Thèses sur le sujet « Arbitration principle »

Memoria (magister en derecho internacional)
On the first chapter of this work, I am going to analyze the interventions of national Courts authorized by the Chilean arbitration law and see if the regulations are self operative or if they need further regulation in order to work properly. In those cases were the provisions are not self operative or the current writing difficult their interpretation and application I will propose modifications and the incorporation of amendments. For this task I will compare, when possible, the Chilean provisions with the corresponding provisions of the Peruvian and Irish arbitration laws and make a parallel with the Chilean international arbitration regulations. The reason why the Peruvian and Irish arbitration laws were chosen to develop this work is because these laws have been recently enacted and adjusted to the amendments of the UNCITRAL model law of 2006, so they can reflect the last tendencies in the subject. These laws may include interesting or relevant provisions that may be included in the Chilean law. On the second chapter, I will refer to the decision of the Constitutional Court referred to article 5 of the Chilean law and check if the interventions consecrated on the conservation, disciplinary and economical competences of the Supreme Court of Justice of the Republic of Chile are applicable to the processes under the international commercial arbitration law. Particularly, I will focus my work on trying to understand the legal nature of the ruling of Chilean Courts of Appeal that decides the set aside consecrated on article 34 of the Chilean arbitration law. Having established the mentioned legal nature I will try to demonstrate that the legal nature of that ruling does not entitle anyone to invoke the Chilean legal remedy of complaint against that ruling, leaving the non-intervention principle intact.

Whenever states’ rights to regulate and investor’s interests conflict with each other it is an unsolved question in investment treaty arbitration how one should balance those two positions. In particular, it is indefinite where to draw the line at what point states can actually exercise their rights without unlawfully violating the investor’s interests. A solution for this issue might be the proportionality test or analysis. Over the years, several tribunals approached proportionality, but took very different paths to understand and apply this legal concept. Especially, if one considers proportionality from its root in European and German law, some applications in investment treaty arbitration create confusion. Originating from a fixed methodological approach in the background of justifications of state measures, tribunals use proportionality in the process of defining and determining in contrast to the justification, as one would expect. Thus, it remains questionable which of those approaches is correct or if there is rather one correct application of proportionality in the context of investment treaty arbitration. This work argues in favour of proportionality being a legal concept which originates from German and European jurisprudence and migrated to international law. In international law it was established as a legal principle and subsequently adopted, inter alia, in investment treaty arbitration. Nevertheless, tribunals should be more careful when using proportionality. Especially, when naming and transferring a particular legal construct, it should not be used out of context. This endangers an award’s persuasiveness and furthers the fragmentation in international investment law. Tribunals should only refer to the ‘principle of proportionality’ or a ‘proportionality test/analysis’ when they actually apply it. And this application requires the concept to be used in the background of justification and not determination. Furthermore, the three/four significant steps must be followed in order to obtain the aimed proportional result.

This article doesn’t pretend to be an exhaustive analysis about the proposals contended in the oncoming regulation of the new Public Procurement Peruvian Law.It begins with a reflection about the importance on trust, and it continues by analyzing inherent issues to the principles that characterize arbitration, and that, in a near future, should be used to ‘arbitralize’ arbitration on public procurement matter.
Este artículo no pretende un análisis exhaustivo sobre las propuestas contenidas en el futuro Reglamento de la Nueva Ley de Contrataciones del Estado.Comienza con una reflexión sobre la importancia de la confianza y prosigue con el análisisde diversos aspectos inherentes a los principios que caracterizan al arbitraje y que; en unfuturo cercano, deberían servir para «arbitrabilizar» el arbitraje en materia de contratación pública.

O presente trabalho refere-se à análise da aplicação da boa-fé na arbitragem internacional. Para a consecução do objetivo do estudo proposto, a boa-fé é analisada a partir de seus conceitos clássicos subjetivo e objetivo. É estudada conforme suas diversas formas de conceituação nos principais sistemas jurídicos ocidentais, com referência principal aos sistemas romano, germânico e de common law. Em seguida, é compreendida em nível internacional, através do estudo detido de suas manifestações nos contratos internacionais do comércio, nos princípios contratuais de aplicação internacional e nos princípios gerais de direito do comércio internacional. O papel dos árbitros na veiculação dos preceitos internacionais do princípio da boa-fé é cuidadosamente verificado, incluindo o estudo da atividade do árbitro na escolha da lei aplicável às demandas. Sintetizada a teoria de boa-fé internacional, é realizado seu estudo através de sentenças arbitrais proferidas por tribunais arbitrais especializados, notadamente, os da Câmara de Comércio Internacional. As sentenças analisadas dividem-se em grupos representativos da manifestação multifacetada da boa-fé, sempre estudada sob a óptica do comércio internacional, seus usos e costumes. O resultado do trabalho é a verificação de um conceito particular de boa-fé no comércio internacional, reunido e considerado a partir da verificação da exigência comum de parâmetros comportamentais específicos de cooperação, razoabilidade e justiça contratual.
This study is related to the analysis of the application of good faith in international arbitration. In order for the objectives of the proposed study to be achieved, good faith is analyzed from its subjective and objective classic concepts. It is studied in accordance with the several forms of classification within the main Western legal systems, with primary references to the Roman, Germanic and Common Law systems. In continuance it is interpreted in an international level, through its manifestations within the international commercial agreements, the internationally applicable contractual principles and the general principles of international commercial law. The role of the arbitrators in the dissemination of the international concepts of the good faith principle is carefully scrutinized, including the study of the arbitrators activity in deciding choice of law matters. Once perceived the theory of the international good faith, its study is effected through awards rendered by specialized courts of arbitration, notably, the ones connected to the International Chamber of Commerce. The analyzed awards are divided into groups which represent the multiple manifestations of good faith, always studied under the concept of international trade, its usages and customs. The conclusion of this analysis is the conceptualization of a particular theory of good faith in international trade, gathered and considered through the verification of the regular requirement of specific standards of behaviour of cooperation, reasonableness and contractual justice.

A tese de doutorado trata da relação entre o instituto da substituição processual e o da coisa julgada, especialmente da eficácia ou não desta para aquele que foi substituído como parte no processo no processo civil de natureza individual. O tema ora discutido merece um tratamento atual, com a evolução da doutrina e dos institutos processuais. A doutrina majoritária sempre afirmou que a coisa julgada estende-se ao substituído porque ele é a parte material da discussão em litígio. Mais tímido é o questionamento jurisprudencial sobre essa questão. Poucas vezes os tribunais debruçaram-se sobre a possibilidade de a coisa julgada não se estender de forma automática ao substituído. Como essa clássica afirmação não satisfaz a todas as necessidades, alguns doutrinadores começaram a se questionar se essa fórmula estava correta. Alguns doutrinadores têm levantado que a proposta clássica da doutrina, de que a coisa julgada estende-se de forma automática para o substituído, não é suficiente para atender os ditames do contraditório e do due process of law. Como é exposto na tese, a extensão automática da coisa julgada ao substituído viola os princípios constitucionais do due process of law, contraditório, isonomia processual e inafastabilidade da tutela jurisdicional, e não tem amparo no ordenamento jurídico. A tese faz também uma abordagem no processo arbitral, especialmente porque são poucos aqueles que debruçaram seus estudos sobre o enfoque das peculiaridades sobre tal processo. Como é exposto, a tendência internacional, ao menos da Itália, Alemanha e Portugal, é a de estender a coisa julgada àqueles que não participaram de um litígio societário discutido em arbitragem, desde que lhes tenha sido dada a oportunidade de participar do processo arbitral. Há algumas questões que são enfrentadas, como a própria eficácia subjetiva de cláusulas compromissórias institucionais, o sigilo do procedimento arbitral e o critério de escolha dos árbitros. A primeira parte da tese aborda o conceito de substituição processual, a diferença com outros institutos, os limites dos atos do substituto e do substituído, os modelos de substituição processual e como esse fenômeno é tratado dentro da dinâmica do processo. A segunda parte aborda do conceito da coisa julgada e sua relação com a sua extensão subjetiva, bem como as razões constitucionais para que haja a sua limitação subjetiva. A terceira parte faz a conexão com o primeiro e o segundo capítulos, a fim de responder a questão a que a tese se propõe. É analisada a questão sob os princípios constitucionais referidos, em especial do contraditório. Em seguida, são analisados os argumentos que a doutrina utiliza para afirmar que a coisa julgada estende-se ao substituído e será feito um estudo crítico sobre cada fundamento. Após, é visto que a coisa julgada não pode estender-se de forma automática e indiscriminada ao substituído, e as consequências que essa afirmação tem, inclusive os limites de atuação quando o assistente é o titular da relação jurídica, enquanto a parte principal é o legitimado extraordinário.
The doctoral thesis considers the relationship between the principle of substitution of parties and the principle of res judicata, in particular the effectiveness or not thereof for the party substituted in an individual civil action. The topic discussed herein deserves an updated approach, since there have been changes in the opinion of jurists and in the principles of procedure. The prevailing opinion of jurists has always held that res judicata applies to the substituted party because it is the material party to the matter in dispute. The courts have been reluctant to challenge this view. Only rarely have they considered the possibility that res judicata may not automatically apply to the substituted party. But this standard assertion does not meet every need, and some jurists have started to question whether this formula is in fact correct. Some of them have suggested that the standard doctrine, which holds that res judicata automatically applies to the substituted party, is insufficient to meet the dictates of the adversary proceeding and the due process of law. The thesis argues that the automatic application of res judicata to the substituted party breaches the constitutional principles of the due process of law, adversary proceeding, procedural equality and non-obviation of judicial protection, and has no place in the legal framework. The dissertation also considers arbitration proceedings, which have their own peculiarities and have been afforded little study. It shows that the international trend, at least in Italy, Germany and Portugal, is to apply res judicata to those that have not participated in a corporate dispute submitted to arbitration, provided they have been given the opportunity to participate. A number of other issues are covered, such as the very subjective effectiveness of institutional arbitration clauses, the confidentiality of arbitration proceedings and the criteria for selecting arbitrators. The first part of the thesis addresses the concept of substitution of parties, the way in which this differs from other principles, limitations on the actions of the substitute and the substituted party, models of substitution of parties, and how this phenomenon is handled within the scope of the dynamics of a proceeding. The second part deals with the concept of res judicata and how broadly it is applied, as well as the constitutional reasons for its application to be limited. The third part makes the connection between the first two chapters, in order to answer the question posed by the dissertation. The issue is analyzed in the light of the aforementioned constitutional principles, especially the principle of adversary proceeding. Subsequently, the dissertation turns to the arguments used by the jurists to assert that res judicata is applicable to the substituted party, with a critical study of each of the arguments in favor of this assertion. The conclusion reached is that res judicata cannot be applied automatically and indiscriminately to the substituted party, and the consequences of this assertion are outlined, including the extent to which action is limited when the assistant is the party to the legal relationship, while the main party has extraordinary legal title to it.

L’accès à la justice est un droit fondamental et général, conçu comme nécessaire à l’état de droit. Cette dette de justice repose sur l’État qui doit assurer l’accès effectif, et donc matériel, à la justice à tout justiciable. Dans cette perspective, l’arbitrage international, justice privée, fait naître un conflit de juridictions. Si la justice arbitrale doit être préservée, ce n’est qu’à la condition qu’elle soit effective. Or, l’aspect négatif du principe de compétence-compétence crée en droit français une situation de déni de justice économique dans l’hypothèse d’impécuniosité d’un litigant (i.e. partie faible). Cette partie ne peut recourir à l’arbitrage faute de moyens financiers suffisants et les juridictions étatiques refusent leur saisine. Dès lors, cet effet négatif doit être écarté. L’État français sera responsable du déni de justice lorsqu’il est internationalement compétent. En ce cas, le juge étatique est invité à constater l’inapplicabilité de la convention d’arbitrage et sa caducité. Néanmoins, afin de préserver la volonté contractuelle exprimée dans la convention d’arbitrage, il est possible de se fonder sur l’obligation de collaboration qui lie les litigants afin de mettre en oeuvre la responsabilité de la partie forte. Le recours à la responsabilité contractuelle permet ainsi d’assurer tant l’accès à la justice que le respect de la convention d’arbitrage d’une part, et d’autre part, de sanctionner une partie invoquant de manière abusive son impécuniosité
The access to justice is fundamental and general. It is conceived as necessary for the rule of law. This debt of justice fall on the State that must ensure the effective and material access for all litigants. In this perspective, the international arbitration, a private justice, arise potential conflict of jurisdictions. If the arbitral justice must be preserved, it is only if it is effective. But the negative aspect of the principle of “compétence-compétence” in French law creates a situation of denial of economical justice in the case of an impecunious litigant (i.e. weaker part). The part can neather resorts to arbitration, for lack of sufficient funds, and to state courts, that refuse to jugde the litigation. Therefore, this negative effect must be rejected. The French jurisdiction will be responsible for the denial of justice when it is competent in judging international litigation. In this case, the contract can be void and can not be applied. However, in order to preserve the contractual intent expressed in the arbitration agreement, it is possible to rely on the duty of collaboration between the litigants in order to implement the responsibility of the stronger part. The use of contractual liability thus ensures, at one hand, the access to justice with respect to the arbitration agreement, and on the other hand, that the invoker’s part is sanctioned if it raised improperly the impecuniosity state

L’estoppel ou l’interdiction de se contredire au détriment d’autrui consacre un principe connu dans les sources de la common law : le principe de cohérence. Cette règle n’existait pas en droit judiciaire privé français. Son introduction en procédure civile et en matière d’arbitrage s’est faite de manière progressive. À cela, il convient de constater qu’il existe, dans notre ordonnancement judiciaire, des institutions jurisprudentielles et légales qui sanctionnent déjà des attitudes procédurales contradictoires. Leur existence se retrouve dans le code de procédure civile, mais aussi dans de nombreuses décisions de la Cour de cassation. En droit positif, l’estoppel ne serait ainsi pas la seule règle sanctionnant l’incohérence procédurale.Déjà étudié sous l’angle contractuel, le principe de cohérence n’avait encore jamais été analysé sous son angle processuel. Tout d’abord, cette thèse conduit à se pencher sur la recherche d’une définition du principe de cohérence, pour ensuite s’attacher à la pertinence de son introduction dans notre droit interne
The estoppel or prohibition to contradict himself embodies a principle known in the sources of the common law: the principle of coherence. This rule does not exist in French private judicial law. Its introduction in civil procedure and in arbitration procedure is made gradually.To this, it must be noted that there is already, in our judicial right, jurisprudential and legal institutions who condemn the inconsistency of an attitude in front of the adversary. Their existence is found in the Code of Civil Procedure, and in some decisions of the Court of Cassation. In positive law, estoppel would not be the only rule sanctioning procedural incoherence.Already studied under the contractual perspective, the principle of coherence had never been analyzed under its procedural angle. First, this thesis led to consider looking for a definition of the principle of coherence, then focus on the relevance of its introduction into French judicial law

Cooperative Construction in Schools in California John M. Donley The construction industry has lost efficiency since 1964, while becoming increasingly more litigious. Schools in California can ill afford the time to allow the construction industry time to fully evolve. It may take years or decades to fully improve the efficiency of, and reduce the conflict within the construction industry. At the same time, the construction industry has developed new processes to improve efficiency and reduce conflict. These processes are beginning to be broadly embraced by the industry. They all contain cooperative elements. Taken together they represent a new organizing principle for the construction industry, cooperative construction. Also concurrently, a previously little-used provision of the California Education Code allows schools freedom to contract for school construction in nearly any reasonable contractual arrangement they see fit for their project and district needs. As a result, school districts in California have developed a new system of project delivery. They are borrowing from here and there and inventing new tools to make projects work for them. Again, cooperative elements at the hearts of the processes.

