A dissertation submitted to the Faculty of Science, University of the Witwatersrand, Johannesburg, in fulfilment of requirements for the degree of Master of Science. Johannesburg, 1991. / Abstract not provided.

Este trabalho visa analisar os efeitos da impecuniosidade da parte na instauração da arbitragem comercial. Como pano de fundo, têm-se a situação em que uma parte vinculada a uma convenção de arbitragem não possui os recursos financeiros exigidos para promover a instauração de uma arbitragem e, paralelamente, encontra-se impedida de resolver a controvérsia perante o Poder Judiciário. Caracterizada a situação de denegação de justiça, duas hipóteses de solução do problema serão analisadas. A primeira hipótese considera que a carência de recursos financeiros para instaurar uma arbitragem repercute no afastamento da convenção de arbitragem e permite que o litígio seja julgado pelo juiz togado. A segunda hipótese considera que a carência de recursos financeiros não repercute afastamento da convenção de arbitragem, todavia enseja sua adaptação para preservar a solução do litígio através da arbitragem. O trabalho então é dividido em quatro partes. A primeira parte trata da metodologia de pesquisa e delimitação do tema, bem como da definição de conceitos fundamentais. A segunda parte trata dos mecanismos de financiamento da arbitragem, uma ferramenta econômica de superação da carência de recursos da parte impecuniosa. A terceira parte versa sobre uma investigação da abordagem do tema na Alemanha, França e Portugal, em que são identificadas a aplicação das duas hipóteses de solução nos referidos sistemas jurídicos. A quarta parte é dedicada a análise do tema sobre a perspectiva brasileira. Mesmo não havendo posicionamento claro sobre o tema no Brasil, o regime jurídico sugere a possibilidade de adaptação da convenção de arbitragem como mecanismo de solução da denegação de justiça econômica. / The object of this dissertation is the effect of the claimant\'s impecuniosity at the start of an arbitration proceeding. The analysis considers situations where a claimant does not have enough financial resources to initiate an arbitration proceeding and, at the same time, cannot recourse to the national Courts. Against this background, two theses will be analyzed. The first one considers the arbitration clause inoperative and allows the parties to submit their case to the national Courts. The second thesis considers the arbitration clause valid and enforceable; however, this should be subject to adjustments to allow the access to arbitration. This dissertation is structured in four chapters. The first chapter addresses the methodology of research and basic concepts. The second chapter discusses mechanisms to finance the parties in the arbitration as an answer to parties impecuniosity. The third chapter focuses on a comparative research in the answers provided by the German, French and Portuguese Legal Systems to the problem of impecuniosity and arbitration. The final chapter analyzes the effects of impecuniosity and the initiation of arbitration under the Brazilian Law.

While thousands of cross-border disputes are resolved each year through institutional arbitration, there appears to be little understanding of the role of arbitral institutions. In particular, very little academic scholarship has been produced on the nature of the functions exercised by arbitral institutions in the proceedings they administer. This thesis seeks to rectify this gap by (1) identifying in the literature conventional assumptions as to the functions of arbitral institutions in the institutional arbitration process; (2) critically assessing such conventional assumptions; and (3) offering a novel and more realistic representation of the functions of arbitral institutions. This thesis is principally based on a systematic study of the activities performed by over 40 international arbitration institutions in their administration of cases. This study also examines court decisions on the nature of the functions exercised by such institutions in some leading civil law and common law jurisdictions. The thesis finds that arbitration institutions are conventionally portrayed in the literature in one of two ways: According to a first representation, arbitral institutions are mere administrators with no decision-making power whatsoever. According to another representation, while institutions are occasionally called upon to exercise some measure of decision-making, measures taken by institutions remain immaterial because of their alleged ‗administrative‘/‗non-jurisdictional‘ nature. In both instances, it is conventionally assumed that, contrary to arbitrators, arbitral institutions should not be concerned by due process when they discharge their duties. This thesis argues that these two conventional representations are difficult to reconcile with the diverse reality of institutional arbitration. While some institutions have a very limited involvement in the arbitrations conducted under their auspices, others participate more actively in their resolution. The thesis therefore concludes that arbitral institutions can be more accurately described as ancillary participants in the adjudicative process which decisions, insofar as they may occasionally be outcome-determinative, should call upon the application of some due process standards.

