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CHAPTER 1 INTERNATIONAL AND COMPARATIVE MEDIATION：DEFINITIONS AND DEVELOPMENTS1

1.Overview1

2.Exploring Mediation Through Selected Jurisdictions and Legal Instruments2

3.Travel Troubles and Other Stories3

4.Defining Basic Terms8

4.1 （Alternative） Dispute Resolution8

4.2 Mediation12

4.3 A Word on Terminology15

4.4 Law17

4.5 National， Cross-Border， International and Transnational20

4.6 International Comparative Approaches23

5.Distinguishing Mediation from Other Dispute Resolution Processes25

5.1 Mediation and Negotiation25

5.2 Mediation and Judicial Settlement26

5.3 Mediation and Arbitration27

6.Arbitration in International Dispute Resolution39

7.Mediation in International Dispute Resolution48

8.Mediation - Historical and Contemporary Perspectives51

9.The Institutionalisation of Mediation55

10.Mediation Stories60

CHAPTER 2 LAW IN THE MEDIATION EQUATION61

1.Overview61

2.Private International Law and Mediation62

2.1 Defiinition and Objectives of Private International Law63

2.2 The Role of Contract in Private International Law64

2.3 The Principles of Private International Law67

2.4 Choice of Law in Practice69

3.International and Other Cross-Border Legal Instruments71

4.Diversity-Consistency and the Art of Regulation74

4.1 You Cannot Not Regulate77

4.2 Four Approaches to the Regulation of Mediation77

4.2.1 Market-Contract Regulation78

4.2.2 Self-Regulation81

4.2.3 Formal Regulatory Framework85

4.2.4 Formal Legislative Regulation87

4.3 Four Regulatory Approaches in Practice：A Multi-Layered Approach90

5.Analysing the Content of Mediation Regulation93

5.1 The Law of Mediation and the Law in Mediation93

5.2 A Functional Approach to Mediation Law： Triggering， Procedural， Standard-Setting and Benefiicial Laws95

5.3 Laws Regulating the Interface Between Mediation and Legal System100

5.4 Default and Mandatory Laws101

5.5 The Scope of Mediation Laws： General， Sector-Specifiic and Integrated102

5.6 Using the Classifiications as a Design Tool for Regulation105

6.The Mediation Mix： Bringing Form and Content Together111

7.Close114

CHAPTER 3 PRE-MEDIATION Ⅰ： SELECTION AND REFERRAL115

1.Introduction115

2.Choosing a Dispute Resolution Professional： Qualities and Qualifiications115

2.1 Implications of Mediator Selection116

2.2 Selecting Multi-tiered Dispute Resolution （MDR） Practitioners119

2.3 Mediator Recognition122

2.3.1 Threshold Requirements for Mediator Approval123

2.3.2 Attaining Mediator Approval125

2.3.3 Maintaining the Approval Standard126

3.Judges as Mediators127

3.1 Historical View127

3.2 Contemporary View128

3.3 JDR Models130

3.3.1 Judicial Settlement131

3.3.2 Judicial Mediation134

3.3.3 Judicial Moderation137

3.3.4 Facilitative Judging139

3.4 JDR and the Law140

3.4.1 The Judicial Function140

3.4.2 Procedural Fairness， Bias and Coercion143

3.4.3 Desirability of Judges as Mediators in an International Context147

4.Court Referral148

4.1 Background and Development148

4.2 A Systematic Approach to Referral150

4.2.1 The Referral Framework150

4.2.2 The Referral Procedure158

4.3 The Status and Nature of Referral Criteria159

4.4 The Referral Method168

5.Close169

CHAPTER 4 PRE-MEDIATION Ⅱ： MEDIATION CLAUSES AND AGREEMENTS TO MEDIATE171

1.Introduction to Mediation Clauses171

2.Formal Distinctions and Terminology173

3.Recognition of Mediation Clauses174

3.1 The Legal Nature of Mediation Clauses176

3.2 Authority of the Court or Tribunal181

3.3 Does a Mediation Clause Oust the Jurisdiction of the Court？184

3.4 Does a Mediation Clause Challenge Inalienable Rights？187

3.5 Does the Mediation Clause Survive the Termination of the Agreement？188

3.6 Is the Dispute in Question Within the Scope of the Dispute Resolution Clause？190

3.7 Is the Mediation Clause Sufficiently Certain and Complete？191

3.8 Public Policy Considerations198

3.9 Drafting Guidelines199

3.10 Waiver and Remedies200

3.10.1 Waiver200

3.10.2 Specific Performance201

3.10.3 Stay of Proceedings and Inadmissibility of Claim202

3.10.4 Damages208

3.10.5 Costs and Fee Sanctions209

4.Agreements to Mediate209

4.1 Nature of Agreements to Mediate210

4.2 Contents of Agreements to Mediate212

CHAPTER 5 CONDUCT OF MEDIATORS AND PARTICIPANTS215

1.Overview215

2.Conduct of Mediators and Other Participants in Mediation215

2.1 Mediator Duties215

2.1.1 Duty of Disclosure216

2.1.2 Duty of Impartiality219

2.1.3 Duty to Consider Termination of Mediation in Certain Circumstances224

