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Introduction1

Ⅰ. The New Lex Mercatoria and Modern Trends Towards the Codification of Transnational Commercial Law1

A. The Doctrine of a New Lex Mercatoria1

1. The Birth of the New Lex Mercatoria Doctrine1

2. Fifty Years of Debate on the New Lex Mercatoria6

B. From Dogmatism to Pragmatism: Modern Trends Towards the Codification of the New Lex Mercatoria9

1. The Dogmatic Dilemma: The New Lex Mercatoria Trapped between Legal Positivism and the Need for Codification9

2. The Pragmatic Approach: Three Projects for the Codification of the New Lex Mercatoria10

a. The UNIDROIT Principles of International Commercial Contracts10

b. The Principles of European Contract Law11

c. The TransLex Principles12

Ⅱ. Course of the Study13

Part Ⅰ The Theoretical and Methodical Foundations of the New Lex Mercatoria Doctrine17

Chapter 1 Traditional Concepts to Overcome Deficiencies in the Application of Domestic Law in Transnational Commercial Contexts19

Ⅰ. Inadequacy of Domestic Law as a Legal Framework for Transnational Commercial Transactions19

A. Conflict of Laws21

B. Substantive Law26

1. Statutory Law26

2. Case Law28

Ⅱ. Escaping the Dilemma of the International Legal Process30

A. Solutions on the Conflict of Laws Plane30

1. The 'Better-Law Approach'30

2. The 'Comitas' Doctrine31

B. 'Hybrid' Solutions34

1. Substantive Law Rules ('Regies Materielles')34

2. General Principles of Law35

C. Solutions on the Substantive Law Plane36

1. Special Statutes for International Trade36

2. Internationally Useful Construction of Domestic Laws38

Ⅲ. The Changing Paradigm of International Commercial Law: Privatized Law-Making40

A. ISO, IAS/IFRS, Basel II: From Technical Standardization to Private Law-Making41

B. Decentralizing the Law-Making Process43

C. Legitimizing Privatized Law-Making46

Ⅳ. Summary50

Chapter 2 The Dogmatic Foundations of the New Lex Mercatoria Doctrine53

Ⅰ. The Status Quo in the Discussion on the Concept of a Transnational Commercial Law53

A. Antinomy of Viewpoints53

B. The Need for a Uniform Substantive Law of International Commerce and Trade55

C. Confusion of Terminology58

1. Disadvantages of Descriptive Terminology59

a. De Facto Similarities of Domestic Legal Systems59

b. Uniform Law Created by International Conventions60

c. Unified Contractual Provisions60

2. Substantive Understanding of Terminology61

a. Three Possible Meanings of 'Lex Mercatoria'61

b. Consequences of the Different Terminological Approaches63

Ⅱ. Traditional Objections Against the New Lex Mercatoria Doctrine64

A. The New Lex Mercatoria Doctrine Has No Methodical Foundation65

1. The Methodical Starting Point: 'Functional Legal Comparison'66

a. The Basic Comparative Approach66

b. Purpose of the Functional Legal Comparison69

c. Details of the Comparative Process69

2. Benefits of the Functional Legal Comparison for the New Lex Mercatoria Doctrine71

a. The Use of Comparative Law in the New Lex Mercatoria Context71

b. Functional Legal Comparison and the Legitimacy of the New Lex Mercatoria Doctrine73

c. The Dual Approach: Reception of General Principles of Law and Determination of Common Convictions of the 'Societas Mercatorum'73

d. The Search for a 'Better' Solution75

B. The Application of the New Lex Mercatoria Leads to a Decision In Equity76

1. Practical Difficulties in the Finding of the Law78

2. The Application of the New Lex Mercatoria Leads to Ex Aequo Et Bono Decisions Without Authorization by the Parties79

a. Differences Between Equitable Considerations Prescribed by the Law and Ex Aequo Et Bono Decisions80

b. Ex Aequo Et Bono Decisions as a Source of a New Lex Mercatoria81

C. The Making of the New Lex Mercatoria Does Not Enjoy the Necessary Transparency84

1. Theoretical Significance of Legal Transparency84

2. Increasing Publicity of International Arbitral Awards85

D. The New Lex Mercatoria Lacks Procedural Legitimacy87

1. International 'Formulating Agencies'88

a. Objections to the Idea of 'Codification Through Formulating Agencies'89

b. Increasing 'Depolitization' of the Decision-Making Process of 'Formulating Agencies'91

