Mediation

Sudborough, Calliope Makedon

doi:10.1007/978-3-031-46787-5_3

Calliope Makedon Sudborough²⁶

Part of the book series: European Yearbook of International Economic Law ((EYIELMONO,volume 35))

64 Accesses

Abstract

The purpose of this chapter is to give a detailed definition and analysis of the mediation process so as to gain in-depth insight into how mediation could be applied in the sovereign debt dispute context. Accordingly, this chapter reviews past and present definitions of mediation before suggesting a working definition in the context of sovereign debt mediations. It then goes on to distinguish mediation from the seemingly similar but different settlement technique of conciliation, which is well-anchored in the investor-state domain but which has had only limited success to date. Thereafter, the chapter sheds light on the different phases of the mediation process, their purpose and how they are organized. It also describes the training and techniques mediators use to help parties agree on settlement terms. Mediators’ techniques are focused on a negotiated outcome based on the parties’ interests, as opposed to imposing an outcome based solely on the parties’ legal positions. Such mediation techniques can lead to more efficient outcomes. Moreover, reflecting the divergent needs that might arise depending on the parties’ characteristics or the circumstances surrounding the dispute, this chapter also describes the multitude of mediation styles that have developed to cater to those specific needs and describes the various criteria that the parties or the mediator can use to select the most appropriate style to resolve their dispute. In addition to having the possibility of selecting from various mediation styles, this chapter also posits that parties may also resort to blended styles of mediation involving a combination of mediation and arbitration, which might be useful where the circumstances are not ripe for mediation or where different aspects of the dispute require different dispute resolution mechanisms. Subsequently, this chapter turns to the underlying legal framework on both a domestic and international level for mediation with regards to how parties are compelled to mediate, what procedural and ethical safeguards are put in place for the proceedings and the legal effect of an eventual settlement agreement. Most importantly, with respect to the investor-state context, this chapter also describes the Singapore Convention which grants certain mediated agreements the status of an enforceable, final judgment and the potential of the Singapore Convention to apply to sovereign debt disputes and the benefits thereof.

