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The UNCITRAL Arbitration Rules - A Commentary, 2nd Edition by Caron, David D; Caplan, Lee M (7th March 2013)

Table of Contents

From: The UNCITRAL Arbitration Rules: A Commentary (2nd Edition)

David D Caron, Lee M Caplan

From: Investment Claims (http://oxia.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved.  Subscriber: null; date: 24 January 2020

  1. PART I:  FUNDAMENTAL PRINCIPLES AND THE LEGAL FRAMEWORK WITHIN WHICH THE ARBITRAL TRIBUNAL OPERATES

    1. Chapter 2:  Scope of Application, General Provisions, and Place of Arbitration

      1. 1. Introduction 16

      2. 2. Scope of Application—Article 1 16

        1. A. Text of the 2010 UNCITRAL Rule 16

        2. B. Commentary 17

        3. C. Extracts from the Practice of Investment and other Tribunals 26

      3. 3. General Provisions—Article 17 29

        1. A. Text of the 2010 UNCITRAL Rule 29

        2. B. Commentary 30

        3. C. Extracts from the Practice of Investment and other Tribunals 59

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 69

      4. 4. Place of Arbitration—Article 18 77

        1. A. Text of the 2010 UNCITRAL Rule 77

        2. B. Commentary 78

        3. C. Extracts from the Practice of Investment Tribunals 96

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 109

    2. (p. xi) Chapter 3:  Applicable Law, Amiable Compositeur

      1. 1. Introduction 111

      2. 2. Applicable Law—Article 35 112

        1. A. Text of the 2010 UNCITRAL Rule 112

        2. B. Commentary 112

        3. C. Extracts from the Practice of Investment Tribunals 129

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 131

  1. PART II:  ARBITRAL PROCEDURES TO CONTROL THE SELECTION AND CONDUCT OF ARBITRATORS

    1. Chapter 4:  The Number and Selection of Arbitrators

      1. 1. Introduction 148

      2. 2. Designating and Appointing Authorities—Article 6 148

        1. A. Text of the 2010 UNCITRAL Rule 148

        2. B. Commentary 149

        3. C. Extracts from the Practice of the Iran–US Claims Tribunal 155

      3. 3. The Number of Arbitrators—Article 7 157

        1. A. Text of the 2010 UNCITRAL Rule 157

        2. B. Commentary 157

      4. 4. Appointment of the Sole Arbitrator—Article 8 162

        1. A. Text of the 2010 UNCITRAL Rule 162

        2. B. Commentary 163

      5. 5. Appointment of a Three-Person Panel—Article 9 164

        1. A. Text of the 2010 UNCITRAL Rule 164

        2. B. Commentary 164

        3. C. Extracts from the Practice of Investment Tribunals 166

      6. (p. xii) 6. Appointment in Multi-Party Arbitration—Article 10 169

        1. A. Text of the 2010 UNCITRAL Rule 169

        2. B. Commentary 169

      7. 7. Comparison to the 1976 UNCITRAL Rules 172

    2. Chapter 5:  The Challenge of Arbitrators

      1. 1. Introduction 177

        1. A. An Overview of Challenges before Investment and other Tribunals 178

        2. B. An Overview of the Challenges before the Iran–US Claims Tribunal 183

        3. C. The Exclusivity of the UNCITRAL Challenge Procedure 191

      2. (p. xiii) 2. The Duty to Disclose—Article 11 194

        1. A. Text of the 2010 UNCITRAL Rule 194

        2. B. Commentary 195

        3. C. Extracts from the Practice of Investment Tribunals 201

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 202

      3. 3. The Grounds for Challenge—Article 12 207

        1. A. Text of the 2010 UNCITRAL Rule 207

        2. B. Commentary 208

        3. C. Extracts from the Practice of Investment and other Tribunals 231

        4. D. Extracts From the Practice of the Iran–US Claims Tribunal 235

      4. (p. xiv) 4. The Initiation of the Challenge and the Potential for Agreement to the Challenge—Article 13 241

        1. A. Text of the 2010 UNCITRAL Rule 241

        2. B. Commentary 241

        3. C. Extracts from the Practice of Investment Tribunals 256

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 257

      5. 5. The Resolution of the Challenge 268

        1. A. Text of the 2010 UNCITRAL Rule 268

        2. B. Commentary 268

        3. C. Extracts from the Practice of Investment Tribunals 272

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 273

      6. 6. Comparison to the 1976 UNCITRAL Rules 274

    3. Chapter 6:  Failure to Act, other Disruptions, and the Replacement of an Arbitrator

      1. 1. Introduction 278

      2. 2. Failure to Act and other Disruptions—Article 12(3) 278

        1. A. Text of the 2010 UNCITRAL Rule 278

        2. B. Commentary 278

        3. C. Extracts from the Practice of Investment Tribunals 289

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 290

      3. 3. Replacement of an Arbitrator—Article 14 305

        1. A. Text of the 2010 UNCITRAL Rule 305

        2. B. Commentary 305

      4. 4. Repetition of Hearings in the Event of Replacement of an Arbitrator—Article 15 318