2. International Commercial Arbitration92

a. Lack of Forensic Quality of the International Arbitral Process94

b. No Stages of Appeal95

E. The New Lex Mercatoria Results in the Circumvention of Provisions With Ordre Public Quality99

F. Domestic Legislatures and Courts Do Not Acknowledge the New Lex Mercatoria102

1. The Classical Conflict of Laws Doctrine Does Not Accept the Idea of the Transnationalization of Commercial Law102

2. Approximation of Traditional Conflict of Laws Doctrine and Transnational Law102

a. Approximation in the Field of International Commercial Arbitration102

b. Approximation in the Field of Classical Conflict of Laws Doctrine108

G. The New Lex Mercatoria Does Not Have the Quality of an 'Autonomous Legal System'114

1. The New Lex Mercatoria as a Legal 'System'115

a. Ambiguity of the Notion of 'System'116

b. Increasing Systematization of the New Lex Mercatoria117

2. The New Lex Mercatoria Does Not Constitute a 'Self-contained' System118

a. Incomplete Character of Domestic Legal Systems119

b. Approximation of the Courts' Function in Civil and Common Law Jurisdictions120

c. 'Opening Clauses' in Domestic Legal Systems125

d. Consequences for the New Lex Mercatoria Doctrine127

3. The New Lex Mercatoria as a 'Transnational' Legal System128

a. The Functional Notion of Law130

b. The Pluralistic Theory of Legal Sources: The New Lex Mercatoria as 'Reflexive Law'131

aa. Rule-making at the 'Periphery' of the Legal Process131

bb. Globalization and the Law134

cc. Early Examples of Transnationalism135

(a) Raiser135

(b) Zitelmann and Lambert136

(c) Duguit137

c. The International Community of Merchants as a Source for the Creation of Transnational Law137

d. The Contractual Consensus as the Core of Decentralized Law-Making138

e. Necessity of a 'Multi-Party Agreement'?143

Ⅲ. Summary146

Part Ⅱ The New Lex Mercatoria in Practice: New Approaches towards the Codification of Transnational Commercial Law149

Chapter 3 Previous Projects for the Codification of Transnational Contract Law151

Ⅰ. Bilateral and Regional Projects152

A. The Draft of a Franco-Italian Obligation Law152

1. History and Contents152

2. Reasons for the Failure of the Project153

B. The American 'Restatement of the Law of Contracts'154

1. Drafting History, Contents and Legal Effect154

2. Creative Function of the Restatements156

C. The Project of the Former Council for Mutual Economic Assistance for a General Law on International Commercial Contracts157

D. The Project of a European Civil Code of the Pavia Group158

E. The Study Group on a European Civil Code160

Ⅱ. Projects for the Global Unification of Contract Law162

A. The 'Common Core of Legal Systems' of Cornell Law School162

1. History and Substance of the Project162

2. Limited Use of the Project164

a. Important Legal Systems Were Not Covered by the Study164

b. The Project Does Not Take Account of Social Reality165

c. The Project Neglects the Interaction Between General Principles of Law and Concrete Norms as the 'True Basis of a Realistic Approach to Comparative Law'166

B. The Plan of the UNIDROIT Secretariat for the 'Progressive Codification' of International Trade Law169

1. The Report of the UNIDROIT Secretariat on the 'Progressive Codification of the Law of International Trade'169

2. The Plan to Draft a 'Restatement' Anchored in Public International Law171

a. Rene David's Proposal for a 'Code Modele de Base'171

b. France's Proposal for the Drafting of a Framework Convention for the Ius Commune of International Trade Law172

c. Clive Schmitthoff's Proposal for an 'Approval Committee' of UNCITRAL173

3. First Steps Towards the Drafting of an American-Style Restatement of International Contract Law174

Ⅲ. Summary176

Chapter 4 Informal Approaches Towards the Codification of the New Lex Mercatoria177

