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E-grāmata: Regulating Dispute Resolution: ADR and Access to Justice at the Crossroads

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  • Formāts: 490 pages
  • Izdošanas datums: 18-Jul-2014
  • Izdevniecība: Hart Publishing
  • ISBN-13: 9781782253587
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  • Formāts: 490 pages
  • Izdošanas datums: 18-Jul-2014
  • Izdevniecība: Hart Publishing
  • ISBN-13: 9781782253587
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This book proposes a principled approach to the regulation of dispute resolution. It covers dispute resolution mechanisms in all their varieties, including negotiation, mediation, conciliation, expert opinion, mini-trial, ombud procedures, arbitration and court adjudication. The authors present a transnational Guide for Regulating Dispute Resolution (GRDR). The regulatory principles contained in this Guide are based on a functional taxonomy of dispute resolution mechanisms, an open normative framework and a modular structure of regulatory topics. The Guide for Regulating Dispute Resolution is formulated and commented upon in a concise manner to assist legislators, policy-makers, professional associations, practitioners and academics in thinking about which solutions best suit local and regional circumstances. The aim of this book is to contribute to the understanding and development of the legal framework governing national and international dispute resolution. Theory, empirical research and regulatory models have been taken from the wealth of experience in 12 jurisdictions: Austria, Belgium, Denmark, England and Wales, France, Germany, Italy, Japan, the Netherlands, Norway, Switzerland and the United States of America. Experts with a background in academia, practice and law-making describe and analyse the regulatory framework and social reality of dispute resolution in these countries. On this basis the authors draw conclusions about policy choices, regulatory strategies and the practice of conflict resolution.

This title is included in Bloomsbury Professional's International Arbitration online service.

Recenzijas

A valuable tool for a common approach in dispute resolution policies within the EU. A useful guide on CDR systems in various non-EU countries. -- Apostolos Anthimos * Commercial Law Survey (Episkopissi Emporikou Dikaiou) * When it comes to dispute resolution one of the major issues at hand is the handling of transnational disputes and the author provides a guide for regulation in this area. The extensive research conducted by the author is evident as he incorporates a wealth of Dispute resolution knowledge from about 12 jurisdictionsThe publication as a whole can be described as an extremely handy one and would merit close and thoughtful reading by any audience in the field of dispute resolution. -- Deepu Jojo * Association for International Arbitration (AIA) Newsletter, 'In Touch', No 1 * This special approach to the field of dispute resolution, tackled by renowned experts with a background in academia, practice and legislating will certainly make this work a reference book on ADR in the coming years. -- Maria Luisa Villamarin Lopez * International Journal of Procedural Law, Volume 4 . No. 1 * Although many readers might assume that the book will be relevant only for those with an interest or practice in international dispute resolution, American practitioners and policy makers can just as easily use the books comparative approach to compare and contrast domestic dispute resolution systems and regulation. There are tremendous differences in the use and regulation of ADR from state to state within the United States and even from county to county within a single state. A comparative analysis, like the one undertaken in this book, permits practitioners and policy makers to decide whether such variation is most beneficial to the parties using dispute resolution or whether some degree of harmonization might be in ordera useful, comprehensive, and