INTERNATIONAL INTELLECTUAL PROPERTY ARBITRATIONPDF电子书下载

Chapter 1 Introduction 1

1. The Structure and Scope of This Book 1

2. Areas of IP Dispute Resolution Not Addressed by This Book 2

2.1. Domain Name Disputes 2

2.2. Expert Determination 3

2.3. HA Disputes 4

Chapter 2 Intellectual Property, Agreements Relating to It and Disputes that Arise as to It or under Such Agreements 5

1. Introduction 5

1.1. What Is Intellectual Property? 5

1.2. Registered IPRs 7

1.3. International Aspects of IP 8

1.4. Agreements Relating to IPRs 10

2. Specific Types of IP and Some Disputes Encountered over Them 12

2.1. Patents 12

2.1.1. Introduction 12

2.1.2. Disputes under Patent Licenses 15

2.2. Copyright and Related Rights 18

2.3. Trademarks 19

2.4. Designs 19

2.5. Confidential Information 20

Chapter 3 Benefits and Limitations of International Arbitration for IP Disputes 23

1. Introduction 23

2. Main Features of International Arbitration 23

2.1. Arbitral Awards Are Readily Enforceable in Most Countries of the World 23

2.2. International Arbitration and Party Autonomy 27

2.2.1. Party Autonomy and Neutral Proceedings 27

2.2.2. Autonomy to Choose Decision-Makers 29

2.2.3. Procedural Flexibility 31

2.2.3.1. Conduct of the Proceedings 31

2.3.3.2. Possibility to Design Special Mechanisms for Dispute Resolution 32

2.2.3.3. Incentive for Settlements 33

2.2.4. Due to Its Contractual Nature Arbitration Lacks Some Features of Litigation 34

2.2.4.1. Arbitrators Lack Imperium 34

2.2.4.2. Lack of Powers upon Third Parties 35

2.3.4.3. Arbitral Awards Do Not Have Precedential Value and Inter Partes Effects of Arbitration 36

2.2.5. Some Possible Concerns Arising Out of the Contractual Nature of International Arbitration 36

2.2.5.1. Concerns Due to the Lack of a Detailed Procedural Framework 36

2.2.5.2. Arbitrators 'Split the Baby' 37

2.3. International Arbitral Awards Are Final 38

2.4. Arbitration May Be Cheaper and Faster than Litigation 41

2.4.1. Length of Arbitral Proceedings 41

2.4.2. Costs 42

2.4.3. Multi-jurisdictional IP Cases 44

2.5. Confidentiality 46

3. Arbitration or Litigation of IP Disputes? 48

Chapter 4 Arbitrability of IP Disputes 49

1. The Issue of Arbitrability of IP Disputes 49

1.1. Introduction 49

1.2. Why Arbitrating IP Disputes May Be an Issue? 50

1.3. Incidence and Scope of Inarbitrability Issues in Relation to IP Disputes 52

2. Resolving Issues of Arbitrability in International IP Disputes 53

2.1. Inarbitrability Objections Raised before the Arbitral Tribunal 54

2.1.1. Inarbitrability and Jurisdiction 54

2.1.2. Applicable Law 54

2.1.3. Law of the Countries Where the IP in Issue Subsists 56

2.1.4. Application of Laws of Countries of Registration of IPR as Foreign Public Policy Rules 56

2.1.5. Resolution of Issues of Arbitrability 57

2.2. Inarbitrability Objections before National Courts in Parallel Proceedings 57

2.3. Inarbitrability in the Context of a Setting Aside Action 58

2.4. Inarbitrability in the Context of Challenges to Recognition and Enforcement of Awards 59

2.4.1. A Fourth Bite of the Apple? 59

2.4.2. Invalidity Effects of the Award 59

2.4.2.1. Awards that Fully Accept 'Invalidity' 60

2.4.2.2. Awards that Completely Reject'Invalidity' Allegations 60

2.4.2.3. Awards that Partially 'Invalidate'Asserted IP 60

2.4.3. Law Applicable by the Court of the Place of Recognition and Enforcement 61

2.5. Dealing with Public Policy Arguments if the Applicable Law Does Not Provide for a Specific Solution on Arbitrability 62

