Within the transnational legal sphere, internal and external private legal systems regulate alongside a pluralism of national and international legal systems. This thesis explores the elements of transnational private legal systems that are external to a single organization or company and whether they can elevate the higher-order principle of sustainability within the mining sector. A private legal system would broadly incorporate legal rules and obligations for corporate governance, and specifically for integrating sustainable development into the mining industry. Using the lens of reflexive law, this thesis explores five observable trends of a private legal system: interorganizational network; regulatory hybridization; private juridification; civic constitutionalism; and international judicialisation. A variety of methodological tools are used to determine if the first three trends, which are linked to the emergence of private legal obligations, exist. Through qualitative content analysis this thesis adds to the empirical literature supporting reflexive law and provides insights into the ability of private legal systems to govern resource issues. The evidence of any private juridification and civic constitutionalism occurring within the mining sector is detailed, and the consequences for the regulation and development of a sustainable mining industry that result from that juridification is discussed. / Graduate / 0616 / 0366 / 0551 / adamnott@shaw.ca

This dissertation is an exploration of the ways in which contemporary practices of pluralism are challenging, and being shaped by, concepts of state sovereignty. I explore two very different contexts; the relationship between First Nations and Settlers on that part of Turtle Island sometimes called Canada, and the relationship between the European Union and its Member-States. In both contexts, I explore how political, legal, and economic practices are generating forms of social order that depart to varying degrees from the total, exclusive authority associated with sovereignty. In particular, I show that actors in both settings have actually developed two remarkably similar practices – interpenetrating institutions or co-decision mechanisms, and conditional authority claims. Together, these practices enable actors to contest and coordinate their respective authority claims in ways that do not rely on an overarching sovereign or even a shared understanding of their relationship. Instead, practices of interpenetration and conditional authority make all parties responsive to multiple standards of conduct, allowing diverse actors to seek justice over time in conditions of persistent difference and conflict. / Graduate

Les normes privées intéressent le droit international à un double titre : se développant en marge du système interétatique classique, elles constituent l’un des visages d’une régulation privée transnationale émergente et soulèvent la question théorique de leur statut en droit international. Par ailleurs, leurs effets sur le commerce international (et particulièrement le fait qu’elles constituent un obstacle aux exportations des PED vers les marchés occidentaux), conduisent à s’interroger sur l’opportunité et les modalités de leur réglementation par le droit international des échanges. En dépit de leur diversité empirique qui rend difficile toute tentative de systématisation et de qualification juridique, nous considérons que la qualité des produits, qui constitue le fondement téléologique commun des normes privées, permet d’en justifier l’unité théorique et de les considérer comme un phénomène juridique à part entière. Nous démontrerons que les normes privées sont l’une des manifestations d’un droit transnational se développant en parallèle du droit interétatique « classique » et qu’elles jouissent par conséquent d’un statut juridique propre. De ce fait, leurs rapports avec la branche du droit international qu’elles intéressent le plus directement, le droit international des échanges, ne peuvent se limiter à l’approche classique de réglementation (ou approche « répressive », en ce qu’elle a pour seul but d’en limiter les effets restrictifs pour le commerce) mais doivent se concevoir dans une optique de coordination. / The recent proliferation of private standards is not only of growing interest to economists who seek to evaluate its impact on trade flows; it is also relevant to international law, particularly to international economic law, in a double perspective. First, from the perspective of legal theory, the legal status of private standards has still to be determined. Second, from an empirical standpoint, private standards have the potential to negatively impact the access of developing countries to the markets of developed countries. This raises the question of the opportunity and modalities of submitting them to the disciplines of the WTO Agreements. This study demonstrates that private standards are one of the expressions of broader ‘transnational law’, a body of law that has been developing in parallel to ‘traditional’ state-centered international law. This implies that international law cannot merely consider private standards as an object to be disciplined; rather, the traditional ‘repressive’ approach should be rejected in favor of a more collaborative approach stressing the interrelations between the two bodies of norms as well as possible forms of coordination.