Le conflit d'intérêts est un sujet passionnant notamment en raison de son omniprésence dans l'actualité. Approximative, l'expression empruntée au magma lexical des politiciens et juristes anglo-américains s'est récemment diffusée en France dans le monde des affaires et aussitôt reprise par le jargon médiatique pour désigner des éventuelles interférences de l'intérêt privé dans l'exercice de pouvoirs de nature privée ou publique. Il n'existe en l'état actuel du droit positif français aucune réglementation spécifique de ces « conflits d'intérêts », pas plus en droit privé qu'en droit public, alors même qu'on se préoccupe de leur prévention tandis que leur sanction relève de qualifications plus générales. Il convient donc de s'interroger sur la définition et la valeur opératoire de cette notion et le régime juridique qui pourrait lui être réservé, ce que l'on se propose d'entreprendre dans la sphère du droit privé et par préférence dans le champ de l'arbitrage commercial, particulièrement exposé aux appétits hégémoniques des droits anglo-américains
Conflict of Interests is a fascinated subject due to its pervasiveness in the economic life. This approximated expression, borrowed from the politicians and Anglo-American lawyers' jargon, has recently spread into the French business world and was taken up by the media to designate the interferences of private interest in the exercise of powers of private or public nature. In the current state of French Law, there is no specific rule governing conflicts of interests, neither in Private Law, nor in Public Law. Indeed, politicians and scholars paradoxically only focus on their prevention, whereas their sanctions fall within the scope of broader notions. The aim of this research is to lay down the definition, the operative value and the regime of conflict of interests. The scope of this research shall be, within Private Law, Commercial Arbitration Law, which is particularly exposed to the hegemony of Anglo-American laws

The aim of this research is to assess an emerging public-law concern: the review of the administrative actions of a host state in investment arbitration. This research examines the extent to which the principles of domestic administrative law can be used as a legal reference for investment arbitrators to address and resolve the legal issues presented in regulatory disputes that are resolved by means of investor-state treaty arbitrations (ISTAs). In arriving at an answer to this particular question, two factors are considered: (i) the use of administrative law principles as a part of the unitised nature of the law that governs the ‘state of law’ of any democratic society; and (ii) the current crisis of legitimacy that the investor-state treaty arbitration system is facing.The thesis begins with a comparative analysis of the French and British administrative legal systems as representatives of the two most important legal traditions of the Western world (civil law and common law, respectively). This comparison identifies the common institutions and principles that are domestically used by host states to determine the legal and regulatory relationship between private actors and their public administrations (i.e., the state). It continues with conceptual and critical assessments of international investment treaties (IITs) and ISTAs, respectively, and identifies and analyzes the legal principles that have been developed in the international arena and have been used to settle international (regulatory) disputes between host states and private investors/actors. Additionally, this thesis continues with an arbitral practice review to identify the factual statements that arbitral tribunals have included in their arbitral awards and which can be framed within the scope of the main principles of administrative law previously identified. This is achieved by taking into consideration one of the main features of the current investor-state arbitration system which is the use of this mechanism to settle regulatory disputes at an international level. This latter feature is considered to be (i) analogous to domestic administrative adjudication that provides (ii) legal mechanisms to resolve regulatory disputes between host states and private individuals when (iii) the public authority of the host state is compromised. Finally, this thesis reflects upon the current investor-state arbitration system and identifies the current political, international and academic concerns that are affecting the legitimacy of this arbitral system.Given the analogy between the public law functions of the ISTA mechanism and the domestic administrative review mechanisms, both parallel levels of state regulatory review have been designed to protect private individuals from the unlawful or arbitrary conduct of the (host) state. The investment arbitration system has been designed as a temporary forum to provide private individuals with a special tool to challenge the domestic rights and privileges of the host state at the international level. This particular point shows, amongst other aspects, that investment arbitrators are arbitrators of law rather than arbitrators of equity since they are mainly required to assess the domestic regulation of the host state in accordance with the international standards of treatment contained in an IIT and in accordance with the applicable law chosen by the IIT’s contracting parties in order to determine the state’s international responsibility.This study finds that neither Bilateral Investment Treaties (BITs), the International Centre for Settlement of Investment Disputes (ICSID) nor the Arbitration Rules of the United Nations Commission on International Trade Law (UNCINTRAL) impedes or prevents investment arbitrators from applying some principles of domestic (administrative) law to ISTAs when domestic regulatory issues are at stake. A guideline as to what domestic (administrative) law principles should be applied to international regulatory investor-state disputes in conjunction with some international investment obligations has not been adequately studied in international law. Hence, the application of these principles to international regulatory disputes has been left to the discretion of investment arbitrators.Finally, due to the current concerns and questions surrounding the current arbitral system, it could be affirmed that now is the right time to initiate the practice of referring to these domestic (administrative) law principles in international regulatory disputes. Conversely, the reluctance of investment arbitrators to refer to this particular source of law can be regarded, in the long-term, as a contribution to the current crisis of legitimacy that the international investment arbitration system is facing.

A-national principles discussed in this thesis mean broadly the principles whose origins and formation have no direct connection with any particular states by contrast with national laws. They include the general principles of law, the new lexmercatoria together with amiable composition. Within the present framework, arbitration draws upon national laws, by reference to which, questions as to whether and to what extent arbitration agreements and awards will be enforced are answered. The validity of the choice of a-national principles also has to be determined under the laws of the states connected with the arbitration. This is evident where arbitrators have to reach their decision on the basis of a specific national law in accordance with the laws of the countries connected with the dispute. Thus, the parties' freedom to select the proper law may be incompatible with the provisions of domestic laws. The application of a-national principles is controversial. However, this thesis will not examine the arguments for or against such an application. Its main aim is to examine the practice of applying a-national principles and the sometimes hostile reception this receives in national courts. Whether this can be sufficiently accommodated by the existing theories of arbitration will also be examined. Part One of this thesis, a background study, highlights the changes in the traditional three-step rule on choice of law on contract in international commercial arbitration. Part Two presents the result of the study of ad hoc and ICC arbitral awards which shows that a-national principles are increasingly applied in such arbitration. Using comparative analysis, Part Three examines the diverse attitudes held by different national courts which are in different regions and at different stages of development in the area of such arbitration. Part Four examines the conflict with the existing theories of arbitration and suggests a new approach that corresponds more closely with the application of a-national principles and the development of arbitration in an international commercial context.

Following the Aramco arbitration in 1963, Saudi Arabia’s approach to international arbitration resulted in a reputation for being an arbitration unfriendly country. This was addressed to some extent by the Arbitration Law of 1983. However, arbitration under the 1983 law remained dependent on the approval of the national courts. With too much scope for judicial intervention, the legal framework undermined the final and binding nature of the award, constrained party autonomy and created inefficient delays. In 2012, a new Law of Arbitration was passed to replace the 1983 law with a legal framework intending to meet the needs of international commercial parties. The question addressed by this thesis is whether the Arbitration Law of 2012 (SAL 2012) succeeds in creating a legal framework that is consistent with the three core principles that provide the foundations for modern international commercial arbitration. These core principles of party autonomy, procedural justice and cost-effectiveness were used as normative tools for assessing the provisions of the SAL 2012, which were based on the UNCITRAL Model Law. Relying on those principles, the SAL 2012 was subjected to a comparative legal analysis, using the Model Law and the Arbitration (Scotland) Act 2010 as comparators. Although hampered by a lack of available case law involving the SAL 2012, the analysis concluded that the SAL 2012 is a very significant development, providing a legal framework that facilitates arbitration, encourages a pro-arbitration culture and achieves a balance between the three core principles that should meet the needs of international commercial parties. Despite this, the law could be further reformed to make Saudi Arabia even more attractive as a location for arbitration. While acknowledging that future reform should be guided by empirical research on arbitration in Saudi Arabia, proposals were made for the further development of a pro-arbitration legal framework.

En dépit de son importance pratique, le secret des affaires n’est guère pris en compte par le droit français. Bien que mentionné par quelques textes épars, il ne peut être qualifié de notion juridique. Face aux lacunes de notre législation, les tribunaux sont contraints d’appliquer le droit commun pour protéger les informations économiques sensibles : or, l’article 1382 du Code civil, comme les textes réprimant le vol et le recel, ne sont pas adaptés. Pourtant, comme en témoignent certains systèmes juridiques étrangers, la protection du secret est nécessaire ; il convient donc d’en rechercher les fondements. Bien que justifiée, la sauvegarde des renseignements confidentiels doit toutefois être conciliée avec les autres intérêts en présence, tels que les droits particuliers à l’information, les principes directeurs du procès, la transparence financière ou encore la liberté du travail. Le but de cette étude est donc de cerner la notion de secret des affaires, puis de proposer des modalités de protection, en respectant les intérêts des tiers
Despite its practical relevance, business secrecy remains barely recognized under French law. Even if various texts refer to that concept, it cannot be considered as a legal concept under French law. In order to face the defects of our law, courts are bound to apply ordinary law to guarantee the protection of sensitive business information. However, applying article 1382 of the French civil code (torts) as well as referring to the concepts of robbery or handling (criminal law) are inappropriate solutions. Nevertheless, some foreign legal systems have demonstrated that protecting business secrecy was necessary. Therefore, our study will seek the grounds of that need for protection. Protecting confidential data, although justified, must be compatible with other key principles: individual rights to information, civil trial practice standards, financial transparency or freedom of work. Thus, the purpose of that study is to delimitate the concept of business secrecy before suggesting new measures to protect it while preserving third parties beneficiaries

The author analyzes the main principles of arbitration and evidence, trying to answer the question if arbitrators are or not bound by formal rules of evidence, written for the ordinary procedure, if the parties does not provide they are bound by civil procedure rules, as they can do in force of art. 816 bis c.p.c.. Then, the second question is, in case arbitrators are bound by law or by a parties’ choice, if these rules are or not compatible with arbitration. For doing that, the author analyzes preliminarily if civil procedure rules represents a default regulation for arbitration, concluding they are not. Then he shows how, also if civil procedure rules are not a default regulation, parties and arbitrators are bound by public order rules. So the author analyzes the relationship between evidence law and public order rules (chap. 2), in particular describing this link regarding the right of defence and the judge’s duty of impartiality. Connected to this last principle is the rule providing that the judge cannot use his personal knowledge to decide the case. The conclusion for the appurtenance to the public order of the process regards also the burden of proof, in the limits described and the relevancy of the proof. The last chapter regards the direct analysis of the described principles and the other main Italian rules of evidence in arbitration, with the conclusion that, also considering the comparison with the American legal system, except for the described primarily principles, Italian arbitrators, like American ones, are not bound by formal rules of evidence. The author also take note of the doctrine and of the case law regarding the said subject, and the last part of the dissertation regards the analysis of the compatibility with the arbitration process of formal ordinary rules, in case their application is asked by the parties or choose by the arbitrators. The description of the compatibility problems show how the freedom of proof, as to the previous analysis, can overcome those problems.

L'arbitrage est un mode de justice privée utilisé fréquemment, en matière de commerce international, pour le règlement des conflits. Son avantage repose principalement sur la rapidité de la procédure ainsi que sur la liberté des parties de choisir leur propre arbitre. Cependant, le libre choix des arbitres doit obéir à des conditions d'indépendance et d'impartialité imposées, à l'arbitre, par l'autorité chargée de l'organisation de la procédure arbitrale. Ainsi, comprendre l'importance de l'impartialité dans l'arbitrage ne peut se faire sans apprécier les autres notions qui lui sont adjacentes.Dans le but de préserver leur réputation en matière de transparence d'une part et d'assurer le bon fonctionnement de la procédure arbitrale, d'autre part, les centres d'arbitrage ont mis en place des mesures préventives afin de répondre aux attentes des acteurs du commerce international, en matière de traitement équitable. Les caractéristiques de l'obligation d'impartialité ainsi que les moyens adoptés par les différentes institutions pour sécuriser la procédure d'arbitrage feront l'objet de ce travail. Mais, outre les interrogations sur l'efficacité de ces mécanismes, l'étude du régime de la responsabilité de l'arbitre en cas d'un défaut d'impartialité, allant jusqu'à la responsabilité pénale, soulève un intérêt essentiel qui fera, de même, l'objet de notre analyse. Cependant, la responsabilité de l'arbitre ne peut être appréciée qu'à partir des deux fonctions inhérentes à la mission de l'arbitre : la fonction juridictionnelle et la fonction contractuelle
Arbitration is a private and alternative dispute resolution method (ADR) which that has continually been gaining in terms of importance in the global business environment. The main advantage of such a mechanism is the flexibility and the privilege of the parties to choose their own arbitrator. However, the freedom of choice of arbitrators implies the adherence to a few principles, related mainly to the duties of independence and impartiality of the arbitrator, which are imposed, by the administering body in charge of overseeing the arbitral procedure. Therefore, it is important to examine the impartiality of the arbitrator in order to understand its significance.For the sake of their reputation on one hand, and to ensure that the arbitral process is properly operating on the other, the arbitral institutions put in place preventive measures to secure a fair treatment for the international trade community in accordance with their expectations. The characteristics of the duty of impartiality and the means adopted by arbitral institutions to secure the arbitral process will be the subject of this study. Furthermore, despite the questions raised related to the effectiveness of these means, the liability of arbitrators in the absence of impartiality and the criminal sanctions resulting from the arbitrator's behavior should also be analyzed. However, the liability of the arbitrator shall only be assessed while taking into account the duality of his function on both the jurisdictional and contractual levels

Thesis (M.A.)--City University of Hong Kong, 2003.
Title from title screen (viewed on June 2004) Submitted for Master of Arts in arbitration & alternative dispute resolution. Includes bibliographical references.

En droit du commerce international, pacta sunt servanda se manifeste dans la règle de l'intangibilité du contrat. Cette dernière s'y présente de manière singulière. Sous l'influence de la Common law, la créance et les prérogatives contractuelles ne sont protégées qu'en fonction de leur utilité économique. En cas d'inexécution du contrat, la modification de ses stipulations est encouragée lorsqu'elle permet au créancier de minimiser son préjudice. En vue d'une allocation optimale des ressources économiques, le créancier doit parfois privilégier la survie du lien contractuel, à la sanction stricte de ses droits et prérogatives. La règle de l'intangibilité du contrat est ainsi concurrencée par la règle de l'effet utile du contrat. Cette dernière participe à la singularité du principe pacta sunt servanda en droit du commerce international. Le principe transnational pacta sunt servanda n'est pas qu'une représentation " systématique et synthétique " de la force obligatoire du contrat en droit du commerce international. Ce principe de droit transnational tire son autonomie vis-à-vis des droits étatiques des libertés accrues reconnues à l'arbitre international. Le principe transnational pacta sunt servanda invite à rejeter la nullité d'un contrat conforme aux besoins du commerce du international, lorsque celle-ci est commandée par des motifs étatiques particularistes. Cette protection accrue du devoir de respecter la parole donnée n'en fait toutefois pas un principe d'ordre public transnational. Pacta sunt servanda conduit plutôt vers la reconnaissance d'un principe de validité transnationale des contrats en droit du commerce international.