3. The Public Policy Debate 62

3.1. Potential Public Policy Arguments in Support of Inarbitrability 62

3.1.1. State Involvement in the Creation of IPR 63

3.1.2. IP Creates Monopolies or Rights of Exclusivity 64

3.1.3. Protection of the Interests Behind the Grant of Monopolies 64

3.1.4. Existence of Bodies that Have Specific Jurisdiction on Validity Issues 65

3.2. Two Keys to Rebut Public Policy Arguments against Arbitrability of IPR 66

3.2.1. Insufficiency of Pure Public Policy Arguments 66

3.2.2. Public Policy Arguments in the Light of the Inter Partes Effect of Arbitration 68

3.2.2.1. State Involvement and Sovereign Acts Arguments 68

3.2.2.2. Monopolies and Underlying Policy Interest Rationales 71

3.2.2.3. Exclusive Jurisdiction of Certain Bodies Argument 73

3.2.3. International Public Policy and Restrictive Application of Public Policy 75

Chapter 5 Legal and Regulatory Framework of an IP Arbitration 77

1. Introduction 77

2. Regulatory Framework of the Arbitration Itself 78

2.1. Agreement of the Parties, Institutional Rules and Lex Arbitri 78

2.2. Seat and the Lex Arbitri 79

2.2.1. Two Interrelated Issues 79

2.2.2. Evolution of Seat as Choice of Lex Arbitri 80

2.2.3. Choosing 'Foreign' Law to Govern the Conduct of an Arbitration 82

2.3. Absence of Choice of Seat by the Parties 83

3. Regulatory Framework in Relation to Substantive Issues 85

3.1. Importance of the Regulatory Framework and Different Issues 85

3.2. The Law Applicable to Issues Arising from the Underlying Contract 86

3.2.1. Introduction 86

3.2.2. The Applicable Law Where Parties Have Concluded a Choice of Law Agreement 86

3.2.2.1. Party Autonomy 86

3.2.2.2. Limitations to Party Autonomy:Mandatory Rules 89

3.2.2.3. Pragmatic Approach to Non-contractual IP Issues in International Arbitration 91

3.2.2.4. Potential Choices of Substantive Law 95

3.2.2.4.1. National Law 95

3.2.2.4.2. Non-national Law: 'Rules of Law' 97

3.2.3. Law Applicable to the Substance of the Dispute in the Absence of Agreement 98

3.2.3.1. Stance of National Law on Choice of Law for Substantive Issues 98

3.2.3.1.1. General Regime of Choice of Law Rules of the Seat 98

3.2.3.1.2. Specialized Methods Provided by the Law of the Seat 99

3.2.3.1.3. Application of Choice of Law System that the Arbitral Tribunal Considers Appropriate 100

3.2.3.1.4. Direct Application of Substantive Law that the Arbitral Tribunal Considers Appropriate 101

3.2.3.2. Institutional Rules 102

4. Law Applicable to the Agreement to Arbitrate 103

4.1. Different Applicable Laws 103

4.2. Law Applicable to Issues of Existence and Validity of an Arbitration Clause 104

4.2.1. Existence of a Specific Choice of Law Agreement 104

4.2.2. Absence of a Specific Choice of Law Agreement 104

4.2.2.1. The Law of the Underlying Contract 104

4.2.2.2. The Law of the Seat 105

4.2.2.3. Closest Connection 106

4.2.2.4. Direct Application of Principles of International Law 107

4.3. Validation Principle 107

Chapter 6 Arbitration Agreements 109

1. Introduction 109

2. Framework of International Arbitration Agreements 110

2.1. Introduction 110

2.2. Arbitration Agreements under the New York Convention 110

2.2.1. Agreement in Writing, Signature and Exchange of Letters 111

2.2.2. Existing or Future Disputes 112

2.2.3. Defined Legal Relationship 112

2.2.4. Arbitrability 112

2.3. Arbitration Agreements under National Law 112

2.3.1. Capacity 113

2.3.2. Formation of Arbitration Agreements 113

