INTERNATIONAL INTELLECTUAL PROPERTY ARBITRATIONPDF电子书下载
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- 作 者：TREVOR COOK
- 出 版 社：
- 出版年份：2010
- ISBN：9789041127259
- 页数：464 页
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Chapter 1 Introduction1
1. The Structure and Scope of This Book1
2. Areas of IP Dispute Resolution Not Addressed by This Book2
2.1. Domain Name Disputes2
2.2. Expert Determination3
2.3. HA Disputes4
Chapter 2 Intellectual Property, Agreements Relating to It and Disputes that Arise as to It or under Such Agreements5
1. Introduction5
1.1. What Is Intellectual Property?5
1.2. Registered IPRs7
1.3. International Aspects of IP8
1.4. Agreements Relating to IPRs10
2. Specific Types of IP and Some Disputes Encountered over Them12
2.1. Patents12
2.1.1. Introduction12
2.1.2. Disputes under Patent Licenses15
2.2. Copyright and Related Rights18
2.3. Trademarks19
2.4. Designs19
2.5. Confidential Information20
Chapter 3 Benefits and Limitations of International Arbitration for IP Disputes23
1. Introduction23
2. Main Features of International Arbitration23
2.1. Arbitral Awards Are Readily Enforceable in Most Countries of the World23
2.2. International Arbitration and Party Autonomy27
2.2.1. Party Autonomy and Neutral Proceedings27
2.2.2. Autonomy to Choose Decision-Makers29
2.2.3. Procedural Flexibility31
2.2.3.1. Conduct of the Proceedings31
2.3.3.2. Possibility to Design Special Mechanisms for Dispute Resolution32
2.2.3.3. Incentive for Settlements33
2.2.4. Due to Its Contractual Nature Arbitration Lacks Some Features of Litigation34
2.2.4.1. Arbitrators Lack Imperium34
2.2.4.2. Lack of Powers upon Third Parties35
2.3.4.3. Arbitral Awards Do Not Have Precedential Value and Inter Partes Effects of Arbitration36
2.2.5. Some Possible Concerns Arising Out of the Contractual Nature of International Arbitration36
2.2.5.1. Concerns Due to the Lack of a Detailed Procedural Framework36
2.2.5.2. Arbitrators ‘Split the Baby’37
2.3. International Arbitral Awards Are Final38
2.4. Arbitration May Be Cheaper and Faster than Litigation41
2.4.1. Length of Arbitral Proceedings41
2.4.2. Costs42
2.4.3. Multi-jurisdictional IP Cases44
2.5. Confidentiality46
3. Arbitration or Litigation of IP Disputes?48
Chapter 4 Arbitrability of IP Disputes49
1. The Issue of Arbitrability of IP Disputes49
1.1. Introduction49
1.2. Why Arbitrating IP Disputes May Be an Issue?50
1.3. Incidence and Scope of Inarbitrability Issues in Relation to IP Disputes52
2. Resolving Issues of Arbitrability in International IP Disputes53
2.1. Inarbitrability Objections Raised before the Arbitral Tribunal54
2.1.1. Inarbitrability and Jurisdiction54
2.1.2. Applicable Law54
2.1.3. Law of the Countries Where the IP in Issue Subsists56
2.1.4. Application of Laws of Countries of Registration of IPR as Foreign Public Policy Rules56
2.1.5. Resolution of Issues of Arbitrability57
2.2. Inarbitrability Objections before National Courts in Parallel Proceedings57
2.3. Inarbitrability in the Context of a Setting Aside Action58
2.4. Inarbitrability in the Context of Challenges to Recognition and Enforcement of Awards59
2.4.1. A Fourth Bite of the Apple?59
2.4.2. Invalidity Effects of the Award59
2.4.2.1. Awards that Fully Accept ‘Invalidity’60
2.4.2.2. Awards that Completely Reject’Invalidity’ Allegations60
2.4.2.3. Awards that Partially ‘Invalidate’Asserted IP60
2.4.3. Law Applicable by the Court of the Place of Recognition and Enforcement61
2.5. Dealing with Public Policy Arguments if the Applicable Law Does Not Provide for a Specific Solution on Arbitrability62
3. The Public Policy Debate62
3.1. Potential Public Policy Arguments in Support of Inarbitrability62