thought-provoking book. -- Nancy Welsh * Dispute Resolution Magazine, published by the American Bar Association Section of Dispute Resolution, Volume 20, Number 4, 2014 * The analysis and discussion of the principles and functions of ADR will be of great interest and even benefit to all those concerned about its future development whether in government, the judiciary or any of the multitude of service providers as well as any practising mediator (or other ADR practitioner) who cares about the future of his or her profession. -- Niels Kraunsoe QDR * The Expert and Dispute Resolver, Summer 2014, Volume 19. Number 2 * ...the authors accomplish a commendable feat by effectively capturing and transposing the essence of every dispute resolution mechanism through the perspective of a functional taxonomy, while leaving an open normative framework that allows for regional and local adaptations, all of which is presented in a modular, highly flexible structure of regulatory topicsthis book offers a wealth of information and ideas useful not only for legislators in their quest of delivering justice through the regulation of the legal system, but also for all policy-makers, professional associations, practitioners and academics in thinking about the best ways to contribute to this noble goal. -- Elvis Grahovic * Revue darbitrage et de médiation 2014, Vol. 4, No. 1 * Overall, the book is very ambitious and distinctive in its offering of a taxonomy to inform principled regulation across jurisdictions. It has successfully provided a refreshingly new lens to view the very important issues of regulating dispute resolution that have a substantive impact. -- Naomi Creutzeldt * Rabels Zeitshrift *

Preface vii
Contents Summary ix
Detailed Contents xi
Contributors xxiii
Abbreviations xxix
Part 1 Fundamental Issues
1(62)
1 Guide for Regulating Dispute Resolution (GRDR): Principles
3(10)
Felix Steffek
Hannes Unberath
Lin Adrian
Aldo De Matteis
Giuseppe De Palo
Frederique Ferrand
Reinhard Greger
Jana Hartling
Ulrike Janzen
Shusuke Kakiuchi
Lars Kirchhoff
Peter G. Mayr
Isaak Meier
Kristin Nemeth
Machteld Pel
Anneken K. Sperr
Ivan Verougstraete
I Dispute Resolution Mechanisms
4(2)
A Choice of Procedure
4(1)
B Regulating Dispute Resolution
5(1)
C Functional and Modular Approach
5(1)
D Policy Choice
5(1)
E Principles
5(1)
II Infrastructure and Framework
6(1)
III Costs
6(1)
A General
6(1)
B Cost Subsidies
6(1)
C Legal Aid
6(1)
IV Dispute Resolution Clauses
7(1)
A General
7(1)
B Specifics
7(1)
V Choice of Dispute Resolution Procedure
7(1)
A General
7(1)
B Centralised or Decentralised Approach
7(1)
C Sanctions
7(1)
D Transfer to Other Dispute Resolution Mechanisms
8(1)
E Good Practice
8(1)
VI Confidentiality
8(1)
A General
8(1)
B Regulatory Tools and Approaches
8(1)
VII Limitation and Prescription Periods
8(1)
VIII Neutral
8(1)
A General
8(1)
B Neutrality
9(1)
C Qualification
9(1)
IX Procedure
9(1)
X Counsel
9(1)
XI State (Judicial) Review of Results
9(1)
XII Enforceability
10(1)
XIII Transparency
10(1)
XIV Consumers
10(1)
XV Rule-maker
10(1)
XVI Type of Rules
10(1)
A General
10(1)
B Good Practice
11(1)
XVII Procedure Design
11(2)
2 Guide for Regulating Dispute Resolution (GRDR): Principles and Comments
13(20)
Felix Steffek
Hannes Unberath
Lin Adrian
Aldo De Matteis
Giuseppe De Palo
Frederique Ferrand
Reinhard Greger
Jana Hartling
Ulrike Janzen
Shusuke Kakiuchi
Lars Kirchhoff
Peter G. Mayr
Isaak Meier
Kristin Nemeth
Machteld Pel
Anneken K. Sperr
Ivan Verougstraete
I Dispute Resolution Mechanisms
15(3)
A Choice of Procedure
15(1)
B Regulating Dispute Resolution
15(1)
C Functional and Modular Approach
16(1)
D Policy Choice
17(1)
E Principles
17(1)
II Infrastructure and Framework
18(1)
III Costs
18(2)
A General
18(1)
B Cost Subsidies
19(1)
C Legal Aid
19(1)
IV Dispute Resolution Clauses
20(1)
A General
20(1)
B Specifics
20(1)
V Choice of Dispute Resolution Procedure
21(2)
A General
21(1)
B Centralised or Decentralised Approach
21(1)
C Sanctions
22(1)
D Transfer to Other Dispute Resolution Mechanisms
22(1)
