International Max Planck Research School (IMPRS) for Maritime Affairs at the University of Hamburg

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1 International Max Planck Research School (IMPRS) for Maritime Affairs at the University of Hamburg For further volumes:

2 Hamburg Studies on Maritime Affairs Volume 19 Edited by Jürgen Basedow Peter Ehlers Hartmut Graßl Lars Kaleschke Hans-Joachim Koch Doris König Rainer Lagoni Gerhard Lammel Ulrich Magnus Peter Mankowski Marian Paschke Thomas Pohlmann Uwe Schneider Jürgen Sündermann Rüdiger Wolfrum Wilfried Zahel

3 Felix Sparka Jurisdiction and Arbitration Clauses in Maritime Transport Documents A Comparative Analysis 123

4 Felix Sparka, LL.M. (Miami) Schopstraße Hamburg Germany Dissertation zur Erlangung der Doktorwürde an der Fakultät für Rechtswissenschaft der Universität Hamburg Vorgelegt von: Felix Sparka, LL.M. (Miami) Erstgutachter: Prof. Dr. Dr. h.c. Jürgen Basedow, LL.M. (Harvard) Zweitgutachter: Prof. Dr. Reinhard Bork Tag der mündlichen Prüfung: 28. Oktober 2009 ISSN e-issn ISBN e-isbn DOI / Springer Heidelberg Dordrecht London New York LibraryofCongressControlNumber: Springer-Verlag Berlin Heidelberg 2010 This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication or parts thereof is permitted only under the provisions of the German Copyright Law of September 9, 1965, in its current version, and permission for use must always be obtained from Springer-Verlag. Violations are liable to prosecution under the German Copyright Law. The use of general descriptive names, registered names, trademarks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. Cover design: WMXDesign GmbH, Heidelberg Printed on acid-free paper Springer is part of Springer Science+Business Media (

5 Preface The topic of this study goes back to a discussion with my doctoral advisor Professor Dr. Dr. h.c. Jürgen Basedow, Director of the Max Planck Institute for Comparative and International Private Law in Hamburg. I would like to express my most sincere appreciation for his crucial comments and ideas as well as for his constant support, despite the fact that the conclusions reached in this study do not necessarily reflect his views. I would also like to thank Professor Dr. Reinhard Bork for his fast second opinion on my dissertation and for being my mentor throughout my time as a student at the University of Hamburg. Moreover, I am grateful to those who gave me the opportunity to contemplate this interesting aspect of the law. The first to be named is the Max Planck Research School for Maritime Affairs, which provided me with a generous scholarship over a period of three years and a grant for the publication of this book. In addition, a Fulbright scholarship enabled me to study two semesters at the University of Miami and to deepen my understanding of U.S. law. I will always remember this time as a truly wonderful experience. The research for this study would not have been possible without the unique collection of the Max Planck Institute for Comparative and International Private Law. I am indebted to its staff for all their kind assistance and to Michael Friedman in particular who proof-read my text. Last but not least, I would like to thank my family and my friends not only for their encouragement and support, but also for the occasional distraction. This study strives to state the law as of 30 June Felix Sparka Hamburg, October 2009

6 Contents Abbreviations... XIII Chapter 1: Introduction...1 A. Towards a uniform system of choice of forum agreements in maritime transport documents...1 I. A note on the subject of this study...1 II. Objective and scope of the project...2 B. Benefits and disadvantages of choice of forum agreements...4 I. Benefits for the contracting parties...4 II. Disadvantages generally associated with choice of forum agreements...6 C. Choice of forum clauses in the context of maritime transport...9 I. Protectionism and the structure of shipping...9 II. Industry bargaining pattern...12 III. Ability of the parties to conduct legal proceedings abroad...13 D. The influence of the lawyers own interests...14 E. Summary...17 Chapter 2: The Legal Framework for Choice of Forum Clauses in Maritime Transport Documents...19 A. The legal framework for jurisdiction clauses in maritime transport documents...19 I. The U.S. framework for jurisdiction clauses Relation between federal and state law in maritime matters Essential laws and some questions on their application...21 II. The European framework for jurisdiction clauses The Brussels-Lugano regime Scope of the Brussels-Lugano regime...26 III. The English framework for jurisdiction clauses...28 IV. The German framework for jurisdiction clauses...30 B. The legal framework for arbitration clauses in maritime transport documents...31 I. The U.S. framework for arbitration clauses...31 II. The English framework for arbitration clauses...34