2.3.3. Formal Validity 114

2.3.4. Substantive Validity of Arbitration Agreements 115

2.3.5. Arbitrability 116

2.3.6. Parties to Arbitration Agreements 117

2.3.6.1. Group of Companies Doctrine 117

2.3.6.2. Alter Ego Doctrine 118

2.3.6.3. Equity and Good Faith Issues 118

2.3.6.4. Assignments 118

2.4. The Separability Doctrine 119

3. Arbitration Agreements: Choosing and Drafting 120

3.1. Introduction 120

3.2. What Kind of Clause? 121

3.3. Ad Hoc or Institutional Arbitration? 123

3.3.1. Ad Hoc Arbitration 123

3.3.2. Institutional Arbitration 124

3.4. Scope of Arbitration Clause 126

3.5. Choosing the Seat or Place of Arbitration 128

3.6. Choosing the Applicable Substantive Law 129

3.7. Arbitrator Issues 130

3.7.1. Choosing a Number of Arbitrators 130

3.7.2. Arbitrator Designated in Arbitration Clause and Requirements 132

3.8. Language 132

3.9. Combination of Procedures 133

3.10. Streamlining Institutional Rules 133

3.11. Multiparty Issues 134

3.12. Specific Issues in Relation to Arbitration Clauses for IP Disputes 135

3.12.1. Confidentiality 135

3.12.2. Arbitrability 136

3.12.3. Appeal Mechanisms 136

3.12.4. Standby Arbitral Tribunals 138

Chapter 7 The Arbitral Tribunal 141

1. Establishment of the Arbitral Tribunal 141

1.1. One of the Most Important Stages in Arbitration 141

1.2. Number of Arbitrators 141

1.3. One or Three Arbitrators? 142

1.4. Methods of Appointment 144

1.4.1. Appointment of Sole and Presiding Arbitrators 144

1.4.1.1. Appointment by the Parties 144

1.4.1.2. Appointment in Institutional Arbitrations 144

1.4.1.3. Appointing Authority 145

1.4.1.4. Appointment by Co-arbitrators 146

1.4.1.5. Appointment by National Courts 146

1.4.2. Selection of Party-Appointed Arbitrators 147

1.4.3. Nomination of Party-Appointed Arbitrators in Multiparty Arbitrations 148

2. Who Can Be an Arbitrator? 150

2.1. Natural Person 150

2.2. Capacity 150

2.3. Legal Qualification 150

2.4. Nationality 150

2.5. Lack of Bias 151

2.6. Requirements Agreed by the Parties 151

3. Independence and Impartiality of Arbitrators 152

3.1. A Fundamental Principle of International Arbitration 152

3.2. Independence and/or Impartiality? 152

3.3. Standard of Proof to Disqualify Arbitrators 154

3.4. Disclosure Obligations 154

3.4.1. Prior to Appointment 155

3.4.2. Disclosure Obligation during the Conduct of the Proceedings 156

4. Challenges to Arbitrators 156

4.1. Procedure 156

4.1.1. Pre-challenge Disclosures and Objections 156

4.1.2. Resolution of Challenges 157

4.1.2.1. Challenges under Institutional Rules 157

4.1.2.2. Challenges under National Legislation 158

4.1.3. Effect of a Successful Challenge 160

5. Removal of Arbitrators 160

6. Replacement of Arbitrators 161

6.1. Procedure 161

6.2. Consequences of Appointment of Replacement Arbitrators 162

7. Truncated Tribunals 163

8. Arbitrators' Remuneration and Expenses of the Tribunal 165

8.1. Arbitrators' Right to Remuneration 165

8.2. Cancellation Fees 166

8.3. Expenses of the Arbitral Tribunal 166

8.4. Deposits 167

9. Obligations of Arbitrators 167

10. Arbitrators Liability and Immunity 169

11. Jurisdiction of the Arbitral Tribunal and the Competence-Competence Doctrine 170

11.1. Introduction 170

11.2. The Competence-Competence Doctrine 170

11.3. Resolution of Jurisdictional Challenges by Arbitral Tribunals 172

Chapter 8 Organization and Conduct of Arbitral Proceedings and the Taking of Evidence 175