        1. A. Text of the 2010 UNCITRAL Rule 318

        2. B. Commentary 318

        3. C. Extracts from the Practice of the Iran–US Claims Tribunal 322

    4. Chapter 7:  Exclusion of Liability for Arbitrators and other Participants

      1. 1. Introduction 325

      2. 2. Exclusion of Liability for Arbitrators and other Key Actors—Article 16 325

        1. A. Text of the 2010 UNCITRAL Rule 325

        2. B. Commentary 326

        3. C. Extracts from the Practice of Investment Tribunals 330

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 331

    5. (p. xvi) Chapter 8:  The Institution of the Appointing Authority

      1. 1. Evolution of the UNCITRAL Approach? 337

      2. 2. The Appointing Authority and Composition Generally 338

      3. 3. Lessons from the Iran–US Claims Tribunal for the Office of the Appointing Authority 340

  1. PART III:  THE INITIATION OF THE ARBITRATION AND THE IDENTIFICATION AND CLARIFICATION OF THE ISSUES PRESENTED

    1. Introduction 345

    2. Chapter 9:  Representation and Assistance

      1. 1. Introduction 347

      2. 2. Representation and Assistance—Article 5 347

        1. A. Text of the 2010 UNCITRAL Rule 347

        2. B. Commentary 348

        3. C. Extracts from the Practice of Investment Tribunals 355

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 356

    3. Chapter 10:  The Notice Initiating Arbitration and the Response

      1. 1. Introduction 359

      2. 2. The Notice Initiating Arbitration—Article 3 360

        1. A. Text of the 2010 UNCITRAL Rule 360

        2. B. Commentary 361

        3. C. Extracts from the Practice of Investment Tribunals 369

      3. 3. The Response to the Notice of Arbitration—Article 4 370

        1. A. Text of the 2010 UNCITRAL Rule 370

        2. B. Commentary 370

    4. Chapter 11:  The Choice of Language

      1. 1. Introduction 375

      2. 2. The Choice of Language—Article 19 376

        1. A. Text of the 2010 UNCITRAL Rule 376

        2. B. Commentary 376

        3. C. Extracts from the Practice of Investment Tribunals 384

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 385

    5. Chapter 12:  Notice and the Calculation of Periods of Time

      1. 1. Introduction 393

      2. 2. Notice and Calculation of Periods of Time—Article 2 394

        1. A. Text of the 2010 UNCITRAL Rule 394

        2. B. Commentary 395

        3. C. Extracts from the Practice of Investment Tribunals 404

        4. D. Extracts from the Practice of the Iran–United States Claims Tribunal 404

    6. Chapter 13:  Statements of Claim and Defence

      1. 1. Introduction 409

      2. 2. The Statement of Claim—Article 20 410

        1. A. Text of the 2010 UNCITRAL Rule 410

        2. B. Commentary 411

        3. C. Extracts from the Practice of Investment Tribunals 417

        4. (p. xviii) D. Extracts from the Practice of the Iran–US Claims Tribunal 419

      3. 3. The Statement of Defence—Article 21 421

        1. Text of the 2010 UNCITRAL Rule 422

        2. Commentary 422

        3. C. Extracts from the Practice of Investment Tribunals 432

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 434

    7. Chapter 14:  Objections to the Jurisdiction of the Arbitral Tribunal

      1. 1. Introduction 449

      2. 2. Objections to Jurisdiction—Article 23 450

        1. A. Text of the 2010 UNCITRAL Rule 450

        2. B. Commentary 450

        3. C. Extracts from the Practice of Investment Tribunals 459

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 463

    8. Chapter 15:  Amendments to the Claim or Defence

      1. 1. Introduction 467

      2. 2. Amendments to the Claim or Defence—Article 22 467

        1. A. Text of the 2010 UNCITRAL Rule 467

        2. B. Commentary 468

        3. C. Extracts from the Practice of Investment Tribunals 475

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 479

    9. Chapter 16:  Further Written Statements and Time Limits on Submission

      1. 1. Introduction 491

      2. 2. Further Written Statements—Article 24 491

        1. A. Text of the 2010 UNCITRAL Rule 491

        2. B. Commentary 492

        3. C. Extracts from the Practice of Investment Tribunals 496

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 498

      3. 3. Time Limits on Submission—Article 25 505

        1. A. Text of the 2010 UNCITRAL Rule 505

        2. B. Commentary 505

        3. C. Extracts from the Practice of Investment Tribunals 508

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 508

    10. Chapter 17:  Interim Measures

      1. 1. Introduction 513

      2. 2. Interim Measures—Article 26 514

        1. A. Text of the 2010 UNCITRAL Rule 514

        2. B. Commentary 515

        3. (p. xx) C. Extracts from the Practice of Investment Tribunals 533

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 543

  1. PART IV:  THE PRESENTATION OF THE CASE: EVIDENCE AND HEARINGS

    1. Chapter 18:  Evidence

      1. 1. Introduction 555

