Code ISBN : 978-92-842-0645-2 Weight : 1.0000 kgs Number of pages : 308 Publishing date : 2023 Language : English

Foreword Eduardo Silva Romero.... 9 Introductory remarks Maria Inès Sola and Lauro Da Gama, e Souza Jr.... 10 Preamble John W.H. Denton..... 15 Chapter 1 Evolving expectations on business responsibilities for the environment Stuart Bruce..... 17 I. Introduction..... 17 II. Historical evolution of international sustainability policy and business responsibility: 1972-2014..... 17 II.A. First period, 1972-1991..... 18 II.B. Second period, 1992-2013..... 18 II.C. Third period, 2014 to date..... 19 III. Economic frameworks and developments driving action on business climate resilience and mitigation..... 20 III.A. Reporting frameworks and regulations..... 20 III.B. Moving towards organisational resilience and transition plans..... 21 IV. Concluding reflections..... 22 Chapter 2 The ‘hardening’ and ‘broadening’ of norms on business and human rights Douglass Cassel..... 27 I. Introduction and overview:.... 27 I.A. ‘Hardening’ of International and Transnational BHR Norms..... 28 I.B. ‘Broadening’ of international and transnational BHR norms..... 31 I.C. Following sections..... 31 II. The UN Guiding Principles on Business and Human Rights..... 32 II.A. Background..... 32 II.B. The three-part framework on business and human rights..... 33 II.C. The UN Guiding Principles on Business and Human Rights..... 34 III. The ‘hardening’ of international and transnational norms on business and human rights..... 36 III.A. Regional and national human rights due diligence legislation with transnational effect..... 36 III.B. Court judgments against companies..... 45 III.C. Court judgments against States..... 54 III.D. Criminal cases..... 57 III.E. Import controls..... 60 III.F. Investment Law..... 63 III.G. Potential UN treaty on business and human rights..... 70 IV. The ‘broadening’ of international and transnational norms on business and human rights..... 72 IV.A. Treaties and declarations..... 72 IV.B. Judicial rulings..... 73 IV.C. Pending requests for advisory opinions on climate change..... 76 IV.D. Conclusion on environment..... 76 V. Conclusion..... 76 Chapter 3 International public policy, related concepts and legal regimes Pierre Mayer..... 92 I. The notion and general effect of international public policy..... 92 I.A. Notion..... 92 I.B. General effect..... 94 II. Diversity of situations and legal regimes..... 95 II.A. Situations that are not affected by the international public policy character of the relevant rules or principles..... 95 II.B. Distinction between situations involving values and situations in which crucial objectives are pursued..... 96 Chapter 4 International public policy revisited—summary report Galina Zukova..... 99 Chapter 4a Human rights, environment and international public policy—key decisions of Switzerland’s highest court Dorothee Schramm..... 105 I. International public policy in Swiss private law..... 105 II. Human rights and international public policy in Switzerland..... 107 II.A. Swiss public policy in the context of the applicable law..... 107 II.B. Swiss public policy in the context of recognising and enforcing foreign decisions..... 107 II.C. Transnational public policy in the context of a challenge against a Swiss international arbitral award..... 108 II.D. Observations..... 110 III. Do environmental protections form part of international public policy in Switzerland?..... 110 IV. Conclusion..... 112 Chapter 4b Climate change, human rights, and international public policy: an Asia-Pacific perspective Swee Yen Koh, SC and Alessa Pang..... 115 I. International public policy—a definitional quagmire..... 116 II. Asia-Pacific case studies..... 117 II.A. Australia..... 117 II.B. India..... 118 II.C. Pakistan..... 119 II.D. The Philippines..... 120 III. Future developments..... 122 IV. Conclusion—beyond domestic climate change litigation.... 123 Chapter 4c U.S. public policy cases relating to the concepts of international public policy and public policy relating to the protection of human rights and the environment Matthew Draper..... 127 I. “International public policy” in the U.S. at present..... 127 II. Principle of comity..... 127 III. Overriding the applicable law?..... 127 IV. Arbitrators and the applicable public policy..... 127 V. Will future cases confirm the trend concerning public policy and protection of the environment?....128 VI. Case study.... 129 Chapter 4d Latin America perspective Martim Della Valle..... 131 I. Public policy in Latin America: a short recap..... 131 II. Main recent cases..... 132 II.A. Brazil: Civil Appeal No. 0003947-44.2012.4.01.3600, First Federal Regional Court (30 November 2016)..... 132 II.B. Brazil: Civil Appeal No. 0025999-75.2010.4.01.3900, First Federal Regional Court (26 March 2014)..... 133 II.C. Brazil: Interlocutory Appeal No. 5003779-88.2021.4.04.0000/SC, Fourth Federal Regional Court (27 April 2021)..... 133 II.D. Mexico: Unconstitutionality Action 110/2019 (19 May 2022)..... 133 II.E. Mexico: Unconstitutionality Action 204/2020 (7 June 2022)..... 134 II.F. Mexico: Unconstitutionality Action 18/2021 (12 August 2021)..... 134 II.G. Inter-American Court of Human Rights: Case of Alvarado Espinoza et al. v Mexico (28 November 2018)..... 