1. Introduction 175

2. Organization of the Proceedings in General 175

2.1. Introduction 175

2.2. Timeline and Structure of the Proceedings 177

2.3. Bifurcation of the Proceedings 178

2.4. Organization of Written Submissions 179

2.4.1. Number and Sequence of Submissions 179

2.4.2. Evidence in Support of Written Submissions 180

2.4.3. Amendment of a Party's Case 181

2.5. Organization of Production of Evidence 181

2.5.1. Documentary Evidence and Disclosure 181

2.5.1.1. Time and Form of Evidence 181

2.5.1.2. Document Disclosure 181

2.5.2. Witness Evidence 182

2.5.3. Expert Evidence 182

2.6. Determination of Language of the Proceedings 182

2.7. Confidentiality 183

2.8. Partial Decisions in Relation to the Scope and Construction of Asserted IPR 183

2.9. Creation of Standby Arbitral Tribunals 183

2.10. Awards on Costs 183

2.11. Deposits and Advance Payments 184

2.12. Appointment of a Secretary to the Tribunal 184

2.13. Other Potential Issues Relating to the Organization of the Proceedings in General 185

3. Organization of the Evidentiary Hearing 185

3.1. Opening and Closing Statements 186

3.2. Sitting Hours and Time Allocation for the Hearing 186

3.3. Sets of Documents for the Hearing 187

3.4. Record of Contents of the Hearing 187

3.5. Examination of Fact Witnesses and Experts 188

3.6. Objections to Questions 188

3.7. Presence of Witnesses or Experts during Examination of Other Witnesses or Experts 188

3.8. Whether Witnesses and Experts Can Be Examined by Video-Link 189

3.9. Whether the Witnesses and Experts Will Be Examined on Oath or Affirmation 189

3.10. Use of Documents for Cross-Examination 190

3.11. Interpreters 190

3.12. Venue for the Hearing 190

3.13. Tribunal's Cancellation Policy 190

3.14. Issuance of Procedural Order Setting Out the Timeline for the Proceedings 190

4. Cost-Controlling Measures 191

5. The Conduct of the Proceedings and the Taking of Evidence 191

5.1. Introduction 191

5.2. The Conduct of the Proceedings According to Prevailing International Arbitration Practice 192

5.2.1. Different Stages 192

5.2.2. Commencement of Proceedings 192

5.2.2.1. The Request for Arbitration 193

5.2.2.2. Answer to the Request for Arbitration 194

5.2.2.3. Determination of the Seat of the Proceedings 195

5.2.3. Establishment of the Arbitral Tribunal 195

5.2.4. Case Management Meeting, Procedural Order,and Terms of Reference 196

5.2.5. Parties' Submissions 196

5.2.5.1. Written Submissions 197

5.2.5.1.1. Pre-hearing Submissions 197

5.2.5.1.2. Post-hearing Submissions 198

5.2.5.2.Oral Submissions 198

5.2.6.The Taking of Evidence 199

5.2.6.1.Introduction 199

5.2.6.2.Burden and Standard of Proof 199

5.2.6.3.Admissibility and Probative Value 200

5.2.6.4.Documentary Evidence 201

5.2.6.4.1.'Document' Defined 201

5.2.6.4.2.Document Disclosure or Discovery 201

