidation Of Related Claims 48(15)
Neil Andrews
Introduction
48(1)
The voluntary principle (need for party consent)
48(1)
The way ahead
49(1)
Current arbitration mechanisms of joinder and consolidation
49(1)
Joinder of an additional party (or set of additional parties)
49(1)
Consolidation
49(1)
Principles relevant to joinder and consolidation in arbitration law
50(1)
Principle 1: party consent and the voluntary principle
50(1)
Principle 2: procedural privity
50(1)
Principle 3: enforcement only against a true party
51(1)
Principle 4: consumer protection
51(1)
Access to arbitration under the English contractual third party beneficiary statute
51(4)
Exclusion of the Contracts (Rights of Third Parties) Act 1999 by the contracting parties
51(1)
Section 8(1), Contracts (Rights of Third Parties) Act 1999
52(2)
Section 8(2), Contracts (Rights of Third Parties) Act 1999: a pure right of arbitration conferred on a third party
54(1)
Opt-in multi-party arbitration
55(1)
Representative proceedings and opt-out systems
55(1)
Revisiting 'party consent'
55(1)
Multilateral contracts: the foundation for arbitration contractual networks
56(3)
Arbitral institutions deciding to link arms to create a network of common rules regulating joinder and consolidation
59(1)
Representative proceedings permitting multi-party arbitration on a large scale
59(2)
Embedding the new approach
61(1)
Concluding remarks
61(2)
Chapter 6 Multi-Party Arbitration Under Institutional Rules 63(15)
Andrea Carlevaris
Introduction
63(1)
Institutional rules on complex arbitrations: the respective roles of institutions and arbitrators
64(1)
The administration of complex arbitrations under the ICC Rules
65(1)
Joinder of additional parties
65(5)
Automatic nature of the joinder and prima facie assessment of the court
65(1)
The procedure
66(3)
Requirements for joinder
69(1)
The appointment of arbitrators
70(1)
Claims between multiple parties
70(2)
Purpose and scope
70(1)
Procedure
70(2)
Multi-contract arbitrations
72(1)
Consolidation
73(4)
Notion and purpose
73(1)
Agreement to consolidate
73(1)
Same arbitration agreement
74(1)
Different arbitration agreements
75(1)
Discretional nature of the decision
76(1)
Formalities
76(1)
Conclusions
77(1)
Chapter 7 Role Of Expert Witnesses In Construction Arbitration: Delay And Disruption And Quantum Issues 78(20)
Gideon E. Kamya-Lukoda
Anthony J. Morgan
Overview
78(1)
Independence
79(1)
The nature of construction projects
79(1)
Common issues faced on complex capital projects
80(2)
Multiple stakeholders with conflicting interests
80(1)
The effect of skills shortages
80(1)
The importance of sound governance
81(1)
The scope of work for an expert witness
82(1)
Project management of the expert witness evidence process
83(1)
General challenges in undertaking delay analysis
84(3)
Substantiating the facts
84(1)
The quality of records and information
84(1)
Languages
84(1)
Working to a timescale - proportionality
85(1)
Identifying the baseline
85(1)
Determining completion
86(1)
The manipulation of schedules
86(1)
Concurrency of delay events
87(1)
Uncertainty in forecasting outcomes
87(2)
Delay analysis methods
89(1)
Delay analysis techniques
90(5)
As-Planned v As-Built
92(1)
Impacted As-Planned
92(1)
Sequential addition of delays
92(1)
'But for' approach to adding delays
93(1)
Collapsed As-Built
93(1)
Time impact analysis
94(1)
Pragmatic technique
94(1)