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Notes

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5.
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6.
United Nations Convention on International Settlement Agreements Resulting from Mediation, 12 September 2020, art 2, paragraph 3.
7.
2014 International Chamber of Commerce (ICC) Mediation Guidance Notes, paragraph 1.
8.
Energy Charter Conference, ‘Guide on Investment Mediation’ (Energy Charter Conference, 2016), paragraph 1.
9.
Moore (2014), pp. 19–20.
10.
Stipanowich (2015), p. 1191; Strong (2014), p. 28; Diathessopoulos (2012); Shane (1995), p. 31.
11.
Nitschke (2019), p. 121; Alexander (2009), p. 932.
12.
Nitschke (2019).
13.
Joubin-Bret and Knörich (2010), pp. 1–9.
14.
Id.
15.
Stipanowich (2015), p. 1191.
16.
UNCITRAL Model Law on Commercial Conciliation (2002).
17.
Id Article 1(3).
18.
UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation (2018), paragraph 3.
19.
International Chamber of Commerce’s Amicable Dispute Resolution (ADR) Rules (2001) (ICC ADR Rules), Article 5(1).
20.
Id preamble.
21.
Shane (1995), p. 31.
22.
Shane (1995).
23.
Fawehinmi and Zlatanska (2016), pp. 146–152.
24.
Schreuer et al. (2009), pp. 431–453; ICSID, ‘Overview of Conciliation under the ICSID Convention’ (Icsid.worldbank.org) https://icsid.worldbank.org/en/Pages/process/ICSID-Convention-Conciliation.aspx, accessed 15 October 2021.
25.
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26.
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27.
ICSID Conciliation Rules (2006), Rules 22 and 23; Schreuer et al. (2009).
28.
Fawehinmi and Zlatanska (2016), pp. 146–152; Shane (1995).
29.
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Id.
32.
Shane (1995).
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34.
Id.
35.
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Id.
38.
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39.
Martin (2011), p. 405.
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41.
Moore (2014), pp. 19–20.
42.
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43.
Dilloff (2010), p. 63.
44.
Abramson (2004).
45.
Id.
46.
UNCITRAL Model Law on International Commercial Mediation (n 18) art 1(3); 2008 EU Mediation Directive Article 3(a); 2003 Uniform Mediation Act Section 2(1). For a critical view of the characterization of mediation as being voluntary, see Greenberg (2015), p. 11.
47.
Anderson (2010), p. 479.
48.
Moore (2014), pp. 19–20.
49.
Abramson (2004).
50.
Id.
51.
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52.
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53.
2014 ICC Mediation Rules Mediation Clauses C and D; ICC Mediation Guidance Notes.
54.
Tümpel and Sudborough (2011), p. 269.
55.
2014 ICC Mediation Rules, Mediation Clause B.
56.
2012 IBA Investor-State Mediation Rules art 1(a); 2014 ICC Mediation Rules article 3.
57.
Tümpel and Sudborough (2011), p. 270.
58.
2012 IBA Investor-State Mediation Rules (n 42); 2014 ICC Mediation Rules (n 51); Tümpel and Sudborough (2011), p. 270.
59.
McIlwrath and Savage (2010), pp. 64–67.
60.
Id.
61.
Id.
62.
2015 International Chamber of Commerce (ICC) Rules for the Appointment of Experts and Neutrals.
63.
Folberg et al. (2016), pp. 335–338.
64.
2014 ICC Mediation Rules Appendix Article 3.
65.
Leoveanu and Erac (2019), p. 86.
66.
Id.
67.
Id.
68.
See Chap. 4.
69.
McIlwrath and Savage (2010), pp. 187–188.
70.
Id.
71.
Id.
72.
Lande (2002), pp. 129–131.
73.
Abramson (2004), p. 75.
74.
Id 76.
75.
Id.
76.
Warnlof (n.d.).
77.
Ratliff (2018).
78.
Id.
79.
Id.
80.
Lande (2002), pp. 129–131.
81.
Abramson (2004), p. 74.
82.
Strasser and Randolph (2005), pp. 84–85.
83.
Garcia (2011), p. 210.
84.
Moore (2014), pp. 307–308.
85.
Id. pp. 309–310.
86.
Id.
87.
Ratliff (2018).
88.
Id.
89.
Id.
90.
Moore (2014), p. 322.
91.
De Girolamo (2020), pp. 103–115.
92.
Id.
93.
Id.
94.
Picard and Siltanen (2013), p. 33.
95.
Moore (2014), p. 327.
96.
Abramson (2004), p. 77.
97.
Id.
98.
Moore (2014), p. 123; Abramson (2004), p. 78.
99.
Moore (2014), p. 340; Abramson (2004), p. 78.
100.
Sammut and Bauer (2020), pp. 163–167.
101.
Id.
102.
Id.
103.
Moore (2014), p. 351; Abramson (2004), p. 78.
104.
Pepperdine University Strauss Institute for Dispute Resolution (2009), pp. 3:5–3:8.
105.
Id.
106.
Id.
107.