5.2.6.4.3.Privilege 202

5.2.6.4.4.Redfern Schedules 205

5.2.6.5.Witnesses 205

5.2.6.5.1.Who Can Be a Witness? 206

5.2.6.5.2.Form and Examination of Witnesses 206

5.2.6.6.Experts 208

5.2.6.6.1.Introduction 208

5.2.6.6.2.Partv-Appointed Experts and Experts Appointed by the Tribunal 208

5.2.6.6.3. Expert Tutorials for Arbitrators 210

5.2.6.7. Agreed Primers, Models and Demonstrative Evidence 211

5.2.6.8. Inspections and Site Visits 211

5.2.6.9. Experiments 212

5.2.6.10. Other Means of Presenting Evidence Particular to IP Disputes 212

5.2.7. The Evidentiary Hearing 212

5.2.8. Closing of the Proceedings 214

5.2.9. The Award(s) 214

5.2.10. Post-termination Issues 215

6. Default Proceedings 215

7. Fast-Track Arbitrations 217

8. Assorted Issues Associated to the Conduct of the Proceedings 219

8.1. Representation 219

8.2. Consolidation of Parallel Arbitrations, Joinder and Third-Party Intervention 219

9. Interim Relief 221

9.1. Introduction 221

9.2. Interim Measures Ordered by Arbitral Tribunals 221

9.2.1. Normative Framework 221

9.2.2. Different Measures that Tribunals May Grant 222

9.2.2.1. Measures Aiming to Maintain the Status Quo or Prevent Harm 222

9.2.2.2. Orders Seeking to Ensure the Enforceability of the Award 223

9.2.2.3. Preservation or Inspection of Property 224

9.2.2.4. Security for Costs 224

9.2.2.5. Interim Payments 224

9.2.3. Prerequisites to Order Interim Measures 225

9.2.4. Form of a Decision on Interim Relief 225

9.2.5. Enforcement of Interim Measures 226

9.3. Interim Measures Ordered by National Courts in Support of Arbitration 227

Chapter 9 Confidentiality of Arbitral Proceedings 229

1. Introduction 229

2. Confidential Arbitrations: Protection against Disclosures to Third Parties 230

2.1. Only Certain Arbitrations Are both Private and Confidential 230

2.2. Express Agreement of the Parties Providing for Confidentiality 232

2.3. Confidentiality under Institutional Rules 232

2.3.1. Arbitration Rules Providing for Comprehensive Confidentiality Obligations 233

2.3.1.1. CIETAC Arbitration Rules 233

2.3.1.2. German Institution of Arbitration (DIS) 233

2.3.1.3. HKIAC Administered Arbitration Rules 233

2.3.1.4. LCIA Rules 234

2.3.1.5. Rules of Arbitration of the Swiss Chambers of Commerce ('Swiss Rules') 235

2.3.1.6. WIPO Arbitration and Expedited Arbitration Rules 235

2.3.2. Arbitration Rules that Do Not Impose Duties of Confidentiality upon the Parties 237

2.3.2.1. AAA/ICDR Rules 237

2.3.2.2. ICC Rules 237

2.3.2.3. SCC Rules 238

2.3.2.4. SIAC Rules 239

2.4. Confidentiality under National Law 239

2.4.1. Different Approaches in National Law 239

2.4.2. Jurisdictions Generally Considering Arbitration Confidential 240

2.4.2.1. England 240

2.4.2.2. France 241

2.4.2.3. New Zealand 243

2.4.2.4. Scotland 243