Le Tribunal arbitral du sport (TAS), organe de résolution des litiges sportifs par la voie de l’arbitrage, rend des sentences qui, grâce à la pratique du précédent, acquièrent la cohérence nécessaire à la formation d’une jurisprudence. À travers cette jurisprudence, le TAS contribue à l’édification d’un ordre juridique sportif global et autonome. Cette contribution est le résultat d’un double apport, normatif et structurant. D’abord, les règles prétoriennes produites par le TAS et formées essentiellement des principes généraux constamment appliqués par les arbitres, constituent une source de droit à l’intérieur de l’ordre juridique sportif. Certains de ces principes, principalement ceux permettant de protéger la sincérité des compétitions et les droits fondamentaux des athlètes, se démarquent par leur caractère intangible pour former l’ordre public sportif. La mise à l’écart du droit étatique au profit de l’application de ces principes, mais aussi des règlements sportifs, permet d’assurer l’autonomie de l’ordre juridique sportif. Ensuite, ces principes sont un facteur de structuration de l’ordre juridique sportif, dans la mesure où leur intervention favorise la cohérence du système. Cette structuration est le résultat de l’application de ces principes pour contrôler l’exercice par les organisations sportives de leurs compétences réglementaires et disciplinaires et pour délimiter les pouvoirs de chacune des composantes du mouvement sportif. Dans les deux cas, ces principes deviennent des standards communs qui s’imposent à l’ensemble de la communauté sportive
The Court of arbitration for sport (CAS), an arbitration body in sport disputes, passes sentences which, thanks to the practice of the precedent, get enough coherence to constitute a jurisprudence. Through this jurisprudence, CAS contributes in the erection of a global and autonomous sports legal order. This support is the result of a double contribution, normative as well as structuring. First, the pretorian rules generated by CAS and formed mainly by the general principles commonly applied by the judges, constitute a source of law within the sports legal order. Some of these principles, namely those aimed at protecting the fairness of the competitions and the fundamental rights of athletes, stand out with regards to their intangibility to form the sport public order. Discarding state law in favor of the application of these principles as well as of sport regulations, guarantees the autonomy of the sports legal order. Thereafter, these principles are considered as a structuring factor of the sports legal order, in that their intervention favors the coherence of the system. This structuring results from the application of these principles in order to monitor the practices by the sport organizations of their regulatory and disciplinary competences and also to confine the power of each of the components of the sport movement. In both cases, these principles become common standards for the whole sport community to abide by

This thesis analyses three issues raised by the application of the general principles of law to commercial arbitration. First, it is essential to assess the core and the substance of the general principles of law. Our first hypothesis purports that the UPICC reduces considerably the uncertainty of the general principles of law in international trade. Secondly, an analysis of the nature of the UPICC is needed, in order to determine whether they have the essential features of a transnational norm and can thus escape the application of national legal norms. We will thus analyse the existing mechanisms to assure the autonomy, of PUCCI, from national law. Thirdly, we will analyse the legitimacy of the UPICC. In doing so, we shall refer to the concept of reflexive legimitacy, a legitimacy obtained through the consensus of the merchant community. This reflexive legitimacy over the UPICC is generally admitted. Two rules within the UPICC, however, raise doubts and concerns over their acceptability in the merchants' community: the hardship and the gross disparity provisions. (Abstract shortened by UMI.)

The thesis is focuses on the investments evalutation and protection in the International Law. In addiction, the project centres on the various meaning of investments and on the different kind of dispute resolutions.

The thesis's main objective is the analysis of transparency in international arbitration. To this purpose, we start from a broad conception of the notion 2/2 of transparency and its relevance in the current Bilateral Investment Treaties (BITs) and in the main international arbitration regulations: the ICSID, the ICC, UNCITRAL and its Rules on Transparency in Treaty-based Investor-State Arbitration, followed by a study of the most important issues of the arbitration procedure related to transparency, such as public hearings, the participation of third parties in the procedure (third-party funders and amicus curiae), the appointment of arbitrators and the conflict of interests and, finally, the analysis of transparency in the decisions (arbitral awards). The thesis proposes and bases, among other issues, the need to create an ICSID Court of Appeal and, if not, the most suitable mechanism for the implementation of an International Investment Tribunal
La tesis aborda las principales cuestiones procesales en el ámbito del arbitraje comercial internacional y el arbitraje de inversiones. Se parte de un análisis del concepto de transparencia en el arbitraje internacional y su relevancia en los actuales Tratados Bilaterales de Inversión (TBI), así como en las principales reglas arbitrales a nivel internacional, el CIADI; la CCI; la CNUDMI y su Reglamento sobre la Transparencia en el arbitraje inversionista-Estado, seguido de un estudio de las cuestiones más trascendentales del procedimiento arbitral relacionadas con las transparencia como son las audiencias públicas; la participación de terceros en el procedimiento, dígase terceros financiadores y los amicus curiae; el nombramiento de los árbitros y el conflicto de intereses; concluyendo con el análisis de la transparencia en las decisiones (laudos) arbitrales. En la tesis se propone y fundamenta, entre otras cuestiones, la necesidad de creación de un Tribunal de Apelación del CIADI y, en caso contrario, el mecanismo más idóneo para la implementación de un Tribunal Internacional de Inversiones

Principen jura novit curia anses vedertagen i svensk processrätt. Det har dock ansetts osäkert om, och i så fall hur, principen ska tillämpas i internationella skiljeförfaranden. Uppsatsen utreder därför gränserna för hur jura novit curia får tillämpas i internationella skiljeförfaranden i Sverige utan att skiljedomen kan klandras framgångsrikt. I uppsatsen definieras principen enligt följande: 1) Rättstillämpningsfriheten: Rätten/skiljenämnden är inte bunden av de rättsregler (rättsliga kvalifikationer) som parterna åberopat eller diskuterat under processen. 2) Rättsutredningsplikten: Parterna behöver inte bevisa innehållet i gällande rätt och rätten/skiljenämnden är omvänt skyldig att ex officio utreda hur gällande rätt ska förstås oaktat vilka rättskällor parterna presenterat. 3) Överraskningsfriheten: Rätten/skiljenämnden är inte skyldig att genom materiell processledning låta parterna yttra sig över ”nya” rättsregler eller rättsliga kvalifikationer som rätten/skiljenämnden överväger att göra. Inledningsvis djupanalyseras principens ställning i svenska domstolsförfaranden och rent svenska skiljeförfaranden. Därefter analyseras hur principen diskuteras i svensk doktrin, i svensk klanderdomspraxis och enligt SCC-regelverket. Vidare följer en översiktlig komparativ analys med studier av hur jura novit curia tillämpas i bland annat England, Schweiz, Danmark och Argentina samt under ett antal internationella instrument och institut såsom ICSID, UNCITRAL, ALI/UNIDROIT och ILA. Sammantaget är slutsatserna i uppsatsen följande: Rättstillämpningsfriheten gäller i internationella skiljeförfaranden i Sverige. En skiljedom torde alltså inte kunna klandras enbart för att en skiljenämnd ex officio tillämpat andra rättsregler än de parterna hänfört sig till. Nämnden har dock möjlighet att ålägga parterna att presentera bevisning om rättens innehåll, vilket innebär någon absolut rättsutredningsplikt inte finns. Analysen visar slutligen att någon absolut överraskningsfrihet inte finns, men att det är oklart hur stor oförutsebarhet i rättstillämpningen som krävs för att det ska vara fråga om ett klanderbart handläggningsfel. Givet att LSF kräver att handläggningsfelet ska ha ”inverkat på utgången” i målet för att skiljedomen ska åsidosättas torde det dock i praktiken vara endast i undantagsfall som överraskande rättstillämpning de facto leder till ett åsidosättande av en skiljedom.
The principle jura novit curia is considered a fundament of Swedish Procedural Law. Yet there are doubts as to whether, and if so how, the principle applies in international arbitration. In this thesis it is investigated how jura novit curia can be applied in international arbitration taking place in Sweden without the award being annulled. In the thesis, the principle is defined as follows: 1) Freedom to apply the law: A court/tribunal is not bound by the legal arguments and qualifications made by the parties in the case. 2) Duty to investigate the law: The parties do not have to prove the law and consequently a court/tribunal is obliged to research and ascertain the law ex officio. 3) Freedom to surprise: A court/tribunal is not obliged to let the parties comment on the legal sources or rules of law that it considers to apply on the case. Initially the application of jura novit curia in Swedish courts and domestic arbitrations is deeply analyzed. Furthermore, the discussion among Swedish scholars and the application in case law and under the SCC framework is presented. Thereafter follows a brief comparative analysis on how jura novit curia is applied in England, Switzerland, Denmark and Argentina, as well as its application under a number of international instruments and institutions such as ICSID, UNCITRAL, ALI/UNIDROIT and ILA. In short, the conclusions of the thesis are: The freedom to apply the law applies in international arbitration in Sweden since an arbitral award can most likely not be annulled only because a rule of law that was not invoked by the parties was applied. However, an arbitral tribunal has the power to require the parties to present legal arguments and legal investigations, which means there is no absolute duty to investigate the law. The analysis shows that there is no absolute freedom to surprise, although it is uncertain how much unpredictability is needed for an award to be annulled due to procedural error. However, given that the Swedish Arbitration Act additionally requires a procedural error to have “influenced the outcome of the case” in order for an award to be annulled, it is likely that it is only exceptional examples of unpredictable application of law that would actually lead to an annulment.

Massimo dei voti e lode (très honorable avec félicitations du jury à l'unanimité) alla Università Sorbona di Parigi (école de droit de La Sorbonne). Diffusa in microfiches a tutte le università francofone.

PONTIFÍCIA UNIVERSIDADE CATÓLICA DO RIO DE JANEIRO
Com a engenhosa sobreposição constitucional de espaços políticos autônomos, de cidadãos comuns, num único território nacional, os Founding Fathers inauguraram o federalismo moderno. Tal revolução manifestou, em ato, a potência de uma multidão que desejou constituir novas realidades – mais comuns e plenas –, e novos modos de viver e decidir. Em sua fórmula original – de inspiração liberal, democrática, pluralista, igualitária e solidária –, o equilíbrio federativo confiou à União Federal apenas questões merecedoras de especial agilidade, unidade ou uniformidade – como, e.g., a declaração de guerra, a cunhagem de moedas, e padronização de pesos e medidas. Mantiveram-se descentralizadas todas as demais competências políticas das antigas colônias, recém-libertas. Desde então, uma tendência centralista e homogeneizadora, acentuada pelas exigências do Estado-social, desvia o federalismo da sua natureza limitadora do poder, protetora da liberdade, conciliadora de interesses gerais e específicos, e afirmativa de um locus privilegiado de cidadania. Nesta dissertação, o conflito irreconciliável entre a radicalidade inovadora do poder constituinte e as estruturas conservadoras que produz, a cada vez que altera a realidade, é o contexto em que se avalia eventual instrumentalidade da nossa jurisdição constitucional em relação a um federalismo centralizador, paternalista, quase nominal, no qual restariam aos entes subnacionais poucas e vigiadas liberdades. Nessa investigação, a recente fiscalização dos espaços políticos federativos pelo Supremo Tribunal Federal, à luz dos pressupostos teóricos, indica a posição da Corte nas disputas federativas de poder, e sua releitura, especialmente sob a perspectiva do princípio da subsidiariedade – expressão federativa das ideias de diversidade e solidariedade – revela outras possibilidades interpretativas.
With the ingenious constitutional superposition of autonomous political spaces of common citizens into a single national territory, the Founding Fathers have inaugurated the modern federalism. This revolution has expressed, in act, the power of a multitude that wished to establish new realities – more common and full – and new ways of living and making decisions. In its original formula – from a liberal, democratic, pluralistic, egalitarian and caring inspiration – the federal balance entrusted to the Federal Government only issues deserving special promptitude, unity or uniformity – e.g., the declaration of war, coinage, and the standardization of weights and measures. All other political powers of the former colonies, recently freed, remained decentralized. Since then, a centralist and homogenizing trend, accentuated by the demands of the Welfare State, diverts the federalism from its power-limiting, protector of freedom, conciliator of general and specific interests, and guarantor of a privileged locus of citizenship nature. In this dissertation, the irreconcilable conflict between the groundbreaking radical nature of the constituent power and the conservative structures it produces every time it changes the reality is the context in which it is evaluated any possible instrumentality of our constitutional jurisdiction in relation to a centralized and paternalistic, almost nominal, federalism in which only a few and monitored freedoms would remain for the subnational entities. In this investigation, the recent surveillance of federal political spaces by the Brazilian Supreme Court, in light of theoretical assumptions, indicates the position of the Court in federative disputes for power, and their rereading, especially from the perspective of the principle of subsidiarity – federative expression of the ideas of diversity and solidarity – reveals other interpretational possibilities.