Paula Young, ‘Overcoming Impasse in Mediation: A Short Literature Review’ (July 2003) Mediate.com.
108.
Id.
109.
Abramson (2004), pp. 86–89.
110.
Id. p. 79.
111.
Fisher et al. (1997), pp. 61–65.
112.
Id.
113.
Id.
114.
Boulle et al. (2008), pp. 217–219.
115.
Id.
116.
Id.
117.
Abramson (2004), pp. 80, 87.
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Id. p. 80.
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Beer et al. (2012), pp. 68–70.
120.
Id.
121.
Abramson (2004), p. 80.
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Riskin (2003), pp. 34–46.
123.
Id.
124.
Id.
125.
Beer et al. (2012), pp. 75–77.
126.
Id.
127.
Abramson (2004), p. 81.
128.
Id.
129.
Id 82.
130.
Pepperdine University Strauss Institute 1:1–1:7.
131.
Pepperdine University Strauss Institute 4:1–4:12; Fisher et al. (1997), p. 32.
132.
Abramson (2004), p. 82.
133.
Id.
134.
Id.
135.
Moore (2014), pp. 251–260.
136.
Cloke (2001), pp. 55–86.
137.
Thomas Repicky, ‘How to Talk and Listen Effectively in Mediation’ (July 2011) Mediate.com.
138.
Moore (2014), p. 302.
139.
O’Sullivan (2018), pp. 5–14.
140.
Id.
141.
Id.
142.
Moore (2014), p. 261.
143.
Id.
144.
Id pp. 261–264.
145.
Abramson (2004), p. 83.
146.
Lehman and Page (2007).
147.
Id.
148.
Id.
149.
O’Sullivan (2018), pp. 5–14.
150.
Id.
151.
Abramson (2004), p. 83.
152.
Id.
153.
Bogdanoski (2009), pp. 206–207.
154.
Id.
155.
Id.
156.
Cohen (2014), pp. 158–159.
157.
Id.
158.
Id.
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Moore (2014), p. 254.
160.
Id pp. 254–256.
161.
Irvine and Farrington (2016), pp. 211–239.
162.
Id.
163.
Jameson et al. (2009), p. 170–173.
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Id.
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Moore (2014), pp. 164–169; Abramson (2004), p. 84.
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Kelly and Kaminski (2016), pp. 56–59.
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Moore (2014), pp. 164–169.
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Abramson (2004), pp. 85.
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174.
Id.
175.
Rule (2018).
176.
Id.
177.
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178.
Id.
179.
Beer et al. (2012), p. 47.
180.
Id.
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Golann (2011), pp. 22–26; Moore (2014), pp. 402–404.
182.
Id.
183.
Limbury (2019).
184.
Id.
185.
Moore (2014), pp. 413–420.
186.
Id.
187.
Abramson (2004), pp. 86–89.
188.
Id.
189.
Id.
190.
Smith (2005).
191.
Moore (2014), pp. 413–420.
192.
Smith (2005).
193.
Abramson (2004), pp. 86–89.
194.
Moore (2014), p. 260; Abramson (2004), p. 89.
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Id.
196.
Agusti-Panareda (2004), p. 25.
197.
Voyles (n.d.).
198.
Id.
199.
Lewicki et al. (2015), p. 256–261.
200.
Id.
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Abramson (2004), p. 89.
202.
Voyles (n.d.).
203.
Id.
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Fisher et al. (1997); Moore (2014), p. 295; Abramson (2004), p. 105.
205.
Abramson (2004), p. 105.
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Id.
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Id 106.
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Schweinsberg et al. (2021), pp. 1436–1439.
211.
Id.
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Id.
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Moore (2014), p. 295; Abramson (2004), pp. 105–108.
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O’Sullivan (2018), pp. 179–185.
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Id.
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Moore (2014), pp. 428–429; Abramson (2004), pp. 250–252.
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Lewicki et al. (2015), pp. 51–52.
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Id. pp. 51, 54–56.
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Spangler (2003).
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Golann (2009), p. 12.
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Moore (2014), pp. 397–400; Golann (2009), pp. 12–14; Abramson (2004), pp. 91–93.
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Hochman (2012).
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Id.
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Id.
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Id.