This thesis is a study of the system of party-appointed arbitrators in international commercial arbitration: an attempt to provide a comprehensive assessment of the system, in which the main questions about it are addressed and a set of answers to those questions is offered. The assessment takes a three-pronged approach: historical, theoretical and empirical. It includes an historical analysis of unilateral nominations, a theoretical assessment of how the system presently works and a comparative empirical study of challenges of arbitrators in ICC practice. The theoretical assessment of the system of unilateral appointments is a critical analysis of arbitration rules, laws, case law, other authors' reflections on the system and other written materials (such as, for instance, the works of the United Nations Commission on International Trade Law and of the International Bar Association). This assessment addresses many questions, including, amongst others: the limits to the right of the parties to make unilateral appointments, the risks to the principle of equality of the parties in the constitution of the arbitral tribunal in certain situations (e.g. multiparty arbitrations, consolidation, joinder), the specific problems of bias in tribunals with party-appointed members, the repeat appointments of an arbitrator by the same party or counsel, the question of whether a different standard of impartiality and independence in party-appointed arbitrators makes any sense, the presumption that party-appointed arbitrators can do things that presiding arbitrators cannot (e.g. the so-called 'special role' of party-appointed arbitrators and certain unilateral communications between appointors and appointees) and the question of whether it is worth keeping the system of unilateral appointments as the default method for the constitution of multiple-member tribunals. The study also includes some suggestions on how to improve the system, namely in order to increase the trust of each party in the arbitrator appointed by the other party and to allow an accurate match between what arbitration end-users may want from party-appointed arbitrators and what they ultimately get.

The purpose of this study is threefold: (1) to analyze grievance arbitration cases involving racial discrimination which occurred from 1964 to 1975; (2) to recommend guidelines suitable to the use of grievance arbitration in the settlement of racial-discrimination disputes; and (3) to predict trends regarding future utilization of grievance arbitration as a forum through which racial-discrimination victims can seek redress.

1 Transparency of proceedings in international arbitration Summary The purpose of my thesis is to explore the concept of transparency in international arbitration. There are different types of international arbitration, characterized by different participants and naturally distinct aspects of procedure. One of these aspects is, according to my opinion, the said transparency of the proceedings. For the purposes of this thesis, I have decided to analyze the position of transparency in two major areas, namely in investment arbitration and in commercial arbitration, respectively. As the concept of transparency in international arbitration is only recently developing, there is much to be resolved. Thus, the state of the affairs with respect to the subject matter of this thesis is ambiguous and misty. The aim of my research is to describe the position of transparency in two basic types of arbitration and identify the reasons for different trends in this respect. The thesis is composed of an Introduction, four basic chapters and a Conclusion. Chapters are divided into subchapters and parts, respectively. The Introduction presents the topic, defines relevant terminology and sets out the aim of my thesis. Chapter One deals with the confidentiality of arbitration which is clearly opposite concept than that of the...

The text deals with some fundamental issues concerning arbitration clauses in consumer contracts and protection of consumers during arbitration proceedings. The purpuse of the thesis is to analyse current regulation of this field in the Czech Republic and evaluate changes brought about by amendment of Act No. 216/1994 Coll., on Arbitration and Enforcement of Arbitral Awards, which have come into force on 1st April 2012. The thesis is composed of five chapters. Chapter One is rather general and characterises major institutes of arbitration (with regard to disputes arising out of consumer contracts). Its eleven parts report on definition of arbitration and its forms, its inclusion among ADR mechanisms, reflections on suitability of arbitration in consumer disputes, its history and recent development, legal sources, basic principles, advantages and disadvantages in consumer disputes, main doctrines and fundamental conditions for arbitration (arbitrability and arbitration agreement). Chapter Two focuses on so-called "arbitration centres". The chapter consists of for parts. Part One describes their legal status. Part Two refers to recent discussions about admissibility of arbitration clauses recommended by centres. The next part seeks to draw attention to critical views of case law mentioned in the previous...

