全英语论文Word格式.docx
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(Feb-Apr2008):
72-81
AllthetimepeopleaskmewhetheritmakesadifferencewhetherIamsittingwithco-arbitratorsfromthecivillaworthecommonlawtradition.Itellthemthere'
snotmuchdifference.Italldependsonthepeople.Somepeoplehavevastinternationalexperience,andbythatImeantrulyinternationalexperiencebeyondtheEnglish-speaking,cricket-playingworld.Theyhavearbitratedallovertheworldwithco-arbitratorsfromallovertheworld,andlawyersfromallovertheworldhaveappearedbeforethem.Theytakeacomparativelawapproach.Actually,Iwouldsay,itisnotevenprimarilyalegalapproach;
it'
sapracticalapproach.
Determiningtheapplicablelawanditscontentisbynomeansthefirsttaskinarbitration.Itisoneofthelast,oncethefactsofthecasehavebeenestablished.
TheNeedtoBeFlexible
Anarbitrationisaprojectandyouhavetoworkwellwithpeopletomaketheprocesswork.Whatshapesanarbitrationistheinteractionoftheparticipants.Surely,thearbitratorsmatter,buttheytendtobethemostflexiblepeopleintheroom.Thatiswhytheywerechosen.Thelawyersforthepartiestendtobeslightlylessflexible.Theycomeinalltypes.Ihaveseensomequiteflexiblelawyerswhomoveeffortlesslythroughinternationalcases.Theylearned,probablythroughtheirlocalpractice,thatifyouwanttowincases,youmustunderstandthetriers-of-factandworkwellwiththeotherpeopleinvolvedinthecase.Ontheotherhand,Ihavealsoseenmanyinflexiblelawyers.Somearesospecializedinbig-ticketlitigationthatitishardforthemtounderstandthatarbitrationisnotlitigationwithanothername,oreven"
litigationlight."
IBARulesofEvidence
Theparties'
attorneysshouldunderstandasearlyaspossiblethatthearbitrationproceedingwillnotfollowtheprocedurescalledforbytheirownstatecourts.RathertheywillmostoftenfollowtheIBA[InternationalBarAssociation]RulesofEvidence(IBARules).Inthelastfewyears,Icannotrememberasinglecasewheretheseruleswerenotusedasguidelines,andIamnowtalkingaboutcasesinjurisdictionsliterallyallovertheworld.
YouhearthattheIBARulesofEvidenceareaclevercompromisebetweenthecivillawandthecommonlaw.Idonotthinkthatthisisright.Inmanyareastheserulescontainproceduresthatdifferfromwhatisdoneinstatecourtsinbothcivilandcommonlawjurisdictions.
WasitdifficulttodrafttheIBARulesofEvidence?
Notvery.Theruleswerewrittenbyagroupofarbitratorswhohadexperiencearbitratinginmanydifferentcountries.TheysimplyputintheIBARuleswhattheyusuallywroteintheirordersfordirections-i.e.,theirbestpractice.ThatishowproceduresnotgenerallyusedinstatecourtsproceedingswerebuiltintotheIBARules,suchasextensivewrittensubmissionsaccompaniedbyearlysubmissionofdocuments,witnessstatementswithlivecross-examinationofwitnesses,andfreeassessmentoftheevidencebythearbitraltribunal.Forthesamereason,technicalrulesofevidence,suchasthehearsayrule,donotapplyininternationalarbitration.Thereare,however,afewimportantpointsthatarenotcoveredbytheIBARulesorarejustglossedover.
ALookBackatHistory
Wheredothedifferencesbetweenthecommonlawandthecivillawtraditioncomefrom?
Notfromdeepphilosophy,despitethefactthatyouoftenhearpeoplesay,"
Oursistheinductivemethod;
theirsthedeductivemethod,"
or"
Weareseekingtruthandjustice;
theothersarecontentwithformalismandapplyingthelaw."
Orisittheotherwayaround?
No,thedifferencescomefromhistoryandhabitmostly.ThesehaveshapedtheorganizationofthecourtsandthelegalprofessioninthecommonlawworldforcenturieswithoutthedramaticchangethatshookContinentalthelittlemorethan200yearsago.ItisonlyEuropealittlemorethan200yearsago.Itisonlyoverlittlemorethantwocenturiesthatlegislatorsintwo-thirdsoftheworldstartedcreatingsystematiccodes.OntheEuropeancontinent,weowetheRomanssomebasicideas,butthedetailsarehardlyolderthan200years.ThereisalsoquiteabitmoreRomanlawinthecommonlawthanmanypeoplerealize.
Itisoftenbelievedthatlegalideasaredirectlycopiedfromonelegalsystemtotheother(aprocesscalled"
reception"
).Thishappensonlyrarely.ThebestrecentexampleistheRussianCivilCode,whichowesmuchtoDutchandotherWesternEuropeanmodels,andhasdirectoffspringinneighboringcountriesthatwereformermembersoftheSovietUnion.