Nas últimas décadas surgiram diversas doutrinas sobre possíveis evoluções do constitucionalismo, impulsionadas pelos processos de globalização, regionalização e transnacionalização. Partindo da ideia de crise do Estado moderno e crise da soberania, doutrinadores nacionais e estrangeiros desenvolvem teorias sobre um constitucionalismo sem Estado e sem Constituição, múltiplos constitucionalismos convivendo sem relação hierárquica entre eles. Assim, a partir da análise dos conceitos clássicos e das principais doutrinas sobre as diferentes formas de aproximação entre o direito constitucional e o direito internacional, procura-se avaliar o impacto real da globalização no Estado moderno, em especial para a soberania nacional e o direito constitucional. Busca-se demonstrar que ainda há lugar para a soberania. / In recent decades, various doctrines about possible developments of constitutionalism emerged, driven by the process of globalization, regionalization and transnationalization. Starting from the idea of the modern State crisis and sovereignty crisis, domestic and foreign scholars develop theories over a constitutionalism without a state or constitution, multiple constitutionalism coexisting with no hierarchical relationship between them. Thus, from the analysis of classical concepts and the main doctrines about the different ways of approaching the constitutional law and international law, seeks to assess the real impact of globalization in the modern State, especially for national sovereignty and constitutional law. It is quite evident that there is still room for sovereignty.

Toutefois, l’interaction entre la terre, le territoire et la production globale n’a pas fait l’objet d’une attention importante dans la discipline juridique, y compris par les auteurs qui s’intéressent à la création et la production de valeur dans le capitalisme des chaînes globales d’approvisionnement. Historiquement, le territoire a été central dans la construction des États, comme dans les distinctions sociales et les distributions de pouvoirs qui caractérisent chaque communauté. Pour cettes raisons, j’ai écris cette thèse dans la perspective d’exposer le rôle que le droit tient dans la détermination des modes selon lesquels la terre et le territoire sont intégrés dans le capitalisme transnational, et tout particulièrement lorsqu’il s’agit de les transformer en source de valeur qui peut être appropriée. Dans le premier chapitre, la directive européenne sur l’énergie renouvelable, les traités bilatéraux d’investissement et les accords d’investissement sont présentés comme des structures juridiques qui n’opèrent que superficiellement à différents niveaux juridiques et dans différentes géographies. Le chapitre II se concentre dès lors sur le rôle que les cours « étrangères » ont pris dans la définition de la forme et des mécanismes de production à l’étranger. En adoptant une approche alliant le droit international privé et une analyse globale de la chaîne juridique, le chapitre examine l’Alien Tort Statute (ATS) comme un espace juridictionnel privilégié pour le contentieux en responsabilité. Enfin, le chapitre III s’attelle à montrer la complexité des chaînes globales de production afin de penser les formes redistributives que peut prendre l’intervention juridique. En particulier, le cas de la chaîne du « blood sugar », dont l’origine se trouve au Cambodge est utilisé comme un laboratoire pour une réflexion théorique. Celle-ci part par la reconnaissance que les changements de forme et de géographie de la production peuvent être obtenus par la redéfinition de structures juridiques qui ne sont pas directement en lien avec la situation examinée. Ainsi, les enclosures et évictions sont liés aux abus locaux ainsi qu’aux décisions de l’OMC, aux prêts accordés par des banques australiennes, à l’interprétation du droit de la responsabilité donné par les cours du Royaume-Uni ainsi qu’à une multitude d’autres facteurs juridiques. / Historically, land has been central to the construction of states, along with social distinctions and attributions of power that characterize each community. With different modalities and in different contexts, occupations, treaties and enclosures have shaped the political and legal structure of nations, including who owned the right to exclude and the territorial limits of authority. However, the interrelation between land, territory and global production has received little attention from legal scholars who are interested in the generation and distribution of value in contemporary supply chain capitalism.For the reasons mentioned above, I wrote this dissertation with the objective of exposing the role that law has in determining how land and territory are integrated in transnational capitalism, particularly when it comes to transforming them into sources of value that can be appropriated. According to the 'critical legal chain approach' that I explain in my work, law is not only a connector that allows intra-chain coordination between different hubs of the network but also a central element in the construction, reproduction and existence of each node of the chain and of the whole system of production. As a consequence, law deals with the allocation of bargaining power among the different actors at the micro-level (state, capital, labor) and is involved in the distribution of value and resources at the macro-level (throughout the chain). In Chapter I, the European Renewable Energy Directive, Bilateral Investment Treaties and investment agreements are presented as legal structures that are only superficially operating at different legal levels and in different geographies.Chapter II focuses on the role that 'foreign' courts have in defining the form and mechanisms of production elsewhere in the world. Adopting a combination of Private International Law and Global Value Chains analysis, the Chapter engages with the Alien Tort Statute (ATS) as a privileged jurisdictional space for transnational tort adjudication.Chapter III harnesses the complexity of global chains of production to think about alternative forms of redistributive legal intervention. In particular, the case of the 'blood sugar' chain originating in Cambodia is utilized as laboratory for a theoretical reflection that starts from the recognition that changes in the form and geographies of production can be obtained through the redefinition of legal structures not immediately related with the issue under investigation.