E Good Practice
23(1)
VI Confidentiality
23(1)
A General
23(1)
B Regulatory Tools and Approaches
24(1)
VII Limitation and Prescription Periods
24(1)
VIII Neutral
25(2)
A General
25(1)
B Neutrality
25(1)
C Qualification
25(2)
IX Procedure
27(1)
X Counsel
27(1)
XI State (Judicial) Review of Results
27(1)
XII Enforceability
28(1)
XIII Transparency
28(1)
XIV Consumers
29(1)
A General
29(1)
B Specifics
29(11)
XV Rule-maker
30(1)
A General
30(1)
B Choice
30(1)
XVI Type of Rules
30(1)
A General
30(1)
B Good Practice
31(1)
XVII Procedure Design
31(2)
3 Principled Regulation of Dispute Resolution: Taxonomy, Policy, Topics
33(30)
Felix Steffek
I Principled Regulation
34(2)
A Introduction
34(1)
B Desirability
34(1)
C Challenge
35(1)
D Approach
35(1)
II Taxonomy
36(7)
A Matrix
36(1)
B Design
37(3)
C Extending the Matrix
40(1)
D Modules and Differentiation
40(3)
III Policy
43(7)
A Normative Individualism
43(2)
B Consequences of Normative Individualism
45(1)
C Freedom, Equality, Efficiency
46(2)
D Balance and Dynamic
48(2)
IV Topics
50(1)
A Identification
50(1)
B Essential Topics
51(1)
V Principles
51(5)
A From Taxonomy, Policy and Topics to Principles
51(1)
B Examples
52(3)
C Diversity
55(1)
VI Conclusion
56(7)
A Summary
56(2)
B Further Research
58(1)
Bibliography
59(4)
Part 2 Regulation of Dispute Resolution
63
4 Regulation of Dispute Resolution in Austria: A Traditional Litigation Culture Slowly Embraces ADR
65(28)
Peter G. Mayr
Kristin Nemeth
I Characteristics of ADR
65(2)
A Current Situation in Austria
65(1)
B Appropriateness of Dispute Resolution Form
66(1)
II The Legislator's Approach
67(8)
A The Regulation of ADR in General
61(7)
B Incentives to Use Certain Types of ADR
68(1)
C The Role of Legal Culture
69(1)
D Advisory Duties of Lawyers
69(1)
E Restriction of Access to Court with a View to Alternative Dispute Resolution
69(5)
F Referral to ADR
74(1)
G The Regulation of ADR and Constitutional/Human Rights Law
74(1)
H ADR and International (Soft) Law
75(1)
III Approach towards Specific ADR Instruments
75(11)
A Negotiation
75(1)
B Mediation
76(5)
C Conciliation
81(1)
D Expert Opinions
82(3)
E Arbitration
85(1)
IV Policy Questions
86(7)
Bibliography
89(4)
5 Regulation of Dispute Resolution in Belgium: Workable Solutions?
93(22)
Ivan Verougstraete
I Characteristics of ADR
93(3)
A Commonly Deployed Dispute Resolution Procedures
93(3)
B Does the Market Work?
96(1)
II General Approach of the Legislator as Regards the Regulation of ADR and Adjudication
96(3)
A Existing Regulations
96(1)
B Incentives to Use Certain Types of ADR
97(1)
C Restriction of Access to Courts as an Incentive
98(1)
III Approach towards Specific ADR Instruments
99(13)
A Negotiation
99(1)
B Mediation
100(10)
C Conciliation
110(1)
D Expert Opinion
110(1)
E Arbitration
111(1)
IV Policy Recommendations
112(3)
Bibliography
113(2)
6 Regulation of Dispute Resolution in Denmark: Mediation, Arbitration, Boards and Tribunals
115(20)
Lin Adrian
I Introduction
115(1)
II Mediation
116(9)
A Court-connected Mediation of Civil Cases
118(2)
B Public Sector Mediation in Family Matters
120(3)
C Mediation in Other Areas
123(2)
III Arbitration
125(3)
IV Boards and Tribunals
128(1)
V Incentives to Use ADR
129(1)
VI Regulation of Mediation and Policy Matters
130(5)
Bibliography
132(3)
7 Regulation of Dispute Resolution in England and Wales: A Sceptical Analysis of Government and Judicial Promotion of Private Mediation
135(40)
Hazel Genn
Shiva Riahi
Katherine Pleming
I Introduction
136(1)
II Overview of Modern ADR Policy and Development
136(11)
A Definitions
136(2)
B Mediation Policy Development
138(3)
C Judicial Promotion of Mediation in Civil Justice Reform
141(1)
D Pre-action Protocols
142(1)
E Court-attached Mediation Schemes
143(1)
F Judicial Development of Mediation Law
143(1)
G Government Policy
144(2)
H Mandatory Mediation in Civil Disputes
146(1)
I Learning from Court-attached Mediation Schemes
147(6)
J The Future of Mediation Policy
148(2)
K Mediation and the Withdrawal of Legal Aid
150(1)
L Judiciary and Government---a Parting of the Ways?