This thesis not only seeks to demonstrate the requirements of and procedures for recognition and enforcement of foreign arbitral awards in the Republic of China (ROC), but also explores whether ROC’s legislation and practices regarding recognition and enforcement of foreign arbitral awards comply with international ‘best practice’ standards as contained in the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention) and the UNCITRAL Model Law on International Commercial Arbitration (UNCITRAL Model Law. Even though ROC’s former legislation and practices did not conform to these standards, the present legislation and practices do comply with the New York Convention and the UNCITRAL Model Law. Although ROC and the People’s Republic of China (PRC) both insist on a ‘one China’ policy and each claims that it represents the whole of China, each has its own legal system. Nonetheless, ROC adopted the ‘regional conflict of laws’ theory based on the concept of ‘one country, two regions’ to deal with cases relating to recognition and enforcement arbitral awards rendered in PRC. In the context of that theory, this thesis explores the requirements of and procedures for recognition and enforcement of PRC arbitral awards in ROC, and whether there are any deficiencies in this regard. The thesis concludes that the ROC legislation and practices regarding recognition and enforcement of PRC arbitral awards in ROC are consistent with the New York Convention and the UNCITRAL Model Law. The government of PRC resumed the exercise of sovereignty over Hong Kong and Macao from 1 July 1997 and 20 December 1999 respectively. However, PRC adopted the principle of ‘one country, two systems’. PRC authorizes the Hong Kong Special Administrative Region (Hong Kong SAR) and the Macao Special Administrative Region (Macao SAR) to exercise a high degree of autonomy and to enjoy executive, legislative and independent judicial, including that of final adjudication. Thus, the ROC legislation deems that Hong Kong and Macao arbitral awards are foreign arbitral awards in ROC. So, the legislation and practices regarding recognition and enforcement of Hong Kong arbitral awards and Macao arbitral awards also are in conformity with the New York Convention and the UNCITRAL Model Law. Moreover, the legislation and practices regarding recognition and enforcement of foreign, PRC, Hong Kong, and Macao arbitral awards go further than international standards set out by the New York Convention and the UNCITRAL Model Law. Applying for recognition or enforcement of a foreign, PRC, Hong Kong, or Macao arbitral award, an original arbitration agreement or an original arbitral award can be substituted by an electronic format, which was made originally and can show the whole text as well as can be downloaded for examination. Furthermore, the courts of ROC construe the limitations regarding recognition or enforcement foreign, PRC, Hong Kong, or Macao arbitral awards narrowly. In addition, even though the ROC legislation regarding recognition and enforcement of foreign, Hong Kong, and Macao arbitral awards adopts the principle of reciprocity, the ROC Courts adopt the notion of comity. The thesis clarifies recognition and enforcement of PRC arbitral awards in Hong Kong, and recognition and enforcement of Hong Kong arbitral awards in PRC as well. Hong Kong arbitral awards are enforceable in PRC, and PRC arbitral awards also are enforceable in Hong Kong in accordance with the Arrangement Concerning Mutual Enforcement of Arbitral Awards Between Mainland and the Hong Kong SAR 2000 (PRC) and the Arbitration (Amendment) Ordinance 2000 (Hong Kong SAR) respectively based on the principle of ‘one country, two systems’. Both the provisions of the Arrangement Concerning Mutual Enforcement of Arbitral Awards Between Mainland and the Hong Kong SAR 2000 (PRC) and the Arbitration (Amendment) Ordinance 2000 (Hong Kong SAR) comply with the international standards set out in the New York Convention and the UNCITRAL Model Law.

This thesis is an attempt to consider some of the challenges facing the regime of international commercial arbitration (ICA) in the contemporary global economy. It examines the governance mechanism of the regime of ICA in a globalizing economy. The thesis seeks to analyze the process of harmonization of the law of ICA with particular reference to availability of interim measures from court. In particular, the analytical focus is on how the globalizing economy affects the requirement of “court-ordered interim measures” in the arbitration process and how international arbitral regime attempts to cope with such changing demand of the globalizing economy. The thesis emphasizes the importance of harmonizing the national laws on the above-mentioned issue through ratifying international conventions as opposed to formulation of non-mandatory UNCITRAL Model Law.

This thesis is an attempt to consider some of the challenges facing the regime of international commercial arbitration (ICA) in the contemporary global economy. It examines the governance mechanism of the regime of ICA in a globalizing economy. The thesis seeks to analyze the process of harmonization of the law of ICA with particular reference to availability of interim measures from court. In particular, the analytical focus is on how the globalizing economy affects the requirement of “court-ordered interim measures” in the arbitration process and how international arbitral regime attempts to cope with such changing demand of the globalizing economy. The thesis emphasizes the importance of harmonizing the national laws on the above-mentioned issue through ratifying international conventions as opposed to formulation of non-mandatory UNCITRAL Model Law.