Transnational Construction Arbitration

Page 263 Index Index abuse of process 12.1 – 12.39 ; application of doctrine 12.23 – 12.30 ; power of court, and 12.21 , 12.22 arbitral institutions 4.1 – 4.50 ; amendments to case, and 4.22 ; arbitrator’s fees 4.18 , 4.19 ; arbitration in modern era 4.6 – 4.11 ; authorisation of agreement, and 4.23 ; capping of fees 4.19 ; challenges to arbitrators 4.24 – 4.27 ; charge on time basis 4.18 , 4.19 ; City of London Chamber of Arbitration 4.4 ; conduct of arbitration 4.12 – 4.15 ; courts issuing restraining orders, and 4.40 ; decisions on challenges to tribunals 4.27 ; discretionary powers 4.15 ; ethics and conduct of advocate 4.28 – 4.31 ; examination of awards 4.33 ; fraud or malpractice in course of arbitration, and 4.49 ; function of arbitration rules 4.43 ; fund holding 4.16 , 4.17 ; ICC 4.1 , 4.2 ; institutional rules 4.12 – 4.15 ; interest on deposits 4.16 , 4.17 ; intervention of foreign court, and 4.41 ; LCIA 4.1 ; list of issues to be determined 4.20 ; mandatory use of FIDIC forms of contract, and 4.45 ; need for 4.9 ; origin 4.1 – 4.5 ; origin of terms of reference 4.21 ; potential for ethical problems 4.29 ; powers 4.11 ; regulation, case for 4.50 ; rise of 4.1 – 4.50 ; role of 4.1 – 4.50 ; scrutiny of awards 4.32 – 4.38 ; special procedures 4.5 ; terms of reference 4.20 – 4.23 ; UNCITRAL 4.6 – 4.8 , 4.10 arbitration: advantages 1.2 , 1.3 – 1.6 ; choice of arbitrators 1.5 ; enforceability of awards 1.6 ; flexibility 1.4 ; neutrality 1.3 cause of action estoppel 12.15 complex arbitrations administration under ICC Rules 6.8 – 6.10 ; institutional rules on 6.5 , 6.6 consolidation of related claims 5.1 – 5.53 ; arbitral institutions creating common rules 5.43 , 5.44 ; consumer protection 5.11 ; current arbitration mechanisms 5.4 – 5.6 ; embedding new approach 5.49 – 5.52 ; enforcement only against true party 5.10 ; exclusion of Contracts (Rights of Third Parties) Act 1999 5.12 ; multilateral contracts 5.31 – 5.42 ; opt in multi party arbitration 5.25 ; party consent and the voluntary principle 5.8 ; procedural privity 5.9 ; representative proceedings 5.45 – 5.48 ; representative proceedings and opt out systems 5.26 , 5.27 ; revisiting party consent 5.28 – 5.30 ; section 8 (1), Contracts (Rights of Third Parties) Act 1999 5.13 – 5.20 ; section 8 (2), Contracts (Rights of Third Parties) Act 1999 5.21 – 5.24 ; voluntary principle 5.1 , 5.2 ; way ahead 5.3 DAB: claims procedure 13.134 , 13.135 ; Dispute Avoidance/Adjudication Board 13.128 – 13.133 ; FIDIC December 2016 revision 13.125 – 13.135 ; FIDIC drafting 13.112 , 13.113 ; FIDIC time bar 13.134 , 13.135 ; gateway to arbitration 13.111 – 13.124 ; law governing 13.136 – 13.149 ; mandatory procedures 13.111 ; new Yellow Book 13.125 – 13.127 ; Peterborough City Council v Enterprise Managed Services Ltd 13.114 – 13.119 ; Swiss judgment 13.120 – 13.124 ; three-stage test to determine governing law 13.140 delay analysis 7.28 – 7.37 ; as planned v as built 7.53 – 7.55 ; ‘but for’ approach to adding delays 7.59 – 7.61 ; collapsed as built 7.62 – 7.64 ; concurrency of delay events 7.37 ; determining completion 7.35 ; effective articulation of results 7.70 – 7.72 ; expert witness, and 7.28 – 7.31 ; identifying baseline 7.33 , 7.34 ; impacted as planned 7.56 ; languages 7.30 ; manipulation of schedules 7.36 ; pragmatic technique 7.67 – 7.69 ; quality of records and information 7.29 ; Scott Schedule 7.48 ; sequential addition of delays 7.57 , 7.58 ; substantiating facts 7.28 ; techniques 7.47 – 7.69 ; time impact analysis 7.65 , 7.66 ; working to a timescale – proportionality 7.31 , 7.32 Page 264 