151(2)
III The ADR Landscape
153(22)
A Processes
153(1)
B Providers
153(1)
C The Funding of ADR
154(1)
D Arbitration
154(1)
E Current Regulation of Arbitration
155(1)
F Mediation
156(1)
G Civil/Commercial Disputes
157(1)
H Court-based Mediation Schemes
157(1)
I Commercial Court ADR Orders
158(1)
J The Court of Appeal Mediation Scheme (CAMS)
158(1)
K Low-value Civil Disputes
159(1)
L Construction Disputes
160(1)
M Expert Determination
160(1)
N Workplace Mediation
161(1)
O Family Disputes
162(1)
P Mediation in Judicial Review Cases
163(1)
Q Community/Neighbourhood Mediation
164(1)
R Mediation in the Criminal Justice System
165(1)
S UK Regulation of Mediation
165(1)
T EU Regulation of Mediation
166(2)
U What are the Duties of Mediators?
168(1)
V Should There Be More Regulation of ADR?
169(2)
W Quasi-regulatory/Supervisory Bodies
171(1)
Bibliography
172(3)
8 Regulation of Dispute Resolution in France: Evolutions and Challenges
175(34)
Frederique Ferrand
I Characteristics of ADR
176(2)
A Dispute Resolution Procedures Most Commonly Deployed in France
176(1)
B Strength and Weaknesses of These Dispute Resolution Mechanisms
177(1)
C Practical Use and Theoretical Appropriateness
178(1)
II General Approach of the Legislator as Regards the Regulation of ADR and Adjudication
178(11)
A Regulation of ADR
178(3)
B Incentives to Use Certain Types of ADR
181(3)
C Restriction of Access to Courts with a View to Alternative Dispute Resolution
184(2)
D Impact of Human Rights Law on the Regulation of ADR
186(1)
E No Influence of the UNCITRAL Model Law on International Commercial Conciliation
186(1)
F Special Rules for Consumers
187(2)
III Approach towards Specific ADR Instruments
189(14)
A Negotiation
189(1)
B Mediation
190(6)
C Conciliation
196(3)
D Expert Opinion
199(1)
E Arbitration
200(3)
IV Policy Recommendations
203(6)
A Necessity to Regulate ADR with Regard to its Connection with Civil Justice
203(1)
B Nature of State Intervention in Supporting ADR
203(1)
C Costs of Conflict Resolution
203(1)
D Promotion of ADR Mechanisms by the State
204(1)
E Effective Approaches for the Parties/Decision-makers to Understand at an Early Stage What the Conflict is About and to Which Forum it Should Go
204(1)
F ADR Should Not Be a Compulsory Pre-trial Procedure
205(1)
Bibliography
206(3)
9 Regulation of Dispute Resolution in Germany: Cautious Steps towards the Construction of an ADR System
209(30)
Burkhard Hess
Nils Pelzer
I Characteristics of ADR
210(4)
A Overview---Statistical Data
210(3)
B Strengths and Weaknesses of the Different Dispute Resolutions Mechanisms
213(1)
C The Need for an ADR Market
213(1)
II The Regulation of ADR
214(7)
A General Regulation of ADR
214(2)
B Incentives
216(2)
C Restriction of Access to Courts
218(2)
D The Impact of Constitutional Law
220(1)
E The Impact of the UNCITRAL Model Law on International Commercial Conciliation (2002)
220(1)
F ADR and Consumer Protection
221(1)
III Specific ADR Instruments
221(14)
A Negotiation
221(1)
B Mediation
222(9)
C Conciliation
231(2)
D Expert Opinion
233(1)
E Arbitration
234(1)
IV Policy Recommendations
235(4)
