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Oxford Law Citator
Contents
Expand All
Collapse All
Preliminary Material
Dedication
Preface
Table of Contents
Table of Cases and Other Practice
The Practice of Tribunals Applying the UNCITRAL Rules
A Iran–US Claims Tribunal
(1) Awards, decisions, and orders
(a) State-to-state claims
(b) Claims of Nationals
(2) Challenge cases
(3) Refusal cases
(4) Other practice
B Practice of Investment and other Tribunals
(1) Awards, decisions, and orders
(2) Challenge cases
Practice of Other Courts and Tribunals
A International Courts and Tribunals
B National and European Courts and Tribunals
1 Australia
2 Austria
3 Ecuador
4 Europe
5 France
6 Germany
7 Netherlands
8 Nigeria
9 Sweden
10 United Kingdom
11 United States of America
Table of Instruments
UNCITRAL Instruments
Iran–US Claims Tribunal
Other Institutions’ Rules
International Conventions, Treaties, Agreements etc
National Legislation
Austria
Belgium
Canada
China
Finland
France
Germany
Indonesia
Iran
Italy
Lebanon
Netherlands
New Zealand
Portugal
Spain
Sweden
Switzerland
Turkey
United Kingdom
United States of America
List of Abbreviations
Main Text
Ch.1 Introduction
1 Introduction
2 The International Arbitral Process and the Work of UNCITRAL
3 The Development of the UNCITRAL Rules of Procedure
A The Drafting of the 1976 Rules
B The UNCITRAL Rules and the Iran–US Claims Tribunal
(1) The Origins and Structure of the Iran–US Claims Tribunal
(2) The Tribunal's Use of the UNCITRAL Arbitration Rules
C The UNCITRAL Rules and the 1985 UNCITRAL Model Law
D Adoption of the UNCITRAL Rules in other Public and Private Institutions
E Investor–State Arbitration and the UNCITRAL Rules
F The 2010 UNCITRAL Rules
G The Work of UNCITRAL on Rules for Transparency in Investor–State Arbitration
4 How to Use this Commentary
A Navigating the Text
B The Interplay between the 1976 Rules and 2010 Rules in Application and Interpretation
C The Extracts
D Further Research
5 Conclusion
Part I Fundamental Principles and the Legal Framework within which the Arbitral Tribunal Operates
Preliminary Material
Introduction
Ch.2 Scope of Application, General Provisions, and Place of Arbitration
1 Introduction
2 Scope of Application—Article 1
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) Scope of application—Article 1(1)
(3) No writing requirement for agreement to arbitration—Article 1(1)
(4) Party autonomy and modification of the Rules—Article 1(1)
(5) Presumptive scope of application—Article 1(2) and (3)
(6) Future transparency rules for investor–state arbitration
(7) Model arbitration clause
(8) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment and other Tribunals
(1) Article 1(1) (1976 Rules)—scope and modification
(2) Article 1(2) (1976 Rules)—non-derogation from mandatory law
3 General Provisions—Article 17
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Basic principles—Article 17(1)
(a) Arbitral autonomy and its limits
(b) Confidentiality in UNCITRAL arbitration
(c) Non-disputing party ( amicus ) submissions in UNCITRAL arbitration
(d) The nature of the proceedings before the Iran–US Claims Tribunal
(e) Concluding comments
(2) Provisional timetable and modifications of time periods—Article 17(2)
(a) Provisional timetable
(b) Modifications of time periods
(c) Issues of general application
(3) Right to a hearing—Article 17(3)
(a) Scope of hearings
(b) Timing of hearing requests
(c) Preliminary meetings
(4) Communication of documents—Article 17(4)
(5) Joinder of third persons—Article 17(5)
(6) Consolidation of claims
(7) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment and other Tribunals
(1) Article 15(1) (1976 Rules)—general
(2) Article 15(1) (1976 Rules)—amicus submissions
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) General and Tribunal Rules (1983), Article 15(1)
(2) Tribunal Rules (1983), Article 15(2)
4 Place of Arbitration—Article 18
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Meaning of “place of arbitration”
(2) Selection of the place of arbitration—Article 18(1)
(a) Considerations to be taken into account
(1) Nature and suitability of the local law
(2) Enforceability of the award
(3) Neutrality
(4) Practical considerations
(b) Decision on place of arbitration not procedural; consultation with the parties
(3) Where the award is “deemed to have been made”—Article 18(1)
(4) The location of tribunal deliberations and meetings “for any other purpose, including hearings”—Article 18(2)
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
Ch.3 Applicable Law, Amiable Compositeur
1 Introduction
2 Applicable Law—Article 35
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The primary rule—Article 35(1)
a The principle of party autonomy and its application
b Choice of applicable law where not designated by the parties
2 )Amiable compositeur or ex aequo et bono—Article 35(2)
3 The significance of the contract and of trade usages—Article 35(3)
4 Comparison to the 1976 UNCITRAL Rules
5 A note on the Iran–US Claims Tribunal
C Extracts from the Practice of Investment Tribunals
D Extracts from the practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 33(1)
2 Tribunal Rules (1983), Article 33(2)
3 Tribunal Rules (1983), Article 33(3)
4 Other practice of the Iran–US Claims Tribunal
Part II Arbitral Procedures to Control the Selection and Conduct of Arbitrators
Preliminary Material
Introduction
Ch.4 The Number and Selection of Arbitrators
1 Introduction
2 Designating and Appointing Authorities—Article 6
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Opportunities for agreement on an appointing authority—Article 6(1)
2 The role of the designating authority—Article 6(2) and (4)
3 Suspension of time periods in the absence of an appointing authority—Article 6(3)
4 The role of the appointing authority—Article 6(5)–(7)
C Extracts from the Practice of the Iran–US Claims Tribunal
3 The Number of Arbitrators—Article 7
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The default rule on the number of arbitrators—Article 7(1)
2 The exception to the default rule of three arbitrators—Article 7(2)
3 A number of arbitrators other than one or three