7 VIII Contents III. The German framework for arbitration clauses C. Summary Chapter 3: Bills of Lading and other Maritime Transport Documents A. Bills of lading I. A short history of the bill of lading II. The functions of a bill of lading Receipt for the goods delivered by the shipper to the carrier Evidence of the terms of the contract Document of title III. Bills of lading in the event of charter Bills of lading issued by the owner to the charterer Bills of lading issued by the charterer B. Modern Counterparts of Bills of Lading I. Sea Waybills II. Transshipment and multimodal transport documents Transshipment and multimodal transport documents generally CMR consignment notes III. Electronic shipping documents C. Passenger tickets D. Summary Chapter 4: Common Types of Choice of Forum Clauses in Maritime Transport Documents A. The use of jurisdiction clauses in maritime transport documents I. Exclusive and non-exclusive jurisdiction clauses II. Interpretation of ambiguous and fragmentary clauses Clauses which are ambiguous as to being exclusive or non-exclusive Clauses which are unclear about the chosen forum III. Determination of the scope of jurisdiction clauses B. The use of arbitration clauses in maritime transport documents I. Institutional and ad hoc arbitration II. The place of arbitration III. Arbitration procedure IV. Determination of the scope of arbitration clauses C. Summary and commentary Chapter 5: Classification of Choice of Forum Clauses and their Separability from the Main Contract A. Classification of jurisdiction clauses and their separability from the main contract... 82

8 Contents IX I. Classification and separability under U.S. law...82 II. Classification and separability under the Brussels-Lugano regime...84 III. Classification and separability under English law...85 IV. Classification and separability under German law...86 B. Classification of arbitration clauses and their separability from the main contract...88 I. Classification and separability under U.S. law...88 II. Classification and separability under English law...90 III. Classification and separability under German law...91 C. Comparative review...93 D. Legal policy considerations...94 E. Summary...98 Chapter 6: Formal Requirements and the Incorporation of Choice of Forum Agreements...99 A. Formal requirements and the incorporation of jurisdiction agreements I. Form and incorporation under U.S. law II. Form and incorporation under the Brussels-Lugano regime III. Form and incorporation under English law IV. Form and incorporation under German law B. Formal requirements and the incorporation of arbitration agreements I. Form and incorporation under U.S. law II. Form and incorporation under English law III. Form and incorporation under German law C. Comparative review D. Legal policy considerations E. Summary Chapter 7: Inconvenient and Unfair Choice of Forum Clauses A. Inconvenient and unfair jurisdiction clauses I. Inconvenient and unfair jurisdiction clauses under U.S. law The reasonableness doctrine Forum non conveniens and the change of venue section Fairness II. Inconvenient and unfair jurisdiction clauses under the Brussels-Lugano regime III. Inconvenient and unfair jurisdiction clauses under English law IV. Inconvenient and unfair jurisdiction clauses under German law...138

9 X Contents B. Inconvenient and unfair arbitration clauses I. Inconvenient and unfair arbitration clauses under U.S. law II. Inconvenient and unfair arbitration clauses under English law III. Inconvenient and unfair arbitration clauses under German law C. Comparative review D. Legal policy considerations E. Summary Chapter 8: The Effect of Mandatory Liability Rules on the Enforcement of Choice of Forum Clauses A. The effect of mandatory liability rules on the enforcement of jurisdiction clauses I. Mandatory liability and jurisdiction clauses under U.S. law II. Mandatory liability and jurisdiction clauses under the Brussels-Lugano regime III. Mandatory liability and jurisdiction clauses under English law IV. Mandatory liability and jurisdiction clauses under German law B. The effect of mandatory liability rules on the enforcement of arbitration clauses I. Mandatory liability and arbitration clauses under U.S. law II. Mandatory liability and arbitration clauses under English law III. Mandatory liability and arbitration clauses under German law C. Comparative review D. Legal policy considerations E. Summary Chapter 9: The Effect of Choice of Forum Clauses on Third Party Cargo Receivers A. The effect of jurisdiction clauses on third party cargo receivers I. Position of third party cargo receivers under U.S. law II. Position of third party cargo receivers under the Brussels- Lugano regime III. Position of third party cargo receivers under English law IV. Position of third party cargo receivers under German law B. The effect of arbitration clauses on third party cargo receivers I. Position of third party cargo receivers under U.S. law II. Position of third party cargo receivers under English law III. Position of third party cargo receivers under German law