Bibliography
236(3)
10 Regulation of Dispute Resolution in Italy: The Bumps in the Road to Successful ADR
239(30)
Giuseppe De Palo
Ashley E. Oleson
I Characteristics of ADR
240(4)
A Dispute Resolution Procedures Most Commonly Deployed in Italy
240(2)
B Strengths and Weaknesses of Certain Dispute Resolution Mechanisms
242(1)
C Practical Use and Theoretical Appropriateness---The Market of ADR
243(1)
II Regulatory Approach as Regards ADR and Adjudication
244(7)
A Regulation of ADR
244(1)
B Incentives to Use Certain Types of ADR
245(4)
C Restriction of Access to Courts with a View to Alternative Dispute Resolution
249(1)
D Constraints of ADR Regarding Constitutional and Human Rights Law
250(1)
E Special Rules for Consumers and the UNCITRAL Model Law on International Commercial Conciliation
251(1)
III Approach towards Specific ADR Instruments
251(11)
A Negotiation
251(1)
B Mediation
252(9)
C Conciliation
261(1)
D Expert Opinion
261(1)
E Arbitration
261(1)
IV Policy Questions
262(7)
A Costs of ADR
262(2)
B Promotion of ADR Mechanisms by the State
264(1)
C Election of the Appropriate Conflict Forum
264(1)
D The Future of Mandatory Mediation Legislation
264(2)
Bibliography
266(1)
Legal Sources
267(2)
11 Regulation of Dispute Resolution in Japan: Alternative Dispute Resolution and its Background
269(28)
Shusuke Kakiuchi
I Overview of the Dispute Resolution Mechanisms in Japan
269(10)
A Litigation
270(1)
B Court-annexed Mediation (Conciliation)
271(2)
C ADR Services by Administrative Organs
273(1)
D Private ADR Services
274(3)
E Relative Strengths and Weaknesses of Each Dispute Resolution Mechanism
277(1)
F Conclusion
278(1)
II The Japanese Legislator's Approach as Regards the Regulation of ADR
279(5)
A Promotion of Use of ADR
279(2)
B Motives to Regulate ADR Procedures
281(3)
C Constraints as Regards the Regulation of ADR Resulting from Constitutional Law
284(1)
III Regulation of Specific ADR Instruments
284(9)
A Overview
284(1)
B Mediation
285(5)
C Negotiation
290(2)
D Arbitration
292(1)
IV Some Remarks on Policy Questions
293(4)
A Justifications for the Regulation of ADR
293(1)
B Forms and Nature of Regulation
293(3)
Bibliography
296(1)
12 Regulation of Dispute Resolution in the Netherlands: Does Regulation Support or Hinder the Use of ADR?
297(32)
Machteld Pel
I Use of Dispute Resolution Mechanisms in the Netherlands
298(10)
A Characteristics of Netherlands Dispute Resolution Mechanisms and Statistics
298(3)
B Strengths and Weaknesses and Appropriateness of Various Dispute Resolution Mechanisms
301(3)
C Practical Use and Theoretical Appropriateness Differ---The Market Does Not Really Work
304(4)
II General Approach of the Legislator with Regard to the Regulation of ADR and Adjudication
308(11)
A Regulation of Various Mechanisms of ADR
308(6)
B Incentives to Use Certain Types of ADR
314(2)
C Court-annexed Mediation in the Netherlands
316(3)
III Approach towards Specific ADR Instruments
319(4)
A Negotiation
319(1)
B Mediation
320(1)
C Conciliation
321(1)
D Expert Opinion
322(1)
E Arbitration
322(1)
IV Policy Questions
323(6)
A Should ADR Be Regulated at All?