3.1.1. State Involvement in the Creation of IPR63
3.1.2. IP Creates Monopolies or Rights of Exclusivity64
3.1.3. Protection of the Interests Behind the Grant of Monopolies64
3.1.4. Existence of Bodies that Have Specific Jurisdiction on Validity Issues65
3.2. Two Keys to Rebut Public Policy Arguments against Arbitrability of IPR66
3.2.1. Insufficiency of Pure Public Policy Arguments66
3.2.2. Public Policy Arguments in the Light of the Inter Partes Effect of Arbitration68
3.2.2.1. State Involvement and Sovereign Acts Arguments68
3.2.2.2. Monopolies and Underlying Policy Interest Rationales71
3.2.2.3. Exclusive Jurisdiction of Certain Bodies Argument73
3.2.3. International Public Policy and Restrictive Application of Public Policy75
Chapter 5 Legal and Regulatory Framework of an IP Arbitration77
1. Introduction77
2. Regulatory Framework of the Arbitration Itself78
2.1. Agreement of the Parties, Institutional Rules and Lex Arbitri78
2.2. Seat and the Lex Arbitri79
2.2.1. Two Interrelated Issues79
2.2.2. Evolution of Seat as Choice of Lex Arbitri80
2.2.3. Choosing ‘Foreign’ Law to Govern the Conduct of an Arbitration82
2.3. Absence of Choice of Seat by the Parties83
3. Regulatory Framework in Relation to Substantive Issues85
3.1. Importance of the Regulatory Framework and Different Issues85
3.2. The Law Applicable to Issues Arising from the Underlying Contract86
3.2.1. Introduction86
3.2.2. The Applicable Law Where Parties Have Concluded a Choice of Law Agreement86
3.2.2.1. Party Autonomy86
3.2.2.2. Limitations to Party Autonomy:Mandatory Rules89
3.2.2.3. Pragmatic Approach to Non-contractual IP Issues in International Arbitration91
3.2.2.4. Potential Choices of Substantive Law95
3.2.2.4.1. National Law95
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 Agreement98
3.2.3.1. Stance of National Law on Choice of Law for Substantive Issues98
3.2.3.1.1. General Regime of Choice of Law Rules of the Seat98
3.2.3.1.2. Specialized Methods Provided by the Law of the Seat99
3.2.3.1.3. Application of Choice of Law System that the Arbitral Tribunal Considers Appropriate100
3.2.3.1.4. Direct Application of Substantive Law that the Arbitral Tribunal Considers Appropriate101
3.2.3.2. Institutional Rules102
4. Law Applicable to the Agreement to Arbitrate103
4.1. Different Applicable Laws103
4.2. Law Applicable to Issues of Existence and Validity of an Arbitration Clause104
4.2.1. Existence of a Specific Choice of Law Agreement104
4.2.2. Absence of a Specific Choice of Law Agreement104
4.2.2.1. The Law of the Underlying Contract104
4.2.2.2. The Law of the Seat105
4.2.2.3. Closest Connection106
4.2.2.4. Direct Application of Principles of International Law107
4.3. Validation Principle107
Chapter 6 Arbitration Agreements109
1. Introduction109
2. Framework of International Arbitration Agreements110
2.1. Introduction110
2.2. Arbitration Agreements under the New York Convention110
2.2.1. Agreement in Writing, Signature and Exchange of Letters111
2.2.2. Existing or Future Disputes112
2.2.3. Defined Legal Relationship112
2.2.4. Arbitrability112
2.3. Arbitration Agreements under National Law112
2.3.1. Capacity113
2.3.2. Formation of Arbitration Agreements113
2.3.3. Formal Validity114
2.3.4. Substantive Validity of Arbitration Agreements115
2.3.5. Arbitrability116
2.3.6. Parties to Arbitration Agreements117
2.3.6.1. Group of Companies Doctrine117
2.3.6.2. Alter Ego Doctrine118
2.3.6.3. Equity and Good Faith Issues118
2.3.6.4. Assignments118
2.4. The Separability Doctrine119
3. Arbitration Agreements: Choosing and Drafting120
3.1. Introduction120
3.2. What Kind of Clause?121
3.3. Ad Hoc or Institutional Arbitration?123
3.3.1. Ad Hoc Arbitration123