In questa tesi si esamina il principio dell’equilibrio contrattuale focalizzandosi su due sitemi: il sistema giuridico Turco ed i Principi UNIDROIT riguardanti Contratti Commerciali Internazionali [Principi, o Principi UNIDROIT]. Questa tesi è composta da tre capitoli principali. Nel primo capitolo, si analizza il percorso storico dell’evoluzione del principio dell’equilibrio contrattuale. Si comincia dal diritto musulmano classico e le disposizioni della Mecelle, in seguito si analizza l’evoluzione del detto principio nella tradizione romanistica fino alle codificazioni post-liberali. Nel secondo capitolo si studia le istituzioni relative all’equilibrio delle prestazioni al momento della conclusione del contratto, mentre nel terzo capitolo si analizza le istituzioni relative all’equilibrio delle prestazioni nella fase dell’adempimento. Nei capitoli due e tre, dopo di una panoramica sulle teorie generali delle istituzioni ed una breve disamina delle linee generali dei regolamenti rilevanti nel diritto comparato, si studia le codificazioni internazionali e la giurisprudenza arbitrale. In seguito, si studia le disposizioni dei Principi UNIDROIT in base ai parametri comparatistici. Questa metodologia ci permette di valutare meglio le disposizioni e la giurisprudenza relative al principio dell’equilibrio contrattuale nel contesto del diritto turco. I capitoli due e tre si concludano con analisi dettagliate dell’evoluzione e l’applicazione delle istituzioni relative al principio dell’equilibrio contrattuale nel diritto turco. La gran parte di queste analisi sono dedicate alla giurisprudenza turca con particolare riguardo ai periodi di crisi economiche quando le dette istutizioni si sono sviluppati di più. La metodologia della tesi non si basa solo all’ordine cronologico delle fasi della formazione de dell’adempimento del contratto, ma anche all’ordine cronologico dell’evoluzione del principio dell’equilibrio contrattuale. Il motivo perché si studia l’evoluzione del detto principio fino alle codificazioni post liberali nel primo capitolo è che le istituzioni relative all’equilibrio originario nel contesto delle codificazioni post liberali studiate nel secondo capitolo rappresentano il seguito di questo evoluzione. In conformità a questo ordino cronologico, le istituzioni relative all’equilibrio contrattuale nella fase dell’adempimento studiate nel terzo capitolo rappresentono un’ulteriore evoluzione del principio dell’equilibrio contrattuale. Nelle parti dedicate al diritto ed alla giurisprudenza turca ci si ritorna spesso alle istituzioni studiate nelle parti dedicate al diritto comparato ed al diritto del commercio internazionale che hanno avuto grande influenza sul diritto turco. Veniamo all’analisi più dettagliata dei tre capitoli principali: Nel primo capitolo si studia brevemente il principio dell’equilibrio delle prestazioni nel diritto musulmano classico e nella tradizione romanistica al fine di mostrare il parallelismo fra gli approcci di questi due. Questo principio è un principio fondamentale per entrambi i sistemi. Tuttavia, l’influenza del liberalismo dei XVIII e XIX secoli colpisce l’evoluzione del detto principio e nelle codificazioni dell’epoca, si trovano delle disposizioni che non solo negano questo principio ma anche lo contradicono. Una di queste codificazioni liberali è la Mecelle ottomana che porta gli articoli 165 e 356 che si staccano dal divieto del riba del diritto musulmano classico. Secondo questi articoli una sproporzione fra le prestazioni che non è eccessiva è leggittima in ogni caso; e una sproporzione eccessiva fra le prestazioni è anche legittima se non è unita al dolo. Sotto la luce delle condizioni politiche in cui la Mecelle è stata redatta, si spiega questa differenza fra il diritto musulmano classico e la Mecelle con l’influenza del liberalismo e del diritto francese. Nella seconda parte del primo capitolo dedicata all’evoluzione dell’equilibrio contrattuale nella tradizione romanistica si studiano in dettaglio gli effetti del pensiero liberale sulle codificazioni dell’epoca. Nel secondo capitolo si analizza innanzitutto le istituzioni relative allo squilibrio originario nelle codificazioni post liberali e lo svolgimento del detto principio nel diritto del commercio internazionale con particolare riguarda alle condizioni economiche e politiche del XX secolo. Nella parte dedicata all’articolo 3.10 dei Principi UNIDROIT intitolato “eccessivo squilibrio,” si sostiene la tesi che questo articolo rappresenta un’inclinazione verso la giustizia contrattuale emersa nel contesto del diritto del commercio internazionale negli ultimi decenni. Nella terza ed ultima parte del secondo capitolo si analizza la posizione del diritto turco nello squilibrio originario e l’istituzione del gabin con particolare riguarda alla giurisprudenza recente. Sebbene l’articolo 21 del Codice delle Obbligazioni [C.O.] turco sulla materia sia mutuato dal C.O. svizzero del 1911, non si studia il diritto svizzero sotto un diverso capitolo per due motivi: primo, per evitare la ripetizione degli ordinamenti che sono uguali, e secondo, per accentuare le differenze fra il diritto turco ed il diritto svizzero piuttosto che le assomiglianze. Al fine di poter fornire una lettura più approfondita della comparazione fra il diritto svizzero ed il diritto turco si esaminano in questa parte i punti in cui questi due si staccano. Sebbene le disposizioni sullo squilibrio originario del diritto svizzero e del diritto turco siano uguali, l’applicazione dell’articolo 21 del C.O. è molto differente nella giurisprudenza turca. Questo articolo richiede un elemento oggettivo (la sproporzione evidente fra le prestazioni) ed uno degli elementi soggettivi (lo stato di necessità, la leggerezza o l’inesperienza della parte svantaggiata) per riconoscere il diritto alla rescissione. Le differenze fra il diritto turco ed il diritto svizzero emergono negli elementi soggettivi: innanzitutto, secondo il diritto turco due di questi elementi soggettivi, la leggerezza e l’inesperienza, non si applicano alle transazioni commerciali. La ragione di ciò è che, differendo dal diritto svizzero, il diritto turco fa una distinzione fra le transazioni civili e quelle commerciali. Secondo l’articolo 20 del Codice Commerciale turco [C.C.T.] che è mutuato dal Codice Commerciale tedesco, “[o]gni commerciante deve trattare come un commerciante avveduto negli affari del suo ramo.” Perciò, nel diritto turco, un commerciante non può eccepire la sua leggerezza o la sua inesperienza per rescindere il contratto. La seconda differenza fra il diritto turco ed il diritto svizzero è che la giurisprudenza turca ha portato un altro elemento soggettivo che è “la volontà di approfittare della deficienza dell’altra parte.” Queste differenze del diritto turco l’hanno portato ad una posizione più rigida nell’applicazione dell’articolo 21 del C.O. rispetto a quella del diritto svizzero. I limiti di questa rigidità sembrano essere superati dalla giurisprudenza nei periodi di crisi economiche, ed in particolare nella crisi economica e finanziaria del 2001. Con l’influenza della crisi politica del 21 Febbraio 2001, c’era stata una svalutazione della lira turca e gli interessi overnight delle banche avevano raggiunto il 199% in una notte. Le banche avevano accresciuto gli interessi a causa della mancanza di liquidità; però non avevano abbastanza risorse per pagare questi interessi, e i loro debiti erano garantiti dallo stato. All’inizio degli anni 2000, tantissimi procedimenti erano stati avviati contro le banche che non avevano potuto pagare gli interessi promessi. In questi procedimenti le banche avevano rilevato che quando avevano promesso questi interessi, erano in una situazione di stato di necessità a causa della mancanza di liquidità, e perciò gli interessi promessi costituivano gabin nel senso dell’articolo 21 del C.O. La Corte di Cassazione turca ha adottato questa interpretazione espansiva dello “stato di necessità” per riconoscere il diritto alla rescissione delle banche e si è formata una giurisprudenza su questa interpretazione. Il secondo capitolo si conclude con uno studio di questa giurisprudenza e della disposizione del progetto per il nuovo C.O. relativa allo squilibrio originario che è stata redatta sotto la luce della giurisprudenza formata nel periodo di crisi economica. Il terzo ed ultimo capitolo inizia con uno studio della teoria generale delle istituzioni relative allo squilibrio sopravvenuto. Questo capitolo è più esplicativo rispetto al secondo capitolo perché si tratta delle istituzioni emerse nel XX secolo e che sono ancora in fieri. Sebbene ci siano già alcuni studi comparatistici sulla materia, i recenti sviluppi facevano sentire la mancanza di uno studio più aggiornato, che include anche la riforma del 2001 del Codice Civile Tedesco, le modificazioni nella versione 2004 dei Principi UNIDROIT, la giurisprudenza arbitrale e la giurisprudenza turca. Nella parte dedicata alle dottrine turche riguardanti lo squilibrio sopravvenuto si studia, innanzitutto, l’influenza del diritto e della giurisprudenza tedesca. Questa influenza si basa piuttosto sui motivi storici; però, anche il fatto che non ci sia nessuna disposizione generale sullo squilibrio sopravvenuto nei codici svizzero e turco ha costretto la giurisprudenza turca a riferirsi alla dottrina tedesca del Wegfall der Geschäftsgrundlage. Questa dottrina, chiamata işlem temelinin çökmesi in turco, è la dottrina che la giurisprudenza turca utilizza più spesso. Tuttavia la giurisprudenza turca ha seguito anche il modello della giurisprudenza svizzera che utilizza le istituzioni più generali come quella del rebus sic stantibus o della buona fede per riconoscere un rimedio nei casi di squilibrio sopravvenuto nella mancanza di una disposizione generale sulla materia. Ciò ha portato ad un’ applicazione della teoria oggettiva, che si focalizza sull’equilibrio delle prestazioni, con riferimento alla teoria soggettiva del Wegfall der Geschäftsgrundlage, che si focalizza invece sulle presupposizioni delle parti al momento della stipula del contratto. L’unica disposizione nei codici svizzero e turco relativa allo squilibrio sopravvenuto è il secondo paragrafo dell’articolo 365 C.O. (art. 373 C.O. svizzero), che è una disposizione specifica ai contratti d’appalto. Differendo dalla giurisprudenza svizzera, la giurisprudenza turca non applica questa disposizione agli altri tipi di contratto tramite l’analogia. Un’altra differenza fra le posizioni delle giurisprudenze svizzera e turca è che la giurisprudenza turca richiede delle condizioni più stringenti per applicare questo paragrafo a causa dell’influenza dell’articolo 20 C.C.T. Tuttavia il fatto che le crisi economiche del 1994 e del 2001 abbiano colpito l’equilibrio di molti contratti a lunga durata ha costretto la Corte di Cassazione turca a prendere una posizione più moderata. Per questo motivo, la Corte di Cassazione ha utilizzato l’istituzione del uyarlama (adattamento) in particolare nei contratti di locazione e di credito riferendo a questo rimedio come un principio, riferendosi anche alle altre dottrine nel diritto comparato. Nella parte dedicata alla giurisprudenza turca si studiano in dettaglio le decisioni della Corte di Cassazione relative ai contratti di locazione e di credito, e si osserva che la giurisprudenza turca ha preso di nuovo una posizione rigida nell’applicazione delle dottrine relative allo squilibrio sopravvenuto dal 2003 a causa della stabilità raggiunta dal quadro macroeconomico. Questa parte si conclude con lo studio della disposizione dell’articolo 137 del progetto per il nuovo C.O., che regola lo squilibrio sopravvenuto. Questo articolo è stato ispirato dal nuovo paragrafo 313 del Codice Civile tedesco e porterà il diritto turco un passo più vicino ai Principi UNIDROIT. Quando questo progetto sarà codificato, questa disposizione sarà il primo articolo generale sullo squilibrio sopravvenuto nel diritto turco. La tesi si conclude con l’osservazione che il principio dell’equilibrio contrattuale è sempre stato uno dei principi più fondamentali in entrambe le tradizioni giuridiche musulmana e romanistica e ad entrambi il livello nazionale ed il livello transnazionale e si sottolinea l’importanza del detto principio in particolare nei periodi di crisi economiche.
In this thesis the principle of contractual equilibrium is studied, focusing on two legal systems: Turkish legal system and the UNIDROIT Principles of International Commercial Contracts [hereafter refereed as Principles or UNIDROIT Principles]. This thesis is composed of three principal chapters. In the first chapter, the story of evolution of the principle of contractual equilibrium is examined. It starts from classical Islamic Law and the relevant articles of the Mecelle, and continues with the analysis of the evolution of this principle in the roman tradition, until post liberal codifications. In the second chapter, institutions relating to the equilibrium of undertakings at the moment of the conclusion of the contract are studied; whereas in the third chapter institutions relating to the equilibrium of undertakings in the performance phase of the contract are analysed. In the second and third chapters after providing a general overview of the institutions and a brief presentation of the general lines of the relevant regulations in comparative law, international codifications and arbitral case-law are examined. In the following, the provisions of the UNIDROIT Principles are studied on the basis of comparative analyses. This methodology allows us to better evaluate the provisions and the case-law regarding the principle of contractual equilibrium in the context of Turkish Law. The second and the third chapters are concluded with detailed analysis of the evolution and application of the institutions relating to the principle of contractual equilibrium in Turkish Law. Most part of these analyses is dedicated to Turkish case-law with particular regard to the periods of economic crisis when these institutions are most developed. The methodology of the thesis is not only based on the chronological order of the phases of the formation and performance of a contract, but also on the chronological order of the evolution of the principle of contractual equilibrium. The reason why the evolution of this principle is studied until post liberal codifications in the first chapter is that the institutions relating to the original equilibrium in the context of post liberal codifications studied in the second chapter represent the continuation of this evolution. In conformity with this chronological order, the institutions relating to the contractual equilibrium in the performance phase studied in the third chapter represent a further evolution of the principle of contractual equilibrium. In the parts dedicated to Turkish law and case-law, the institutions studied in the parts dedicated to comparative law and international commercial law which had great influence on Turkish Law are often referred. Now let us come to a more detailed analysis of the three principal chapters: In the first chapter the principle of equilibrium of undertakings is briefly studied under Islamic Law and Roman Law in order to show the parallelism between the approaches of these two traditions. This principle is of fundamental character in both systems. However, the influence of liberalism in the 18th and 19th Centuries damaged the evolution of this principle and, as a result, we may find articles which not only deny this principle but also contradict it in the context of the codifications of the era. One of these liberal codifications is the Ottoman Mecelle which brings provisions of the articles 165 and 356 detaching from the classical Islamic Law’s rule of riba. According to these articles, a disparity between the undertakings which is not excessive is always legitimate; moreover, an excessive disparity is also legitimate if not combined with fraud. In the light of the political conditions in which the Mecelle was drafted, this difference between classical Islamic Law and the Mecelle is explained by the influence of liberalism and of French Law. In the second sub-chapter of the first chapter dedicated to the evolution of the principle of contractual equilibrium in the Roman tradition, the impacts of the liberal thought on the codifications of the era are studied in detail. In the second chapter, first, the institutions relating to the original equilibrium in post liberal codifications and the development of the said principle in international commercial law are studied with particular regard to the economical and political conditions of the 20th Century. In the sub-section dedicated to the article 3.10 of the UNIDROIT Principles titled “gross disparity,” it is maintained that this article reflects a sensibility towards contractual justice that emerged in the context of international commercial law in the last decades. In the third and the last sub-chapter of the second chapter, the position of Turkish Law in respect of original equilibrium and the institution of gabin are analyzed with particular regard to recent case-law. Although the article 21 of the Turkish Code of Obligations [C.O.] which regulates this subject was adopted from the Swiss C.O. of 1911, the latter is not studied in a different section for two reasons: first, in order to avoid repetition of the study of provisions which are identical; and second, in order to emphasize the differences between Turkish Law and Swiss Law rather than the similarities. For providing a more comprehensive study of the comparison between Turkish Law and Swiss Law, the points in which they differ are examined in this sub-chapter. Although the provisions regarding the original equilibrium are identical in Turkish and Swiss laws, application of the article 21 of C.O. is very different in Turkish case-law. This article requires an objective element (an evident disparity between undertakings) and one of the subjective elements (distressed situation, improvidence or inexperience of the disadvantaged party) for allowing rescission. The differences between Turkish Law and Swiss Law emerge in subjective elements: first of all, according to Turkish Law two of these elements, improvidence and inexperience are not applicable to commercial transactions. The reason of this that, differing from Swiss Law, Turkish Law makes a distinction between civil transactions and commercial ones. According to the article 20 of the Turkish Commercial Code [T.C.C.] which was adopted from the German Commercial Code, “[e]very businessman shall behave as a foresighted businessman in his affairs.” For this reason, in Turkish Law, a merchant party cannot rely on his own improvidence or inexperience to rescind the contract. The second difference between Turkish Law and Swiss Law is that Turkish judiciary brought another subjective element which is “the conscience of benefiting from the weakness of the other party.” These differences of Turkish law brought it to a more rigid position in the application of the article 21 of the C.O. than the position of Swiss Law. The limits of this rigidity seem to be outrun by the judiciary in periods of economic crisis, in particular, in the economical and financial crisis of 2001. With the influence of the political crisis of 21 February 2001, devaluation in the Turkish Lira had taken place and overnight interests had reached 199% in a night. Banks had increased the interests because of the lack of liquidity; but they did not have enough resources to pay these interests, and their debts were guaranteed by the State. At the beginning of 2000’s, many actions were brought against the banks which could not pay the interests that they had promised. In these actions the banks had revealed that when they promised these interests they were in a distressed situation, and thus, the promised interests constituted gabin in the sense of article 21 C.O. Turkish High Court affirmed this expansive interpretation of “distressed situation” in order to enable the banks to rescind these contracts and a case-law is established on the grounds of this interpretation. The second chapter concludes with a study of this case-law and of the provision of the new draft C.O. regarding the original equilibrium which is drafted in the light of the case-law established in the period of economic crisis. The third -and the last- chapter starts with a study of general theory of the institutions regarding supervening disequilibrium. This chapter is more explanatory than the second chapter, because institutions which emerged in the 20th Century and which are still in evolution are studied. Although there were already some comparative studies on this issue, the recent developments had created a need for a more up-to-date study to include also the 2001 reform in the German Civil Code, the modifications in the 2004 edition of the UNIDROIT Principles, arbitral case-law and Turkish Law. This study is the most detailed study on the relevant provisions of the UNIDROIT Principles so far (Chapter 6.2.), and the first study which covers also the related case-law. In the sub-chapter dedicated to Turkish doctrines regarding supervening disequilibrium, first of all, the influence of German Law and case-law is studied. This influence is mainly based on historical reasons; but the fact that there is no any general provision regarding this issue in Turkish and Swiss codes has also leaded Turkish judiciary to use the German doctrine of Wegfall der Geschäftsgrundlage. This doctrine, called işlem temelinin çökmesi in Turkish, is the most used doctrine regarding supervening disequilibrium in Turkish case-law. However, Turkish judiciary has also followed the model of Swiss judiciary which uses more general institutions such as rebus sic stantibus or good faith in order to give a remedy in the cases of supervening disequilibrium in the absence of a general provision on this issue. This brought to the application of the objective theory, which focuses on the equilibrium of undertakings, with reference to the subjective theory of Wegfall der Geschäftsgrundlage, which focuses, instead, on presumptions of the parties’ assumptions at the time of conclusion of the contract. The only provision in Turkish and Swiss codes regarding supervening disequilibrium is the second paragraph of the article 365 of the C.O. (art. 373 of the Swiss C.O.), which is a specific provision for construction contracts. Differing from Swiss case-law in Turkish case-law this provision is not applied to other types of contracts through analogy. Another difference between the approaches of Swiss and Turkish case laws is that Turkish courts require stricter conditions to apply this paragraph because of the influence of the article 20 of the T.C.C. However, the fact that the economic crises of 1994 and 2001 distorted equilibriums of many long term contracts constrained the Turkish High Court to take a more moderate position. For this reason, the Turkish High Court used the institution of uyarlama (adaptation) especially in letting contracts and in credit contracts, referring to this remedy as a principle, and referring also to other doctrines in comparative law. In the sub-chapter dedicated to Turkish case-law, decisions of the Turkish High Court regarding letting and credit contracts are studied in detail and it is observed that the Turkish judiciary took again a strict position in the application of the doctrines regarding supervening disequilibrium since 2003 because of the stability reached in macroeconomic terms. This chapter concludes with an analysis of the article 137 of the new draft C.O. which regulates supervening disequilibrium. This article is inspired from the new paragraph 313 of the German Civil Code and it will bring Turkish Law one step closer to the UNIDROIT Principles. When this draft will be enacted, this provision will be the first general provision on supervening disequilibrium in Turkish Law. The thesis concludes with the observation that the principle of contractual equilibrium has always been one of the most fundamental principles in both Islamic and Roman legal traditions and on both national and transnational levels; and the relevance of this principle in periods of economic crises is emphasized.