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Id.
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Love (1997), pp. 940, 945.
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Lewicki et al. (2015), pp. 89–90.
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Id.
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Moore (2014), p. 428.
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Fisher et al. (1997), p. 53.
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Abramson (2004), p. 250.
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Id.
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Alexander (2008b), p. 97.
245.
Id.
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Id.
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Golann (2000), pp. 50–54.
248.
Id.
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Riskin (2003), pp. 29–50.
250.
Id.
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Alexander (2008b), pp. 97.
253.
Id.
254.
Riskin (2003), pp. 7–51.
255.
Id.
256.
Alexander (2008b), pp. 97.
257.
Id.
258.
Lewicki et al. (2015), pp. 77–78.
259.
Id.
260.
Riskin (2003), pp. 1–53.
261.
Id.
262.
Id.
263.
Alexander (2008a).
264.
Welsh (2001), pp. 787–861.
265.
Id.
266.
Id.
267.
Alexander (2008a).
268.
Id.
269.
Id.
270.
Welsh (2001), pp. 787–861.
271.
Id.
272.
Roberts (2007), pp. 197–201.
273.
Id.
274.
Id.
275.
Golann and Aaron (2010), pp. 330–331.
276.
Id.
277.
Spencer and Brogan (2006), pp. 100–102.
278.
Id.
279.
Alexander (2008a).
280.
Welsh (2001), pp. 787–861.
281.
Id.
282.
Alexander (2008b), p. 97.
283.
Id.
284.
Hoffman (2011), pp. 264–270.
285.
Id.
286.
Welsh (2001), pp. 787–861.
287.
Id.
288.
Id.
289.
Alexander (2008a).
290.
Id.
291.
Stitt (2004), pp. 1–6.
292.
Id.
293.
Id.
294.
Nolan-Haley (2005), pp. 278–284.
295.
Alexander (2008a).
296.
Id.
297.
Riskin (2003), pp. 7–51.
298.
Id.
299.
Id.
300.
Lohvinenko et al. (2021), p. 55.
301.
Id.
302.
Id.
303.
Riskin (2003), pp. 1–53.
304.
Alexander (2008a).
305.
Hardy and Rundle (2010), p. 60.
306.
Id.
307.
Alexander (2008a).
308.
Id.
309.
Hardy and Rundle (2010), pp. 61–62.
310.
Id.
311.
Chia et al. (2004), pp. 451–452.
312.
Id.
313.
Id.
314.
Barnes (2007), p. 72.
315.
Id.
316.
Bercovitch and Kadayifci-Orellana (2009), pp. 183–204.
317.
Id.
318.
Alexander (2008a).
319.
Baruch Bush and Folger (2004), pp. 41–84.
320.
Id.
321.
Id.
322.
Gora (2008).
323.
Id.
324.
Winslade and Monk (2000), XII.
325.
Id. pp. 57–93.
326.
Id.
327.
Alexander (2008a).
328.
Id.
329.
Winslade et al. (1998), pp. 21–41.
330.
Moore (2014), pp. 10–11.
331.
Id.
332.
Stipanowich (2021).
333.
Coe (2010), pp. 46–47.
334.
Stipanowich (2021).
335.
Id.
336.
Coe (2010), pp. 46–47.
337.
Id.
338.
Alexander (2010), pp. 2439–2656.
339.
Id.
340.
Id.
341.
Robyn (2002), pp. 172–180.
342.
Id.
343.
Id.
344.
European Commission for the Efficiency of Justice (2019), pp. 19–23.
345.
French Civil Procedure Code Article 255; Family Law Act 1996 (UK) Part III; German Law on Marriage and the Civil Procedure Code; European Directive on Mediation Article 5.
346.
McAdoo and Welsh (2005), pp. 407–408; Minnesota General Rules of Practice Article 114; UK Pre-action Protocols 4.7 and the Civil Procedure Rules.
347.
French Civil Procedure Code Article 131-1; German Code of Civil Procedure S. 278 V 2; Austrian Federal Court Rules (Amendment) 1991 N° 461 r 4(1); U.S. Florida Statutes S. 44.102(2)(a) 2008 Title V, Ch. 44.
348.
Alexander (2010), p. 2488.
349.
European Directive on Mediation (n 345).
350.
Id.
351.
Alexander (2010), p. 2502.
352.
Id.
353.
Galič (2003), pp. 71–76.
354.
Id.
355.
Alexander (2010), p. 2502.
356.
UNCITRAL Model Law on International Commercial Mediation.
357.
2020 World Intellectual Property Organization (WIPO) Mediation Rules; 2014 ICC Mediation Rules; 2012 IBA Investor-State Mediation Rules.
358.
2012 IBA Investor-State Mediation Rules.
359.
WIPO Mediation Rules; 2014 ICC Mediation Rules; IBA Rules for Investor-State Mediation; Alexander (2010), p. 2502.
360.
Id. p. 2514.
361.
Id.
362.
Id.
363.
Australian Family Law Act 1975 (Cth); Australian Family Law Regulations 1984 (Cth); French Law of 26 May 2004 Relating to Family Mediation; French Decree No. 2003-1166 of 2 December 2003; Austrian Marriage Law; Austrian Childrens Law Reform; Alexander (2010), p. 2514.
364.
Alexander (2010), p. 2021.
365.
Id.
366.