3.3.2. Institutional Arbitration124
3.4. Scope of Arbitration Clause126
3.5. Choosing the Seat or Place of Arbitration128
3.6. Choosing the Applicable Substantive Law129
3.7. Arbitrator Issues130
3.7.1. Choosing a Number of Arbitrators130
3.7.2. Arbitrator Designated in Arbitration Clause and Requirements132
3.8. Language132
3.9. Combination of Procedures133
3.10. Streamlining Institutional Rules133
3.11. Multiparty Issues134
3.12. Specific Issues in Relation to Arbitration Clauses for IP Disputes135
3.12.1. Confidentiality135
3.12.2. Arbitrability136
3.12.3. Appeal Mechanisms136
3.12.4. Standby Arbitral Tribunals138
Chapter 7 The Arbitral Tribunal141
1. Establishment of the Arbitral Tribunal141
1.1. One of the Most Important Stages in Arbitration141
1.2. Number of Arbitrators141
1.3. One or Three Arbitrators?142
1.4. Methods of Appointment144
1.4.1. Appointment of Sole and Presiding Arbitrators144
1.4.1.1. Appointment by the Parties144
1.4.1.2. Appointment in Institutional Arbitrations144
1.4.1.3. Appointing Authority145
1.4.1.4. Appointment by Co-arbitrators146
1.4.1.5. Appointment by National Courts146
1.4.2. Selection of Party-Appointed Arbitrators147
1.4.3. Nomination of Party-Appointed Arbitrators in Multiparty Arbitrations148
2. Who Can Be an Arbitrator?150
2.1. Natural Person150
2.2. Capacity150
2.3. Legal Qualification150
2.4. Nationality150
2.5. Lack of Bias151
2.6. Requirements Agreed by the Parties151
3. Independence and Impartiality of Arbitrators152
3.1. A Fundamental Principle of International Arbitration152
3.2. Independence and/or Impartiality?152
3.3. Standard of Proof to Disqualify Arbitrators154
3.4. Disclosure Obligations154
3.4.1. Prior to Appointment155
3.4.2. Disclosure Obligation during the Conduct of the Proceedings156
4. Challenges to Arbitrators156
4.1. Procedure156
4.1.1. Pre-challenge Disclosures and Objections156
4.1.2. Resolution of Challenges157
4.1.2.1. Challenges under Institutional Rules157
4.1.2.2. Challenges under National Legislation158
4.1.3. Effect of a Successful Challenge160
5. Removal of Arbitrators160
6. Replacement of Arbitrators161
6.1. Procedure161
6.2. Consequences of Appointment of Replacement Arbitrators162
7. Truncated Tribunals163
8. Arbitrators’ Remuneration and Expenses of the Tribunal165
8.1. Arbitrators’ Right to Remuneration165
8.2. Cancellation Fees166
8.3. Expenses of the Arbitral Tribunal166
8.4. Deposits167
9. Obligations of Arbitrators167
10. Arbitrators Liability and Immunity169
11. Jurisdiction of the Arbitral Tribunal and the Competence-Competence Doctrine170
11.1. Introduction170
11.2. The Competence-Competence Doctrine170
11.3. Resolution of Jurisdictional Challenges by Arbitral Tribunals172
Chapter 8 Organization and Conduct of Arbitral Proceedings and the Taking of Evidence175
1. Introduction175
2. Organization of the Proceedings in General175
2.1. Introduction175
2.2. Timeline and Structure of the Proceedings177
2.3. Bifurcation of the Proceedings178
2.4. Organization of Written Submissions179
2.4.1. Number and Sequence of Submissions179
2.4.2. Evidence in Support of Written Submissions180
2.4.3. Amendment of a Party’s Case181
2.5. Organization of Production of Evidence181
2.5.1. Documentary Evidence and Disclosure181
2.5.1.1. Time and Form of Evidence181
2.5.1.2. Document Disclosure181
2.5.2. Witness Evidence182
2.5.3. Expert Evidence182
2.6. Determination of Language of the Proceedings182
2.7. Confidentiality183
2.8. Partial Decisions in Relation to the Scope and Construction of Asserted IPR183
2.9. Creation of Standby Arbitral Tribunals183
2.10. Awards on Costs183
2.11. Deposits and Advance Payments184
2.12. Appointment of a Secretary to the Tribunal184