4 Appointment of the Sole Arbitrator—Article 8
A Text of the 2010 UNCITRAL Rule
B Commentary
5 Appointment of a Three-Person Panel—Article 9
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The right of each party to appoint an arbitrator
2 The appointment of the presiding arbitrator
C Extracts from the Practice of Investment Tribunals
6 Appointment in Multi-Party Arbitration—Article 10
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The requirements for appointment—Article 10(1) and (2)
2 The power of the appointing authority to appoint and reappoint—Article 10(3)
7 Comparison to the 1976 UNCITRAL Rules
Ch.5 The Challenge of Arbitrators
1 Introduction
A An Overview of Challenges before Investment and other Tribunals
1 Challenge decision of April 15, 1993
2 Challenge decision of January 11, 1995
3 Challenge decision by a Division of the LCIA—October–December 2005
4 The US Government's challenge of Professor James Anaya in the Grand River arbitration—2007
5 The Argentine Government's challenge of Mr Judd L Kessler in the National Grid arbitration—2007
6 The Argentine Government's challenges of Professor Gabrielle Kaufmann-Kohler in the AWG Group arbitration—2007–2008
a The Argentine Government's first challenge—2007
b The Argentine Government's second challenge—2008
7 The Argentine Government's challenge of Mr Stanimir Alexandrov in the ICS arbitration—2009
8 The claimant's challenge to Mr J Christopher Thomas in the Gallo arbitration—2009
B An Overview of the Challenges before the Iran–US Claims Tribunal
1 The Iranian Government challenge of Nils Mangård—1982
2 The US Government challenge of Judges Kashani and Shafeiei—1984
3 The first Iranian Government challenge of Judge Briner in Case No 55, Amoco Iran and Islamic Republic of Iran—1988
4 The second Iranian Government challenge of Judge Briner—1989
5 The third Iranian Government challenge of Judge Briner—1989
6 The US claimant's challenge of Judge Noori in Case No 248, Carlson and Melli Industrial Group—1990
7 The Iranian Government challenge of Judge Arangio-Ruiz—1991
8 The Iranian Government challenges of Judge Krzysztof Skubiszewski—1999
9 The US Government challenge of Judge Bengt Broms—2001
10 The US claimant's challenge of Judge Bengt Broms in connection with Case No 485, Frederica Lincoln Riahi—2004
11 The US Government challenge of Judges Assadollah Noori, Koorosh Ameli, and Mohsen Aghahosseini—2005–2006
12 The Iranian Government Challenge of Judge Krzysztof Skubiszewski and the US Government Challenge of Judge Hamid Reza Oloumi Yazdi—2007
13 The Iranian Government challenge of Judge Krzysztof Skubiszewski and Judge Gaetano Arangio-Ruiz—2009
14 The US Government challenge of Judge Seyed Jamal Seifi—2010
15 The Iranian Government Challenge of Judge Charles Brower—2010
C The Exclusivity of the UNCITRAL Challenge Procedure
2 The Duty to Disclose—Article 11
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The duty to disclose
2 Model statements of independence
3 Disclosure guidelines of the Iran–US Claims Tribunal
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 General
2 Disclosure by the US Arbitrators
3 The Grounds for Challenge—Article 12
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Challenge on the ground of justifiable doubts as to impartiality or independence—general remarks on Article 12(1)
a The standard for impartiality and independence is objective
b The same standard applies to party-appointed and non-party-appointed arbitrators
c Criteria regarding and examples of justifiable doubts
2 Challenge on the ground of justifiable doubts as to impartiality or independence
a The meaning of “impartiality” and “independence”
b When are doubts as to impartiality or independence justified?
1 An arbitrator's relationship with a witness
2 An arbitrator's financial relationship with a party (shareholding)
3 An arbitrator's financial relationship with a party (salary)
4 An arbitrator's previous employment by the parent corporation of a party
5 An arbitrator's representation in another forum that is adverse to a party
6 An arbitrator's previous advocacy on behalf of a country formerly adverse to a sovereign party
7 An arbitrator's representation of a third party with a right to intervene in the proceedings
8 An arbitrator's handling of the proceedings
9 An arbitrator's statement regarding a party or the dispute
10 An arbitrator's decision-making
11 An arbitrator's breach of the confidentiality of deliberations
12 An arbitrator's physical assault of a fellow arbitrator
c The standard of independence and impartiality does not vary according to the stage of the proceedings
d A failure to disclose under article 11 may give rise to, but does not per se establish, justifiable doubts as to impartiality or independence
e Are there any limitations on the circumstances which may be used as the basis for justifiable doubts?
3 Article 12(1) as providing the exclusive grounds for challenge
4 When may a party challenge the arbitrator it has appointed—Article 12(2)
C Extracts from the Practice of Investment and other Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 10(1)
2 Tribunal Rules (1983), Article 10(2)
4 The Initiation of the Challenge and the Potential for Agreement to the Challenge—Article 13
A Text of the 2010 UNCITRAL Rule
B Commentary
1 When notice of challenge must be made—Article 13(1)
a General comments on the travaux préparatoires
b When circumstances “became known” to the challenging party
1 Burden of proof
2 Actual prior knowledge
2 To whom should notice be sent; what form should notice take; sufficiency of the notice; who may send notice—Article 13(2)
3 Procedure if challenge is accepted by all other parties or challenged arbitrator withdraws—Article 13(3)
4 Timeline for seeking a decision on a challenge—Article 13(4)
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 11(1)
2 Tribunal Rules (1983), Article 11(2)
3 Tribunal Rules (1983), Article 11(3)
5 The Resolution of the Challenge
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Which authority shall make the decision on the challenge if the other party does not agree to the challenge or the challenged arbitrator does not withdraw?