2.4.2.5. Singapore 244

2.4.2.6. Spain 244

2.4.3. Jurisdictions Where Arbitration Is Not Considered Confidential 245

2.4.3.1. Australia 245

2.4.3.2. Sweden 245

2.4.3.3. United States 247

2.5. Practical Issues Arising from Confidential Arbitrations 247

2.5.1. Potential Gaps vis-a-vis Arbitrators, Lawyers and Experts 248

2.5.1.1. Ethical Rules and Implied Duties in Relation to Arbitrators 248

2.5.1.2. Ethical Rules in Relation to Lawyers and Privilege Issues 249

2.5.1.3. Duties of Secrecy Binding Professionals 250

2.5.1.4. Conclusion: Erring on the Side of Caution Is Preferable 251

2.5.2. Large Corporate Disputants as Parties 251

2.6. Protecting Confidential Information in Non-confidential Arbitrations 251

2.7. Limitations to Obligations of Confidentiality 252

2.7.1. Limitations in Relation to Express Confidentiality Agreements 252

2.7.2. Limitations in Institutional Rules Providing for Obligations of Confidentiality 254

2.7.2.1. WIPO Rules 254

2.7.2.2. LCIA Rules, Swiss Rules and HKIAC Administered Rules 254

2.7.3. Limitations in National Law Providing for Confidentiality 255

2.7.3.1. England 255

2.7.3.2. France 256

2.7.3.3. New Zealand 256

2.7.3.4. Scotland 257

2.7.3.5. Singapore 258

2.7.4. Protecting Sensitive Information if an Exception to Confidentiality Applies 258

3. Protecting Confidential Information against Opposing Parties 259

3.1. Introduction 259

3.2. Framework for Protecting Information from the Parties to the Arbitration 260

3.2.1. General Powers to Conduct the Proceedings 260

3.2.2. Rules Containing Express Provisions 260

3.2.2.1. WIPO Rules 260

3.2.2.2. ICC Rules 262

3.2.2.3. IBA Rules on the Taking of Evidence in International Commercial Arbitration 262

3.3. Practical Measures to Protect Confidential Information against Opposing Parties 263

3.3.1. Ex Parte Disclosures 263

3.3.2. Redaction of Documents 264

3.3.3. Confidentiality Adviser 264

3.3.4. Orders Protecting Confidential Information 264

3.3.5. Confidentiality Agreements and Confidentiality Clubs 265

3.3.6. Disclosures to External Lawyers or Advocates Only 265

4. Breach and Enforcement of Obligations of Confidentiality and Protective Measures 266

4.1. Relevant Elements in a Breach Analysis 266

4.1.1. Scope of the Duty Breached According to Its Primary Source 267

4.1.2. Applicable Law 267

4.1.3. Nature of the Information Disclosed 268

4.1.4. Type of Breach 268

4.2. Jurisdiction to Pursue a Breach of Confidentiality Obligations and Protective Measures 269

4.3. Interim Relief 269

4.4. Permanent Remedies 270

4.4.1. Damages 270

4.4.2. Permanent Injunctions and Similar Measures 270

4.4.3. Avoidance or Nullification of the Arbitration Agreement 271

4.5. Other Possible Remedies 272

Chapter 10 The Making, Setting Aside, Recognition and Enforcement of Arbitral Awards 273