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This dissertation intends to analyze the conflict resolution way called Arbitration, due to the need of intensifying the application of the devices foreseen in the Law of Arbitration (Law nº. 9.307/96), that aim to limit the Arbitration procedures without removing what it has as fundamental, that is, the freedom of convention of the parts and the choice for the judgement form, by equality before law or legal right. A brief revision of literature concerning the history of the Arbitration is made, with focus in Brazil and in the juridical nature of that institute, approaching constitutional and arbitrable principles, in order to make possible the relationship among them, mainly with respect to the resulting crisis in the Judiciary. Based on the relationship among principles, themes as equality before law, matter of public order, autonomy of parts will before the due legal process and compulsory nature or not of the referee to adopt the linked summary. The mark of this work is seeking for a better understanding about the advantages of Arbitration, among them the decongestion of the Judiciary, and forms of guaranteeing to one that opted for that solving conflicts way the juridical safety
Esta dissertação pretende analisar a forma de resolução de conflitos conhecida por Arbitragem, diante da necessidade de intensificar a aplicação dos dispositivos previstos na Lei de Arbitragem (Lei nº 9.307/96), que visam limitar o procedimento arbitral sem lhe tirar aquilo que é fundamental, isto é, a liberdade de convenção das partes e a escolha pela forma de julgamento, por equidade ou de direito. É feita uma breve revisão da literatura acerca da história da Arbitragem, com foco no Brasil, e de sua natureza jurídica, abordando os princípios constitucionais e os princípios da Arbitragem a fim de viabilizar a relação entre eles, principalmente no que tange à crise resultante no Judiciário. Com base na relação entre os princípios, serão tratados temas como equidade, matéria de ordem pública, autonomia da vontade da parte diante do devido processo legal e obrigatoriedade ou não de o árbitro adotar a súmula vinculante. O escopo deste trabalho é buscar melhor compreensão sobre as vantagens da Arbitragem, entre as quais o descongestionamento do Judiciário, e formas de garantir aos que optam por esse meio de resolução de conflitos a segurança jurídica

Étant le mode naturel de règlement des litiges dans le commerce international, l’arbitrage a pour avantage de maintenir le secret des affaires. D’abord, les débats arbitraux sont tenus à huis clos. La contractualisation de l’arbitrage traduit la volonté des parties d’un débat privé. Ensuite, les éléments produits au cours du procès sont couverts par la confidentialité. Enfin, la sentence arbitrale ne doit être publique qu’avec le consentement des parties. La confidentialité s’oppose notamment à un principe fondamental du droit processuel : la publicité des débats. La confidentialité, pourtant enracinée dans l’esprit des acteurs de l’arbitrage, est aujourd’hui remise en cause par des préconisations qui élèvent la voix pour ouvrir les portes des tribunaux arbitraux afin de répondre aux besoins de transparence jaillie de l’ordre public, et pour s’harmoniser avec l’époque de mondialisation et de technologie omniprésente. Compte tenu de la judiciarisation, juridictionnalisation, et la marchandisation auxquelles s’expose l’arbitrage actuel, la pondération entre ces impératifs enchevêtrés est-elle possible ? A la lumière de tous ces défis, nous mènerons l’étude sur la confidentialité d’un arbitrage de nature mixte (juridictionnelle et contractuelle), afin de savoir si cette confidentialité est l’essence même de ce mode si particulier de résolution des litiges
Arbitration is the natural dispute settlement mechanism of the international business as it presents the advantage of binding commercial secrecy. The contractualisation of the Arbitration reflects the parties’ willingness to keep the proceedings private. Firstly, arbitral discussions are heard in closed session. Then, any evidences produced during the trial are covered by the confidentiality. At last, the arbitral award may not be public without the consent of the parties. The confidentiality goes against the open-court principle which is a basic rule of Procedural law. Confidentialy is deeply rooted in the Arbitration community. However, this principle is nowadays questioned. Some are raising their voice to open the doors of the Arbitration Courts to submit those jurisdictions to transparency, globalization and ubiquous technology. Considering that modern Arbitration is going through judicialisation, jurisdictionalisation and commoditisation, the question is now raised of a balance between those new tangled and inter-related imperatives. In the context of all these challenges, we are going to undertake a study on the confidentialy of an Arbitration having a hybrid nature (jurisdictional and contractual) in order to know if that confidentialy is the very essence of that peculiar dispute settlement mechanism

La comparaison des principes directeurs du droit des contrats dans les ordres internes (français et libanais), européen et international permet de déceler, d’une part, une convergence sur le plan de l’identification des principes directeurs du droit des contrats et, d’autre part, une divergence sur le plan de la mise en oeuvre de ces principes. La convergence se manifeste par le fait que les mêmes principes - à savoir les principes de liberté contractuelle, de loyauté contractuelle et de sécurité contractuelle - sous-tendent la théorie générale des contrats dans les trois ordres. Cette convergence s’explique par deux principaux facteurs : d’une part, un facteur logique à savoir le raisonnement par induction qui permet de dégager les principes directeurs du droit des contrats, et, d’autre part, un facteur politique en l’occurrence la concordance des objectifs généraux du droit des contrats dans les trois ordres. Quant à la divergence sur le plan de la mise en oeuvre des principes directeurs,elle se manifeste pratiquement par le renforcement, en droits européen et international,des principes directeurs de la liberté contractuelle et de la loyauté contractuelle ainsi que par l’aménagement du principe directeur de la sécurité contractuelle. Cette divergence a pu être expliquée par l’existence de besoins propres du commerce international. Toutefois, elle devrait plutôt être rattachée à l’influence de droits nationaux étrangers aux droits français et libanais
The comparison of the guiding principles of contract law in French, Lebanese, European and international laws reveals on one hand a convergence in terms of identifying the guiding principles of contract law and on the other hand a divergence interms of implementing these principles.The convergence arises from the same principles - namely the principles of contractual freedom, contractual security and contractual “loyalty”2 - underlying the general theory of contracts in all three laws. This convergence is due to two mainfactors: firstly, a logical factor that is the inductive reasoning that allows extracting the guiding principles of contract law, and, secondly, a political factor based on the similarity of the general objectives of contract law in the three laws. As for the divergence in terms of guiding principles implementation, it is revealed through reinforcing in European and international laws, the guiding principles of contractual freedom and contractual “loyalty” as well as the adjustment of the guiding principle of contractual security. This divergence could be explained by the existence of specific needs of international trade. However, it should rather be related to the influence of foreign national laws different from French and Lebanese laws

This thesis examines the process applied by international tribunals for delimiting Exclusive Economic Zone (EEZ) and continental shelf boundaries under international law. Maritime delimitation is governed by articles 74 and 83 of the 1982 UN Convention on the Law of the Sea (UNCLOS), which are customary international law. However, owing to the vagueness of such legal provisions, international tribunals have been developing a standard process for delimiting maritime boundaries. The delimitation process has evolved significantly since the 1969 judgment of the International Court of Justice (ICJ) in North Sea Continental Shelf. The ICJ re-stated this process in its 2009 Black Sea judgment as being constituted of three stages: first, an equidistance line is provisionally drawn; second, this line is adjusted should relevant circumstances so require; third, the overall equitableness of the boundary is evaluated by assessing the proportionality between the length of the relevant coast and the marine areas appertaining to each state. This thesis analyses each stage of the delimitation process as re-stated in Black Sea. By way of introduction, chapter 1 outlines the relevant legal provisions and the historical evolution of the delimitation process through the jurisprudence of international tribunals. Chapter 2 discusses both the notions of the relevant coast and of the relevant area, and the practical methods for their identification. Since Black Sea, international tribunals have tended to identify the relevant coast and the relevant area prior to establishing a provisional equidistance line. Chapter 3 discusses the issues concerning the drawing of the provisional equidistance line. Chapter 4 examines relevant circumstances and the methods for adjusting an equidistance line. Chapter 5 discusses proportionality. Using doctrinal legal research methodologies, this thesis aims to assess the degree of consistency in the international tribunals’ application of the three-stage delimitation process. It argues that, while great leaps forward have been made since 1969, there is still a number of unresolved issues, in relation to which this thesis endeavours to provide some workable solutions.

L’arbitrage commercial international est le mode alternatif de règlement de différends le plus utilisé dans le monde. Ce qui contribue notamment à en faire l’acteur principal de la diffusion des règles anationales telles que les principes généraux du droit, les usages du commerce international, ou encore la "lex mercatoria" qui sont souvent choisies par les arbitres en tant que droit applicable au fond du litige. Ce choix s’est étendu aux nouvelles règles élaborées par des institutions internationales privées telles que les Principes d’UNIDROIT relatifs aux contrats du commerce international. Une codification doctrinale conçue comme un instrument de "soft law" et qui trouve de plus en plus application dans la pratique arbitrale. Notre étude cependant montre que peu de sentences arbitrales rendues dans des affaires dont l’une des parties est arabe ont fait référence aux Principes Unidroit. L’explication n’est pas à rechercher dans une incompatibilité entre ceux-ci et le droit des contrats des pays arabes mais dans la méconnaissance de cette codification doctrinale par les juristes arabes. À cela s’ajoute un sentiment de méfiance à l’égard d’une manifestation de la soft law. Il convient dès lors de s’interroger sur les moyens qui permettraient aux Principes Unidroit de trouver leur place dans le droit et la pratique des pays arabes
International commercial arbitration is the Alternative Dispute Resolution (ADR) the most used in the world. Which contributes in particular to make the main actor of the diffusion of a-national rules as the general principles of law, usages of international trade, or the lex mercatoria, often chosen by the arbitrators as the law applicable to the substantive of the dispute. This choice was extended to the new rules developed by private international institutions such as the UNIDROIT Principles of International Commercial Contracts. A doctrinal codification conceived as a soft law instrument, which is increasingly applied in arbitration practice. Our study shows, however, that few awards rendered in cases in which one of the parties is Arabic made a reference to UNIDROIT Principles. The explanation is not to look for in an incompatibility between them and contract law in Arab countries but in the ignorance of this doctrinal codification by Arab jurists and lawyers. Added to this, a feeling of distrust a manifestation of soft law. It is therefore necessary to consider the ways in which the UNIDROIT Principles to find their place in the law and practice of the Arab countries

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This paper examines the fundamental right to reasonable length of proceedings, expressly inserted in item LXXVIII of Article 5 of the Constitution of 1988 by Constitutional Amendment 45 and later, in the same vein, reaffirmed in infraconsticional legislation through Article 4 of new Civil Procedure Code 2015, guaranteeing everyone the right to reasonable length of proceedings. It also analyzes the mechanisms that can assist the procedure within a reasonable time in order to contribute to overcoming existing delays in the Brazilian legal system. The paper also discusses the outlook for the postulate that with the entry into force of the new Civil Procedure Code. It is observed that the issue is of great importance, since the positivization reasonable procedural length as a constitutional principle rescues a state s commitment to its jurisdictional, aiming to give effectiveness gain to the process and ensure everyone a state response in fair weather . This conclusion was obtained using the literature, case law and minunciosa analysis of pertinent legislation, and converging on assumptions which support the applicability of that principle, from a historical and evaluative analysis. As a result, it is clear that it is not just designing laws that creates conditions for a dynamic process that achieves a proper adjudication, within a reasonable time span and with a satisfactory result, but, yes, among other things, providing structural support, by sufficient financial transfers to the Judiciary.
O presente trabalho examina o direito fundamental à razoável duração do processo, inserido expressamente no inciso LXXVIII, do artigo 5º, da Constituição de 1988, pela Emenda Constitucional nº 45 e posteriormente, neste mesmo diapasão, reafirmado na legislação infraconsticional por meio do artigo 4º do novo Codigo de Processo Civil de 2015, garantindo a todos, o direito à razoável duração do processo. Analisa, ainda, os mecanismos que podem auxiliar na tramitação processual em tempo razoável como forma de contribuir para a superação da morosidade existente no sistema processual brasileiro. O trabalho também aborda as perspectivas em relação a esse postulado com a entrada em vigor do novo Código de Processo Civil. Observa-se que o tema é de grande relevância, já que a positivação da razoável duração processual como princípio constitucional resgata um compromisso do Estado para com seus jurisdicionados, objetivando dar um ganho de efetividade ao processo e assegurar a todos uma resposta estatal em tempo justo. Tal conclusão foi obtida utilizando-se de pesquisa bibliográfica, jurisprudencial e análise minunciosa da legislação pertinente ao tema, e convergindo para pressupostos que sirvam de suporte à aplicabilidade do referido princípio, a partir de uma análise histórica e valorativa. Como resultados, evidencia-se que não é apenas elaborando leis que se cria condições para uma dinâmica processual que alcance uma prestação jurisdicional adequada, dentro de um lapso temporal razoável e com resultado satisfatório, mas, sim, dentre outras coisas, propiciando suporte estrutural, por meio de repasse financeiro suficiente ao Poder Judiciário.