134 II.H. Inter-American Court of Human Rights: Case of the Miskito Divers (Lemoth Morris et al.) v Honduras (31 August 2021)..... 134 III. Conclusion..... 135 Chapter 5 The duties and powers of judges and arbitrators in relation to public policy when faced with environmental and human rights issues Lucinda A Low..... 138 I. International human rights and environmental norms in general..... 139 I.A. Human rights..... 139 I.B. The Environment..... 140 II. Emerging and evolving corporate social responsibility, business and human rights, and ESG standards..... 142 II.A. International norms and guidance..... 143 II.B. Sector-, issue- or activity-specific standards and the UN Guiding Principles..... 144 II.C. National and regional binding norms..... 145 II.D. Anti-corruption.... 147 II.E. Compliance implications..... 148 III. Public policy: domestic, international and transnational..... 149 III.A. Initial observations..... 149 III.B. IPP/TPP and corruption..... 150 III.C. Environmental and human rights norms and public policy..... 152 IV. Powers of arbitrators and judges in relation to public policy..... 156 V. Environmental and human rights issues in arbitration..... 157 V.A. Investor-State..... 157 V.B. International commercial arbitration..... 162 V.C. Other issues..... 163 Chapter 6 The role of judges and arbitrators in transnational business and human rights disputes Hélène Ruiz Fabri and Gustavo Becker..... 182 I. Introduction..... 182 II. Transnational business and human rights disputes..... 184 III. Business and human rights litigation: litigating before courts from home and host States.... 186 III.A. Litigating before courts of host States..... 187 III.B. Transnational business and human rights: litigating before courts of home States..... 188 IV. Beyond national courts: the rise of alternative dispute resolution for transnational business and human rights disputes..... 192 IV.A. Independent grievance mechanisms..... 193 IV.B. Arbitration..... 195 V. Transnational business and human rights disputes through arbitration and the role of arbitrators..... 197 V.A. The Bangladesh Accord arbitrations..... 198 V.B. The Hague Rules on business and human rights arbitration..... 201 V.C. An assessment of the need for procedural adaptations to accommodate business and human rights demands into arbitral proceedings..... 204 VI. Conclusion..... 207 Chapter 7 Role and responsibilities of States to ensure MNEs compliance with environment and human rights obligations Makane Moïse Mbengue and Damien Charlotin.... 215 I. Introduction..... 215 II. Obligations of States under International Law..... 216 II.A. Customary International Law..... 216 II.B. A new generation of international instruments..... 219 III. Implementing MNEs obligations and holding them accountable..... 222 III.A. Prosecuting MNEs in Domestic Courts..... 222 III.B. Non-compliance as a relevant consideration for mnes rights and obligations..... 223 IV. The way forward—international compliance disputes..... 224 IV.A. Adjudicatory bodies for environment and human rights..... 225 IV.B. Arbitration and mediation..... 225 Chapter 8 Effectiveness of compliance in environment and human rights-appropriate reparations: corrective actions, affectation of proceeds and rehabilitation over time José Manuel García Represa..... 230 I. Introduction..... 230 I.A. The present: much has been achieved thus far, but still a long road ahead of us..... 230 I.B. Has international arbitration a role to play for reparations in the future?..... 232 I.C. Where do we go from here?..... 233 II. Reparations of environmental harm..... 233 II.A. Corrective actions..... 234 II.B. Rehabilitation over time..... 235 II.C. Affectation or earmarking of proceeds to environmental restoration objectives..... 237 III. Achieving appropriate and effective reparations in international arbitration..... 240 III.A. The challenges of ascertaining appropriate reparations of environmental harm through international arbitration proceedings..... 240 III.B. Driving change to ensure effective reparations of environmental harm through international arbitration..... 245 IV. Conclusion..... 252 Chapter 9 Effectiveness of compliance with environment and human rights at the post-award stage Maxi Scherer..... 259 I. Introduction..... 259 II. International Commercial Arbitration..... 259 II.A. Environmental norms and human rights as general concept of public policy..... 260 II.B. Environmental norms and human rights as overriding mandatory norms..... 261 III. Investment arbitration..... 262 IV. Conclusion..... 264 Closing remarks Patrick Thieffry..... 268 Table of cases..... 280 Biographies..... 288 ICC dispute resolution publications..... 301 About ICC..... 308

Edited by Lauro Da Gama, e Souza Jr Maria Inès Sola Patrick Thieffry Authors (as they appear in the publication) Eduardo Silva Romero Maria Inès Sola Lauro Da Gama, e Souza Jr John W.H. Denton Stuart Bruce Douglass Cassel Pierre Mayer Galina Zukova Dorothee Schramm Swee Yen Koh, SC Alessa Pang Matthew Draper Martim Della Valle Lucinda A Low Hélène Ruiz Fabri Gustavo Becker Makane Moïse Mbengue Damien Charlotin José Manuel García Represa Maxi Scherer Patrick Thieffry