2.13. Other Potential Issues Relating to the Organization of the Proceedings in General185
3. Organization of the Evidentiary Hearing185
3.1. Opening and Closing Statements186
3.2. Sitting Hours and Time Allocation for the Hearing186
3.3. Sets of Documents for the Hearing187
3.4. Record of Contents of the Hearing187
3.5. Examination of Fact Witnesses and Experts188
3.6. Objections to Questions188
3.7. Presence of Witnesses or Experts during Examination of Other Witnesses or Experts188
3.8. Whether Witnesses and Experts Can Be Examined by Video-Link189
3.9. Whether the Witnesses and Experts Will Be Examined on Oath or Affirmation189
3.10. Use of Documents for Cross-Examination190
3.11. Interpreters190
3.12. Venue for the Hearing190
3.13. Tribunal’s Cancellation Policy190
3.14. Issuance of Procedural Order Setting Out the Timeline for the Proceedings190
4. Cost-Controlling Measures191
5. The Conduct of the Proceedings and the Taking of Evidence191
5.1. Introduction191
5.2. The Conduct of the Proceedings According to Prevailing International Arbitration Practice192
5.2.1. Different Stages192
5.2.2. Commencement of Proceedings192
5.2.2.1. The Request for Arbitration193
5.2.2.2. Answer to the Request for Arbitration194
5.2.2.3. Determination of the Seat of the Proceedings195
5.2.3. Establishment of the Arbitral Tribunal195
5.2.4. Case Management Meeting, Procedural Order,and Terms of Reference196
5.2.5. Parties’ Submissions196
5.2.5.1. Written Submissions197
5.2.5.1.1. Pre-hearing Submissions197
5.2.5.1.2. Post-hearing Submissions198
5.2.5.2.Oral Submissions198
5.2.6.The Taking of Evidence199
5.2.6.1.Introduction199
5.2.6.2.Burden and Standard of Proof199
5.2.6.3.Admissibility and Probative Value200
5.2.6.4.Documentary Evidence201
5.2.6.4.1.’Document’ Defined201
5.2.6.4.2.Document Disclosure or Discovery201
5.2.6.4.3.Privilege202
5.2.6.4.4.Redfern Schedules205
5.2.6.5.Witnesses205
5.2.6.5.1.Who Can Be a Witness?206
5.2.6.5.2.Form and Examination of Witnesses206
5.2.6.6.Experts208
5.2.6.6.1.Introduction208
5.2.6.6.2.Partv-Appointed Experts and Experts Appointed by the Tribunal208
5.2.6.6.3. Expert Tutorials for Arbitrators210
5.2.6.7. Agreed Primers, Models and Demonstrative Evidence211
5.2.6.8. Inspections and Site Visits211
5.2.6.9. Experiments212
5.2.6.10. Other Means of Presenting Evidence Particular to IP Disputes212
5.2.7. The Evidentiary Hearing212
5.2.8. Closing of the Proceedings214
5.2.9. The Award(s)214
5.2.10. Post-termination Issues215
6. Default Proceedings215
7. Fast-Track Arbitrations217
8. Assorted Issues Associated to the Conduct of the Proceedings219
8.1. Representation219
8.2. Consolidation of Parallel Arbitrations, Joinder and Third-Party Intervention219
9. Interim Relief221
9.1. Introduction221
9.2. Interim Measures Ordered by Arbitral Tribunals221
9.2.1. Normative Framework221
9.2.2. Different Measures that Tribunals May Grant222
9.2.2.1. Measures Aiming to Maintain the Status Quo or Prevent Harm222
9.2.2.2. Orders Seeking to Ensure the Enforceability of the Award223
9.2.2.3. Preservation or Inspection of Property224
9.2.2.4. Security for Costs224
9.2.2.5. Interim Payments224
9.2.3. Prerequisites to Order Interim Measures225
9.2.4. Form of a Decision on Interim Relief225
9.2.5. Enforcement of Interim Measures226
9.3. Interim Measures Ordered by National Courts in Support of Arbitration227
Chapter 9 Confidentiality of Arbitral Proceedings229
1. Introduction229
2. Confidential Arbitrations: Protection against Disclosures to Third Parties230
2.1. Only Certain Arbitrations Are both Private and Confidential230
2.2. Express Agreement of the Parties Providing for Confidentiality232