Effective articulation of the delay analysis results
95(2)
Conclusion
97(1)
Chapter 8 Construction Contracts As 'Investments' For The Purposes Of Investment Treaty Arbitrations 98(13)
Virginie Colaiuta
William Laurence Craig
Introduction
98(1)
Definition of 'investment'
98(6)
Foreign investments in proceedings conducted according to the ICSID Convention
98(2)
Definitions of foreign investment in investment treaties
100(1)
Definition of foreign investment under the ICSID Convention
101(3)
How claims relating to construction contracts have been considered
104(6)
When construction contracts have constituted 'investments'
104(3)
When construction contracts have not constituted an 'investment'
107(1)
Construction projects versus stand-alone engineering contracts
108(2)
Conclusions
110(1)
Chapter 9 Expropriation Of Contractual Rights In Investment Treaty Arbitration 111(10)
Marco Bollini
Virginie Colaiuta
Introduction
111(1)
General principles surrounding the expropriation of contractual rights
111(5)
Sovereign capacity
113(2)
Sovereign right to regulate/legislate
115(1)
Breaches of other treaty standards
116(1)
Application to circumstances in which it has been claimed that contractual rights have been expropriated
116(4)
Termination
116(2)
Contractual non-performance
118(1)
Failure to take action
119(1)
Series of acts taken against investment
120(1)
Conclusions
120(1)
Chapter 10 The Enforcement Of Foreign Arbitral Awards: Main Recent Developments And Prospectives 121(18)
Domenico Di Pietro
Introduction
121(1)
The mechanics of the New York Convention
121(2)
The public policy scrutiny
123(4)
Recognition and enforcement of awards annulled at the place of arbitration
127(4)
Enforcement of lookalikes
131(6)
Evolution of ADR
131(5)
Final and binding DAB decisions enforceable under the New York Convention?
136(1)
Conclusion
137(2)
Chapter 11 Recognition And Enforcement Of Domestic And Foreign Arbitral Awards In The Middle East 139(36)
Gordon Blanke
Introduction
139(3)
Enforcement of domestic arbitral awards
142(17)
Domestic ratification processes
142(4)
Applications for nullification and public policy considerations
146(6)
Enforcement through Special Tribunals
152(1)
Enforcement in or through free zones
153(5)
UAE-based free zones
154(4)
The QFC
158(1)
Curial assistance in enforcement
158(1)
Enforcement of foreign arbitral awards
159(10)
General
159(2)
Enforcement through regional and international enforcement instruments
161(4)
The GCC Convention and the Riyadh Convention
162(1)
The New York Convention
163(2)
The public policy exception
165(2)
Enforcement in and through free zones
167(2)
Enforcement of investment arbitration awards
169(4)
Enforcement of ICSID awards
170(1)
Enforcement of non-ICSID awards
171(1)
Other enforcement frameworks
172(1)
Conclusion
173(2)
Chapter 12 Remedies At The Seat And Enforcement Of International Arbitral Awards: Res Judicata, Issue Estoppel And Abuse Of Process In English Law 175(18)
Renato Nazzini
Introduction
175(2)
The traditional approach to the relationship between the remedies at the seat and enforcement proceedings and its criticism
177(4)
Res judicata
181(3)
Abuse of process and the discretion to enforce
184(4)
Estoppel arising from a decision of an enforcement court
188(4)
Conclusions
192(1)
Chapter 13 Dispute Boards 193(27)
Nicholas Gould
Christina Lockwood
Introduction
193(1)
What is a dispute board?