L’étude de l’utilisation du contrat au service de l’intérêt général dans la sphère transnationale vise à rendre compte de l’essor de la contractualisation dans les sociétés contemporaines. Elle témoigne aussi de la recherche de nouveaux instruments de droit susceptibles de garantir la promotion et le respect de l’intérêt général dans les relations transfrontières. Cette prise en considération de l’intérêt général concernant, par exemple, les droits de l’homme, la protection de l’environnement, les questions sociales et la lutte contre la corruption prend une portée transnationale en raison de l’ampleur de problèmes mondiaux ainsi que de la difficulté du droit international public et du droit international privé de fournir une réponse idoine à ces questions. Le contrat émerge ainsi comme un instrument de gouvernance des acteurs publics et privés. En outre, la gouvernance contractuelle révèle une tendance à penser le droit selon une approche pragmatique propre au « droit transnational » dans lequel l’analyse est centrée sur les effets de la norme et sa mise en oeuvre par ses destinataires. La première partie de ce travail analyse ce mouvement d’intégration de l’intérêt général dans le contrat. La promotion et la protection efficace de l’intérêt général contractualisé dépendent d’un encadrement du principe de l’autonomie de la volonté exprimée dans ces contrats. Le droit de contrats (national et international) fournit des instruments intéressants et il permet de prendre en compte les transformations constatées dans la fonction du contrat, ce qui est analysé en détail dans la deuxième partie de la thèse. / The study of the use of contracts for the benefit of general interest in the transnational sphere reflects the expansion of contractualisation in contemporary societies as well as the search for new legal instruments likely capable of guaranteeing the promotion and respect of general interest in cross-border relations. The coverage of general interest concerning, for example, human rights, environmental protection, social issues and the fight against corruption acquires a transnational scope because of the magnitude of global problems as well as the difficulty that public and private international law have in providing an appropriate response to these questions. The contract thus emerges as an instrument of governance for public and private actors. Moreover, contractual governance reveals atendency in thinking law within a pragmatic approach specific to "transnational law" inwhich the analysis is centered on the effects of the norm and its implementation by its recipients. The first part of this work analysis, the movement of integration of general interest in the contract. The promotion and effective protection of the contractualized general interest depends on the framing of the principle of freedom of choice expressed in these contracts. Contract Law (national and international) provides interesting instruments and also take into account the transformations found in the function of contracts, this is analyzed in detail in the second part of the thesis.

Participant d'un mouvement global d'élaboration du droit par des organismes privés, la Fédération Internationale des Ingénieurs Conseils (FIDIC) élabore et diffuse les contrats FIDIC. Il s'agit de contrats-types utilisés dans les grands projets de construction internationaux par les acteurs du secteur de la construction internationale. Les contrats FIDIC participent à la transnationalisation du droit applicable à ces projets. Cette transnationalisation pose la question de l'existence d'une lex constructionis, dérivée spécifique de la lex mercatoria.Pour répondre à la question de l'existence de la lex constructionis, l'auteur procède à l'étude de la formation et de l'application des contrats FIDIC. / The FIDIC ContractsThe International Federation of Consulting Engineers (FIDIC), participating in a global trend of creation of the rule of law by private organizations, elaborates and issues the FIDIC contracts. These contracts are standards widely used in major international constructionn projects by the main actors of international construction market. The FIDIC contracts participate to the transnationalization of the applicable law to such major projects. This transnationalization raises the question of the existence of a lex constructionis, a specific derivative of the lex mercatoria. In order to answer the question of the existence of the lex constructionis, the author procedes to the study of the formation and the application of the FIDIC contracts.