2 When may a party seek the assistance of the PCA Secretary-General in designating an appointing authority?
3 What procedures the appointing authority may follow in deciding the challenge
4 Limitations on the powers of the appointing authority
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 12(1)
2 Tribunal Rules (1983), Article 12(2)
6 Comparison to the 1976 UNCITRAL Rules
Ch.6 Failure to Act, other Disruptions, and the Replacement of an Arbitrator
1 Introduction
2 Failure to Act and other Disruptions—Article 12(3)
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Drafting history of the rule and general comments
2 Iran–US Claims Tribunal practice with respect to an arbitrator's failure to act
3 Iran—US Claims Tribunal practice with respect to other disruptions
a A note on substitute arbitrators
b A note on truncated proceedings
1 The absence of Mr Sani, Fall 1983
2 The absence of Judge Mostafavi, Spring 1988
3 The practice of the Tribunal regarding absence from the hearing
4 The practice of the Tribunal regarding the rendering of awards despite a refusal to sign
5 The practice of the Tribunal regarding the rendering of awards on agreed terms despite no participation by an arbitrator
6 The practice of the Tribunal regarding the holding of pre-hearing conference despite the absence of an arbitrator
c A note on resignation of an arbitrator
4 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 13(1)—Resignation
2 Tribunal Rules (1983), Article 13(2)—Failure to act
3 Tribunal Rules (1983), Article 13(3)
4 Tribunal Rules (1983), Article 13(4)
5 Tribunal Rules (1983), Article 13(5)
3 Replacement of an Arbitrator—Article 14
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Rationale for the revised approach: the problem of spurious resignations
2 Procedures when an arbitrator “has to be replaced”—Article 14(1)
3 Replacement of an arbitrator in “exceptional circumstances”—Article 14(2)
a Depriving a party of its right to appoint
b Procedural requirements
c Exclusivity of the discretion of the appointing authority
d Agreement between the parties
4 Comparison to the 1976 UNCITRAL Rules
a The express power to proceed
b The inherent power to proceed
4 Repetition of Hearings in the Event of Replacement of an Arbitrator—Article 15
A Text of the 2010 UNCITRAL Rule
B Commentary
1 General comments
2 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of the Iran–US Claims Tribunal
Ch.7 Exclusion of Liability for Arbitrators and other Participants
1 Introduction
2 Exclusion of Liability for Arbitrators and other Key Actors—Article 16
A Text of the 2010 UNCITRAL Rule
B Commentary
1 General
2 Practice of the Iran–US Claims Tribunal
3 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
Ch.8 The Institution of the Appointing Authority
1 Evolution of the UNCITRAL Approach?
2 The Appointing Authority and Composition Generally
3 Lessons from the Iran–US Claims Tribunal for the Office of the Appointing Authority
Part III The Initiation of the Arbitration and the Identification and Clarification of the Issues Presented
Preliminary Material
Introduction
Ch.9 Representation and Assistance
1 Introduction
2 Representation and Assistance—Article 5
A Text of the 2010 UNCITRAL Rule
B Commentary
1 The right to representation and assistance by persons chosen
2 Communicating the identity and role of representatives and advisers
3 Proof of a representative's authority
4 Practice of the Iran–US Claims Tribunal
5 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
Ch.10 The Notice Initiating Arbitration and the Response
1 Introduction
2 The Notice Initiating Arbitration—Article 3
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The requirement to communicate a notice of arbitration—Article 3(1)
(2) The date of commencement of arbitration proceedings—Article 3(2)
(3) Mandatory information provided in the notice of arbitration—Article 3(3)
(4) Additional information provided in the notice of arbitration—Article 3(4)
(5) Insufficiency of the notice of arbitration—Article 3(5)
(6) International investment agreements and the notice of arbitration
(7) The notice of arbitration at the Iran–US Claims Tribunal
(8) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
3 The Response to the Notice of Arbitration—Article 4
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The requirement to respond to the notice of arbitration—Article 4(1)
(2) Mandatory contents of the response to the notice of arbitration—Article 4(1)
(3) Optional contents of the response to the notice of arbitration—Article 4(2)
(4) Absence, lateness, or insufficiency of the response to the notice of arbitration—Article 4(3)
(5) Comparison to the 1976 UNCITRAL Rules
Ch.11 The Choice of Language
1 Introduction
2 The Choice of Language—Article 19
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Determination of the language of arbitration—Article 19(1)
(2) Translation of documents and exhibits—Article 19(2)
(3) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 17(1)
(2) Tribunal Rules (1983), Article 17(2)
Ch.12 Notice and the Calculation of Periods of Time
1 Introduction
2 Notice and Calculation of Periods of Time—Article 2
A Text of the 2010 UNCITRAL Rule
B Commentary
1 What form notice may take—Article 2(1)
2 When notice becomes effective—Article 2(2)–(4)
a A notice is “deemed to have been received”
b Means of delivery, including by electronic communication
1 Electronic communications
c Application of Article 2(1) of the 1976 UNCITRAL Rules by the Iran–US Claims Tribunal
3 How to calculate periods of time under the Rules—Article 2(5)–(6)
4 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–United States Claims Tribunal
1 Tribunal Rules (1983), Article 2(1)
2 Tribunal Rules (1983), Article 2(2)
3 Tribunal Rules (1983), Article 2(3)
4 Tribunal Rules (1983), Article 2(4)
5 Tribunal Rules (1983), Article 2(5)
Ch.13 Statements of Claim and Defence
1 Introduction
2 The Statement of Claim—Article 20
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Submission of the statement of claim
2 Contents of the statement of claim