193(1)
Legal basis for dispute boards
193(1)
Common law
193(1)
Civil law
194(1)
Adjudication and dispute boards in England
194(3)
Demand for amicable dispute resolution
194(1)
English adjudication enforcement
195(2)
Types of dispute boards
197(1)
DRBs
197(1)
DABS
197(1)
DRB or DAB
198(1)
CDBs
198(1)
Pro et contra
198(3)
Benefits of dispute boards
198(2)
Disadvantages of dispute boards
200(1)
The use of dispute boards
201(1)
Differences between FIDIC contracts
202(2)
FIDIC dispute adjudication boards
202(1)
FIDIC Conditions of Contracts for Construction (the Red Book)
202(1)
Yellow Book and Silver Book
203(1)
The Gold Book
203(1)
Dispute board members
204(6)
Selection and appointment procedure
204(2)
Qualifications and obligations
206(1)
Impartiality and independence
206(1)
People skills
207(1)
Qualifications and experience relevant to the circumstances
207(1)
Remuneration of DB members
208(1)
Removal or replacement of DB members
209(1)
Removal of a board member
209(1)
Replacement of a board member
209(1)
Referral of disputes to a dispute board
210(2)
Preconditions for referral
210(1)
Jurisdiction of a dispute board
211(1)
Time limits
211(1)
Enforcement of DB decisions
212(1)
The DAB is a gateway to arbitration
212(3)
DAB procedures are mandatory
212(1)
FIDIC drafting
213(1)
Peterborough City Council v Enterprise Managed Services Ltd
213(1)
The Swiss judgment
214(1)
The FIDIC December 2016 revision
215(1)
The new Yellow Book
215(1)
Dispute Avoidance/Adjudication Board
215(1)
The claims procedure and the FIDIC time-bar
216(1)
Law governing DAB
216(3)
Conclusion
219(1)
Chapter 14 Enforcement Of Dab Decisions Under The FIDIC 1999 Forms Of Contract 220(29)
Taner Dedezade
Introduction
220(2)
The FIDIC 1999 wording
222(1)
The issues
223(1)
What is the contractual obligation of a party in relation to compliance with a DAB's decision?
223(1)
Does the 'failure to pay' amount to a 'dispute' that can be referred to arbitration under Sub-Clause 20.6?
224(1)
Is the dispute capable of referral under Sub-Clause 20.6?
224(1)
What cause of action?
225(8)
Damages for breach of contract
225(1)
Does the failure to pay amount to a breach of contract?
225(1)
If so, what loss flows from that breach of contract?
226(1)
Damages amount to interest only
226(1)
Damages include principal sum
226(1)
Does the 'secondary dispute' need to be referred back to the DAB prior to referral to arbitration?
226(1)
Mr Seppala's view
227(1)
The FIDIC Guidance Memorandum
228(1)
The concept of an inherent premise
228(2)
The practical difficulty
230(1)
Specific performance
230(1)
Does the arbitral tribunal have the power to order specific performance?
231(1)
How should an arbitral tribunal exercise its power?
232(1)
What effect, if any, does a NOD have on the contractual obligation on a party to give prompt effect to the DAB's decision?
233(2)
Is it necessary for the parties to refer both the primary and secondary disputes in a single arbitration?
235(2)
One-dispute approach or two-dispute approach?
235(2)
What sort of award?
237(8)
Terminology
238(1)
Is a binding DAB decision interim relief?
239(1)
Can a final award be given for relief that is not final and is it enforceable under the New York Convention?
239(2)
Argument against final award enforcing DAB's decision
241(1)
Arguments in favour of a final award as issue of non-payment resolved finally
242(2)
Conclusion on this issue
244(1)
The FIDIC Gold Book
245(1)
Has the wording in the Gold Book/Guidance Memorandum resolved issues?
245(2)
Conclusion
247(2)
Chapter 15 Emergency Arbitration And The Interplay With Other Pre-Arbitral Mechanisms 249(14)
Patricia Shaughnessy
Introduction
249(1)
The development of emergency arbitration
250(1)
An overview of emergency arbitration procedures
251(2)
The legal nature and effects of emergency arbitration
253(3)
Emergency arbitration and other pre-arbitral relief
256(5)
Dispute boards
257(3)
Contractually agreed negotiations, mediation, and cooling-off periods
260(1)
Conclusions
261(2)
Index 263
Renato Nazzini is a Professor of Law at Dickson Poon School of Law and Director of Research of the Centre of Construction Law and Dispute Resolution at Kings College London. Professor Nazzini is one of the leading experts in Commercial Arbitration, ADR and Civil Procedure, as well as Transnational, EU and UK Competition Law. He is regularly appointed as an arbitrator and advises clients in complex commercial disputes both in international arbitration and in court proceedings. Previously, he was a Professor of Competition Law and Arbitration at the University of Southampton.