L’étude de l’interprétation de la Convention des Nations Unies sur les contrats de vente internationale de marchandises du 11 avril 1980 (CVIM) révèle la nécessité de la mise en œuvre d’un principe d’interprétation autonome, également affirmé dans d’autres instruments juridiques (conventions onusiennes, Principes UNIDROIT). Le principe d’interprétation autonome, inhérent au droit transnational, impose la prise en compte du caractère international des normes à interpréter ainsi que la promotion de leur uniformité d’application. Il s’agit ainsi d’assurer l’autonomie des termes du texte juridique à interpréter. Le comblement des lacunes du texte, qui constitue le second versant de l’interprétation juridique, est opéré par le recours aux principes généraux sous-tendant le texte. Le recours aux règles de droit interne n’aura lieu qu’en dernier ressort. L’étude se propose d’évaluer la mise en œuvre du principe d’interprétation autonome lors de l’application de la CVIM. A cette fin, il convient d’observer l’attitude du juge français lors de l’application du texte, non sans examiner la jurisprudence internationale ainsi que les sentences arbitrales l’appliquant également. Certaines dispositions et expressions conventionnelles ont été privilégiées afin d’examiner leur interprétation (par exemple : le contrat de fourniture, la contravention essentielle, le raisonnable, l’article 78 imposant l’application d’intérêts à toute somme due sans en fixer le taux). Le principe de bonne foi, guidant l’interprétation de la CVIM est également décortiqué dans sa relation avec l’interprétation de la CVIM. Il ressort de l’étude que la jurisprudence française méconnait le principe d’interprétation autonome lors de l’application de la CVIM. La comparaison avec d’autres juridictions montre que certaines d’entre elles font état d’une meilleure considération des règles d’interprétation édictées dans la Convention (Allemagne, Italie). La jurisprudence arbitrale révèle des sentences particulièrement enclines à la mise en œuvre du principe d’interprétation autonome sans que cette pratique ne soit uniforme. Les arbitres du commerce international sont souvent dotés d’une culture internationaliste et surtout, ils ne relèvent d’aucun ordre juridique national. Ils sont par conséquent beaucoup moins susceptibles d’être influencés par des références de droit interne et ainsi plus à même d’opérer une interprétation autonome des textes internationaux qu’ils mettent en œuvre. Ceci étant, l’affirmation explicite de l’application d’un principe d’interprétation autonome est quasiment inexistante dans la jurisprudence arbitrale comme dans celle des tribunaux étatiques.La présente étude a pour ambition d’élargir la connaissance du principe d’interprétation autonome par les interprètes du droit matériel uniforme en utilisant la CVIM comme support de démonstration. Le rôle du principe d’interprétation autonome sera fondamental dans l’expansion et la bonne application du droit uniforme. En effet, cette méthode d’interprétation est à même de respecter l’objectif du droit uniforme. / When analyzing the United Nations Convention on Contracts for the International Sale of Goods adopted the 11 April 1980 (CISG), a principle of autonomous interpretation appears. This principle is stated in other legal texts (as United Nations conventions and UNIDROIT Principles). The principle of autonomous interpretation belongs to the transnational law and leads to take into account the international character of the legal provisions to be interpreted and to promote the uniformity of their application as “expressed” in the article 7 of the CISG. General principles underlying the CISG are used for gap-fillings which is the second side of legal interpretation. Using national laws is the ultimate resort.The principle of autonomous interpretation in the application of the CISG will be studied. For this purpose, judicial decisions and arbitral awards will be examined. Dispositions from the Convention have been chosen for their interpretation to be examined. The principle of good faith is also examined in its relation with the CISG interpretation. It will be observed that French case-law doesn’t acknowledge the principle of autonomous interpretation. Arbitral awards show a more important tendency to apply the principle of autonomous interpretation but there is no uniformity. The arbitrators in international trade have multicultural traditions and do not depend on a forum. Therefore they are less likely to be “influenced” by national “references” and so much more capable to interpret autonomously international dispositions. Nevertheless the “express” affirmation of a principle of autonomous interpretation is missing from arbitral awards and judicial decisions. This thesis aims to enlarge the acknowledgement of the principle of autonomous interpretation by the interpreters of uniform law using the CISG as a model. The function of the principle of autonomous interpretation will be fundamental to the expansion and to the correct application of uniform law. This method of interpretation is respectful of the objective of uniform law.