10 Contents XI C. Comparative review D. Legal policy considerations E. Summary Chapter 10: Future Developments the Hamburg Rules and Beyond A. From Hamburg to Rotterdam I. The Hamburg Rules Jurisdiction clauses under the Hamburg Rules Arbitration clauses under the Hamburg Rules II. The United Nations Convention on International Multimodal Transport of Goods III. The Rotterdam Rules Jurisdiction clauses under the Rotterdam Rules Arbitration clauses under the Rotterdam Rules B. Further developments I. U.S. Senate COGSA II. The Hague Convention on Choice of Court Agreements C. Comparative review D. Legal policy considerations E. Summary Chapter 11: General Observations and Conclusions A. General Observations B. Conclusions Bibliography Table of Cases Table of Legislation...271

11 Abbreviations A.C. AcP aff d AG All E.R. All E.R. (Comm) A.M.C. Am. J. Comp. L. Am. Rev. Int l Arb. Ann. dr. mar. océanique Arb. Int l Arb.J. Art. Ariz. J. Int l & Comp. L. ATF/BGE BB BGB BGBl. BGH BGHZ BIMCO B.R. BT-Drucks. Buff. L. Rev. Bus. Law. BVerfG BVerfGE B.Y.U. Int l L. & Mgmt. Rev. B.Y.U. L.Rev. CA Cal. W. Int l L.J. The Law Reports, Appeal Cases Archiv für die civilistische Praxis affirmed Aktiengesetz All England Law Reports All England Law Reports Commercial Cases American Maritime Cases American Journal of Comparative Law American Review of International Arbitration Annuaire de droit maritime et océanique Arbitration International The Arbitration Journal Article Arizona Journal of International and Comparative Law Arrêts du Tribunal Fédéral Suisse/Entscheidungen des Schweizerischen Bundesgerichts Betriebs-Berater Bürgerliches Gesetzbuch Bundesgesetzblatt Bundesgerichtshof Entscheidungen des Bundesgerichtshofs in Zivilsachen Baltic and International Maritime Council West s Bankruptcy Reporter Bundestagsdrucksache Buffalo Law Review Business Lawyer Bundesverfassungsgericht Entscheidungen des Bundesverfassungsgerichts Brigham Young University international Law & Management Review Brigham Young University Law Review Court of Appeal; cour d appel California Western International Law Journal

12 XIV Abbreviations Can. Bus. L.J. Cardozo L.Rev. Cass. com. Cass. SU Ch D Chi. J. Int l L. c.i.f. CIM Cir. CISG CMI CMR cmt. COGSA Colum. J. Transnat l L. Colum. L. Rev. Const. Cornell Int l L.J. COTIF CPR C.P. Rev. D Denv. L.J. Dir. mar. Disp. Resol. J. D.M.F. Duke L.J. Duq. L. Rev. DWiR EC ECJ ECR ed. EDI eds. EGBGB EGHGB E.L. Rev. ETL Canadian Business Law Journal Cardozo Law Review Cour de cassation, chambre commerciale Corte Suprema di Cassazione d Italia Chancery Division Chicago Journal of International Law cost, insurance and freight International Convention concerning the carriage of goods by rail Circuit Court of Appeals United Nations Convention on the International Sale of Goods Comité Maritime International Convention on the Contract for the International Carriage of Goods by Road comment Carriage of Goods by Sea Act Columbia Journal of Transnational Law Columbia Law Review Constitution Cornell International Law Journal Convention concerning International Carriage by Rail English Civil Procedure Rules Consumer Policy Review Durban and Coast Local Division (South Africa) Denver Law Journal Il diritto marittimo Dispute Resolution Journal Droit maritime français Duke Law Journal Duquesne Law Review Deutsche Zeitschrift für Wirtschaftsrecht European Community European Court of Justice Reports of Judgments of the European Court of Justice editor electronic data interchange editors Einführungsgesetz zum Bürgerlichen Gesetzbuch Einführungsgesetz zum Handelsgesetzbuch European Law Review European Transport Law