En arbitrage international comme dans la majorité des systèmes de droit, la réparation du dommage est une question essentielle dans la résolution des litiges et implique la détermination d’un dommage réparable et de l’étendue de la réparation, ainsi que l’évaluation de ce dommage. L’arbitrage d’investissement, qui tranche les litiges entre Etats et investisseurs étrangers, personnes privées, est au carrefour entre les droits nationaux et le droit international, entre responsabilité contractuelle et responsabilité internationale des Etats, entre droit commercial et droit public, et reflète ainsi l’ensemble des problématiques récurrentes soulevées par la réparation du dommage. La publicité fréquente des sentences rendues en la matière permet d’analyser les solutions qu’y apportent les tribunaux arbitraux, révélant l’existence d’une réelle pratique cohérente et développée. L’étude de la jurisprudence arbitrale d’investissement montre une coexistence de questions de fait et de droit, de problématiques juridiques et économiques, tout au long du processus de détermination du dommage et de l’étendue de la réparation, puis de celui de la détermination du montant accordé à la victime. Les exigences juridiques de certitude, prévisibilité et causalité du dommage, de même que les principes de réparation intégrale et adéquate, sont influencés de manière significative par des considérations économiques et d’équité. Dans le mouvement inverse, les règles financières qui sont appliquées par les arbitres pour l’évaluation du dommage, indépendamment du droit applicable, sont de plus en plus juridicisées. Identifier ce corps de règles applicables à la réparation du dommage et l’application qui en est faite dans l’arbitrage d’investissement constitue une clarification nécessaire pour permettre aux acteurs internationaux de connaître l’étendue de leurs droits et obligations
In international arbitration, as in most legal systems, compensation of damage is a key part of dispute resolution. It is a threefold process: the arbitral tribunal decides on compensable damage, then on the extent of compensation, and finally, evaluates damage. Investment arbitration, which settles disputes between states and foreign investors - private entities - is at the crossroads between national and international law, between contractual liability and international state liability, between commercial and public law, thus covering the wide scope of issues raised by compensation of damage. The awards given in this field are often made public, allowing for an analysis of the – thoroughly consistent – solutions brought forward by arbitral tribunals. This study shows how, throughout the process of compensation of damage, questions of fact and law as well as legal and economic issues are raised. The legal requirements of certainty, foreseeability and remoteness of damage are significantly impacted by the economic context and by the notion of fairness. Conversely, the financial rules applied throughout the process of damage evaluation, without taking into account applicable law, are increasingly governed by law. Identifying the corpus of rules that are applied throughout the process of compensation of damage, and studying the way these rules are applied in investment arbitration therefore represents a useful tool for international bodies seeking to understand their own rights and duties

Le Traité sur l’Union Européenne assigne à la Cour de Justice la mission de veiller au respect du droit dans l’application et l’interprétation des traités. A ce titre, elle interprète le droit de l’Union de manière à garantir une application uniforme du droit dans tous les Etats membres. De même, la Cour Commune de Justice et d’Arbitrage (CCJA) est chargée, conformément au Traité relatif à l’Organisation pour l’Harmonisation en Afrique du Droit des Affaires (OHADA), d’assurer dans les Etats Parties, l'interprétation et l'application communes du droit uniforme. Ces cours de justice partagent avec les juridictions nationales l’application judiciaire du droit né des traités. Mais les traités n’ont pas réalisé une fusion du système juridictionnel qu’ils ont créé avec celui des Etats membres et, une hiérarchie juridictionnelle n’a pas été établie entre la Cour de justice et les juridictions nationales. Se pose alors la question des moyens par lesquels ces cours de justice arrivent à imposer une application uniforme du droit dans les Etats membres. Après analyse, on relève qu’à travers l’attribution des pouvoirs juridictionnels, les traités ont conféré une autorité supranationale à la Cour de justice européenne et la Cour de justice de l’OHADA. En plus de cette autorité conférée qu’elles ne se contentent pas d’entretenir à l’égard des juridictions nationales, elles génèrent aussi de l’autorité dans le cadre de leur activité juridictionnelle. Ainsi, ces cours œuvrent pour une meilleure intégration régionale. De leur propre gré, elles n’hésitent pas à adopter des positions impérieuses de plus en plus conquérantes. Ce phénomène fait donc évoluer la conception classique des sources de l’autorité de ces cours. La CCJA bénéficie des prérogatives les plus offensives d’origine textuelle, au contraire de la Cour de justice européenne qui, quant à elle, apparaît plus conquérante dans sa jurisprudence
According to the treaty on the European Union, the Court of justice ensures that, in the interpretation and application of the treaties the law is observed. As such, it interprets EU law to make sure it is applied in the same way in all EU countries. In the same way, the treaty of the Organization for the Harmonization of the Business Law in Africa (OHBLA) has conferred to the Common Court of Justice and Arbitration (CCJA) the power to rule on, in the contracting states, the interpretation and enforcement of the treaty. Both regional courts share with national courts the power to apply the law resulting from the treaties.But there has not been a fusion of the judicial system of the member states and the community judicial system. No judicial hierarchy has been established between community courts and national courts. This brings the question of by which means the regional courts can enforce the uniform application of the law in the member states. After analysis, it appears that by granting jurisdictional power, the treaties gave a supranational authority to the European Court of Justice and the CCJA. In addition to the power granted to them, the courts also generate authority through their jurisdictional activities. Thus, the courts work for a better integration of the judicial systems by adopting more and more conquering authoritarian positions. This phenomenon has led to a change in the classical conception of the sources of power of the courts. The CCJA enjoys more power from treaties than the European Court of Justice which is more offensive in case law setting

碩士
聖約翰科技大學
電機工程系碩士班
97
FPGA (Rapid System Prototyping, RSP) Offer the software and hardware to partition and integration the design method to prove, is suitable for the computer auxiliary design of dealing with the platform as embedded video compress, for example: Function complexity that embedded DSP assessing video-information and compressing makes mathematical calculations, considering the storing device to lie between the wide demand frequently with I/O, DCT and (motion estimation, ME) of the young type with high capacity and efficiency Order the accelerator, offer the software and hardware to design elasticity,etc.. But the existing tool is limited in help to frequently wide design bottleneck of H.264 systematic efficiency and communication of high complexity, this thesis designs the procedure to plan one that is suitable for developing the young platform on the basis of RSP (Bus Arbitration Principle, BAP) The model, propose assessing the bus that video-information compresses the embedded system widely frequently and arbitrating the method, can assess video-information and import and output interfaces, software and hardware processor interface effectively according to the common design method of software and hardware of RSP, finish embedded video-information and compress the young platform. Through the doing in fact of the model, how is analysis H.264 SOPC bus of main processor scheme competes for the problem, appear, use person who store wide optimization frequently wide to dispose data frequently, in at efficiency display, the sports of H.264 highest complexity are estimated and examined (Motion Estimation, ME) Necessary absolute error and (Sum of Absolute Difference, SAD) Perform algorithms, prove FPGA orders the mould group of the hardware, and assess SAD to reuse (Reuse) Perform ordering group's efficiency of the hardware mould to display with the pace difference on the operation of software of the algorithm; Present the video-information image finally and pick and fetch and reveal the software computing of the picture.

碩士
國立臺灣大學
法律學研究所
103
International investment arbitration is a burgeoning field of International law, with more than three thousand Bilateral Investment Treaties signed, the provisions of which include not only dispute settlement clauses, but also allowing foreign investors to claim against host countries without exhausting domestic remedies, which makes the issues related to investor-state dispute settlements more and more variant and complex. However, at the same time, there are several significantly controversial cases, more than the traditional issues of international investment law such as expropriation, which aimed at the protection of investors, while criticized for inappropriately intrusive for the general exercising of host countries’ regulatory rights. As to the tension between foreign invstors and host countries, some called “legitimacy crisis.” The Argentina cases relating to the emergency measures it took in reaction to the 2001/2002 economic crises exemplified the tension between the two actors in international investments law. Faced with the challenges as above, the investment tribunals tried to mediate the tension between the protection of investors and the discretionary powers of host countries, and one of instruments employed by tribunals was proportionality analysis. It could play a key role in the balance of competing interests of investors and host countries. As to the principle of proportionality, it has been considered a constitutional principle in many countries, yet the methodology and substantive content of it is still somewhat ambiguous. Consequently, this article tries to argue that the principle of proportionality is an “emerging” general principle of law at least. On this basis, as to the application of principle of proportionality, this article tries to focus on four key issues of international investment law, including indirect expropriation, non-precluded measures clauses, fair and equitable treatment and the amount of indemnity, discussing the practical application and the pros and cons as well. Furthermore, base on the discoveries discussed, to preserve adequate regulatory space for host countries, this articles tries to argue that the key element in applying principle of proportionality in international investment law is to choose the appropriate standard of review.

Dissertação de Mestrado em Ciências Jurídico-Forenses apresentada à Faculdade de Direito
I intend in this dissertation to deal with the negative effect of arbitration clause and access to justice. First, I will approach the model of jurisdiction in the constitutional state, show about which was the Florence Project, and I will present the typical and atypical models for conflict resolution. After that, I will explain on the subject of arbitration, presenting the concept, legal nature and the principle of authonomy, explaining the principle of Competence-Competence, analyzing the arbitration clause and what effects it may contain. When dealing with the effects conferred on the arbitration clause, the so-called negative, avoids any possible jurisdictional interference of the State in the litigation. If there is an arbitration clause in a contract and one of the parties decides to use the Judiciary to resolve any conflict, the state court must absolve the court, excluding, in this case, the jurisdiction of the court. An exception, then arises when the court is confronted with the arbitration agreement, and the judge must therefore await the presentation of the defense by the other party, which will need to mention the arbitration agreement, and only then will there be acquittal of the instance. In addition, even if the other party notifies the existence of a convention, the judge may decide that it is not convenient to proceed by arbitration, following the proceedings in the judicial sphere. With respect to access to justice, everyone is guaranteed the judgment of their conflicts by an independent and impartial tribunal, which will decide on their rights and obligations, or reasons for any accusation. Nor can justice be denied to those who do not have the financial means to do so. In the course of the dissertation, it will be verified whether the negative effect of the arbitration clause violates the principle of access to justice, analyzing all the positive and negative points related to this effect. In this way, I intend to demonstrate that the negative effect given to the arbitration clause does not violate the principle of access to justice, conferring only another private way of how a conflict can be resolved, other than that manner provided by the State.
Pretendo nesta dissertação tratar do efeito negativo conferido à cláusula arbitral e o acesso à justiça.Num primeiro momento, abordarei o modelo de jurisdição no estado constitucional, o que foi o Projeto Florença, e apresentarei os modelos típicos e atípicos para resolução de conflitos. Após isso, irei me aprofundar sobre o tema da arbitragem, apresentando o conceito, natureza jurídica e o princípio da autonomia, explicando o princípio da Competência-Competência, analisando a cláusula arbitral e quais efeitos esta pode conter. Em se tratando dos efeitos conferidos à cláusula arbitral, o denominado negativo, afasta possível interferência jurisdicional do Estado no litígio. Caso haja uma cláusula arbitral em contrato e uma das partes decida por se utilizar do Poder Judiciário para resolução de algum conflito, o juiz estatal deverá absolver da instância, excluindo, neste caso, a competência do tribunal judicial. Surge, então, uma exceção quando o tribunal judicial se depara com a convenção de arbitragem, devendo o juiz, assim, esperar a apresentação da defesa pela outra parte, que precisará mencionar a convenção da arbitragem, somente assim haverá absolvição da instância. Além disso, mesmo que a outra parte informe a existência de uma convenção, pode o juiz entender não ser conveniente prosseguir pela via arbitral, seguindo com o processo na esfera judicial. Com relação ao acesso à justiça, é garantido a todos o julgamento de seus conflitos por um tribunal independente e imparcial, que decidirá sobre seus direitos e obrigações, ou razões de qualquer acusação. A justiça também não poderá ser negada àqueles que não possuírem condições financeiras para tanto. No decorrer da dissertação, será verificado se o efeito negativo conferido à cláusula arbitral fere o princípio do acesso à justiça, analisando todos os pontos positivos e negativos relacionados com este efeito. Dessa forma, pretendo demonstrar que o efeito negativo dado à cláusula arbitral não fere o princípio do acesso à justiça, conferindo, apenas, uma outra maneira, privada, de como um conflito pode ser resolvido, que não aquela maneira disponibilizada pelo Estado.

Cette recherche aborde un sujet complexe, qui est en plein débat doctrinal en droit de l'arbitrage international: L'arbitrage commercial international et les garanties procédurales. Au fait, l'arbitrage commercial international revêt le mode traditionnel des règlements de litiges du commerce international et des relations économiques internationales. À cause de l'hybridité de sa nature (contractuelle et juridictionnelle), il est le plus souvent préféré par les parties aux tribunaux étatiques. Cette faveur vis-à-vis de ce mode de règlements de litiges internationaux s'explique par le développement de l'économie internationale, par la globalisation du marché, par la conclusion de nombreuses conventions internationales en la matière, par la création des centres d'arbitrage, enfin par la modernisation des lois et règlements nationaux. En revanche, il est constaté que l'arbitrage souffre d'un déficit de prévisibilité et de certitudes pour les acteurs du commerce international. Que l'on songe seulement à la multiplication des rattachements législatifs et des contrôles judiciaires: conflits de lois, conflits entre les règles de conflits, etc. Nous avons démontré que la solution aux difficultés de la méthode conflictualiste serait l'harmonisation de la procédure arbitrale internationale et que ce mode de règlement de différends débouche de plus en plus sur le rapprochement entre traditions juridiques différentes (Common Law et droit civil).Toutefois, ce mouvement de convergence est loin d'être achevé. Beaucoup d'autres pratiques arbitrales continuent de garder l'empreinte de la diversité des procédures étatiques et celle des grands systèmes juridiques mondiaux.
This research work tackles a complex subject, which is in the heart of a doctrinal debate in International arbitration Law: International Commercial Arbitration and procedural safeguards. In fact, International Commercial Arbitration is a traditional method of dispute resolution in International Trade and International Economic Relations. Parties to a dispute would rather prefer this mode of dispute resolution to state courts because of its hybrid nature (contractual and judicial).One can explain this preference for this method of international dispute resolution by the development of the international economy, the market globalization, the conclusion of numerous international conventions in the domain, the creation of arbitration centers, the modernization of national laws and regulations. By contrast, one can note that arbitration lacks predictability and certainty for parties in International Trade. One can just think of the multiplication of legislative attachments and judicial controls: conflicts of laws, conflicts between methods of conflicts of laws, etc. We have demonstrated that the solution to the difficulties of the conflictualist method would be the harmonization of the International Arbitral Procedures and that this method of dispute resolution would lead, more and more to the approximation between different judicial traditions (Common law and Civil Law). However this convergence movement is far from being achieved. Many other arbitral practices do still keep the imprint of diverse state procedures and of major legal systems worldwide.