dispute board members 13.63 – 13.99 ; impartiality 13.76 – 13.78 ; independence 13.76 – 13.78 ; obligations 13.75 ; people skills 13.79 ; qualifications 13.75 ; qualifications and experience relevant to circumstances 13.80 – 13.90 ; removal 13.96 – 13.98 ; remuneration 13.91 – 13.95 ; replacement 13.99 ; selection and appointment procedure 13.63 – 13.74 dispute boards 13.1 – 13.153 ; additional expense, as 13.150 ; adjudication in England, and 13.9 – 13.21 ; benefits 13.31 – 13.38 , 13.153 ; CDBs 13.29 , 13.30 ; civil law 13.7 , 13.8 ; common law 13.4 – 13.6 ; cost 13.151 ; DABs 13.24 – 13.27 ; demand for amicable dispute resolution 13.9 – 13.15 ; disadvantages 13.39 – 13.45 ; DRB or DAB 13.28 ; DRBs 13.23 ; emergency arbitration, and 15.24 – 15.32 ; enforcement of decisions 13.109 , 13.110 ; English adjudication enforcement 13.16 – 13.21 ; FIDIC 13.52 ; Gold Book 13.59 – 13.62 ; informal advice 13.33 ; jurisdiction 13.103 ; legal basis for 13.3 ; members 13.63 – 13.99 ; see also dispute board members; nature of 13.1 , 13.2 ; preconditions for referral to 13.100 – 13.102 ; Red Book 13.53 ; referral of disputes to 13.100 – 13.108 ; Silver Book 13.54 – 13.58 ; time limits 13.104 – 13.108 ; types 13.22 – 13.30 ; use of 13.46 – 13.51 , 13.152 ; Yellow Book 13.54 – 13.58 dispute resolution mechanisms 1.7 emergency arbitration 15.1 – 15.37 ; applicability 15.1 – 15.37 ; contractually agreed negotiations, and 15.33 – 15.36 ; cooling-off periods, and 15.33 – 15.36 ; development 15.4 – 15.8 ; dispute boards 15.24 – 15.32 ; effectiveness 15.1 – 15.37 ; effects 15.13 – 15.20 ; interplay with other pre-arbitral mechanisms 15.1 – 15.37 ; legal nature 15.13 – 15.20 ; mediation, and 15.33 – 15.36 ; other prearbitral relief, and 15.21 – 15.36 ; overview of procedures 15.9 – 15.12 enforcement of DAB decisions under FIDIC 1999 forms of contract 14.1 – 14.125 ; argument against final award enforcing DABs decision 14.99 – 14.103 ; arguments in favour of final award as issue of non payment resolved finally 14.104 – 14.107 ; binding DAB decision interim relief, whether 14.90 , 14.91 ; concept of inherent premise 14.44 – 14.51 ; damages amounting to interest only 14.32 ; damages for breach of contract 14.29 ; damages include principal sum 14.33 , 14.34 ; dispute capable of referral under sub clause 20.6 14.23 – 14.26 ; effect of NOD 14.64 – 14.67 ; effect of wording in Gold Book/Guidance Memorandum 14.115 – 14.118 ; exercise of power by arbitral tribunal 14.59 – 14.63 ; FIDIC 1999 wording 14.11 – 14.15 ; FIDIC Gold Book 14.113 ; FIDIC Guidance Memorandum 14.40 – 14.43 ; final award for relief that is not final 14.92 – 14.98 ; issues 14.16 – 14.22 ; loss flowing from breach of contract 14.31 ; one dispute or two dispute approach 14.71 – 14.80 ; practical difficulty 14.52 ; rationale of DAB 14.4 , 14.5 ; referral of both primary and secondary disputes 14.68 – 14.80 ; secondary dispute referred to DAB prior to referral to arbitration 14.35 – 14.39 ; specific performance 14.53 – 14.58 ; terminology of award 14.84 – 14.89 ; types of dispute board 14.2 ; what cause of action 14.27 – 14.63 ; what sort of award 14.81 – 14.112 ; whether failure to pay amounts to breach of contract 14.30 enforcement of foreign arbitral awards 10.1 – 10.70 ; developments 10.1 – 10.70 ; enforcement of lookalikes 10.40 – 10.67 ; evolution of ADR 10.40 – 10.58 ; failure to comply with dispute adjudication board’s decision 10.47 ; final and binding DAB decisions enforceable under New York Convention 10.59 – 10.67 ; mechanics of New York Convention 10.3 – 10.12 ; obtaining dispute adjudication board’s decision 10.46 ; prospectives 10.1 – 10.70 ; public policy scrutiny 10.13 – 10.25 ; recognition and enforcement of awards annulled at place of arbitration 10.26 – 10.39 expert witnesses 7.1 – 7.73 ; common issues faced on complex capital projects 7.13 – 7.18 ; delay, and 7.1 – 7.73 ; delay analysis 7.28 – 7.37 ; see also delay analysis; delay analysis methods 7.44 – 7.46 ; delay analysis techniques 7.47 – 7.69 ; disruption, and 7.1 – 7.73 ; example of probabilistic model output 7.40 ; independence 7.4 – 7.7 ; multiple stakeholders with conflicting interests 7.13 ; nature of construction projects, and 7.8 – 7.12 ; project management of evidence process 7.25 ; quantum issues 7.1 – 7.73 ; role in construction arbitration 7.1 – 7.73 ; scope of work 7.19 – 7.24 ; skills shortages, effect of 7.14 , 7.15 ; sound governance, importance of 7.16 – 7.18 ; uncertainty in forecasting outcomes 7.38 – 7.43 expropriation of contractual rights in investment treaty arbitration 9.1 – 9.58 ; breaches of other treaty standards 9.26 – 9.28 ; contractual non-performance 9.41 – 9.47 ; failure to take action 9.48 – 9.51 ; general principles 9.4 – 9.7 ; Page 265 principles surrounding 9.8 – 9.28 ; series of acts taken against investment 9.52 – 9.55 ; sovereign capacity 9.13 – 9.21 ; sovereign right to regulate/legislate 9.22 – 9.25 ; termination of contracts 9.29 – 9.40 foreign arbitral awards: enforcement 10.1 – 10.70 ; definition under ICSID convention 8.14 – 8.25 ; definitions in investment treaties 8.11 – 8.13 ; proceedings conducted according to ICSID Convention 8.4 – 8.10 investment 8.1 – 8.48 ; construction contracts constituting 8.27 – 8.31 ; construction projects versus stand-alone engineering contracts 8.37 – 8.45 ; definition 8.4 – 8.25 ; definitions of foreign investment in investment treaties 8.11 – 8.13 ; definitions of foreign investment under ICSID Convention 8.14 – 8.25 ; foreign investments in proceedings constructed according to ICSID Convention 8.4 – 8.10 ; Salini text 8.18 , 8.19 ; when construction contracts have not constituted 8.32 – 8.36 investment treaty arbitrations 8.1 – 8.48 ; construction contracts as investments 8.1 – 8.48 issue estoppel 12.1 – 12.39 joinder of additional parties 5.1 – 5.53 ; arbitral institutions creating common rules 5.43 , 5.44 ; consumer protection 5.11 ; current arbitration mechanisms 5.4 – 5.6 ; embedding new approach 5.49 – 5.52 ; enforcement only against true party 5.10 ; exclusion of Contracts (Rights of Third Parties) Act 1999 5.12 ; multilateral contracts 5.31 – 5.42 ; opt in multi-party arbitration 5.25 ; party consent and the voluntary principle 5.8 ; procedural privity 5.9 ; representative proceedings 5.45 – 5.48 ; representative proceedings and opt out systems 5.26 , 5.27 ; revisiting party consent 5.28 – 5.30 ; section 8 (1), Contracts (Rights of Third Parties) Act 1999 5.13 – 5.20 ; section 8 (2), Contracts (Rights of Third Parties) Act 1999 5.21 – 5.24 ; voluntary principle 5.1 , 5.2 ; way ahead 5.3 law governing arbitration agreement 2.1 – 2.47 ; absence of choice of seat 2.46 ; choice of transitional principles 2.27 ; common intent of parties 2.32 ; development of non discrimination principle by national laws 2.46 ; doctrine of separability 2.6 ; domestic legislatures 2.7 ; drafting solution 2.1 , 2.2 ; estoppel principle 2.41 – 2.44 , 2.46 ; first candidate approach 2.10 – 2.17 ; French law 2.30 – 2.32 ; French transnational rules 2.30 – 2.34 ; German Federal Supreme Court 2.35 ; implied choice of parties 2.15 , 2.16 ; law applicable to main contract 2.10 – 2.17 ; law of the seat 2.18 – 2.25 ; matrix of laws 2.5 ; national law, rules of 2.47 ; nature of agreement 2.6 ; New York Convention 2.8 , 2.9 ; no choice of law, where 2.22 ; non discrimination principle 2.38 – 2.40 ; overcoming challenges of transnational approach 2.36 – 2.45 ; parties choosing seat of arbitration in agreement 2.46 ; proper law of the contract 2.11 ; second candidate approach 2.18 – 2.25 ; separate inquiry, need for 2.5 – 2.9 ; special rules 2.6 ; third candidate approach 2.26 – 2.35 ; transnational approach 2.26 – 2.35 ; UNCITRAL Model Law 2.8 ; validation principle 2.45 , 2.46 Middle East 11.1 – 11.88 ; recognition and enforcement of arbitral awards see recognition and enforcement of arbitral awards in Middle East multi-party arbitration 6.1 – 6.79 ; administration of complex arbitrations under ICC Rules 6.8 – 6.10 ; agreement to consolidate 6.57 – 6.61 ; appointment of arbitrators 6.34 ; automatic nature of joinder 6.11 – 6.15 ; claims 6.35 – 6.48 ; consolidation 6.53 – 6.75 ; different arbitration agreements 6.65 – 6.68 ; discretional nature of decision to consolidate 6.69 – 6.73 ; formalities of consolidation 6.74 – 6.75 ; institutional rules, under 6.1 – 6.79 ; institutional rules on complex arbitrations 6.5 , 6.6 ; joinder of additional parties 6.11 – 6.34 ; multi-contract arbitrations 6.49 – 6.52 ; procedure for claims 6.41 – 6.48 ; procedure for joinder 6.16 – 6.30 ; purpose of claims 6.35 – 6.40 ; purpose of consolidation 6.53 – 6.56 ; requirements for joinder 6.31 – 6.33 ; same arbitration agreement 6.62 – 6.64 ; scope of claims 6.35 – 6.40 multi-tier dispute resolution clauses 3.1 – 3.34 ; ‘an attempt at conciliation’ 3.28 , 3.29 ; clarity and certainty of obligations 3.18 – 3.20 ; condition precedent to arbitration 3.25 , 3.30 ; dispute resolution process, and 3.8 ; drafting 3.34 ; enforceability 3.9 – 3.30 ; enforcement in public interest 3.22 ; FIDIC fourth edition 3.4 ; good faith, and 3.24 , 3.26 ; hurdles 3.5 ; ICC standard clause 3.3 ; main issues 3.7 ; mediation process, and 3.11 – 3.15 ; obligation to negotiate 3.31 ; over elaborate drafting 3.6 ; prior steps 3.17 ; problems with 3.5 – 3.8 ; stay of proceedings, and 3.33 ; typical clauses 3.3 , 3.4 Page 266 recognition and enforcement of arbitral awards in Middle East 11.1 – 11.88 ; ADGM 11.26 – 11.37 ; AOIC 11.83 ; applications for nullification 11.13 – 11.21 ; curial assistance in enforcement 11.40 – 11.43 ; DIFC 11.26 – 11.37 ; domestic awards 11.8 – 11.43 ; domestic ratification processes 11.8 – 11.12 ; enforcement in and through free zones 11.66 – 11.70 ; enforcement in or through free zones 11.25 – 11.39 ; enforcement through Special Tribunals 11.22 – 11.24 ; foreign awards 11.44 – 11.70 ; GCC Convention 11.51 – 11.53 ; ICAL 11.48 ; ICSID awards 11.75 – 11.77 ; investment arbitration awards 11.71 – 11.84 ; multilateral regional enforcement investments 11.4 ; nature of jurisdiction 11.2 , 11.3 ; New York Convention 11.54 – 11.60 ; non ICSID awards 11.78 – 11.81 ; public policy considerations 11.13 – 11.21 ; public policy exception 11.61 – 11.65 ; QFC 11.38 , 11.39 ; regional and international enforcement instruments 11.50 – 11.60 ; Riyadh Convention 11.51 – 11.53 ; test of reciprocity 11.46 , 11.47 ; UAIACA 11.82 ; UNCITRAL Model Law 11.45 remedies at seat 12.1 – 12.39 ; enforcement proceedings, and 12.1 – 12.39 ; estoppel arising from decisions of enforcement court 12.31 – 12.38 ; New York Convention 12.2 – 12.10 ; supervisory jurisdiction of courts 12.4 ; traditional approach 12.4 – 12.20 res judicata 12.1 – 12.39 ; effect of foreign judgement in England and Wales 12.14 transnational issues 1.14 – 1.20 ; contractual provisions 1.17 ; international instruments 1.16 ; national law, and 1.18 – 1.20