ALTERNATIVE DISPUTE
RESOLUTION: ADJUCATIVE OPTIONS
UNIT 4
62.2— Interpretation1
2E-8
(1) In this Section of this Part “arbitration claim” means—
(a) any application to the court under the 1996 Act;
(b) a claim to determine—
(i) whether there is a valid arbitration agreement;
(ii) whether an arbitration tribunal is properly constituted; or what
matters have been submitted to arbitration in accordance with an
arbitration agreement;
(c) a claim to declare that an award by an arbitral tribunal is not
binding on a party; and
(d) any other application affecting—
(i) arbitration proceedings (whether started or not); or
(ii) an arbitration agreement.
(2) This Section of this Part does not apply to an arbitration claim to which
Sections II or III of this Part apply.
62.3— Starting the claim1
2E-9
(1) Except where paragraph (2) applies an arbitration claim must be
started by the issue of an arbitration claim form in accordance with the
Part 8 procedure.
(2) An application under section 9 of the 1996 Act to stay legal
proceedings must be made by application notice to the court dealing with
those proceedings.
(3) The courts in which an arbitration claim may be started are set out in
Practice Direction 62.
,(4) Rule 30.5 applies with the modification that a judge of the Technology
and Construction Court may transfer the claim to any other court or
specialist list.
62.4— Arbitration claim form1
2E-11
(1) An arbitration claim form must—
(a) include a concise statement of—
(i) the remedy claimed; and
(ii) any questions on which the claimant seeks the decision of the court;
(b) give details of any arbitration award challenged by the
claimant, identifying which part or parts of the award are challenged
and specifying the grounds for the challenge;
(c) show that any statutory requirements have been met;
(d) specify under which section of the 1996 Act the claim is made;
(e) identify against which (if any) defendants a costs order is
sought; and
(f) specify either—
(i) the persons on whom the arbitration claim form is to be served, stating
their role in the arbitration and whether they are defendants; or
(ii) that the claim is made without notice under section 44(3) of the 1996
Act and the grounds relied on.
(2) Unless the court orders otherwise an arbitration claim form must be
served on the defendant within 1 month from the date of issue and rules
7.5 and 7.6 are modified accordingly.
(3) Where the claimant applies for an order under section 12 of the 1996
Act (extension of time for beginning arbitral proceedings or other dispute
resolution procedures), he may include in his arbitration claim form an
alternative application for a declaration that such an order is not needed.
62.8— Stay of legal proceedings1
2E-16
(1) An application notice seeking a stay of legal proceedings under
section 9 of the 1996 Act must be served on all parties to those
proceedings who have given an address for service.
, (2) A copy of an application notice under paragraph (1) must be served on
any other party to the legal proceedings (whether or not he is within the
jurisdiction) who has not given an address for service, at—
(a) his last known address; or
(b) a place where it is likely to come to his attention.
(3) Where a question arises as to whether—
(a) an arbitration agreement has been concluded; or
(b) the dispute which is the subject-matter of the proceedings
falls within the terms of such an agreement,
the court may decide that question or give directions to enable it to be
decided and may order the proceedings to be stayed pending its decision.
A party to an arbitration agreement
2E-107
It is “a party” to an arbitration agreement against whom “legal
proceedings are brought … in respect of a matter which under the
agreement is to be referred to arbitration” who may apply under s.9(1) for
a stay of such legal proceedings. In this context, “a party” includes “any
person claiming under or through a party to the agreement” (s.82(2)).
Section 9 cannot apply if the parties to the court proceedings are not the
parties (or persons claiming through or under a party) to the arbitration
agreement, as it would be wholly inconsistent with the purpose and
structure of the 1996 Act, and of s.9 in particular, if a stay could be
obtained against a claimant who was not a party to the agreement (City
of London v Sancheti [2008] EWCA Civ 1283; The Times, 1 December
2008, CA (where held that a mere legal or commercial relationship
between the applicant for a stay and the claimant was not sufficient)).
In Fortress Value Recovery Fund I LLC v Blue Skye Special Opportunities
Fund LP [2013] EWCA Civ 367; [2013] 1 W.L.R. 3466; [2013] 2 All E.R.