13 Abbreviations XV EU European Union EWS Europäisches Wirtschafts- & Steuerrecht F. Federal Reporter F.2d Federal Reporter, second series F.3d Federal Reporter, third series FAA Federal Arbitration Act F.C. Canada Federal Court Reporter FCA Federal Court of Australia F. Cas. Federal Cases Fed. C.A. Federal Court of Appeal (Canada) Fla. L. Rev. Florida Law Review f.o.b free on board Fordham L.Rev. Fordham Law Review F. Supp. Federal Supplement F. Supp.2d Federal Supplement, second series Ga. J. Int l & Comp. L. Georgia Journal of International and Comparative Law GG Grundgesetz GMAA German Maritime Arbitration Association HansGZ Hanseatische Gerichtszeitung Hastings Int l & Comp. L. Rev. Hastings International and Comparative Law Review Hastings L.J. Hastings Law Journal HGB Handelsgesetzbuch HL House of Lords Hous. J. Int l L. Houston Journal of International Law HR Hoge Raad H.R. Rep. House of Representatives Report ICCA International Council for Commercial Arbitration ILM International Legal Materials I.L.Pr. International Litigation Procedure Indian J. Int l L. Indian Journal of International Law Ind. L.J Indiana Law Journal Int l & Comp. L.Q. International and Comparative Law Quarterly IPRax Praxis des Internationalen Privat- und Verfahrensrechts J. Am. Arb. Journal of American Arbitration J.B.L. Journal of Business Law J. Int l Arb Journal of International Arbitration J. Legal Stud. Journal of Legal Studies J. Mar. L. & Com. Journal of Maritime Law and Commerce J. Transp. Econ. & Pol y Journal of Transport Economics and Policy JW Juristische Wochenschrift K.B. The Law Reports, King s Bench Division KBD King s Bench Division

14 XVI Abbreviations Ky. L.J. La L. Rev. Law Com. Ll. L. Rep. Lloyd s Rep. LMAA LMCLQ L.N.T.S. L.Q.R. MDR Me. Mich. J. Int l L. Mich. L. Rev. M.L.A. M.L.R. NIPR NJ NJW NJW-RR no. nos. N.W.2d Nw. J. Int l L. & Bus. N.Y. C.L.P.R. N.Y. Gen. Oblig. Law N.Y.S.2d N.Y.U. L. Rev. NZG OECD OGH O.J. ÖJZ Okla. L. Rev. OLG OLGZ P.3d PC PDAD Pepp. Disp. Resol. L.J. Q.B. QBD Kentucky Law Journal Louisiana Law Review Law Commission Lloyd s List Law Reports Lloyd s Law Reports London Maritime Arbitrators Association Lloyd s Maritime and Commercial Law Quarterly League of Nations Treaty Series Law Quarterly Review Monatsschrift für deutsches Recht Maine Reports Michigan Journal of International Law Michigan Law Review Maritime Law Association The Modern Law Review Nederlands internationaal privaatrecht Nederlandse Jurisprudentie Neue Juristische Wochenschrift Neue Juristische Wochenschrift Rechtsprechungs-Report Zivilrecht number numbers North Western Reporter, second series Northwestern Journal of International Law and Business New York Civil Practice Law and Rules New York General Obligations Law New York Supplement, second series New York University Law Review Neue Zeitschrift für Gesellschaftsrecht Organisation for Economic Co-operation and Development Österreichischer Oberster Gerichtshof Official Journal of the European Union Österreichische Juristenzeitung Oklahoma Law Review Oberlandesgericht Entscheidungen der Oberlandesgerichte in Zivilsachen Pacific Reporter, third series Privy Council Probate, Divorce & Admiralty Division Pepperdine Dispute Resolution Law Journal The Law Reports, Queen s Bench Division Queen s Bench Division