323(1)
B Regulation Should Be Limited to Providing a General Legal Framework for Particular ADR Procedures
324(1)
C Triage and Conflict Diagnosis System
325(1)
D Cost Aspects of Regulation
325(1)
E Minimal Regulation, Restricted to Quality Standards and Referral Procedures
326(1)
F Set an Example and Stimulate Training and Knowledge of Conflict Management
326(1)
G Enforcement and Mediation Clauses
327(1)
H Responsibility for the Choice of a Conflict Resolution Mechanism
327(1)
Bibliography
327(2)
13 Regulation of Dispute Resolution in Norway: Vertical and Horizontal Regulatory Strategies
329(34)
Anneken Kari Sperr
I Introduction to the Characteristics of ADR in Norway Today
330(4)
A Most Commonly Deployed ADR Procedures
330(1)
B Relative Strengths and Weaknesses
330(3)
C Theoretical Appropriateness and Practical Use
333(1)
II General Approach of the Legislator as Regards the Regulation of ADR and Adjudication
334(8)
A Regulation of ADR
334(1)
B Incentives to use ADR
335(4)
C ADR as a Restriction of Access to Courts
339(2)
D Special Rules for Consumer Disputes
341(1)
III Approach towards Specific ADR Instruments
342(13)
A Negotiation
342(1)
B Mediation
343(6)
C Conciliation
349(1)
D Expert Opinion
349(1)
E Arbitration
350(1)
F Hybrid Methods
351(4)
IV Policy Questions
355(8)
A ADR Regulation---The Discussion so Far
355(1)
B Scope of Regulation for Specific ADR Procedures
356(1)
C Level of State Engagement---ADR as Alternative Resolution or as an Element of the State Civil Justice System
356(1)
D Appropriate Allocation of Costs
357(1)
E Effective Approaches for Clarifying Conflicts and their Most Appropriate Resolution Forum
357(1)
F ADR as a Compulsory Pre-trial Procedure versus Less Invasive Measures
357(2)
Bibliography
359(4)
14 Regulation of Dispute Resolution in Switzerland: Mediation, Conciliation and Other Forms of ADR in Switzerland
363(56)
Isaak Meier
Miguel Sogo
Sotirios Kotronis
Sarah Scheiwiller
David Siegwart
Claudia Wyss
Dheden Zotsang
Carlo Hamburger
I Different Forms of ADR in Switzerland and their Significance
364(28)
A Introduction
364(3)
B Out-of-court or Court Settlement through Negotiation between the Parties
367(1)
C Pre-trial Conciliation and Settlement Conferences at Court
368(5)
D Judgment Proposal
373(2)
E Mediation
375(10)
F ADR Procedures for Consumer Disputes
385(7)
II General Approach of the Legislator as Regards the Regulation of ADR and Adjudication
392(6)
A In General
392(1)
B Incentives to Use Certain Types of ADR
393(2)
C Restriction of Access to Court with a View to ADR
395(1)
D The Influence of Constitutional/Human Rights Law on ADR Regulations
396(1)
E The Influence of the UNCITRAL Model Law on International Commercial Conciliation (2002) on the Drafting of Legislation
397(1)
F Special Rules for Consumers and Their Development
398(1)
III Regulation of Specific ADR Instruments
398(11)
A Resolving Disputes by Negotiation
398(1)
B Mediation
399(4)
C Conciliation
403(1)
D ADR Procedures for Consumer Disputes
404(2)
E Expert Opinion (Schiedsgutachten)
406(1)
F Arbitration
407(2)
IV Policy Recommendations
409(10)
A Introduction
409(1)
B Which Forms of ADR Should Be Supported by the Legislator?
409(1)
C From the Right of Access to Justice to the Right of Access to a Fair Dispute Resolution
410(1)
D Regulation of Conciliation as a Part of the Process of Adjudication
411(1)
E Regulation of Mediation
412(1)
F Regulation of ADR Procedures for Consumer Disputes
413(1)
G Costs of ADR
414(1)
H `Triage' for Adjudication, Conciliation and Mediation
415(1)
Bibliography
415(4)
15 Regulation of Dispute Resolution in the United States of America: From the Formal to the Informal to the `Semi-formal'
419
Carrie Menkel-Meadow
I Introduction: History and Characteristics of Dispute Resolution in the US: Formalism, Informalism and `Semi-formalism' with and without Regulation
413(15)
II The Characteristics of `Formal' Justice
428(2)
III Informal Justice in the US
430(4)
IV `Semi-formal' Justice in the US
434(7)
V What Little We Know about Dispute Resolution Use and Regulation
441(5)
VI Assessing Justice in Plural Procedural Practices
446
Bibliography
449
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