2.3. Confidentiality under Institutional Rules232
2.3.1. Arbitration Rules Providing for Comprehensive Confidentiality Obligations233
2.3.1.1. CIETAC Arbitration Rules233
2.3.1.2. German Institution of Arbitration (DIS)233
2.3.1.3. HKIAC Administered Arbitration Rules233
2.3.1.4. LCIA Rules234
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 Rules235
2.3.2. Arbitration Rules that Do Not Impose Duties of Confidentiality upon the Parties237
2.3.2.1. AAA/ICDR Rules237
2.3.2.2. ICC Rules237
2.3.2.3. SCC Rules238
2.3.2.4. SIAC Rules239
2.4. Confidentiality under National Law239
2.4.1. Different Approaches in National Law239
2.4.2. Jurisdictions Generally Considering Arbitration Confidential240
2.4.2.1. England240
2.4.2.2. France241
2.4.2.3. New Zealand243
2.4.2.4. Scotland243
2.4.2.5. Singapore244
2.4.2.6. Spain244
2.4.3. Jurisdictions Where Arbitration Is Not Considered Confidential245
2.4.3.1. Australia245
2.4.3.2. Sweden245
2.4.3.3. United States247
2.5. Practical Issues Arising from Confidential Arbitrations247
2.5.1. Potential Gaps vis-a-vis Arbitrators, Lawyers and Experts248
2.5.1.1. Ethical Rules and Implied Duties in Relation to Arbitrators248
2.5.1.2. Ethical Rules in Relation to Lawyers and Privilege Issues249
2.5.1.3. Duties of Secrecy Binding Professionals250
2.5.1.4. Conclusion: Erring on the Side of Caution Is Preferable251
2.5.2. Large Corporate Disputants as Parties251
2.6. Protecting Confidential Information in Non-confidential Arbitrations251
2.7. Limitations to Obligations of Confidentiality252
2.7.1. Limitations in Relation to Express Confidentiality Agreements252
2.7.2. Limitations in Institutional Rules Providing for Obligations of Confidentiality254
2.7.2.1. WIPO Rules254
2.7.2.2. LCIA Rules, Swiss Rules and HKIAC Administered Rules254
2.7.3. Limitations in National Law Providing for Confidentiality255
2.7.3.1. England255
2.7.3.2. France256
2.7.3.3. New Zealand256
2.7.3.4. Scotland257
2.7.3.5. Singapore258
2.7.4. Protecting Sensitive Information if an Exception to Confidentiality Applies258
3. Protecting Confidential Information against Opposing Parties259
3.1. Introduction259
3.2. Framework for Protecting Information from the Parties to the Arbitration260
3.2.1. General Powers to Conduct the Proceedings260
3.2.2. Rules Containing Express Provisions260
3.2.2.1. WIPO Rules260
3.2.2.2. ICC Rules262
3.2.2.3. IBA Rules on the Taking of Evidence in International Commercial Arbitration262
3.3. Practical Measures to Protect Confidential Information against Opposing Parties263
3.3.1. Ex Parte Disclosures263
3.3.2. Redaction of Documents264
3.3.3. Confidentiality Adviser264
3.3.4. Orders Protecting Confidential Information264
3.3.5. Confidentiality Agreements and Confidentiality Clubs265
3.3.6. Disclosures to External Lawyers or Advocates Only265
4. Breach and Enforcement of Obligations of Confidentiality and Protective Measures266
4.1. Relevant Elements in a Breach Analysis266
4.1.1. Scope of the Duty Breached According to Its Primary Source267
4.1.2. Applicable Law267
4.1.3. Nature of the Information Disclosed268
4.1.4. Type of Breach268
4.2. Jurisdiction to Pursue a Breach of Confidentiality Obligations and Protective Measures269
4.3. Interim Relief269
4.4. Permanent Remedies270
4.4.1. Damages270
4.4.2. Permanent Injunctions and Similar Measures270
4.4.3. Avoidance or Nullification of the Arbitration Agreement271
4.5. Other Possible Remedies272
Chapter 10 The Making, Setting Aside, Recognition and Enforcement of Arbitral Awards273
1. Introduction273
2. International Arbitral Awards274
2.1. Types of Awards274
2.1.1. Final Awards274
2.1.2. Partial Awards275
2.1.3. Interlocutory Awards276