1. Introduction 273

2. International Arbitral Awards 274

2.1. Types of Awards 274

2.1.1. Final Awards 274

2.1.2. Partial Awards 275

2.1.3. Interlocutory Awards 276

2.1.4. Default Awards 276

2.1.5. Consent Awards 276

2.2. The Decision-Making Process 277

2.2.1. Sole Arbitrators, Multiple Arbitrators and Deliberations 277

2.2.2. Unanimous Awards, Majority Awards and Awards by Presiding Arbitrator 279

2.2.3. Separate and Dissenting Opinions 280

2.3. Formal Aspects of Awards 281

2.3.1. Requirements Contemplated by Most Rules and Laws 282

2.3.1.1. Requirements in General 282

2.3.1.2. Date of the Award 282

2.3.1.3. Place at Which the Award Was Made 282

2.3.1.4. Reasons 283

2.3.1.5. Signature 284

2.3.2. Contents of Awards in Practice 284

2.4. Remedies in the Award 284

2.4.1. General Aspects 284

2.4.2. Monetary Compensation 285

2.4.3. Interest 286

2.4.4. Orders to Do Something or to Refrain from Doing Something, Specific Performance 287

2.4.4.1. Common Law and Civil Law 287

2.4.4.2. Arbitration Practice 288

2.4.5. Declaratory Relief 292

2.4.6. Punitive Damages, Statutory Damages, Penalties on Breach and Astreintes 292

2.5. Cost Awards 293

2.6. Time Limits for the Making of the Award 295

2.7. Scrutiny of Awards by Administering Institutions 296

2.8. Notification of the Award to the Parties 297

2.9. Effects of Arbitral Awards 298

2.9.1. Termination of the Tribunal's Jurisdiction 298

2.9.1.1. Issues Rather than Dispute as a Whole 298

2.9.1.2. Additional or Supplementary Awards 299

2.9.1.3. Correction of the Award 300

2.9.1.4. Interpretation of the Award 300

2.9.2. Preclusion upon the Parties: Res Judicata and Issue Preclusion 301

3. Setting Aside or Annulment of Arbitral Awards 302

3.1. Introduction 302

3.2. Appeal Mechanisms: Review of the Merits of a Decision 303

3.3. Setting Aside or Annulling International Arbitral Awards 304

3.3.1. Generalities, Courts and Time Limits 304

3.3.2. Grounds for Setting Aside Awards 304

3.3.2.1. Absence or Invalidity of the Arbitration Agreement 305

3.3.2.2. Jurisdictional Issues: Ultra Petita and Infra Petita 305

3.3.2.3. Procedural Issues 307

3.3.2.4. Inarbitrability 309

3.3.2.5. Public Policy 309

3.3.3. Consequences of a Court's Decision on Setting Aside Actions 310

4. Recognition and Enforcement of Arbitral Awards 311

4.1. Introduction 311

4.2. Recognition and Enforcement of Foreign Awards under the New York Convention 311

4.2.1. General Aspects 311

4.2.2. Host Country' s Jurisdiction 314

4.2.3. Required Documentation 314

4.2.4. Grounds to Refuse Recognition 314

4.2.4.1. Invalidity of the Arbitration Agreement 315

4.2.4.2. Procedural Fairness Issues 316

4.2.4.3. Jurisdictional Issues: Ultra Petita 317

4.2.4.4. Composition of the Arbitral Tribunal or Procedure Not in Accordance with the Arbitration Agreement or Relevant Law 318

4.2.4.5. The Award Is Not Binding, Set Aside or Suspended 318

4.2.4.6. Inarbitrability 320

4.2.4.7. Public Policy 321

5. Issues in Relation to Potential Compelled Enforcement of Awards Providing for Orders to Do Something or to Refrain from Doing Something 321