The following report is the outcome of an internship developed within the Masters in Forensic Law and Arbitration, carried out from September 2016 to January 2017 in the Civil and Commercial Arbitration Court of Madrid. Activities were developed in the field of commercial arbitration, mostly on the administration of arbitrations which boosted a constant reflection regarding the themes contacted whilst in practice, inter alia, the preliminary assessment on the existence of a valid and effective arbitration agreement. Taking into consideration that arbitration is an adjudicatory alternative dispute resolution, its essence is found on parties’ free will and autonomy embodied in an arbitration agreement. Therefore, anytime CIMA receives a request for arbitration and respondent formulates any objection concerning the existence, validity of effectiveness of the arbitration agreement or, on the other hand, simply does not participate in the procedure, CIMA – according to the competence-competence principle - shall assess, prima facie, the existence of the agreement as well as its validity and effectiveness with regard to the parties involved. This extremely important procedural step allows, on the one hand, to continue with the procedure until the arbitral tribunal is set up, avoiding any delaying tactics or any attempts to frustrate the arbitral procedure or, on the other hand, to eliminate ab initio any manifestly unfounded arbitrations. Thus, this report takes essentially as a basis study not only the effects of the article 9 of CIMA Arbitration Rules and its comparison with the ICC Arbitration Rules, but also a practical insight regarding the application of this article on three different arbitration procedures in order to decide whether it should continue or be disposed. The report is divided in three sections, the first being dedicated to the framework of the institution; the second concerning the work held during the internship as well as any other activities that were delegated to me; and the last dedicated to the exposure of the practical activities developed concerning the preliminary assessment on the existence of a valid and effective arbitration agreement and its application on the arbitral procedure.
O presente relatório visa apresentar o estágio curricular desenvolvido no âmbito do Mestrado em Direito Forense e Arbitragem, realizado na Corte Civil e Comercial de Arbitragem de Madrid, entre setembro de 2016 e janeiro de 2017. Foram desenvolvidas atividades na área da arbitragem comercial, com enfoque para a administração de arbitragens que impulsionaram uma constante reflexão relativamente às temáticas com as quais contactei, máxime, a avaliação preliminar da instituição arbitral sobre a existência de uma convenção de arbitragem válida e eficaz. Sendo a arbitragem um meio de resolução alternativa de litígios adjudicatório, encontra a sua essência na livre autonomia e vontade das partes espelhada numa convenção arbitral. Por essa razão, sempre que um requerimento de arbitragem dê entrada na CIMA e o demandado invoque quaisquer exceções à referida convenção ou decida não participar no processo, incumbe à instituição arbitral - de acordo com o princípio da competência da competência - o dever de avaliar, prima facie, a existência da convenção, assim como verificar se a mesma é válida e eficaz relativamente às partes em litígio. Este momento processual de enorme importância permite, por um lado, dar continuidade ao processo arbitral até à constituição do tribunal arbitral, evitando quaisquer manobras dilatórias ou tentativas de frustração do processo arbitral e, por outro, a eliminação ab initio de quaisquer arbitragens que sejam manifestamente infundadas. Deste modo, o presente relatório passa pelo estudo dos efeitos do artigo 9.º do Regulamento da CIMA, a sua comparação relativamente ao Regulamento da CCI e ainda uma visão prática da sua aplicação, nomeadamente com o auxílio a três arbitragens em que o supramencionado artigo foi aplicado, com vista a decidir sobre a continuidade do processo arbitral. O relatório divide-se em três partes, a primeira dedicada ao enquadramento da instituição onde o estágio foi realizado; a segunda versa sobre o trabalho realizado durante o estágio assim como das atividades que me foram delegadas; e, por fim, engloba uma exposição das atividades práticas desenvolvidas relativamente à avaliação preliminar pela instituição arbitral sobre a existência de uma convenção de arbitragem válida e eficaz e a sua aplicação no processo arbitral.

Dissertação de Mestrado em Contabilidade e Finanças apresentada à Faculdade de Economia
A aplicação das regras fiscais dos preços de transferência às operações entre partes relacionadas não é uma tarefa simples, pelo que, em inúmeras situações, os contribuintes e as autoridades fiscais estão em desacordo quanto à sua adequada aplicação. Como resultado, esta é uma das matérias tributárias com um elevado potencial de litigância. A presente dissertação tem como objetivo analisar a questão da litigância fiscal no contexto da aplicação do regime fiscal dos preços de transferência. Em concreto, pretende-se identificar as principais razões para tal situação, que razões estão mais frequentemente na base desses litígios e qual o sentido predominante das decisões arbitrais nos litígios dirimidos sobre preços de transferência. Para o efeito, metodologicamente, proceder-se-á a uma análise crítica de decisões proferidas pelos tribunais arbitrais a funcionar no Centro de Arbitragem Administrativa (CAAD). Conclui-se da análise da jurisprudência arbitral que as operações financeiras, as operações de compra e venda de mercadorias ou produtos, as operações de compra e venda de ações, as operações relacionadas com ativos intangíveis e as operações que envolvem a prestação de serviços intragrupo são aquelas que mais frequentemente são objeto dos litígios entre a AT e os contribuintes. O sentido predominante das decisões do CAAD no que respeita aos litígios sobre PT é favorável aos contribuintes. Esta tendência é consequência de diversas lacunas identificadas na atuação da AT no decorrer das suas auditorias, designadamente ao nível da análise de comparabilidade, da metodologia na determinação dos preços de transferência utilizada, na verificação dos pressupostos legais exigidos para que seja aplicado este regime e nos requisitos de fundamentação legalmente exigidos.
The application of transfer pricing tax rules to related parties transactions is not a simple issue and, in many cases, taxpayers and tax authorities strongly disagree regarding the proper application of the law. As a result, this is one of the tax matters with a high potential for litigation. The present research analyses the question of tax litigation in the context of the application of the transfer pricing tax regime, in Portugal. Specifically, it is intended to identify the main reasons for such a situation, what reasons are most frequently the basis of transfer pricinng disputes and what is the predominant outcome of the CAAD's tax rulings. Methodologically, for this purpose, a critical analysis of the tax rulings made by the Administrative Arbitration Center (CAAD) will be carried out. We can conclude from the analysis of the case-law that financial transactions, purchases and sale of products, share purchases, intangible assets transactions and involving intra-group services are most frequently the subject of tax disputes. The predominant meaning of CAAD's tax rulings is favorable to taxpayers. This trend is a consequence of several shortcomings identified in the performance of the AT in the course of their audits, namely, at the level of the comparability analysis, methodology in determining transfer prices used and verification of the legal assumptions and legal requirements required to apply the transfer pricing tax rules.

O presente trabalho visa dar respostas a duas questões. A primeira é saber se a partir de uma análise crítica do Acórdão do Superior Tribunal de Justiça do Brasil n.º 151.130 – SP (2017/00433173-8) (Ac. STJ) é possível propor uma conclusão diversa da proferida pelo voto vencedor do referido acórdão acerca da validade da cláusula compromissória prevista no Artigo58.º dos Estatutos da Petrobras (Artigo 58.º). A segunda questão prende-se em saber se o Artigo 58.º, à luz do ordenamento jurídico português, produziria efeitos se estivesse previsto nos estatutos de uma sociedade de economia “mista”1 portuguesa. Para dar respostas a estas questões utilizaremos o seguinte referencial teórico: maioritariamente o Ac. do STJ, sobretudo o relatório da ministra Nancy Adrighi, na análise do ordenamento jurídico brasileiro; essencialmente as doutrinas de A. M. Cordeiro, M. A. Barrocas e P. Maia, para analisar o ordenamento jurídico português. Confrontaremos as referidas bases teóricas com os entendimentos proferidos por outros autores, bem como com a legislação consolidada nos respetivos ordenamentos. A partir do estado da arte identificado em cada país, serão elucidadas semelhanças e divergências destes sistemas quanto às questões dos efeitos das cláusulas compromissórias, a problemática da arbitrabilidade do litígio e da arbitragem societária. Realizada essa análise, será proposta uma interpretação acerca da validade do Artigo 58.º, tanto à luz do ordenamento jurídico-brasileiro como quanto do ordenamento jurídico português. Em conclusão preliminar, compreende-se possível propor uma decisão em sentido diverso ao maioritário no âmbito do Ac. STJ e, à luz do ordenamento jurídico português, inclina-se pela validade do Artigo 58.º do Estatuto da Petrobras.
This paper aims to provide answers to two questions. The first is whether a critical analysis of the Brazilian Superior Court of Justice ruling no. 151.130 - SP (2017/00433173-8) (Ac. STJ) allows us to propose a different conclusion from the one reached by the winning vote in that ruling on the validity of the arbitration clause set forth in Article 58.º of Petrobras' Articles of Association (Article 58.º). The second question is whether Article 58.º, in the light of the Portuguese legal system, would be effective if it were provided for in the articles of association of a Portuguese "mixed"2 economy company. In order to answer these questions, we will use the following theoretical framework: mostly the Ac. STJ, especially the report of Minister Nancy Adrighi, in the analysis of the Brazilian legal system; essentially the doctrines of A. M. Cordeiro, M. A. Barrocas and P. Maia, to analyse the Portuguese legal system. We will confront the referred theoretical bases with the understandings pronounced by other authors, as well as with the consolidated legislation in the respective legal systems. Based on the state of the art identified in each country, we will elucidate similarities and divergences of these systems regarding the issues of the effects of the arbitration clauses, the problem of the arbitrability of the dispute and corporate arbitration. After this analysis, an interpretation of the validity of Article 58.º will be proposed, both considering the Brazilian legal system and the Portuguese legal system. In preliminary conclusion, it is understood that it is possible to propose a decision in a different sense than the majority in the STJ's Ac. and, in light of the Portuguese legal system, it is inclined to the validity of Article 58.º of the Petrobras By-Laws.

University of Technology, Sydney. Faculty of Law.
The paper examines the evolution of the recognition and enforcement of "foreign" arbitral awards prior to the introduction of the various international arbitration conventions by referring to court decisions of the relevant countries, primarily the United States and the United Kingdom. The scope and importance of the New York Convention will be canvassed, with specific reference to cases. The Dissertation traces the evolution of judicial and legislative attitudes towards arbitration (in particular, the issue of arbitrability), from the original position of antipathy towards arbitral processes, to the active promotion of arbitration and a "hands-off" approach to its processes by legislators as well as courts. The introduction of the arbitral process to developing countries will be discussed in the context of some recent controversial arbitrations in Indonesia and Pakistan. Public policy as the criterion for the enforcement of awards by national courts will be discussed and relevant authorities referred to. The reasoning adopted by courts in this area will be examined and discussed. The paradigm shift in the enforcement of awards and the leeway granted within the parameters of the arbitral decision making process will be highlighted by two case studies. Both demonstrate clearly the current negation of public policy considerations. The first is a decision of the English Court of Appeal which was mirrored by a subsequent arbitration awardin 'which the discarding of public policy considerations was particularly remarkable as constitutional issues were involved, which normally would have given rise to the expectation of deliberations as to the notions of public policy. NOTE CONCERNING "UNITED KINGDOM" AND "ENGLISH" LAW The title of the Dissertation inter alia refers to the " ... laws of ... the United Kingdom." Within the text, there are references to both the "United Kingdom" and "England." The constitutional and legislative position in the United Kingdom is perhaps more complex than in other jurisdictions and a brief outline is necessary. United Kingdom Parliament Parliament is called the "Parliament of the United Kingdom of Great Britain and Northern Ireland." (Great Britain is comprised of England, Scotland and Wales). The United Kingdom Parliament comprises the monarch, the House of Lords and the House of Commons. Until relatively recently, Parliament was regarded as the supreme law-making body within the United Kingdom; however, European Community law is now paramount within the United Kingdom's constitutional framework. The legislation of the United Kingdom Parliament is presumed to apply to the whole of the United Kingdom, although there can be an express or implied exclusion of a part of the United Kingdom from the operation of a particular Act. Legal systems England and Wales have the one legal system. As from the Sixteenth Century, "English law" has prevailed in Wales. Scotland has a distinct legal system and its own courts, with, in civil matters, rights of appeal to the Appellate Committee of the House of Lords. Northern Island also has its own courts, with rights of appeal to the House of Lords in both civil and criminal matters. Devolution The United Kingdom Parliament has legislated for the devolution of power to regional assemblies - to the Scottish Parliament, the Northern Island Assembly and the National Assembly for Wales. The Scottish Parliament has the power to pass primary legislation, subject to certain subject matters being reserved by the United Kingdom Parliament. The Northern Ireland Assembly also has power to enact primary legislation, but the Northern Ireland Assembly is also presently suspended. The National Assembly for Wales has no power to enact primary legislation - that power remains with the United Kingdom Parliament. Consequently, at present, the Scottish Parliament alone has power to pass legislation which has equal force to that of the United Kingdom Parliament. Dissertation In relation to the expressions used in the Dissertation; generally, references to legislation will be referred to as United Kingdom legislation, as Parliament is the United Kingdom Parliament. It should also be noted that it is the United Kingdom which is the contracting State to the New York Convention. References to decisions of the House of Lords and the Court of Appeal will be described as "United Kingdom" and "English" decisions respectively. As noted above, whilst each of Scotland and Northern Ireland has its own courts, there are rights (in the case of Scotland, in civil matters only). of appeal to the House of Lords. The House of Lords, consequently, hears appeals from the whole of the United Kingdom. The English Court of Appeal is the Court of Appeal for the unitary system of England and Wales. Given that "English law" was historically also the law of Wales, it is more appropriate to refer to decisions handed down by it as "English" decisions. Decisions of other Courts (such as Queen's Bench and Chancery) will also be referred to as "English" decisions.

