INTERNATIONAL CENTRE for SETTLEMENT of INVESTMENT DISPUTES WASHINGTON, D.C. AMBIENTE UFFICIO S.P.A. and OTHERS (Case Formerly Kn
Total Page:16
File Type:pdf, Size:1020Kb
INTERNATIONAL CENTRE FOR SETTLEMENT OF INVESTMENT DISPUTES WASHINGTON, D.C. AMBIENTE UFFICIO S.P.A. AND OTHERS (Case formerly known as GIORDANO ALPI AND OTHERS1) (CLAIMANTS) and THE ARGENTINE REPUBLIC (RESPONDENT) (ICSID Case No. ARB/08/9) DECISION ON JURISDICTION AND ADMISSIBILITY ARBITRAL TRIBUNAL Judge Bruno Simma, President Professor Karl-Heinz Böckstiegel, Arbitrator Dr. Santiago Torres Bernárdez, Arbitrator Secretary of the Tribunal: Mrs. Anneliese Fleckenstein Assistant to the President of the Tribunal Dr. Andreas Th. Müller Representing the Claimants: Representing the Respondent: Avv. Piero G. Parodi, Dra. Angelina María Esther Abbona Avv. Luca G. Radicati di Brozolo and Procuradora del Tesoro de la Nación Argentina Prof. Abogado Rodolfo Carlos Barra Posadas 1641 – Piso 1 Via S. Maurilio 14 CP 1112 Buenos Aires 20123 Milan Argentina Italy Date: February 8, 2013 1 For the change of name, see infra para. 354. Ambiente Ufficio S.p.A. v. Argentine Republic (ICSID Case No. ARB/08/9) TABLE OF CONTENTS Page TABLE OF CONTENTS ................................................................................................................. i ABBREVIATIONS OF THE SUBMISSIONS OF THE PARTIES ............................................ vii FURTHER ABBREVIATIONS USED IN THE DECISION ..................................................... viii INTRODUCTION .......................................................................................................................... 1 PROCEDURAL HISTORY............................................................................................................ 5 FACTS OF THE CASE ................................................................................................................ 11 PRAYERS OF RELIEF ................................................................................................................ 13 I. CONSENT OF THE RESPONDENT .............................................................................. 16 A. Positions of the Parties ...................................................................................................... 16 1. Contentions by Respondent .......................................................................................... 16 a) The ICSID Convention does not authorize collective actions nor did Argentina consent to such proceedings in the Argentina-Italy BIT ........................................... 16 b) Claimants’ submission as to the nature of the action brought by them is not convincing .................................................................................................................. 20 c) Violation of fundamental principles of due process ................................................... 21 2. Contentions by Claimants ............................................................................................. 23 a) The nature of the action brought by the Claimants .................................................... 23 b) Possibility of bringing multi-party arbitrations before an ICSID tribunal without special consent of the Parties ........................................................................ 25 c) No risk for due process by admitting multi-party arbitrations ................................... 28 B. Findings of the Tribunal.................................................................................................... 29 1. The nature of the claim submitted to the Tribunal ........................................................ 29 a) The present action is not a “class action” and should not be referred to as a “mass proceeding” ..................................................................................................... 30 (1) The “class action” issue....................................................................................... 30 (2) The “mass claim” issue ....................................................................................... 32 b) The character of the present action as a “multi-party” proceeding ............................ 33 c) The present claim is not the result of a joinder of proceedings .................................. 34 2. Consent to multi-party proceedings within the framework of the ICSID Convention and the Argentina-Italy BIT ..................................................................... 35 a) Existence of the Parties’ consent to multi-party proceedings..................................... 36 b) Scope of the Parties’ consent to multi-party proceedings .......................................... 44 (1) The question of a maximum number of Claimants ............................................. 45 i Ambiente Ufficio S.p.A. v. Argentine Republic (ICSID Case No. ARB/08/9) (2) The question of the need of a link between the claims in dispute ....................... 46 3. Due process and manageability concerns ..................................................................... 51 II. CONSENT OF THE CLAIMANTS ................................................................................. 54 A. Positions of the Parties ...................................................................................................... 54 1. Contentions by Respondent .......................................................................................... 54 a) Lack of the signature of Claimants themselves .......................................................... 54 b) Lack of consent for ICSID arbitration in the Power of Attorney ............................... 54 c) Purported legal defects of the Power of Attorney and the NASAM Mandate ........... 55 (1) Purported legal defects of the Power of Attorney ............................................... 56 (2) Purported legal defects of the NASAM Mandate negatively affecting the Power of Attorney ............................................................................................... 57 (3) The nature of NASAM’s funding arrangement................................................... 58 2. Contentions by Claimants ............................................................................................. 58 a) Lack of the signature of Claimants themselves .......................................................... 58 b) Lack of consent for ICSID arbitration in the Power of Attorney ............................... 59 c) Purported legal defects of the Power of Attorney ...................................................... 60 (1) Purported legal defects of the Power of Attorney ............................................... 60 (2) Purported legal defects of the NASAM Mandate negatively affecting the Power of Attorney ............................................................................................... 62 (3) The nature of NASAM’s funding arrangement................................................... 63 B. Findings of the Tribunal.................................................................................................... 64 1. The prerequisite of written consent of Claimants ......................................................... 64 a) The structure of the legal problem .............................................................................. 65 (1) Written consent to submit the dispute pursuant to Art. 25 .................................. 65 (2) Submission of the request in writing pursuant to Art. 36.................................... 66 (3) Interplay of the two provisions in the case of expression of consent by instituting arbitral proceedings ............................................................................ 66 b) Application to the present case ................................................................................... 67 2. The question of the lack of Claimants’ signatures from the Request ........................... 69 3. The question of defects of the Power of Attorney given to Avv. Parodi ...................... 72 a) The purported invalidity of the Power of Attorney .................................................... 73 b) Purported defects in the scope of the Power of Attorney ........................................... 78 4. The questions of the lack of Avv. Parodi’s signature from the Request and of the authorization of Avv. Radicati di Brozolo to sign on his behalf ................................. 81 5. The role of NASAM in the present proceedings .......................................................... 87 ii Ambiente Ufficio S.p.A. v. Argentine Republic (ICSID Case No. ARB/08/9) III. NATIONALITY AND STANDING OF CLAIMANTS .................................................. 90 A. Positions of the Parties ...................................................................................................... 90 1. Contentions by Respondent .......................................................................................... 90 a) The nationality requirement under Art. 25 of the ICSID Convention and Art. 1(2) of the Argentina-Italy BIT ................................................................................. 90 b) Number and identity of the Claimants ........................................................................ 90 c) Lack of standing due to Claimants’ legal proceedings against the seller banks ......... 91 d) Lack of standing due to Claimants’ impermissible pursuing of claims on behalf of a third party in abuse of process ............................................................................ 91 2. Contentions by Claimants ............................................................................................