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CHAPTER 1 INTERNATIONAL AND COMPARATIVE MEDIATION：DEFINITIONS AND DEVELOPMENTS 1

1.Overview 1

2.Exploring Mediation Through Selected Jurisdictions and Legal Instruments 2

3.Travel Troubles and Other Stories 3

4.Defining Basic Terms 8

4.1 （Alternative） Dispute Resolution 8

4.2 Mediation 12

4.3 A Word on Terminology 15

4.4 Law 17

4.5 National， Cross-Border， International and Transnational 20

4.6 International Comparative Approaches 23

5.Distinguishing Mediation from Other Dispute Resolution Processes 25

5.1 Mediation and Negotiation 25

5.2 Mediation and Judicial Settlement 26

5.3 Mediation and Arbitration 27

6.Arbitration in International Dispute Resolution 39

7.Mediation in International Dispute Resolution 48

8.Mediation - Historical and Contemporary Perspectives 51

9.The Institutionalisation of Mediation 55

10.Mediation Stories 60

CHAPTER 2 LAW IN THE MEDIATION EQUATION 61

1.Overview 61

2.Private International Law and Mediation 62

2.1 Defiinition and Objectives of Private International Law 63

2.2 The Role of Contract in Private International Law 64

2.3 The Principles of Private International Law 67

2.4 Choice of Law in Practice 69

3.International and Other Cross-Border Legal Instruments 71

4.Diversity-Consistency and the Art of Regulation 74

4.1 You Cannot Not Regulate 77

4.2 Four Approaches to the Regulation of Mediation 77

4.2.1 Market-Contract Regulation 78

4.2.2 Self-Regulation 81

4.2.3 Formal Regulatory Framework 85

4.2.4 Formal Legislative Regulation 87

4.3 Four Regulatory Approaches in Practice：A Multi-Layered Approach 90

5.Analysing the Content of Mediation Regulation 93

5.1 The Law of Mediation and the Law in Mediation 93

5.2 A Functional Approach to Mediation Law： Triggering， Procedural， Standard-Setting and Benefiicial Laws 95

5.3 Laws Regulating the Interface Between Mediation and Legal System 100

5.4 Default and Mandatory Laws 101

5.5 The Scope of Mediation Laws： General， Sector-Specifiic and Integrated 102

5.6 Using the Classifiications as a Design Tool for Regulation 105

6.The Mediation Mix： Bringing Form and Content Together 111

7.Close 114

CHAPTER 3 PRE-MEDIATION Ⅰ： SELECTION AND REFERRAL 115

1.Introduction 115

2.Choosing a Dispute Resolution Professional： Qualities and Qualifiications 115

2.1 Implications of Mediator Selection 116

2.2 Selecting Multi-tiered Dispute Resolution （MDR） Practitioners 119

2.3 Mediator Recognition 122

2.3.1 Threshold Requirements for Mediator Approval 123

2.3.2 Attaining Mediator Approval 125

2.3.3 Maintaining the Approval Standard 126

3.Judges as Mediators 127

3.1 Historical View 127

3.2 Contemporary View 128

3.3 JDR Models 130

3.3.1 Judicial Settlement 131

3.3.2 Judicial Mediation 134

3.3.3 Judicial Moderation 137

3.3.4 Facilitative Judging 139

3.4 JDR and the Law 140

3.4.1 The Judicial Function 140

3.4.2 Procedural Fairness， Bias and Coercion 143

3.4.3 Desirability of Judges as Mediators in an International Context 147

4.Court Referral 148

4.1 Background and Development 148

4.2 A Systematic Approach to Referral 150

4.2.1 The Referral Framework 150

4.2.2 The Referral Procedure 158

4.3 The Status and Nature of Referral Criteria 159

4.4 The Referral Method 168

5.Close 169

CHAPTER 4 PRE-MEDIATION Ⅱ： MEDIATION CLAUSES AND AGREEMENTS TO MEDIATE 171

1.Introduction to Mediation Clauses 171

2.Formal Distinctions and Terminology 173

3.Recognition of Mediation Clauses 174

3.1 The Legal Nature of Mediation Clauses 176

3.2 Authority of the Court or Tribunal 181

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 Considerations 198

3.9 Drafting Guidelines 199

3.10 Waiver and Remedies 200

3.10.1 Waiver 200

3.10.2 Specific Performance 201

3.10.3 Stay of Proceedings and Inadmissibility of Claim 202

3.10.4 Damages 208

3.10.5 Costs and Fee Sanctions 209

4.Agreements to Mediate 209

4.1 Nature of Agreements to Mediate 210

4.2 Contents of Agreements to Mediate 212

CHAPTER 5 CONDUCT OF MEDIATORS AND PARTICIPANTS 215

1.Overview 215

2.Conduct of Mediators and Other Participants in Mediation 215

2.1 Mediator Duties 215

2.1.1 Duty of Disclosure 216

2.1.2 Duty of Impartiality 219

2.1.3 Duty to Consider Termination of Mediation in Certain Circumstances 224

2.2 Parties’ Duties in Mediation 225

2.2.1 Duty to Act Reasonably in Relation to the Mediation Process 225