(Comm) 315; [2013] 1 Lloyd’s Rep. 606; [2013] 1 C.L.C. 752 the Court of
Appeal overturned the decision of Blair J at [2012] EWHC 1486 (Comm)
that the second and third defendants were not entitled to a stay of the
proceedings under the Arbitration Act 1996 s.9 by virtue of the arbitration
clause in the partnership deed. They were not parties to the deed, but it
mentioned them by name, gave them the benefit of certain exclusions
and indemnities, and incorporated the Contracts (Rights of Third Parties)
Act 1999. The Court of Appeal held that it was possible for the court to
impose a stay in favour of a third party on the basis of an intention to rely
RESOLUTION: ADJUCATIVE OPTIONS
UNIT 4
62.2— Interpretation1
2E-8
(1) In this Section of this Part “arbitration claim” means—
(a) any application to the court under the 1996 Act;
(b) a claim to determine—
(i) whether there is a valid arbitration agreement;
(ii) whether an arbitration tribunal is properly constituted; or what
matters have been submitted to arbitration in accordance with an
arbitration agreement;
(c) a claim to declare that an award by an arbitral tribunal is not
binding on a party; and
(d) any other application affecting—
(i) arbitration proceedings (whether started or not); or
(ii) an arbitration agreement.
(2) This Section of this Part does not apply to an arbitration claim to which
Sections II or III of this Part apply.
62.3— Starting the claim1
2E-9
(1) Except where paragraph (2) applies an arbitration claim must be
started by the issue of an arbitration claim form in accordance with the
Part 8 procedure.
(2) An application under section 9 of the 1996 Act to stay legal
proceedings must be made by application notice to the court dealing with
those proceedings.
(3) The courts in which an arbitration claim may be started are set out in
Practice Direction 62.
,(4) Rule 30.5 applies with the modification that a judge of the Technology
and Construction Court may transfer the claim to any other court or
specialist list.
62.4— Arbitration claim form1
2E-11
(1) An arbitration claim form must—
(a) include a concise statement of—
(i) the remedy claimed; and
(ii) any questions on which the claimant seeks the decision of the court;
(b) give details of any arbitration award challenged by the
claimant, identifying which part or parts of the award are challenged
and specifying the grounds for the challenge;
(c) show that any statutory requirements have been met;
(d) specify under which section of the 1996 Act the claim is made;
(e) identify against which (if any) defendants a costs order is
sought; and
(f) specify either—
(i) the persons on whom the arbitration claim form is to be served, stating
their role in the arbitration and whether they are defendants; or
(ii) that the claim is made without notice under section 44(3) of the 1996
Act and the grounds relied on.
(2) Unless the court orders otherwise an arbitration claim form must be
served on the defendant within 1 month from the date of issue and rules
7.5 and 7.6 are modified accordingly.
(3) Where the claimant applies for an order under section 12 of the 1996
Act (extension of time for beginning arbitral proceedings or other dispute
resolution procedures), he may include in his arbitration claim form an
alternative application for a declaration that such an order is not needed.
62.8— Stay of legal proceedings1
2E-16
(1) An application notice seeking a stay of legal proceedings under
section 9 of the 1996 Act must be served on all parties to those
proceedings who have given an address for service.
, (2) A copy of an application notice under paragraph (1) must be served on
any other party to the legal proceedings (whether or not he is within the
jurisdiction) who has not given an address for service, at—
(a) his last known address; or
(b) a place where it is likely to come to his attention.
(3) Where a question arises as to whether—
(a) an arbitration agreement has been concluded; or
(b) the dispute which is the subject-matter of the proceedings
falls within the terms of such an agreement,
the court may decide that question or give directions to enable it to be
decided and may order the proceedings to be stayed pending its decision.
A party to an arbitration agreement
2E-107
It is “a party” to an arbitration agreement against whom “legal
proceedings are brought … in respect of a matter which under the
agreement is to be referred to arbitration” who may apply under s.9(1) for
a stay of such legal proceedings. In this context, “a party” includes “any
person claiming under or through a party to the agreement” (s.82(2)).
Section 9 cannot apply if the parties to the court proceedings are not the
parties (or persons claiming through or under a party) to the arbitration
agreement, as it would be wholly inconsistent with the purpose and
structure of the 1996 Act, and of s.9 in particular, if a stay could be
obtained against a claimant who was not a party to the agreement (City
of London v Sancheti [2008] EWCA Civ 1283; The Times, 1 December
2008, CA (where held that a mere legal or commercial relationship
between the applicant for a stay and the claimant was not sufficient)).
In Fortress Value Recovery Fund I LLC v Blue Skye Special Opportunities
Fund LP [2013] EWCA Civ 367; [2013] 1 W.L.R. 3466; [2013] 2 All E.R.
(Comm) 315; [2013] 1 Lloyd’s Rep. 606; [2013] 1 C.L.C. 752 the Court of
Appeal overturned the decision of Blair J at [2012] EWHC 1486 (Comm)
that the second and third defendants were not entitled to a stay of the
proceedings under the Arbitration Act 1996 s.9 by virtue of the arbitration
clause in the partnership deed. They were not parties to the deed, but it
mentioned them by name, gave them the benefit of certain exclusions
and indemnities, and incorporated the Contracts (Rights of Third Parties)
Act 1999. The Court of Appeal held that it was possible for the court to
impose a stay in favour of a third party on the basis of an intention to rely