2.2 Parties’ Duties in Mediation225

2.2.1 Duty to Act Reasonably in Relation to the Mediation Process225

2.2.2 Duty to Participate In Mediation In Good Faith227

2.3 Lawyers’ Duties in Mediation233

2.3.1 The Duty of Disclosure235

2.3.2 Pre-Litigation Duties235

2.3.3 Duty to Represent Client Interests and Participate in Mediation in Good Faith236

2.4 Experts， Witnesses， Interpreters and Others239

3.Liability and Remedies240

CHAPTER 6 CONFIDENTIALITY245

1.Overview245

2.The Rationale behind and Parameters of Mediation Confidentiality245

3.The Dimensions of Confidentiality248

3.1 Insider/Outsider Confiidentiality249

3.2 Insider/Insider Confiidentiality249

3.3 Insider/Court Confiidentiality251

4.Challenging Confiidentiality251

5.Courts and Confiidentiality253

6.Approaches to Confiidentiality257

6.1 Duty of Confiidentiality258

6.2 Evidentiary Exclusion262

6.3 Prohibition on Calling a Mediator to Testify263

6.4 Right of Refusal to Testify264

6.5 Protection of Settlement Negotiations266

6.6 Protection of Lawyer-Client Communications and Related Material271

6.7 Mediation Privilege273

7.Remedies279

8.Exceptions to Confiidentiality280

9.Securing Confiidentiality and the Role of Contract285

10.Closing Comments290

CHAPTER 7 POST-MEDIATION ISSUES293

1.Introduction293

2.Mediation and Parties’ Legal Rights and Remedies293

2.1 Limitation Periods294

2.2 The Impact of Settlements on Parties’ Rights and Remedies300

3.Enforceability of Mediated Agreements301

3.1 Mediated Outcomes and Legal Form303

3.1.1 Mediated Settlements as Contracts304

3.1.2 Contracts Subject to Ratifiication and Review305

3.1.3 Special Forms of Settlement and Deeds305

3.1.4 Court or Tribunal Ratifiication307

3.1.5 Settlement in the Form of an Arbitral Award310

3.2 Mediated Settlements： Challenges and Remedies312

3.2.1 Challenges Based on Traditional Contract Principles314

3.2.2 Challenges to Other Forms of Settlement321

3.2.3 Judicial Review of Administrative Decisions Relevant to Mediation323

4.Mediator Reporting325

4.1 Obligatory and Discretionary Documentation and Reporting325

4.2 Minimalist and Evaluative Reporting327

5.Mediator Debriefiing328

6.Other Post-Mediation Activities329

7.Mediators as Subsequent Arbitrators329

8.Costs Sanctions331

9.Close335

CHAPTER 8 UNCITRAL AND INTERNATIONAL MEDIATION337

1.Introduction337

2.Background to UNCITRAL337

3.The Nature of UNCITRAL Model Laws and Rules339

4.The MLICC： Background and Development340

5.An Overview of the MLICC343

5.1 How the Objectives of the MLICC Relate to the Objectives of Mediation343

5.2 How the MLICC is Structured344

5.3 Five Themes of the MLICC345

6.Critique of the MLICC346

7.The UNCITRAL Model Law on International Commercial Conciliation （2002）： An Interview with Mr Jernej Sekolec， Former Secretary of UNCITRAL， July 2009350

CHAPTER 9 THE UNCITRAL MODEL LAW ON INTERNATIONAL COMMERCIAL CONCILIATION （2002）385

1.Overview385

2.Article 1385

2.1 Scope of Application of the Model Law and Its Limits387

2.2 Meaning of Commercial390

2.3 Meaning of Conciliator and Conciliation391

2.4 Meaning of International393

2.5 How is the Model Law Triggered？397

3.Article 2398

4.Article 3400

4.1 Party Autonomy400

4.2 The Exceptions401

4.3 Mandatory and Default Provisions401

4.4 Drafting Points402

5.Article 4402

5.1 There are Many Paths to Conciliation403

5.2 The Effect of Article 4 on Obligations to Conciliate404

5.3 Time-Frame for Acceptance of Offer to Conciliate404

5.4 Withdrawal of Offer405

6.Article X405

7.Article 5407

7.1 Appointment and Number of Conciliators408

7.2 Duty of Disclosure410

8.Article 6411

8.1 Conduct of Conciliation Process412

8.2 Fair Treatment413

8.3 Conciliators May Make Settlement Proposals414

8.4 Code of Mediator Ethics414

9.Article 7415

9.1 Procedure and Practice415

9.2 Three Articles on Confiidentiality416

10.Article 8416

11.Article 9419

12.Article 10421

12.1 Insider/Court Confiidentiality423

12.2 Implications of the Default Nature of Article 10426

12.3 Exceptions to the Confiidentiality Provisions of Article 10426

12.4 Evidence Otherwise Admissible428

12.5 Documents Already Privileged428

12.6 Subsequent Proceedings429

13.Article 11430

14.Article 12431

15.Article 13434

16.Article 14436

APPENDIX A MODEL CLAUSES AND AGREEMENTS441

APPENDIX B COMPARATIVE TABLE OF INTERNATIONAL MEDIATION RULES451

APPENDIX C COMPARATIVE TABLE OF LAWS BASED ON THE UNCITRAL MODEL LAW ON INTERNATIONAL COMMERCIAL CONCILIATION （2002）479

INDEX485