3 Sanctions for an inadequate statement of claim
4 A note on the Iran–US Claims Tribunal
5 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 18(1)
2 Tribunal Rules (1983), Article 18(2)
3 The Statement of Defence—Article 21
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Submission of the statement of defence
2 Contents of the statement of defence
3 Submission of counterclaims and claims for the purpose of set-off
a General issues
b The counterclaim or the claim for a set-off must be within the jurisdiction of the arbitral tribunal
4 Supplementary provisions on counterclaims and claims for the purpose of set-off
5 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 19(1)
2 Tribunal Rules (1983), Article 19(2)
3 Tribunal Rules (1983), Article 19(3)
4 Tribunal Rules (1983), Article 19(4)
Ch.14 Objections to the Jurisdiction of the Arbitral Tribunal
1 Introduction
2 Objections to Jurisdiction—Article 23
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The power of the tribunal to determine its own jurisdiction—Article 23(1)
(2) Objections to the existence or validity of the contract of which the arbitration agreement is a part and the doctrine of separability—Article 23(1)
(3) When objections should be raised—Article 23(2)
(4) When objections should be ruled upon—Article 23(3)
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 21(1)
(2) Tribunal Rules (1983), Article 21(2)
(3) Tribunal Rules (1983), Article 21(3)
(4) Tribunal Rules (1983), Article 21(4)
Ch.15 Amendments to the Claim or Defence
1 Introduction
2 Amendments to the Claim or Defence—Article 22
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General
(2) The amendment must not fall outside the jurisdiction of the arbitral tribunal
(3) Grounds for rejecting an amendment: delay, prejudice or other circumstances
(4) Procedural questions
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
Ch.16 Further Written Statements and Time Limits on Submission
1 Introduction
2 Further Written Statements—Article 24
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
3 Time Limits on Submission—Article 25
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
Ch.17 Interim Measures
1 Introduction
2 Interim Measures—Article 26
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The precondition of a request by a party—Article 26(1)
(2) The types of interim measures that may be granted—Article 26(2)
(a) Maintain or restore the status quo
(b) Prevent prejudice to the arbitral process itself
(c) Preserve assets for possible satisfaction of award
(d) Preserve evidence
(3) Conditions for the ordering of interim measures—Article 26(3)
(a) A likely harm not adequately reparable by an award of damages
(b) An appropriate balance of likely harms
(c) A reasonable possibility of success on the merits
(d) Further conditions imposed by the agreement of the parties
(4) Conditions relaxed for the preservation of evidence—Article 26(4)
(5) The form (award or order) in which interim measures are granted
(6) Tribunal's power to modify, suspend or terminate interim measures—Article 26(5)
(7) Security for the costs of interim measures—Article 26(6)
(8) Disclosure by any party of any material change—Article 26(7)
(9) Liability for costs and damages—Article 26(8)
(10) Relations between the arbitral tribunal and municipal courts in issuing interim measures—Article 26(9)
(11) Issuance of preliminary orders
(12) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 26(1)
(2) Tribunal Rules (1983), Article 26(2)
(3) Tribunal Rules (1983), Article 26(3)
Part IV The Presentation of the Case: Evidence and Hearings
Preliminary Material
Introduction
Ch.18 Evidence
1 Introduction
2 Evidence—Article 27
A Text of the 2010 UNCITRAL Rule
B Commentary
1 Burden of proof—Article 27(1)
2 Definition of “witnesses”—Article 27(2)
a General comments
b Practice of the Iran–US Claims Tribunal
3 Written witness statements—Article 27(2)
4 Production of documents—Article 27(3)
a General comments
b Production of documents at the request of a party
c “Enforcement” of production orders
5 Admissibility, relevance, materiality, and weight of the evidence—Article 27(4)
6 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
1 Article 27(1) (1976 Rules)—Burden of proof
2 Article 27(2) (1976 Rules)—Definition of “witnesses”
3 Article 27(2) (1976 Rules)—Written witness statements
4 Article 27(3) (1976 Rules)—Production of documents
5 Article 27(4) (1976 Rules)—Admissibility, relevance, materiality, and weight of the evidence
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Tribunal Rules (1983), Article 24(1)—Burden of Proof
2 Tribunal Rules (1983), Article 24(2)—Summary of evidence
3 Tribunal Rules (1983), Article 24(3)—Document production
4 Tribunal Rules (1983), Article 25(5)—Written witness statements
5 Tribunal Rules (1983), Article 25(6)—Admissibility, relevance, materiality, and weight of the evidence
Ch.19 The Hearings
1 Introduction
2 The Hearings—Article 28
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Notice of hearing—Article 28(1)
(2) The conduct of the hearing—Article 28(2)–(4)
(a) The conditions for and manner of witness examination
(1) Notice of hearing and witness testimony
(2) Cross-examination
(3) Declarations
(b) Hearings normally held in camera
(c) Retirement of witnesses
(d) Examination without physical presence of witnesses
(e) Translation of oral statements, record of the hearing
(3) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
(1) The conditions for and manner of witness examination
(2) Hearings held in camera
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 25(1)
(2) Tribunal Rules (1983), Article 25(2)
(3) Tribunal Rules (1983), Article 25(3)
(4) Tribunal Rules (1983), Article 25(4)
3 Closure of the Hearing—Article 31
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Closure of the hearing—Article 31(1)
(2) Reopening of the hearing—Article 31(2)
(3) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 29(1)
(2) Tribunal Rules (1983), Article 29(2)
Ch.20 Tribunal-Appointed Experts
1 Introduction
2 Tribunal-Appointed Experts—Article 29