2.1.4. Default Awards276
2.1.5. Consent Awards276
2.2. The Decision-Making Process277
2.2.1. Sole Arbitrators, Multiple Arbitrators and Deliberations277
2.2.2. Unanimous Awards, Majority Awards and Awards by Presiding Arbitrator279
2.2.3. Separate and Dissenting Opinions280
2.3. Formal Aspects of Awards281
2.3.1. Requirements Contemplated by Most Rules and Laws282
2.3.1.1. Requirements in General282
2.3.1.2. Date of the Award282
2.3.1.3. Place at Which the Award Was Made282
2.3.1.4. Reasons283
2.3.1.5. Signature284
2.3.2. Contents of Awards in Practice284
2.4. Remedies in the Award284
2.4.1. General Aspects284
2.4.2. Monetary Compensation285
2.4.3. Interest286
2.4.4. Orders to Do Something or to Refrain from Doing Something, Specific Performance287
2.4.4.1. Common Law and Civil Law287
2.4.4.2. Arbitration Practice288
2.4.5. Declaratory Relief292
2.4.6. Punitive Damages, Statutory Damages, Penalties on Breach and Astreintes292
2.5. Cost Awards293
2.6. Time Limits for the Making of the Award295
2.7. Scrutiny of Awards by Administering Institutions296
2.8. Notification of the Award to the Parties297
2.9. Effects of Arbitral Awards298
2.9.1. Termination of the Tribunal’s Jurisdiction298
2.9.1.1. Issues Rather than Dispute as a Whole298
2.9.1.2. Additional or Supplementary Awards299
2.9.1.3. Correction of the Award300
2.9.1.4. Interpretation of the Award300
2.9.2. Preclusion upon the Parties: Res Judicata and Issue Preclusion301
3. Setting Aside or Annulment of Arbitral Awards302
3.1. Introduction302
3.2. Appeal Mechanisms: Review of the Merits of a Decision303
3.3. Setting Aside or Annulling International Arbitral Awards304
3.3.1. Generalities, Courts and Time Limits304
3.3.2. Grounds for Setting Aside Awards304
3.3.2.1. Absence or Invalidity of the Arbitration Agreement305
3.3.2.2. Jurisdictional Issues: Ultra Petita and Infra Petita305
3.3.2.3. Procedural Issues307
3.3.2.4. Inarbitrability309
3.3.2.5. Public Policy309
3.3.3. Consequences of a Court’s Decision on Setting Aside Actions310
4. Recognition and Enforcement of Arbitral Awards311
4.1. Introduction311
4.2. Recognition and Enforcement of Foreign Awards under the New York Convention311
4.2.1. General Aspects311
4.2.2. Host Country’ s Jurisdiction314
4.2.3. Required Documentation314
4.2.4. Grounds to Refuse Recognition314
4.2.4.1. Invalidity of the Arbitration Agreement315
4.2.4.2. Procedural Fairness Issues316
4.2.4.3. Jurisdictional Issues: Ultra Petita317
4.2.4.4. Composition of the Arbitral Tribunal or Procedure Not in Accordance with the Arbitration Agreement or Relevant Law318
4.2.4.5. The Award Is Not Binding, Set Aside or Suspended318
4.2.4.6. Inarbitrability320
4.2.4.7. Public Policy321
5. Issues in Relation to Potential Compelled Enforcement of Awards Providing for Orders to Do Something or to Refrain from Doing Something321
5.1. Introduction321
5.2. Coercive Measures in Common Law Countries and Germanic Civil Law Countries322
5.3. Coercive Measures in French-Based Civil Law Countries323
5.4. Potential Issues Due to the Concomitance of Different Legal Systems324
5.4.1. Enforcement in Common Law Countries of Remedies Granted under the Laws of a Civil Law Country324
5.4.2. Enforcement in Civil Law Countries of Remedies Granted under the Laws of Common Law Countries326
5.5. Arbitral Tribunal’s Retention of Jurisdiction328
Chapter 11 IP Mediation331
1.Introduction331
2.Generalities332
2.1. Alternative Dispute Resolution (ADR)332
2.1.1. Early Neutral Evaluation332
2.1.2. Med-Arb333
2.1.3.Arb-Med334
2.2.Key Features of Mediation334
2.2.1.Neutrality and Independence of the Mediator334
2.2.2.Voluntary335
2.2.3.Confidential and without Prejudice337