Made available in DSpace on 2016-08-10T10:47:25Z (GMT). No. of bitstreams: 1 WALTER JOSE DE SOUZA NETO.pdf: 1477257 bytes, checksum: 2dd18a48fb1663418dd5980246695608 (MD5) Previous issue date: 2012-09-24 / This present paper - linked to the strictu sensu Post Graduation Program in Law, Foreign Affairs and Development of the Pontifical Catholic University of Goias State - intends to analyze the practice of the legal profession under the influence of globalization and the legal market . It is based on the assumption that the globalization and consolidation of economic blocks in detriment of the national borders are a 21st century reality. The free movement of people and the needs that result from it require the adaptation of the States and of societies, especially when speaking of the movement of goods and services. The legal service provision follows this world trend, resulting, within the Brazilian legal profession, in the incorporation of the term legal market . Nevertheless, the consolidation of this historic moment depends on the solidification of projects that allow greater flexibility for the practice of Law, through two main hypotheses: the transnationalization of the legal profession in the scope of MERCOSUR, allowing cross-border practice among State parties; and the association between Brazilian and foreign law firms, allowing foreigners to indirectly practice the legal profession in Brazil. / Este trabalho vincula-se ao Programa de Pós-Graduação strictu sensu em Direito, Relações Internacionais e Desenvolvimento da Pontifícia Universidade Católica de Goiás e analisa o exercício profissional da advocacia sob os efeitos da globalização e do mercado jurídico. Parte-se de pressuposto de que a globalização e a consolidação dos blocos econômicos em detrimento das fronteiras nacionais são realidade no Século XXI. A livre circulação de pessoas e as necessidades daí advindas requerem a adaptação dos Estados e das sociedades, notadamente quanto à circulação de bens e serviços. A prestação de serviços advocatícios tem acompanhado essa tendência mundial, o que culminou com a incorporação, pela advocacia brasileira, do termo mercado jurídico. A consolidação desse novo momento histórico depende, entretanto, da concretização de projetos que permitam maior flexibilidade ao exercício da profissão no Brasil, merecendo destaque duas hipóteses: a transnacionalidade da advocacia no âmbito do MERCOSUL, de modo a permitir que profissionais dos países componentes do bloco atuem nos Estadosparte; e a associação entre sociedades de advogados nacionais e escritórios estrangeiros, viabilizando uma atuação indireta dos estrangeiros em território nacional.

ENGLISH ABSTRACT Objective arbitrability as a limit of the transnational legal order In general, the disertation deals with a topic of interaction between the transnational and national law in the area of international trade. Specifically, it attempts to use the concept of objective arbitrability as a limit of the privately-created system of law referred to as lex mercatoria (alternatively "new lex mercatoria"). The reason for the chosen methodology is to come up with the most objective criterion to demark the scope of the application of privately created norms. Despite the wide recognition of the NLM fenomenon among the scholars and even arbitrators, the parties of international trade contracts can not be certain whether (and to what extent) the choice of NLM will be limitating, especially in the face of later recognition and enforcement of their arbital awards. The findings of this dissertation flows from the analysis of transnational norms, decisions of both state courts and arbitration tribunals and the relevant sources of law-theory. Especially important is the description of the concept of lex mercatoria as such and the description of order public, both in national and international/european meaning as it represents the final limit of application of privately-created norms. The conclusion of the...