2021 International Mediation Institute (IMI) Code of Professional Conduct.
367.
Id. p. 2524.
368.
2005 American Arbitration Association (ABA) Model Standards of Conduct for Mediators; 2004 European Code of Conduct for Mediators.
369.
Alexander (2010), p. 2524.
370.
‘Quality Assurance’ International Mediation Institute. https://imimediation.org/about/quality-assurance/, accessed 15 October 2021.
371.
Alexander (2010), p. 2537.
372.
Id.
373.
Laflin (2014), pp. 499–516.
374.
2003 Uniform Mediation Act s. 4.
375.
2008 European Mediation Directive; UNCITRAL Model Law on International Commercial Mediation.
376.
Alexander (2010), p. 2561.
377.
Id.
378.
Id.
379.
2008 European Mediation Directive.
380.
UNCITRAL Model Law on International Commercial Mediation.
381.
Alexander (2010), p. 2574.
382.
Alexander (2008a), p. 1–8.
383.
Id.
384.
Eidenmüller (2002), p. 15.
385.
Id.
386.
2003 Uniform Mediation Act; UNCITRAL Model Law on International Commercial Mediation.
387.
2003 Uniform Mediation Act s. 4(c).
388.
UNCITRAL Model Law on International Commercial Mediation art 2 and 6(3).
389.
Eidenmüller (2002), p. 15.
390.
UNCITRAL Model Law on International Commercial Mediation art 6(3).
391.
Robyn (2002), p. 175.
392.
Alexander (2010), p. 2597.
393.
Alexander (2008a).
394.
2003 Uniform Mediation Act; 2008 European Mediation Directive.
395.
2003 Uniform Mediation Act; Alexander (2010), p. 2611.
396.
Uniform Mediation Act and Official Comments (2003), pp. 47–48.
397.
Id.
398.
Nolan-Haley (2012).
399.
European Mediation Directive.
400.
Alexander (2010), p. 2611.
401.
Id pp. 2611–2622.
402.
2002 European Directive on Insurance Mediation.
403.
Alexander (2010), p. 2622.
404.
1990 U.S. Individuals with Disabilities Education Act (IDEA).
405.
Californian Code of Civil Procedure; IDEA.
406.
Lundmark (2012), pp. 294–339.
407.
Alexander (2010), p. 2646.
408.
Singapore Convention.
409.
Schnabel (2019).
410.
United Nations Treaty Collection.
411.
Id.
412.
Singapore Convention.
413.
Chua (2019), pp. 573–577.
414.
Id.
415.
Schnabel (2019).
416.
Singapore Convention art 4.
417.
Id art 1.
418.
Id art 1, paragraph 1.
419.
Id art 1, paragraph 3.
420.
Id.
421.
Singapore Convention; Schnabel (2019).
422.
Singapore Convention art 3, paragraph 1.
423.
Abramson (2019).
424.
Singapore Convention art 4.
425.
Id art 4, paragraph 1(a).
426.
Id art 4, paragraph 1(b).
427.
Id.
428.
Id art 5.
429.
Id art 5; Abramson (2019).
430.
Chua (2019), pp. 113–138.
431.
Convention on the Recognition and Enforcement of Foreign Arbitral Awards, 10 June 1958, 330 UNTS 38 (1959) (New York Convention); Singapore Convention art 5; Chua (2019), pp. 113–138.
432.
New York Convention; Singapore Convention art 5.
433.
Id.
434.
New York Convention; Singapore Convention art 5; Chua (2019), pp. 113–138.
435.
Id.
436.
Convention on the Recognition and Enforcement of Foreign Arbitral Awards, 10 June 1958, 330 UNTS 38 (1959), Article 5.
437.
New York Convention; Singapore Convention.
438.
Singapore Convention.
439.
Brekoulakis et al. (2016), pp. 278–286.
440.
Id.
441.
Coutelier (2011).
442.
Id.
443.
Id.
444.
2006 ICSID Additional Facility Rules, Article 19.
445.
New York Convention art V.
446.
Id.
447.
Schreuer (2011), pp. 222–224.
448.
Caron (2012), pp. 173–199.
449.
Chong (2019).
450.
United Nations Commission on International Trade Law, ‘Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-third session (Vienna, 7–11 September 2015)’ A/CN.9/861, paragraph 35.
451.
Id.
452.
Chong (2019).
453.
Id.
454.
Id.
455.
Tan (2020).
456.
Id.
457.
Singapore Convention.
458.
Id.
459.
United Nations Commission on International Trade Law Working Group II (Dispute Settlement) Sixty-fifth session, Vienna, 12–23 September 2016, Settlement of commercial disputes: International commercial conciliation: preparation of an instrument on enforcement of international commercial settlement agreements resulting from conciliation, Note by the Secretariat https://undocs.org/en/A/CN.9/WG.II/WP.198, paragraph 24; United Nations Commission on International Trade Law Forty-ninth session New York, 27 June–15 July 2016, Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-fourth session, A/CN.9/867, paragraph 11; Tan (2020).
460.
United Nations Treaty Collection, ‘Chapter XXII Commercial Arbitration and Mediation: 4; Singapore Convention’.
461.
Tan (2020).