Le droit de l’arbitrage conventionnel au Québec a été rythmé par différentes réformes de 1965 à nos jours. L’intervention législative la plus marquante est celle de la Loi de 1986 sur l’arbitrage, fortement inspirée de la Loi type de la CNUDCI de 1985. Avant cette réforme, la procédure d'arbitrage du Code de procédure civile n'était pas très étayée. À l’époque, ce manque de précision s’est traduit par une pratique réticente. Ensuite, le législateur et les juges n’ont cessé de manifester une position favorable à l’arbitrage. Les principales évolutions de l’arbitrage ont permis de mettre en lumière les raisons pour lesquelles ce mode de règlement des différends a perduré au fil des années au sein du Code de procédure civile. L’arbitrage a même été consacré par la dernière réforme du Code de procédure civile de 2016 comme étant une justice privée, érigée au même rang que la justice étatique. Les acquis de la Loi de 1986 ont été maintenus et complétés. La codification des objectifs de la procédure civile, des principes directeurs et l’insertion de nouvelles dispositions procédurales applicables en matière arbitrale et judiciaire, offrent des apports et des perspectives à exploiter, tant pour le processus arbitral que pour l’après-sentence. Les principes directeurs contribuent à renforcer le caractère adéquat de la procédure arbitrale. Quant à l’après-sentence, il s’agit de dissuader les demandes d’annulation des décisions arbitrales qui sont dilatoires ou abusives et de limiter les manquements dits importants à la procédure, afin de réduire les délais d’attente d’exécution des sentences arbitrales.
The Quebec Consensual Arbitration Law has been punctuated by various reforms from 1965 until now. The most significant legislative intervention was the Arbitration Act of 1986, which was strongly inspired from the UNCITRAL Model Law of 1985. Before this reform, the arbitration procedure of the Code of Civil Procedure was not very substantiated. At the time, this lack of accuracy resulted in a reluctant practice. Then, judges and legislators have consistently shown a favourable position to arbitration. The main developments in arbitration have highlighted the reasons why this mode for resolving disputes has been maintained over the years in the Code of Civil Procedure. Arbitration was even enshrined as part of the last reform the Code of Civil Procedure of 2016 as being a private justice, set up at the same level as the state justice. The achievements of the 1986 Act have been kept and supplemented. The codification of the objectives of civil procedure, of the guiding principles and the insertion of new procedural provisions applicable in arbitral and judicial matters, offers contributions and perspectives to be exploited, both for the arbitration process and for the after-award. The guidelines contribute to reinforce the adequacy of the arbitration procedure. As for the post-award, it is a question of dissuading the requests for annulment of the arbitral decisions that are dilatory or abusive, and of limiting substantial breaches of the procedure, in order to reduce the waiting times for execution of the arbitral awards.

University of Technology, Sydney. Faculty of Law.
The paper examines the evolution of the recognition and enforcement of "foreign" arbitral awards prior to the introduction of the various international arbitration conventions by referring to court decisions of the relevant countries, primarily the United States and the United Kingdom. The scope and importance of the New York Convention will be canvassed, with specific reference to cases. The Dissertation traces the evolution of judicial and legislative attitudes towards arbitration (in particular, the issue of arbitrability), from the original position of antipathy towards arbitral processes, to the active promotion of arbitration and a "hands-off" approach to its processes by legislators as well as courts. The introduction of the arbitral process to developing countries will be discussed in the context of some recent controversial arbitrations in Indonesia and Pakistan. Public policy as the criterion for the enforcement of awards by national courts will be discussed and relevant authorities referred to. The reasoning adopted by courts in this area will be examined and discussed. The paradigm shift in the enforcement of awards and the leeway granted within the parameters of the arbitral decision making process will be highlighted by two case studies. Both demonstrate clearly the current negation of public policy considerations. The first is a decision of the English Court of Appeal which was mirrored by a subsequent arbitration awardin 'which the discarding of public policy considerations was particularly remarkable as constitutional issues were involved, which normally would have given rise to the expectation of deliberations as to the notions of public policy. NOTE CONCERNING "UNITED KINGDOM" AND "ENGLISH" LAW The title of the Dissertation inter alia refers to the " ... laws of ... the United Kingdom." Within the text, there are references to both the "United Kingdom" and "England." The constitutional and legislative position in the United Kingdom is perhaps more complex than in other jurisdictions and a brief outline is necessary. United Kingdom Parliament Parliament is called the "Parliament of the United Kingdom of Great Britain and Northern Ireland." (Great Britain is comprised of England, Scotland and Wales). The United Kingdom Parliament comprises the monarch, the House of Lords and the House of Commons. Until relatively recently, Parliament was regarded as the supreme law-making body within the United Kingdom; however, European Community law is now paramount within the United Kingdom's constitutional framework. The legislation of the United Kingdom Parliament is presumed to apply to the whole of the United Kingdom, although there can be an express or implied exclusion of a part of the United Kingdom from the operation of a particular Act. Legal systems England and Wales have the one legal system. As from the Sixteenth Century, "English law" has prevailed in Wales. Scotland has a distinct legal system and its own courts, with, in civil matters, rights of appeal to the Appellate Committee of the House of Lords. Northern Island also has its own courts, with rights of appeal to the House of Lords in both civil and criminal matters. Devolution The United Kingdom Parliament has legislated for the devolution of power to regional assemblies - to the Scottish Parliament, the Northern Island Assembly and the National Assembly for Wales. The Scottish Parliament has the power to pass primary legislation, subject to certain subject matters being reserved by the United Kingdom Parliament. The Northern Ireland Assembly also has power to enact primary legislation, but the Northern Ireland Assembly is also presently suspended. The National Assembly for Wales has no power to enact primary legislation - that power remains with the United Kingdom Parliament. Consequently, at present, the Scottish Parliament alone has power to pass legislation which has equal force to that of the United Kingdom Parliament. Dissertation In relation to the expressions used in the Dissertation; generally, references to legislation will be referred to as United Kingdom legislation, as Parliament is the United Kingdom Parliament. It should also be noted that it is the United Kingdom which is the contracting State to the New York Convention. References to decisions of the House of Lords and the Court of Appeal will be described as "United Kingdom" and "English" decisions respectively. As noted above, whilst each of Scotland and Northern Ireland has its own courts, there are rights (in the case of Scotland, in civil matters only). of appeal to the House of Lords. The House of Lords, consequently, hears appeals from the whole of the United Kingdom. The English Court of Appeal is the Court of Appeal for the unitary system of England and Wales. Given that "English law" was historically also the law of Wales, it is more appropriate to refer to decisions handed down by it as "English" decisions. Decisions of other Courts (such as Queen's Bench and Chancery) will also be referred to as "English" decisions.

El presente informe pretende dar cuenta del proceso llevado a cabo para la traducción directa del texto “International Arbitration: Common Themes and Benchmarks” que corresponde al capítulo 3 de la obra International Arbitration: American Principles and Practice in a Global Context de Coe, Jack, Jr. (1997). En la tarea que emprendimos un basamento fundamental provino de la teoría del skopos, iniciada por los traductólogos alemanes Katherina Reiss y Hans Vermeer (1996) y continuada por Christiane Nord (1988, 2009), a quien seguiremos principalmente en este trabajo.

La presente trattazione si propone di offrire una collocazione sistematica nel panorama del diritto internazionale contemporaneo alla cd. clean hands doctrine. In termini generali, si rileva come la dottrina delle ‘mani pulite’ sia animata dallo scopo di impedire ad un soggetto che abbia mantenuto una condotta illecita (o anche, secondo talune interpretazioni, immorale) in relazione alla domanda giudiziale - e che, pur tuttavia, si presenta innanzi al giudice adito denunciando le azioni di controparte - di pretendere il riconoscimento del proprio diritto, macchiato, appunto, dalle sue ‘unclean hands’, e il conseguente rimedio. La clean hands doctrine si configura allora come una importante difesa processuale nelle mani del convenuto volta a bloccare in tutto o in parte l'istanza attorea; qualora infatti venga stabilita positivamente una difesa di mani pulite, la conseguenza è che la controversia non potrà risolversi tout court in senso favorevole alla parte istante. Lo scopo – dichiarato - della presente trattazione è quello di sostenere la qualificazione della dottrina di clean hands quale principio processuale di diritto internazionale, supportando tale impostazione teorica con l’analisi della prassi giudiziale internazionale. Il punto di partenza sarà la ricostruzione della categoria dei ‘principi generali di diritto riconosciuti dalle Nazioni civili’, annoverati tra le fonti alle quali la Corte Internazionale di Giustizia, ai sensi dell’articolo 38, paragrafo 1, lett. c), del suo Statuto, può fare ricorso nel decidere i procedimenti innanzi ad essa incardinati. In effetti, la prospettiva qui suggerita colloca la clean hands doctrine nell’ambito di tale fonte ma, per poter giungere ad una simile conclusione, occorre domandarsi, anzitutto, se la dottrina in commento sia stata sviluppata e condivisa dagli ordinamenti nazionali, avuto riguardo ad ambedue le tradizioni giuridiche di civil e common law così da assumere la valenza di principio – processuale – di logica giuridica condiviso dagli ordinamenti dei “Paesi civili”. Se la clean hands doctrine si riscontra, tradizionalmente ed espressamente, nella case law anglosassone, il passo in più che qui si cercherà di compiere è quello di dimostrare come la dottrina permei altresì gli ordinamenti giuridici di civil law - seppure in termini impliciti e talvolta meramente affini – quale lex specialis rispetto al più ampio principio di buona fede (rectius, quale sua declinazione processuale). ! 6 Se quindi nella common law anglosassone la clean hands doctrine trova esplicito fondamento nel sistema di equity del quale costituisce una delle più note massime (quella cioè secondo cui, stando alla formulazione coniata da Sir Gerald Fitzmaurice, ‘he who comes into equity must come with clean hands’), negli ordinamenti di civil law si può giungere ad un esito analogo avendo riguardo al principio di buona fede e alla sua estrinsecazione processuale della exceptio doli generalis. Ciò posto, il secondo step con il quale si procederà, è la verifica se una tale impostazione trovi supporto nella prassi internazionale. Se, infatti, una parte della dottrina e della giurisprudenza ritiene che la clean hands doctrine non faccia parte del diritto internazionale generale, è stato, per converso, autorevolmente sostenuto che essa ne costituisce certamente un principio fondamentale. Seguendo tale seconda impostazione si cercherà di capire quindi in quali termini e in quale fase del giudizio la dottrina in parola è o dovrebbe essere considerata. L’approccio che si è scelto di adottare considera quindi, anzitutto, la giurisprudenza delle Corti internazionali nelle cd. inter-State disputes, sia dirette che indirette (rectius, in protezione diplomatica) per poi procedere con l’analisi della giurisprudenza arbitrale sugli investimenti nel caso di controversie che vedono opporsi un investitore straniero al cd. host State. Si cercherà, infine, di offrire una definizione ed una collocazione processuale sistematica alla dottrina di clean hands poiché gli approcci sino ad oggi addottati dalle Corti e dai Tribunali internazionali hanno evidenziato una discrasia quanto alla considerazione della sua portata ed effetti.

The system of Alternative Dispute Resolution, commonly known as ADR, comprises multiple informal processes. Traditional processes of negotiation, mediation and arbitration are primary processes within the system of ADR. The elements of the primary processes have been combined with one another or with those of public process to form hybrid ADR processes original only to the system of ADR. These hybrid processes are: rent-a-judge, the mini-trial, the summary jury trial, neutral evaluation and mediation/arbitration. Under the auspices of ADR, derivative processes have also been developed, such as expedited arbitration, documents-only arbitration, final-offer arbitration and quality arbitration. Each process is distinct and separate, having its own unique form, function and method of transforming a dispute. Outwardly, this represents a diverse collection of disjunctive processes. Yet an introspective analysis shows that there is an innate centrality that originates in core principles that bind individual processes to each other and to a unified body of theory. These foundational principles of ADR are replicated in each of its processes. In these terms, ADR is therefore conceptualised as a pluralistic system of dispute resolution that consists of autonomous and individual systems of process that conform to a central body of general theory and consensual principles. As a method of extracting the fundamental principles of ADR, the discontinuities and continuities between the theory and principles of civil procedure, as a unitary system .of procedure, and ADR processes are explored. However, in its conclusions, the thesis rejects the premises of a unitary system of procedure as forming the basis for the theory and principles of ADR. Instead, the contrary notion is advanced that ADR is an independent system of dispute resolution which is based on a theory of processual pluralism and supported by cogent processual principles.
Constitutional, International & Indigenous Law
LL.D.

L'arbitre du commerce international peut-il, en l'absence de clause contractuelle expresse, procéder à l'adaptation du contrat lorsque survient un changement de circonstances qui modifie de façon substantielle l'équilibre contractuel initial? La complexification des schémas contractuels et l'émergence correspondante de nouvelles valeurs contractuelles favorisent la réception du principe rebus sic stantibus dans le droit commercial international. Les deux phénomènes permettent également d'envisager dans une nouvelle perspective les objections traditionnelles à la révision pour imprévision. Les arbitres du commerce international sont appelés à jouer un rôle, bien que modeste, dans le mouvement d'harmonisation privé du droit commercial international. Le contexte international de l'arbitrage et de la relation contractuelle, la volonté d'apaisement inhérente à ce mode de résolution des différends et le rapport particulier qu'entretient l'arbitre du commerce international avec le droit national permettront à ce dernier de privilégier, dans certaines circonstances, une option comme l'adaptation du contrat pour cause de hardship. Plusieurs facteurs devront cependant être examinés attentivement par le tribunal arbitral avant que ne soit prise la décision de procéder à l'adaptation du contrat. D'autres remèdes pourront être envisagés si une telle solution ne convient pas.
Is the arbitrator of international commerce entitled to adapt the contract when the parties did not provide so expressly and a supervening event provokes a substantiel change in the initial contractual equilibrum? The complexification of contractual schemes and the corresponding emergence of new values in contract theory made the reception of the rebus sic stantibus principle highly probable in international commercial law. These two phenomenas supplied keys for a revised perspective of the traditional objections to the application of the rebus sic stantibus principle. Arbitrators have a role to play in the movement of private harmonization of international commercial law. The international context in which they proceed, the inherent quality of appeasement in arbitration and the particularity of the relation between arbitrator and national law are making it possible for international arbitrators to give priority to adaptation of the contract when the circumstances are right. Many factors will have to be analysed by the arbitrator before he chooses to adapt the contract because adaptation is not always the best solution. Other remedies will have to be devised if it is the case.
"Mémoire présenté à la faculté des études supérieures en vue de l'obtention du grade de maîtrise, option droit des affaires (LL.M.)". Ce mémoire a été accepté à l'unanimité et classé parmi les 10% des mémoires de la discipline.

Saudi Arabia is a country which has gone to great effort to become part of the international commercial community which has required it to reform its international arbitration laws. The reforms have focused on aligning arbitration and enforcement practices with the rest of the world and to make the process easier for both foreign and local parties involved by giving them the freedom to choose terms and seats for arbitration. While this has been successful, the recognition and enforcement of awards in Saudi Arabia has been met with suspicion that refusal to enforce such awards on the grounds of public policy is taking place for motives other than what is afforded by the grounds of public policy, which is mostly founded on the protection of Sharia principles, in order to protect political or economic interests. This study seeks to establish whether or not such refusals on the grounds of public policy are fair and just, in that there is sincerity in their application. The study examines arbitration law in Saudi Arabia and its application, and though semi-structured interviews seeks to reveal the opinions of legal professionals working in private and government sectors. The results reveal that there is not much apparent scope for the abuse of the public policy privilege afforded by the New York Convention 1958 and that it was the overall opinion of legal personnel that the application of Sharia principles in public policy enforcement refusal were applied justly. The results also revealed, by a minority of respondents, that there is the possibility that public policy could be used for ulterior motives which would be unfair and unjust.