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) Appointment by the tribunal and terms of reference—Article 29(1)–(2)
(a) Appointment
(b) Terms of reference
(3) Objections to the qualifications or the impartiality and independence of the tribunal-appointed expert—Article 29(2)
(4) The provision of relevant information to the tribunal-appointed expert—Article 29(3)
(5) The tribunal-appointed expert's report—Article 29(4)
(6) Expert hearings—Article 29(5)
(7) A note on party-appointed “expert witnesses”
(8) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 27(1)—appointment and terms of reference
(a) The Shahin Shaine Ebrahimi case
(b) The Arco Exploration case
(c) The Starrett Housing case
(d) The Richard D Harza case
(e) The Behring International case
(2) Tribunal rules (1983), Article 27(2)—provision of relevant information
(3) Tribunal rules (1983), Article 27(3)—expert report
(a) The Shahin Shaine Ebrahimi case
(b) The Arco Exploration case
(c) The Behring International case
(d) The Richard D Harza case
(e) The Starrett Housing case
(4) Tribunal rules (1983), Article 27(4)—expert hearing
Part V Default and Waiver
Preliminary Material
Introduction
Ch.21 Default
1 Introduction
2 Default—Article 30
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) Failure to file early written submissions—Article 30(1)
(3) Failure to appear at a hearing—Article 30(2)
(4) Failure to produce documentary evidence—Article 30(3)
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) General and Tribunal Rules (1983), Article 28
(2) Tribunal Rules (1983), Article 28(2)
(3) Tribunal Rules (1983), Article 28(3)
Ch.22 Waiver
1 Introduction
2 Waiver—Article 32
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) General comments
(2) The level of knowledge required
(3) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran-US Claims Tribunal
Part VI The Award
Preliminary Material
Introduction
Ch.23 Deliberations and Decisions
1 Introduction
2 Decisions—Article 33
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Awards and other decisions by majority vote—Article 33(1)
(a) General comments
(b) Majority decision-making by the Iran–US Claims Tribunal
(1) The dynamics of deliberations
(2) The practice of deliberating and drafting awards
(2) Decision-making on procedural questions—Article 33(2)
(a) The meaning of “questions of procedure”
(b) Revision
(3) Confidentiality of deliberations—Article 31, Note 2 of the 1983 Tribunal Rules
(a) The scope of the rule of confidentiality
(b) Enforcing the rule of confidentiality
(1) Censure of written statements
(2) Statements of disapproval by fellow arbitrators
(3) Challenge proceedings
(4) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment and other Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 31(1)
(2) Tribunal Rules (1983), Article 31(2)
(3) Tribunal Rules (1983), Article 31, Note 2—Confidentiality of deliberations
Ch.24 Form and Effect
1 Introduction
2 Form and Effect—Article 34
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Discretion to make separate awards—Article 34(1)
(2) The award is “final and binding” and the parties must “carry out the award without delay”—Article 34(2)
(a) General commentary on “final and binding”
(1) “Final”
(2) “Binding”
(b) Waiver of recourse against the award—optional provision
(3) Written award and designation of the date and place of the award's making—Article 34(2) and (4)
(4) Obligation to sign and failure to sign the award—Article 34(4)
(a) General comments on the travaux préparatoires
(b) Practical matters regarding the statement of reasons for the absence of an arbitrator's signature
(5) Statement of reasons for the award and dissenting opinions—Article 34(3)
(a) Statement of reasons for the award
(b) Dissenting and separate opinions
(6) Publication of the award—Article 34(5)
(7) Copies of the award to the parties—Article 34(6)
(8) Filing and registration of the award
(9) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment and other Tribunals
(1) Article 32(1) (1976 Rules)—Types of awards
(2) Article 32(2) (1976 Rules)—Final and binding
(3) Article 32(2) and (4) (1976 Rules)—Date, place, and signature
(4) Article 32(4) (1976 Rules)—Failure to sign the award
(5) Article 32(7) (1976 Rules)—Filing and registration of an award
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 32(1)—Types of awards
(2) Tribunal Rules (1983), Article 32(2)—Final and binding award
(3) Tribunal Rules (1983), Article 32(3) and (4)—Date, place, and signature
(4) Tribunal Rules (1983), Article 32(3)—Reasons for the award
(5) Tribunal Rules (1983), Article 32(4)—Failure to sign the award
(a) Statements of reasons for failure to sign the award
(b) Improper statements of reasons and post-award exchanges
(6) Tribunal Rules (1983), Article 32(5)—Publication of the award
Ch.25 Settlement and other Grounds for Termination
1 Introduction
2 Settlement and other Termination—Article 36
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Settlement—Article 36(1)
(a) Types of settlement agreement and the practice of awards on agreed terms
(b) Discretion to record a settlement agreement
(c) Pre-settlement negotiations
(2) Other grounds for termination—Article 36(2)
(a) Continuation of the arbitration is “unnecessary” or “impossible”
(b) The existence of “remaining matters”
(3) Technical requirements for awards on agreed terms—Article 36(3)
(4) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
(1) Tribunal Rules (1983), Article 34(1)
(2) Tribunal Rules (1983), Article 34(2)
Ch.26 Post-Award Proceedings
1 Introduction
2 Interpretation of the Award—Article 37
A Text of the 2010 UNCITRAL Rule
B Commentary
1 General
2 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran-US Claims Tribunal
3 Correction of the Award—Article 38
A Text of the 2010 UNCITRAL Rule
B Commentary
1 General
2 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Request for correction granted
2 Request for correction denied
4 Additional Award—Article 39
A Text of the 2010 UNCITRAL Rule
B Commentary
1 General
2 Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–US Claims Tribunal