Ⅰ. Restatements of International Contract Law180

A. The UNIDROIT Principles of International Commercial Contracts180

1. UNIDROIT's Organizational Framework180

2. Steering Committee and UNIDROIT Working Group181

a. The Steering Committee181

b. The Working Group182

3. The Method Adopted by the Working Group183

a. The Functional Comparative Methodology183

b. Methodical Particularities184

aa. Foreign Trade Laws of (Formerly) Communist Legal Systems184

(a) The International Commercial Contracts Act of the Former GDR185

(b) The Law of International Trade of the Former Czechoslovakia186

(c) The Foreign Economic Contract Law of the People's Republic of China187

bb. 'Hybrid' Laws and 'Extralegal Phenomena'187

4. The Basic Decision: 'Restatement' Versus International Convention or Model Law189

5. Common Features and Differences Between the UNIDROIT Principles and the American Restatements191

6. Scope of the Principles193

a. No Definition of 'International' Contracts194

b. No Definition of 'Commercial' Contracts195

7. Contents of the Principles198

a. Structure198

b. Constituent Elements of a Legal System: The Interaction Between 'General Principles' and 'Rules'201

aa. The Differentiation Between 'General Principles' and 'Rules'201

bb. Consequences of this Differentiation for the UNIDROIT Principles202

8. Dispositive Character of the UNIDROIT Principles212

9. Influence of Mandatory Provisions of Other Domestic Legal Systems213

10. Functional Scope of the Principles: The Options Contained in the Preamble213

a. Application of the Principles in Cases Where 'the Parties Have Agreed That Their Contract Be Governed by Them'215

b. Application of the Principles in Cases Where 'the Parties Have Agreed That Their Contract Be Governed by General Principles of Law, the Lex Mercatoria or the like'215

c. The Principles May Provide a Solution to an Issue Raised When It Proves Impossible to Establish the Relevant Rule of the Applicable Law220

d. The UNIDROIT Principles as a Means to Interpret or Supplement International Uniform Law Instruments221

e. The UNIDROIT Principles as a Means for the Internationally Useful Interpretation or Supplementation of Domestic Laws223

aa. Comparative Method of Construction224

bb. 'Anticipatory' Method of Construction226

(a) Methodical Basis226

(b) Limited Use of the Anticipatory Approach for the UNIDROIT Principles227

cc. Consequences228

dd. Application of the Concept in Arbitral Practice229

f. The UNIDROIT Principles as a Model for National and International Legislatures232

11. The 2004 Edition of the UNIDROIT Principles233

12. Towards the 2010 Edition of the Principles234

B. The Principles of European Contract Law of the Lando Commission234

1. Heterogeneous Character of 'European Private Law'234

2. The Principles of European Contract Law as the Foundation Stone for a 'European Ius Commune'238

a. Drafting History238

b. Structure and Contents242

c. Options for the Application of the Principles245

d. The Lando Principles as a First Step towards a European Civil Code247

Ⅱ. Escaping the Codification Dilemma: The 'Creeping Codification of the New Lex Mercatoria'250

A. Deficiencies of the Restatement Technique250

1. No Positive Statement by the Drafters as to the Existence of the New Lex Mercatoria251

2. Restatements as a 'Comparative Snapshot'251

B. 'Codification' Versus 'Progressive Development': Irreconcilable Contradiction or Redefinition of Traditional Codification Techniques?252

1. The Codification of Public International Law Through the International Law Commission253

2. The Search for a New Codification Method254

C. The New Concept: The 'Creeping Codification' of the New Lex Mercatoria255

1. Previous Efforts to Draft Lists of General Principles and Rules of the New Lex Mercatoria258

2. Contribution of the Lists to the Discussion of the New Lex Mercatoria Doctrine262

3. The Role of General Principles of Law263

a. Genetic Function of General Principles of Law264

b. General Principles of Law as Reference Points for Valuation Processes Within the System of the New Lex Mercatoria265

4. The Open-Ended Character of the List267

5. Creeping Codification Online: The TransLex Principles270

a. History of the List271

b. History of the Online Codification Platform 'TransLex' (www.trans-lex.org)271

aa. The Predecessor: The Transnational Law Database (Tldb)272

bb. From the Tldb to the TransLex Principles273

c. Features of the TransLex Principles: The Online Codification Process275

aa. Content and Structure of the List275

bb. Formulation and Reformulation of the Principles and Rules Contained in the List277

d. The Meaning of 'Codification' in the Context of the New Lex Mercatoria281

e. Updating and Developing the List283

Ⅲ. Summary287

Conclusion289

Bibliography295

Annexes357

Ⅰ. Professor Philippe Kahn: Vers la quete de la Lex Mercatoria: l'apport de l'ecole de Dijon, 1957-1964 (with English translation)357

Ⅱ. Professor Berthold Goldman: La Compagnie de Suez, societe internationale, Le Monde, 4th Oct. 1956, p. 3 (English translation)368

Ⅲ. TransLex Principles371

Index407