2.3.The Process of Mediation339
2.3.1.Preparation339
2.3.1.1. Venue340
2.3.1.2. Role of Lawyers340
2.3.1.3. Duration of Mediation341
2.3.1.4. Documentation341
2.3.2.Parties’ Attitudes342
2.3.3.Attendance342
2.3.4.Phases and Procedure344
2.3.4.1. Contact with the Mediator Prior to the Mediation344
2.3.4.2. Initial Formalities344
2.3.4.3. Plenary Session345
2.3.4.4. Exploration Phase346
2.3.4.5. Negotiation Phase346
2.3.4.6. Settlement Phase347
2.3.4.7. No Settlement Outcome348
2.3.5.Mediation Approach: Facilitative or Evaluative?348
2.3.6.Utilizing the Mediator’s Full Potential349
3.Mediation Providers and Rules350
3.1.Mediation Providers350
3.2.Mediation Rules351
4.Legal Framework352
4.1.ADR Escalation Clauses352
4.1.1.General Points on Escalation Clauses352
4.1.1.1. Precise Definition of ADR?352
4.1.1.2. Mandatory or Optional?353
4.1.1.3. Post-ADR Provision353
4.1.2.Sample Escalation Clauses353
4.1.2.1. WIPO353
4.1.2.2. LCIA354
4.2.Mediation Agreement354
4.2.1.Confidentiality355
4.2.2.Mediator: Appointment and Role356
4.2.3.Duty to Disclose356
4.2.4.Duration356
4.2.5.Voluntary Termination356
4.2.6.Settlement Agreements357
4.2.7.Miscellaneous Elements in a Mediation Agreement357
4.3.Settlement Agreements358
4.3.1.Validity358
4.3.1.1. Competition Law and Antitrust Issues359
4.3.1.2. Criminal Conduct360
4.3.1.3. General Compliance with Law360
4.3.1.4. Mistake and Misrepresentation360
4.3.2. Enforcement361
4.3.3. Confidentiality361
5. Using Mediation for Resolving IP Disputes362
5.1. Benefits of Mediation for Resolution of IP Disputes362
5.1.1. Speed362
5.1.2. Cost363
5.1.3. Control over the Process and the Outcome363
5.1.4. Creative Settlement Possibilities364
5.1.1.1. Licensing of New Territories365
5.1.1.2. Cross-Licensing of Technology or Connected IPRs366
5.1.1.3. Sponsorship Agreements366
5.1.1.4. Sourcing of Information366
5.1.1.5. Declarations as to Consent for Registration of Patents and Other Registered IPR366
5.1.1.6. Avoidance of Adverse Consequences of a Termination for Cause, and Concluding Deadlock367
5.1.1.7. Improving Commercial Relationships with Competitors367
5.1.5. Cross-Jurisdiction Resolution in a Single Forum367
5.1.6. Continuity of Relationship368
5.1.7. Confidentiality369
5.2. Circumstances in Which Mediation is Particularly Suitable369
5.3. Limitations of Mediation371
5.3.1. Matters Not Susceptible to Resolution by Mediation371
5.3.2. Need for Legal Precedent372
5.3.3. Remedy Required Unavailable at Mediation372
5.3.4. Criminal Behaviour373
5.3.5. Cost-Saving Less Critical When ‘Stakes Are High’373
6. The Mediator373
6.1. Selection Considerations374
6.1.1. Legal Experience374
6.1.2. Technical Expertise and Background in the Industry or the Particular Type of IPR at Stake in the Dispute or in IP Generally375
6.1.3. Commercial and Mediation Expertise376
6.1.4. Approaches to the Role and Personality Considerations376
6.1.5. Assurance of Neutrality377
6.1.6. Potential to Develop Rapport and Trust377
6.1.7. Availability378
6.2.Quality Standards and Training378
7. Mediation as an Aid to Arbitral Proceedings380
7.1. Right Time to Mediate380
7.1.1. Strategic Considerations380
7.1.2. Prior to Arbitration381
7.1.3. During Arbitration382
7.1.4. After Arbitration383
7.2. Are the Roles of Mediator (or Conciliator) and Arbitrator Interchangeable?383
7.3. Consent Awards and Termination of the Arbitral Proceedings384
7.4. Limitation Period385
Appendix 1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention), 1958387
Appendix 2 WBPO Arbitration Rules, 2002393
Appendix 3 WIPO Expedited Arbitration Rules, 2002421
Appendix 4 WIPO Mediation Rules, 2002445
Index453
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