1 Request for additional award granted
2 Request for additional award denied
5 The Finality of Awards and the Inherent Power to Reconsider
A Commentary
B Extracts from the Practice of Investment Tribunals
C Extracts from the Practice of the Iran–US Claims Tribunal
1 Limited power of review
2 Revision to address fraud or corruption
Ch.27 The Costs of Arbitration
1 Introduction
2 The Costs of Arbitration—Article 40
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The duty to fix the costs of arbitration
(2) Costs defined
(a) Subparagraph (a)
(b) Subparagraphs (b) and (c)
(c) Subparagraph (d)
(d) Subparagraph (e)
(e) Subparagraph (f)
(3) The costs of interpretation, correction and completion of an award—Article 40(3)
(4) Note on the costs of the Iran–US Claims Tribunal
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment and other Tribunals
3 Arbitrators’ Fees—Article 41
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Regulation of the arbitrators’ fees and expenses under the Rules—general background, Article 41(1) and (2)
(2) Determining the fees and expenses of the arbitral tribunal and potential review by a neutral arbiter—Article 41(3)–(6)
(a) The manner in which fees and expenses will be determined—Article 41(3) and (5)
(1) Transparency
(2) Neutral Mechanism
(3) Efficiency
(b) The computation of the arbitral tribunal's fees and expenses—Article 41(4)–(6)
(1) Transparency
(2) Neutral mechanism
(3) Efficiency
(3) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
4 Apportionment of Costs—Article 42
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) Apportioning and awarding costs
(2) “The circumstances of the case”
(a) The degree of success of the parties
(b) The conduct of the parties
(c) The nature of the parties
(d) The nature of the dispute resolution mechanism
(3) Requirements for making a claim for costs
(a) Documentation
(b) Timing of requests
(c) Proof of reasonable legal costs
(4) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
(1) Article 40(1) and (2) (1976 Rules)—General
(2) Article 40(1) and (2) (1976 Rules)—“Circumstances of the case”
(a) The success of the parties
(b) The conduct of the parties
(c) The nature of the dispute resolution mechanism
D Extracts from the Practice of the Iran-US Claims Tribunal
(1) Tribunal Rules (1983), Article 40(1) and (2)—General
(2) Tribunal Rules (1983), Article 40(1) and (2)—“Circumstances of the case”
(a) The success of the parties
(b) The conduct of the parties
5 Deposit of Costs—Article 43
A Text of the 2010 UNCITRAL Rule
B Commentary
(1) The request for deposits
(2) Consultation with the appointing authority
(3) Failure to make requested deposits
(4) The right to an accounting and the return of unexpended deposits
(5) Comparison to the 1976 UNCITRAL Rules
C Extracts from the Practice of Investment Tribunals
D Extracts from the Practice of the Iran–-US Claims Tribunal
Further Material
Appendix 1 UNCITRAL Arbitration Rules (as revised in 2010)
Resolution adopted by the General Assembly [ on the report of the Sixth Committee (A/65/465 )]
65/22. UNCITRAL Arbitration Rules as revised in 2010
UNCITRAL Arbitration Rules (as revised in 2010)
s.I Introductory Rules
Scope of application
Article 1
Notice and calculation of periods of time
Article 2
Notice of arbitration
Article 3
Response to the notice of arbitration
Article 4
Representation and assistance
Article 5
Designating and appointing authorities
Article 6
s.II Composition of the Arbitral Tribunal
Number of arbitrators
Article 7
Appointment of arbitrators (articles 8 to 10)
Article 8
Article 9
Article 10
Disclosures by and challenge of arbitrators (articles 11 to 13)
Article 11
Article 12
Article 13
Replacement of an arbitrator
Article 14
Repetition of hearings in the event of the replacement of an arbitrator
Article 15
Exclusion of liability
Article 16
s.III Arbitral Proceedings
General provisions
Article 17
Place of arbitration
Article 18
Language
Article 19
Statement of claim
Article 20
Statement of defence
Article 21
Amendments to the claim or defence
Article 22
Pleas as to the jurisdiction of the arbitral tribunal
Article 23
Further written statements
Article 24
Periods of time
Article 25
Interim measures
Article 26
Evidence
Article 27
Hearings
Article 28
Experts appointed by the arbitral tribunal
Article 29
Default
Article 30
Closure of hearings
Article 31
Waiver of right to object
Article 32
s.IV The Award
Decisions
Article 33
Form and effect of the award
Article 34
Applicable law, amiable compositeur
Article 35
Settlement or other grounds for termination
Article 36
Interpretation of the award
Article 37
Correction of the award
Article 38
Additional award
Article 39
Definition of costs
Article 40
Fees and expenses of arbitrators
Article 41
Allocation of costs
Article 42
Deposit of costs
Article 43
Annex
Model arbitration clause for contracts
Note. Parties should consider adding:
Possible waiver statement
Waiver
Model statements of independence pursuant to article 11 of the Rules
No circumstances to disclose
Circumstances to disclose
Note. Any party may consider requesting from the arbitrator the following addition to the statement of independence:
Appendix 2 UNCITRAL Arbitration Rules (1976)
General Assembly Resolution 31/98
1976 UNCITRAL Arbitration Rules (adopted December 15, 1976)
s.I Introductory Rules
Scope of application
Article 1
Notice, calculation of periods of time
Article 2
Notice of arbitration
Article 3
Representation and assistance
Article 4
s.II Composition of the arbitral tribunal
Number of arbitrators
Article 5
Appointment of arbitrators
Article 6
Appointment of arbitrators
Article 7
Appointment of arbitrators
Article 8
Challenge of arbitrators
Article 9
Challenge of arbitrators
Article 10
Challenge of arbitrators
Article 11
Challenge of arbitrators
Article 12
Replacement of an arbitrator
Article 13
Repetition of hearings in the event of the replacement of an arbitrator
Article 14
s.III Arbitral proceedings
General provisions
Article 15
Place of arbitration
Article 16
Language
Article 17
Statement of claim