2.2.2 Duty to Participate In Mediation In Good Faith 227

2.3 Lawyers’ Duties in Mediation 233

2.3.1 The Duty of Disclosure 235

2.3.2 Pre-Litigation Duties 235

2.3.3 Duty to Represent Client Interests and Participate in Mediation in Good Faith 236

2.4 Experts， Witnesses， Interpreters and Others 239

3.Liability and Remedies 240

CHAPTER 6 CONFIDENTIALITY 245

1.Overview 245

2.The Rationale behind and Parameters of Mediation Confidentiality 245

3.The Dimensions of Confidentiality 248

3.1 Insider/Outsider Confiidentiality 249

3.2 Insider/Insider Confiidentiality 249

3.3 Insider/Court Confiidentiality 251

4.Challenging Confiidentiality 251

5.Courts and Confiidentiality 253

6.Approaches to Confiidentiality 257

6.1 Duty of Confiidentiality 258

6.2 Evidentiary Exclusion 262

6.3 Prohibition on Calling a Mediator to Testify 263

6.4 Right of Refusal to Testify 264

6.5 Protection of Settlement Negotiations 266

6.6 Protection of Lawyer-Client Communications and Related Material 271

6.7 Mediation Privilege 273

7.Remedies 279

8.Exceptions to Confiidentiality 280

9.Securing Confiidentiality and the Role of Contract 285

10.Closing Comments 290

CHAPTER 7 POST-MEDIATION ISSUES 293

1.Introduction 293

2.Mediation and Parties’ Legal Rights and Remedies 293

2.1 Limitation Periods 294

2.2 The Impact of Settlements on Parties’ Rights and Remedies 300

3.Enforceability of Mediated Agreements 301

3.1 Mediated Outcomes and Legal Form 303

3.1.1 Mediated Settlements as Contracts 304

3.1.2 Contracts Subject to Ratifiication and Review 305

3.1.3 Special Forms of Settlement and Deeds 305

3.1.4 Court or Tribunal Ratifiication 307

3.1.5 Settlement in the Form of an Arbitral Award 310

3.2 Mediated Settlements： Challenges and Remedies 312

3.2.1 Challenges Based on Traditional Contract Principles 314

3.2.2 Challenges to Other Forms of Settlement 321

3.2.3 Judicial Review of Administrative Decisions Relevant to Mediation 323

4.Mediator Reporting 325

4.1 Obligatory and Discretionary Documentation and Reporting 325

4.2 Minimalist and Evaluative Reporting 327

5.Mediator Debriefiing 328

6.Other Post-Mediation Activities 329

7.Mediators as Subsequent Arbitrators 329

8.Costs Sanctions 331

9.Close 335

CHAPTER 8 UNCITRAL AND INTERNATIONAL MEDIATION 337

1.Introduction 337

2.Background to UNCITRAL 337

3.The Nature of UNCITRAL Model Laws and Rules 339

4.The MLICC： Background and Development 340

5.An Overview of the MLICC 343

5.1 How the Objectives of the MLICC Relate to the Objectives of Mediation 343

5.2 How the MLICC is Structured 344

5.3 Five Themes of the MLICC 345

6.Critique of the MLICC 346

7.The UNCITRAL Model Law on International Commercial Conciliation （2002）： An Interview with Mr Jernej Sekolec， Former Secretary of UNCITRAL， July 2009 350

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

1.Overview 385

2.Article 1 385

2.1 Scope of Application of the Model Law and Its Limits 387

2.2 Meaning of Commercial 390

2.3 Meaning of Conciliator and Conciliation 391

2.4 Meaning of International 393

2.5 How is the Model Law Triggered？ 397

3.Article 2 398

4.Article 3 400

4.1 Party Autonomy 400

4.2 The Exceptions 401

4.3 Mandatory and Default Provisions 401

4.4 Drafting Points 402

5.Article 4 402

5.1 There are Many Paths to Conciliation 403

5.2 The Effect of Article 4 on Obligations to Conciliate 404

5.3 Time-Frame for Acceptance of Offer to Conciliate 404

5.4 Withdrawal of Offer 405

6.Article X 405

7.Article 5 407

7.1 Appointment and Number of Conciliators 408

7.2 Duty of Disclosure 410

8.Article 6 411

8.1 Conduct of Conciliation Process 412

8.2 Fair Treatment 413

8.3 Conciliators May Make Settlement Proposals 414

8.4 Code of Mediator Ethics 414

9.Article 7 415

9.1 Procedure and Practice 415

9.2 Three Articles on Confiidentiality 416

10.Article 8 416

11.Article 9 419

12.Article 10 421

12.1 Insider/Court Confiidentiality 423

12.2 Implications of the Default Nature of Article 10 426

12.3 Exceptions to the Confiidentiality Provisions of Article 10 426

12.4 Evidence Otherwise Admissible 428

12.5 Documents Already Privileged 428

12.6 Subsequent Proceedings 429

13.Article 11 430

14.Article 12 431

15.Article 13 434

16.Article 14 436

APPENDIX A MODEL CLAUSES AND AGREEMENTS 441

APPENDIX B COMPARATIVE TABLE OF INTERNATIONAL MEDIATION RULES 451

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

INDEX 485