Unifiedlawistypicalofthecivillawtradition,andthatisthelawthattravelsnowadays.AnexampleisthebroadmodernizationofinternationalarbitrationlawweexperiencedinEasternEuropebasedontheUNCITRAL[UnitedNationsCommissiononInternationalTradeLaw]ModelLawonInternationalCommercialArbitration.Inmyview,therecent"
commonlaw"
draftingstyleusedbyUNCITRALisunlikelytobeasuccess.
Butforthemostpart,theprocessofexchanginglawsisquitesubtlethesedays.
Withindustrializationanditslateststep,theuseofcomputers,internationalbusinesstransactionshavebecomeverycomplex.Sohaveinternationalcommercialdisputes.Everydayinternationalarbitratorsseehowothersareresolvingdisputeselsewhere.Everyarbitrationisanopportunitytotrysomethingnew.Ofcourse,itsometimeshappensthatatechniqueseemstoworkinonearbitrationbutnotinthenext.Overtime,therepertoire(orbagoftricks)ofinternationalcommercialarbitratorsbecomeslarger,anditinevitablyincludesbothcivillawandcommonlawelements.ThatiswhyIsaidattheoutsetthatthereislittledifferencebetweenexperiencedcommonlawandcivillawarbitrators.
Insum,internationalcommercialarbitrationisafruitfulgroundforexperimentationintheareaofcivilprocedure.Fromtimetotime,somejurisdictionsevenlookatmethodsthathavebecomepopularininternationalcommercialarbitrationandintroducethemintodomesticlitigation,ashappenedinEnglandrecently.
Letusnowlookfirstatsomedetailsofarbitralprocedure.
InterimMeasures
Thepowertograntinterimreliefisconferredonarbitraltribunalsallovertheworld.Afewstates,forexampleItalyandFinland,denythatpowertoarbitraltribunals.Inmyview,thishaslesstodowiththecivillaw/commonlawdividethanwiththeinfluenceoflocaljudgeswhozealouslyguardtheirpowersandaredistrustfulofprivatearbitrators.
Isthereadifferencebetweencivilandcommonlawjurisdictionswithrespecttoordersforsecurityforcosts?
Bynow,noneatall.
HearingLength
Isthereadifferencewithrespecttothelengthofhearings?
Yes,thereis.
Whenmydoctortellsmetotakeaparticularpill,Idon'
tjustgoalongwilly-nilly.IaskthedoctorwhyandwhatthepillissupposedtodosoIknowwhattoexpect.Insomecultures,IbelieveinEngland,itisapparentlyrudetoaskadoctortoexplainsomething.Thisviewmayapplytootherprofessionalsaswell.Soifyouputyourselfentirelyinalawyer'
shandswithoutaskinganyquestionsandthelawfirmrunsupthetimespentonthecase,toughluckforyou.MyexperienceisthathavingEnglishlawyersonacasemeansthatitwilllastatleasttwiceaslongandwillcostatleasttwiceasmuch.SomebodytoldmetheybelieveintheRollsRoyceapproach.Addingbarristerswillbeevenmoreexpensive.
Nowadayseverybodyagreesthatarbitrationproceedingsshouldbeproactivelymanagedbythearbitraltribunal.Thedaysaregonewhenjudgesandarbitratorscouldarriveinthemorningandleaveintheeveningwithoutsayinganythingmoreduringtheentiredaythantheir"
goodmornings"
and"
goodevenings."
SomeSwedesapparentlystillbelieveinthisold-fashionedpassiveapproach,buttheyaremisledbytheiran-glophilia.
Thewaytokeephearingsshortistousethechess-clockandwitnessconferencing,bothofwhicharediscussedlater.
ArbitralPleadings
Thedaysofcommonlawnoticepleadingaregoneininternationalcommercialarbitration.Fullnarrationisrequired.
Documents
Exchangingdocumentsearlyinthearbitralproceedingmayseemtobeinfluencedbycivillawpractice,butinreality,itisaresponsetothespecificneedsofatrulyinternationalarbitration.
InLondon,wherepeoplehavetheirofficeswithineasywalkingdistanceofeachother,onecanunderstandwhythepracticeistowaittoexchangesupportingdocumentsuntilafteraddi-tionalwrittensubmissionshavebeenexchanged.Itisonlyatthattimethatthepartiesandcounselknowwhichdocumentsappearrelevantorusefulanditiseasytoexchangethemallatonce.Sometimes,thepartiesjointlyprepareacommoncorebundleofdocumentsforthetribunal.If,however,thepartiesandtheirlawyersareondifferentcontinentsandtheyhavedifferentphilosophiesabouttheimportanceofsupportingdocuments,IdonotbelievethatweshouldexpectthemtobehaveasiftheywereinLondon.Moreover,ifyouexpectthearbitratorstobeproactive,theyshouldgettheirhandsonthekeydocumentsearlyon,andifthereissomeduplicationduringlaterinformationexchanges,sobeit.Itisevenusefulforthearbitratorstohaveadoublesetofdocumentssotheycanorganizethemaccordingtotheirowncriteria(e.g.,chronologicallyorbysubject)iftheywish,whilekeepingonesetintheorderprovidedbytheproducingparty,sothattheycanfindadocumenttowhichthatpartymayreferlateron.
Thereisaverymarkeddifferencebetweencommonandcivillawcountrieswithrespecttodi