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IESEG School of Management, Paris, France
Calliope Makedon Sudborough

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3.1.1 International Conventions and Rules

Convention on the Settlement of Investment Disputes between States and Nationals of Other States (ICSID) Conciliation Rules (2006).
Convention on the Settlement of Investment Disputes between States and Nationals of Other States (ICSID) ICSID Additional Facility Rules (2006).
Convention on the Recognition and Enforcement of Foreign Arbitral Awards, 10 June 1958, 330 UNTS 38 (1959) (New York Convention).
Energy Charter Conference, ‘Guide on Investment Mediation’.
EU Mediation Directive (2008).
European Code of Conduct for Mediators (2004).
International Bar Association (IBA) Rules for Investor-State Mediation.
International Mediation Institute (IMI) Code of Professional Conduct (2021).
International Chamber of Commerce’s Amicable Dispute Resolution (ADR) Rules (2001) (ICC ADR Rules).
International Chamber of Commerce (ICC) Mediation Guidance Notes (2014).
International Chamber of Commerce (ICC) Rules for the Appointment of Experts and Neutrals (2015).
Trans Pacific Partnership (2016).
Uniform Mediation Act (2003).
UNCITRAL Model Law on Commercial Conciliation (2002).
UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation (2018).
United Nations Convention on International Settlement Agreements Resulting from Mediation, 12 September 2020.

3.1.2 Domestic Rules and Legislation

American Arbitration Association (ABA) Model Standards of Conduct for Mediators (2005).
Austrian Childrens Law Reform (Kindschaftsrechts-Änderungsgesetz 2001, BGBl I 135/2000.
Australian Family Law Act 1975 (Cth).
Australian Family Law Regulations 1984 (Cth).
Austrian Federal Court Rules (Amendment) 1991 N° 461.
Austrian Marriage Law Reform (Eherechts-Änderungsgesetz 1999 BGBl I 125/1999).
French Decree No. 2003-1166 of 2 December 2003 (Décret portant creation du diplôme d’Etat de médiateur familial).
French Law of 26 May 2004 Relating to Family Mediation.
German Law on Marriage and Civil Procedure Code (Familienrechts-Änderungsgesetzes 2009 – Fam-RÄG 2009).
Family Law Act 1996 (UK).
French Civil Procedure Code (Code de procedure civile, C pr civ).
Minnesota General Rules of Practice, Article 114.
UK Pre-action Protocols 4.7 and the Civil Procedure Rules.
U.S. Florida Statutes S. 44.102(2)(a) 2008, Title V, Ch. 44.

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Sudborough, C.M. (2023). Mediation. In: Mediating Sovereign Debt Disputes. European Yearbook of International Economic Law(), vol 35. Springer, Cham. https://doi.org/10.1007/978-3-031-46787-5_3

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Published: 08 December 2023
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Online ISBN: 978-3-031-46787-5
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