5.1. Introduction 321

5.2. Coercive Measures in Common Law Countries and Germanic Civil Law Countries 322

5.3. Coercive Measures in French-Based Civil Law Countries 323

5.4. Potential Issues Due to the Concomitance of Different Legal Systems 324

5.4.1. Enforcement in Common Law Countries of Remedies Granted under the Laws of a Civil Law Country 324

5.4.2. Enforcement in Civil Law Countries of Remedies Granted under the Laws of Common Law Countries 326

5.5. Arbitral Tribunal's Retention of Jurisdiction 328

Chapter 11 IP Mediation 331

1.Introduction 331

2.Generalities 332

2.1. Alternative Dispute Resolution (ADR) 332

2.1.1. Early Neutral Evaluation 332

2.1.2. Med-Arb 333

2.1.3.Arb-Med 334

2.2.Key Features of Mediation 334

2.2.1.Neutrality and Independence of the Mediator 334

2.2.2.Voluntary 335

2.2.3.Confidential and without Prejudice 337

2.3.The Process of Mediation 339

2.3.1.Preparation 339

2.3.1.1. Venue 340

2.3.1.2. Role of Lawyers 340

2.3.1.3. Duration of Mediation 341

2.3.1.4. Documentation 341

2.3.2.Parties' Attitudes 342

2.3.3.Attendance 342

2.3.4.Phases and Procedure 344

2.3.4.1. Contact with the Mediator Prior to the Mediation 344

2.3.4.2. Initial Formalities 344

2.3.4.3. Plenary Session 345

2.3.4.4. Exploration Phase 346

2.3.4.5. Negotiation Phase 346

2.3.4.6. Settlement Phase 347

2.3.4.7. No Settlement Outcome 348

2.3.5.Mediation Approach: Facilitative or Evaluative? 348

2.3.6.Utilizing the Mediator's Full Potential 349

3.Mediation Providers and Rules 350

3.1.Mediation Providers 350

3.2.Mediation Rules 351

4.Legal Framework 352

4.1.ADR Escalation Clauses 352

4.1.1.General Points on Escalation Clauses 352

4.1.1.1. Precise Definition of ADR? 352

4.1.1.2. Mandatory or Optional? 353

4.1.1.3. Post-ADR Provision 353

4.1.2.Sample Escalation Clauses 353

4.1.2.1. WIPO 353

4.1.2.2. LCIA 354

4.2.Mediation Agreement 354

4.2.1.Confidentiality 355

4.2.2.Mediator: Appointment and Role 356

4.2.3.Duty to Disclose 356

4.2.4.Duration 356

4.2.5.Voluntary Termination 356

4.2.6.Settlement Agreements 357

4.2.7.Miscellaneous Elements in a Mediation Agreement 357

4.3.Settlement Agreements 358

4.3.1.Validity 358

4.3.1.1. Competition Law and Antitrust Issues 359

4.3.1.2. Criminal Conduct 360

4.3.1.3. General Compliance with Law 360

4.3.1.4. Mistake and Misrepresentation 360

4.3.2. Enforcement 361

4.3.3. Confidentiality 361

5. Using Mediation for Resolving IP Disputes 362

5.1. Benefits of Mediation for Resolution of IP Disputes 362

5.1.1. Speed 362

5.1.2. Cost 363

5.1.3. Control over the Process and the Outcome 363

5.1.4. Creative Settlement Possibilities 364

5.1.1.1. Licensing of New Territories 365

5.1.1.2. Cross-Licensing of Technology or Connected IPRs 366

5.1.1.3. Sponsorship Agreements 366

5.1.1.4. Sourcing of Information 366

5.1.1.5. Declarations as to Consent for Registration of Patents and Other Registered IPR 366

5.1.1.6. Avoidance of Adverse Consequences of a Termination for Cause, and Concluding Deadlock 367

5.1.1.7. Improving Commercial Relationships with Competitors 367

5.1.5. Cross-Jurisdiction Resolution in a Single Forum 367

5.1.6. Continuity of Relationship 368

5.1.7. Confidentiality 369

5.2. Circumstances in Which Mediation is Particularly Suitable 369

5.3. Limitations of Mediation 371

5.3.1. Matters Not Susceptible to Resolution by Mediation 371

5.3.2. Need for Legal Precedent 372

5.3.3. Remedy Required Unavailable at Mediation 372

5.3.4. Criminal Behaviour 373

5.3.5. Cost-Saving Less Critical When 'Stakes Are High' 373

6. The Mediator 373

6.1. Selection Considerations 374

6.1.1. Legal Experience 374

6.1.2. Technical Expertise and Background in the Industry or the Particular Type of IPR at Stake in the Dispute or in IP Generally 375

6.1.3. Commercial and Mediation Expertise 376

6.1.4. Approaches to the Role and Personality Considerations 376

6.1.5. Assurance of Neutrality 377

6.1.6. Potential to Develop Rapport and Trust 377

6.1.7. Availability 378

6.2.Quality Standards and Training 378

7. Mediation as an Aid to Arbitral Proceedings 380

7.1. Right Time to Mediate 380

7.1.1. Strategic Considerations 380

7.1.2. Prior to Arbitration 381

7.1.3. During Arbitration 382

7.1.4. After Arbitration 383

7.2. Are the Roles of Mediator (or Conciliator) and Arbitrator Interchangeable? 383

7.3. Consent Awards and Termination of the Arbitral Proceedings 384

7.4. Limitation Period 385

Appendix 1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention), 1958 387

Appendix 2 WBPO Arbitration Rules, 2002 393

Appendix 3 WIPO Expedited Arbitration Rules, 2002 421

Appendix 4 WIPO Mediation Rules, 2002 445

Index 453