15 Abbreviations XVII R.C.J.B. Revue critique de jurisprudence belge Reg. Regulation Rev. arb. Revue de l arbitrage Rev. crit. dr. internat. privé Revue critique de droit international privé Rev. dr. int. dr. comp. Revue de droit international et de droit comparé RG Reichsgericht RGZ Entscheidungen des Reichsgerichts in Zivilsachen Riv. dir. int. priv. proc. Rivista di diritto internazionale privato e processuale RIW Recht der internationalen Wirtschaft RNotZ Rheinische Notar-Zeitschrift ro-ro roll-on/roll-off Rutgers L. Rev. Rutgers Law Review s. section SA South African Law Reports sched. schedule SchiedsVZ Zeitschrift für Schiedsverfahren S.C.R. Supreme Court Report (Canada) SDR Special Drawing Rights SE South Eastern Cape Local Division (South Africa) Seton Hall Legis. J. Seton Hall Legislative Journal SMA Society of Maritime Arbitrators So.2d Southern Reporter, second series Stan. L. Rev. Stanford Law Review St. Louis U. L.J. Saint Louis University Law Journal Sup. Ct. Rev Supreme Court Review Sw. J.L. & Trade Am. Southwestern Journal of Law and Trade in the Americas Sw. L.J. Southwestern Law Journal T Transvaal Provincial Devision (South Africa) Temp. L. Rev. Temple Law Review Tex. L. Rev. Texas Law Review Tex. Int l L.J. Texas International Law Journal Transnat l L. & Contem. Probs. Transnational Law and Contemporary Problems Transp. L.J. Transportation Law Journal TransportR Transportrecht Tul. L. Rev. Tulane Law Review Tul. Mar. L.J. Tulane Maritime Law Journal UAA Uniform Arbitration Act UCC Uniform Commercial Code UCLA J. Int l L. & Foreign Aff. UCLA Journal of International Law and Foreign Affairs

16 XVIII Abbreviations UCLA L. Rev. UCLA Law Review U. Ill. L. Rev. University of Illinois Law Review U.L.A. Uniform Laws Annotated U. Miami Inter-Am. L. Rev. University of Miami Inter-American Law Review U. Miami L. Rev. University of Miami Law Review UNCITRAL United Nations Commission on International Trade Law UNCTAD United Nations Conference on Trade and Development U.N.T.S. United Nations Treaty Series U.S. United States Reporter U.S.C. United States Code U.S.C. App. United States Code, Appendix U.S.F. Mar. L.J. University of San Francisco Maritime Law Journal Va. J. Int l L. Virginia Journal of International Law VersR Versicherungsrecht Wash. L. Rev. Washington Law Review Wayne L. Rev. Wayne Law Review WG Wechselgesetz Willamette J. Int l L. & Disp. Resol. Willamette Journal of International Law & Dispute Resolution WL Westlaw case number W.L.R. Weekly Law Reports World Arb. & Mediation Rep. World Arbitration and Mediation Report Yale J. Int l L. Yale Journal of International Law Yale L.J. Yale Law Journal YML Yearbook Maritime Law ZEuP Zeitschrift für Europäisches Privatrecht ZHR Zeitschrift für das gesamte Handelsrecht und Wirtschaftsrecht ZPO Zivilprozeßordnung ZZP Zeitschrift für Zivilprozeß

Jurisdiction and Arbitration Clauses in Maritime Transport Documents

Hamburg Studies on Maritime Affairs 19 Jurisdiction and Arbitration Clauses in Maritime Transport Documents A Comparative Analysis Bearbeitet von Felix Sparka 1. Auflage 2010. Taschenbuch. xviii, 282 S.