Article 18
Statement of defence
Article 19
Amendments to the claim or defence
Article 20
Pleas as to the jurisdiction of the arbitral tribunal
Article 21
Further written statements
Article 22
Periods of time
Article 23
Evidence and hearings
Article 24
Evidence and hearings
Article 25
Interim measures of protection
Article 26
Experts
Article 27
Default
Article 28
Closure of hearings
Article 29
Waiver of rules
Article 30
s.IV The award
Decisions
Article 31
Form and effect of the award
Article 32
Applicable law, amiable compositeur
Article 33
Settlement or other grounds for termination
Article 34
Interpretation of the award
Article 35
Correction of the award
Article 36
Additional award
Article 37
Costs
Article 38
Costs
Article 39
Costs
Article 40
Deposit of costs
Article 41
Appendix 3 A Tabular Comparison of the 1976–2010 UNCITRAL Arbitration Rules
Appendix 4 UNCITRAL Notes on Organizing Arbitral Proceedings (May 28–June 14, 1996)
Preface
Introduction
Purpose of the Notes
1
Non-binding character of the Notes
2
3
Discretion in conduct of proceedings and usefulness of timely decisions on organizing proceedings
4
5
Multi-party arbitration
6
Process of making decisions on organizing arbitral proceedings
7
8
9
List of matters for possible consideration in organizing arbitral proceedings
10
11
12
13
List of Matters For Possible Consideration In Organizing Arbitral Proceedings—Annotations
1 Set of arbitration rules
If the parties have not agreed on a set of arbitration rules, would they wish to do so
14
15
16
2 Language of proceedings
17
(a) Possible need for translation of documents, in full or in part
18
(b) Possible need for interpretation of oral presentations
19
(c) Cost of translation and interpretation
20
3 Place of arbitration
(a) Determination of the place of arbitration, if not already agreed upon by the parties
21
22
(b) Possibility of meetings outside the place of arbitration
23
4 Administrative services that may be needed for the arbitral tribunal to carry out its functions
24
25
26
27
5 Deposits in respect of costs
(a) Amount to be deposited
28
(b) Management of deposits
29
(c) Supplementary deposits
30
6 Confidentiality of information relating to the arbitration; possible agreement thereon
31
32
7 Routing of written communications among the parties and the arbitrators
33
34
8 Telefax and other electronic means of sending documents
(a) Telefax
35
(b) Other electronic means (e. g. electronic mail and magnetic or optical disk)
36
37
9 Arrangements for the exchange of written submissions
38
(a) Scheduling of written submissions
39
40
(b) Consecutive or simultaneous submissions
41
10 Practical details concerning written submissions and evidence (e. g. method of submission, copies, numbering, references)
42
11 Defining points at issue; order of deciding issues; defining relief or remedy sought
(a) Should a list of points at issue be prepared
43
(b) In which order should the points at issue be decided
44
45
(c) Is there a need to define more precisely the relief or remedy sought
46
12 Possible settlement negotiations and their effect on scheduling proceedings
47
13 Documentary evidence
(a) Time-limits for submission of documentary evidence intended to be submitted by the parties; consequences of late submission
48
49
(b) Whether the arbitral tribunal intends to require a party to produce documentary evidence
50
51
(c) Should assertions about the origin and receipt of documents and about the correctness of photocopies be assumed as accurate
52
(d) Are the parties willing to submit jointly a single set of documentary evidence
53
(e) Should voluminous and complicated documentary evidence be presented through summaries, tabulations, charts, extracts or samples
54
14 Physical evidence other than documents
55
(a) What arrangements should be made if physical evidence will be submitted
56
(b) What arrangements should be made if an on-site inspection is necessary
57
58
15 Witnesses
59
(a) Advance notice about a witness whom a party intends to present; written witnesses’ statements
60
61
62
(b) Manner of taking oral evidence of witnesses
(i) Order in which questions will be asked and the manner in which the hearing of witnesses will be conducted
63
(ii) Whether oral testimony will be given under oath or affirmation and, if so, in what form an oath or affirmation should be made
64
(iii) May witnesses be in the hearing room when they are not testifying
65
(c) The order in which the witnesses will be called
66
(d) Interviewing witnesses prior to their appearance at a hearing
67
(e) Hearing representatives of a party
68
16 Experts and expert witnesses
69
(a) Expert appointed by the arbitral tribunal
70
(i) The expert's terms of reference
71
(ii) The opportunity of the parties to comment on the expert's report, including by presenting expert testimony
72
(b) Expert opinion presented by a party (expert witness)
73
17 Hearings
(a) Decision whether to hold hearings
74
75
(b) Whether one period of hearings should be held or separate periods of hearings
76
(c) Setting dates for hearings
77
(d) Whether there should be a limit on the aggregate amount of time each party will have for oral arguments and questioning witnesses
78
79
(e) The order in which the parties will present their arguments and evidence
80
(f) Length of hearings
81
(g) Arrangements for a record of the hearings
82
83
(h) Whether and when the parties are permitted to submit notes summarizing their oral arguments
84
85
18 Multi-party arbitration
86
87
88
19 Possible requirements concerning filing or delivering the award
89
Who should take steps to fulfil any requirement
90
Endnotes
Appendix 5 The Tribunal Rules of Procedure Provisionally adopted May 3, 1983, as amended May 27, 1997
Introduction and Definitions
s.I: Introductory Rules
Art.1 Scope of Application
Text of UNCITRAL Rule
Article 1
Modification of UNCITRAL Rule
Art.2 Notice, Calculation of Periods of Time
Text of UNCITRAL Rule
Article 2
Modification of UNCITRAL Rule
Notes to Article 2
Art.3 Notice of Arbitration
Text of UNCITRAL Rule
Article 3
Modification of UNCITRAL Rule