      2. 2. Evidence—Article 27 557

        1. A. Text of the 2010 UNCITRAL Rule 557

        2. B. Commentary 557

        3. C. Extracts from the Practice of Investment Tribunals 576

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 580

    2. Chapter 19:  The Hearings

      1. 1. Introduction 601

      2. 2. The Hearings—Article 28 602

        1. A. Text of the 2010 UNCITRAL Rule 602

        2. B. Commentary 602

        3. C. Extracts from the Practice of Investment Tribunals 613

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 617

      3. 3. Closure of the Hearing—Article 31 624

        1. A. Text of the 2010 UNCITRAL Rule 624

        2. B. Commentary 625

        3. C. Extracts from the Practice of Investment Tribunals 629

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 629

    3. Chapter 20:  Tribunal-Appointed Experts

      1. 1. Introduction 635

      2. 2. Tribunal-Appointed Experts—Article 29 636

        1. A. Text of the 2010 UNCITRAL Rule 636

        2. B. Commentary 637

        3. C. Extracts from the Practice of Investment Tribunals 648

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 650

  1. PART V:  DEFAULT AND WAIVER

    1. Chapter 21:  Default

      1. 1. Introduction 671

      2. 2. Default—Article 30 671

        1. A. Text of the 2010 UNCITRAL Rule 671

        2. B. Commentary 672

        3. C. Extracts from the Practice of Investment Tribunals 679

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 683

    2. Chapter 22:  Waiver

      1. 1. Introduction 691

      2. 2. Waiver—Article 32 691

        1. A. Text of the 2010 UNCITRAL Rule 691

        2. B. Commentary 692

        3. C. Extracts from the Practice of Investment Tribunals 695

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 696

  1. PART VI:  THE AWARD

    1. Chapter 23:  Deliberations and Decisions

      1. 1. Introduction 699

      2. 2. Decisions—Article 33 700

        1. (p. xxiii) A. Text of the 2010 UNCITRAL Rule 700

        2. B. Commentary 700

        3. C. Extracts from the Practice of Investment and other Tribunals 717

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 719

    2. Chapter 24:  Form and Effect

      1. 1. Introduction 732

      2. 2. Form and Effect—Article 34 732

        1. A. Text of the 2010 UNCITRAL Rule 732

        2. B. Commentary 733

        3. (p. xxiv) C. Extracts from the Practice of Investment and other Tribunals 761

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 766

    3. Chapter 25:  Settlement and other Grounds for Termination

      1. 1. Introduction 781

      2. 2. Settlement and other Termination—Article 36 781

        1. A. Text of the 2010 UNCITRAL Rule 781

        2. B.Commentary 782

        3. C. Extracts from the Practice of Investment Tribunals 792

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 793

    4. Chapter 26:  Post-Award Proceedings

      1. 1. Introduction 801

      2. 2. Interpretation of the Award—Article 37 802

        1. A. Text of the 2010 UNCITRAL Rule 802

        2. B. Commentary 802

        3. C. Extracts from the Practice of Investment Tribunals 806

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 808

      3. 3. Correction of the Award—Article 38 811

        1. A. Text of the 2010 UNCITRAL Rule 811

        2. B. Commentary 811

        3. C. Extracts from the Practice of Investment Tribunals 815

        4. (p. xxv) D. Extracts from the Practice of the Iran–US Claims Tribunal 815

      4. 4. Additional Award—Article 39 821

        1. A. Text of the 2010 UNCITRAL Rule 821

        2. B. Commentary 821

        3. C. Extracts from the Practice of Investment Tribunals 825

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 825

      5. 5. The Finality of Awards and the Inherent Power to Reconsider 827

        1. A. Commentary 827

        2. B. Extracts from the Practice of Investment Tribunals 831

        3. C. Extracts from the Practice of the Iran–US Claims Tribunal 832

    5. Chapter 27:  The Costs of Arbitration

      1. 1. Introduction 840

      2. 2. The Costs of Arbitration—Article 40 841

        1. A. Text of the 2010 UNCITRAL Rule 841

        2. B. Commentary 841

        3. C. Extracts from the Practice of Investment and other Tribunals 849

      3. 3. Arbitrators’ Fees—Article 41 852

        1. A. Text of the 2010 UNCITRAL Rule 852

        2. B. Commentary 853

        3. C. Extracts from the Practice of Investment Tribunals 863

      4. 4. Apportionment of Costs—Article 42 865

        1. A. Text of the 2010 UNCITRAL Rule 865

        2. B. Commentary 865

        3. C. Extracts from the Practice of Investment Tribunals 877

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 891

      5. 5. Deposit of Costs—Article 43 896

        1. A. Text of the 2010 UNCITRAL Rule 896

        2. B. Commentary 897

        3. C. Extracts from the Practice of Investment Tribunals 901

        4. D. Extracts from the Practice of the Iran–US Claims Tribunal 903