Art.4 Representation and Assistance
Text of UNCITRAL Rule
Article 4
Notes to Article 4
s.II: Composition of the Arbitral Tribunal
Art.5 Number of Members
Text of UNCITRAL Rule
Article 5
Modification of UNCITRAL Rule
Art.6–8 Appointment of Members
Text of UNCITRAL Rules
Article 6
Article 7
Article 8
Note to Articles 6–8
Art.9–12 Challenge of Members
Text of UNCITRAL Rules
Article 9
Article 10
Article 11
Article 12
Modification of UNCITRAL Rules
Notes to Articles 9–12
Art.13 Replacement of a Member
Text of UNCITRAL Rule
Article 13
Modification of UNCITRAL Rule
Note to Article 13
Amendment to Tribunal Rules, Article 13
Art.14 Repetition of Hearings in the Event of Replacement or Substitution of a Member
Text of UNCITRAL Rule
Article 14
Modification of UNCITRAL Rule
s.III: Arbitral Proceedings
Art.15 General Provisions
Text of UNCITRAL Rule
Article 15
Notes to Article 15
Art.16 Place of Arbitration
Text of UNCITRAL Rule
Article 16
Note to Article 16
Art.17 Language
Text of UNCITRAL Rule
Article 17
Notes to Article 17
Art.18 Statement of Claim
Text of UNCITRAL Rule
Article 18
Modification of UNCITRAL Rule
Notes to Article 18
Art.19 Statement of Defence
Text of UNCITRAL Rule
Article 19
Modification of UNCITRAL Rule
Notes to Article 19
Art.20 Amendments to the Claim or Defence
Text of UNCITRAL Rule
Article 20
Modification of UNCITRAL Rule
Note to Article 20
Art.21 Pleas as to the Jurisdiction of the Arbitral Tribunal
Text of UNCITRAL Rule
Article 21
Art.22 Further Written Statements
Text of UNCITRAL Rule
Article 22
Note to Article 22
Art.23 Periods of Time
Text of UNCITRAL Rule
Article 23
Modification of UNCITRAL Rule
Art.24 Evidence and Hearings
Text of UNCITRAL Rule
Article 24
Note to Article 24
Art.25 Evidence and Hearings
Text of UNCITRAL Rule
Article 25
Modification of UNCITRAL Rule
Notes to Article 25
Art.26 Interim Measures of Protection
Text of UNCITRAL Rule
Article 26
Note to Article 26
Art.27 Experts
Text of UNCITRAL Rule
Article 27
Modification of UNCITRAL Rule
Notes to Article 27
Art.28 Default
Text of UNCITRAL Rule
Article 28
Note to Article 28
Art.29 Closure of Hearings
Text of UNCITRAL Rule
Article 29
Note to Article 29
Art.30 Waiver of Rules
Text of UNCITRAL Rule
Article 30
Note to Article 30
Art.31 Decisions
Text of UNCITRAL Rule
Article 31
Notes to Article 31
Art.32 Form and Effect of Award
Text of UNCITRAL Rule
Article 32
Modification of UNCITRAL Rule
Note to Article 32
Art.33 Applicable Law
Text of UNCITRAL Rule
Article 33
Modification of the UNCITRAL Rule
Note to Article 33
Art.34 Settlement or Other Grounds for Termination
Text of UNCITRAL Rule
Article 34
Note to Article 34
Art.35 Interpretation of the Award
Text of UNCITRAL Rule
Article 35
Note to Article 35
Art.36 Correction of the Award
Text of UNCITRAL Rule
Article 36
Note to Article 36
Art.37 Additional Award
Text of UNCITRAL Rule
Article 37
Note to Article 37
Art.38 Costs
Text of UNCITRAL Rule
Article 38
Modification of UNCITRAL Rule
Note to Article 38
Art.39 Costs
Text of UNCITRAL Rule
Article 39
Note to Article 39
Art.40 Costs
Text of UNCITRAL Rule
Article 40
Modification of UNCITRAL Rule
Note to Article 40
Art.41 Deposit of Costs
Text of UNCITRAL Rule
Article 41
Modification of UNCITRAL Rule
Note to Article 41
Appendix 6 UNCITRAL
Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010
A Introduction
1 The UNCITRAL Arbitration Rules as revised in 2010
1
2
2 General Assembly resolution 65/22
3
4
3 Purpose of the recommendations
5
4 Different usages by arbitral institutions and other interested bodies
6
B Adoption of the UNCITRAL Arbitration Rules as the institutional rules of arbitral institutions or other interested bodies
1 Appeal to leave the substance of the UNCITRAL Arbitration Rules unchanged
7
8
2 Presentation of modifications
(a) A short explanation
9
10
(b) Effective date
11
(c) Communication channel
12
13
14
(d) Substitution of the reference to the “appointing authority” by the name of the institution
15
16
(e) Fees and schedule of fees
17
C Arbitral institutions and other interested bodies administering arbitration under the UNCITRAL Arbitration Rules or providing some administrative services
18
19
1 Administrative procedures in conformity with the UNCITRAL Arbitration Rules
20
21
22
2 Offer of administrative services
23
3 Administrative fee schedule
24
25
4 Draft model clauses
26
D Arbitral institution acting as appointing authority
27
28
29
30
1 Designating and appointing authorities (article 6)
31
(a) Procedure for choosing or designating an appointing authority (article 6, paragraphs 1-3)
32
(b) Failure to act: substitute appointing authority (article 6, paragraph 4)
33
(c) Discretion in the exercise of its functions (article 6, paragraph 5)
34
35
36
(d) General provision on appointment of arbitrators (article 6, paragraphs 6 and 7)
37
38
2 Appointment of arbitrators
(a) Appointment of a sole arbitrator (article 7, paragraph 2, and article 8)
39
40
41
42
(b) Appointment of a three member arbitral tribunal (article 9)
43
44
(c) Multiple claimants or respondents (article 10)
45
46
(d) Successful challenge and other reasons for replacement of an arbitrator (articles 12 and 13)
47
(e) Note for institutions acting as an appointing authority
48
3 Decision on challenge of arbitrator
(a) Articles 12 and 13
49
(b) Note for institution acting as an appointing authority
50
4 Replacement of an arbitrator (article 14)
51
52
53
54
5 Assistance in fixing fees of arbitrators
(a) Articles 40 and 41
55
(b) Note for institutions acting as an appointing authority
56
6 Review mechanism (article 41)
57
58
59
60
7 Advisory comments regarding deposits
61
62
Select Bibliography
Index
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Appendix 3 A Tabular Comparison of the 1976–2010 UNCITRAL Arbitration Rules
From:
The UNCITRAL Arbitration Rules: A Commentary (2nd Edition)
David D Caron, Lee M Caplan
Previous Edition (1 ed.)
Content type:
Book content
Product:
Investment Claims [IC]
Series:
Oxford Commentaries on International Law
Published in print:
07 March 2013
ISBN:
9780199696307
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