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E-grāmata: UNCITRAL Arbitration Rules: A Commentary

(C. William Maxeiner Distinguished Professor of Law, School of Law, University of California Berkeley), (Attorney-Adviser, Office of International Claims and Investment Disputes, US Department of State)
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Reaching past the secrecy so often met in arbitration, the second edition of this commentary explains clearly and fully the workings of the UNCITRAL Rules of Arbitral Procedure recommended for use in 1976 by the United Nations. This new edition fully takes account of the revised Rules adopted in 2010 while maintaining coverage of the original Rules where these remain relevant. The differences between the old and the new Rules are clearly indicated and explained.

Pulling together difficult to obtain sources from the Iran-United States Claims Tribunal, arbitrations under Chapter 11 of the North American Free Trade Agreement, and ad hoc arbitrations, it illuminates the shape the UNCITRAL Rules take in practice. The authors cogently critique that practice in the light of the negotiating history of the rules and solutions adopted by the other major private rules of arbitral procedure. To aid the specialist in the field, the practice of these various tribunals is extensively extracted and reproduced. Rich both in its analysis and sources, this text is indispensable for those working in or studying international arbitration.

Recenzijas

The authors cogently critique that practice in the light of the negotiating history of the rules and solutions adopted by the other major private rules of arbitral procedure. To aid the specialist in the field, the practice of these various tribunals is extensively extracted and reproduced. * The European Legal Forum *

Table of Cases and Other Practice
xxvii
Table of Instruments
lix
List of Abbreviations
lxxxiii
Chapter 1 Introduction
1 Introduction
1(1)
2 The International Arbitral Process and the Work of UNCITRAL
2(1)
3 The Development of the UNCITRAL Rules of Procedure
3(7)
A The Drafting of the 1976 Rules
3(1)
B The UNCITRAL Rules and the Iran-US Claims Tribunal
4(1)
(1) The Origins and Structure of the Iran-US Claims Tribunal
4(1)
(2) The Tribunal's Use of the UNCITRAL Arbitration Rules
5(1)
C The UNCITRAL Rules and the 1985 UNCITRAL Model Law
6(1)
D Adoption of the UNCITRAL Rules in other Public and Private Institutions
6(1)
E Investor-State Arbitration and the UNCITRAL Rules
7(1)
F The 2010 UNCITRAL Rules
8(1)
G The Work of UNCITRAL on Rules for Transparency in Investor-State Arbitration
9(1)
4 How to Use this Commentary
10(1)
A Navigating the Text
10(1)
B The Interplay between the 1976 Rules and 2010 Rules in Application and Interpretation
10(1)
C The Extracts
10(1)
D Further Research
11(1)
5 Conclusion
11(2)
PART I FUNDAMENTAL PRINCIPLES AND THE LEGAL FRAMEWORK WITHIN WHICH THE ARBITRAL TRIBUNAL OPERATES
Introduction
13(3)
Chapter 2 Scope of Application, General Provisions, and Place of Arbitration
1 Introduction
16(1)
2 Scope of Application---Article 1
16(13)
A Text of the 2010 UNCITRAL Rule
16(1)
B Commentary
17(1)
(1) General comments
17(1)
(2) Scope of application
18(1)
(3) No writing requirement for agreement to arbitration
18(1)
(4) Party autonomy and modification of the Rules
19(1)
(5) Presumptive scope of application
20(3)
(6) Future transparency rules for investor-state arbitration
23(1)
(7) Model arbitration clause
24(1)
(8) Comparison to the 1976 UNCITRAL Rules
24(2)
C Extracts from the Practice of Investment and other Tribunals
26(1)
(1) Article 1(1) (1976 Rules)---scope and modification
26(2)
(2) Article 1(2) (1976 Rules)---non-derogation from mandatory law
28(1)
3 General Provisions---Article 17
29(48)
A Text of the 2010 UNCITRAL Rule
29(1)
B Commentary
30(1)
(1) Basic principles---Article 17(1)
30(1)
(a) Arbitral autonomy and its limits
30(6)
(b) Confidentiality in UNCITRAL arbitration
36(3)
(c) Non-disputing party (amicus) participation in UNCITRAL arbitration
39(2)
(d) The nature of the proceedings before the Iran-US Claims Tribunal
41(4)
(e) Concluding comments
45(1)
(2) Provisional timetable and modification of time periods---Article 17(2)
46(1)
(a) Provisional timetable
46(1)
(b) Modifications of time periods
47(2)
(c) Issues of general application
49(1)
(3) Right to a hearing---Article 17(3)
49(1)
(a) Scope of hearings
49(2)
(b) Timing of hearing requests
51(1)
(c) Preliminary meetings
52(1)
(4) Communication of documents---Article 17(4)
53(1)
(5) Joinder of third persons---Article 17(5)
54(3)
(6) Consolidation of claims
57(1)
(7) Comparison to the 1976 UNCITRAL Rules
58(1)
C Extracts from the Practice of Investment and other Tribunals
59(1)
(1) Article 15(1) (1976 Rules)---general
59(6)
(2) Article 15(1) (1976 Rules)---amicus submissions
65(4)
D Extracts from the Practice of the Iran---US Claims Tribunal
69(1)
(1) General and Tribunal Rules (1983), Article 15(1)
69(5)
(2) Tribunal Rules (1983), Article 15(2)
74(3)
4 Place of Arbitration---Article 18
77(34)
A Text of the 2010 UNCITRAL Rule
77(1)
B Commentary
78(1)
(1) Meaning of "place of arbitration"
78(2)
(2) Selection of the place of arbitration---Article 18(1)
80(1)
(a) Considerations to be taken into account
80(1)
(1) Nature and suitability of the local law
81(4)
(2) Enforceability of the award
85(2)
(3) Neutrality
87(2)
(4) Practical considerations
89(2)
(b) Decision on place of arbitration not procedural: consultation with the parties
91(1)
(3) Where the award is "deemed to have been made"
92(1)
(4) The location of tribunal deliberations and meetings "for any other purpose, including hearings"---Article 18(2)
93(2)
(5) Comparison to the 1976 UNCITRAL Rules
95(1)
C Extracts from the Practice of Investment Tribunals
96(13)
D Extracts from the Practice of the Iran-US Claims Tribunal
109(2)
Chapter 3 Applicable Law, Amiable Compositeur
1 Introduction
111(1)
2 Applicable Law---Article 35
112(33)
A Text of the 2010 UNCITRAL Rule
112(1)
B Commentary
112(1)
(1) The primary rule---Article 35(1)
112(1)
(a) The principle of party autonomy and its application
112(6)
(b) Choice of applicable law where not designated by the parties
118(1)
(2) Amiable compositeur or ex aequo et bono---Article 35(2)
119(2)
(3) The significance of the contract and of trade usages---Article 35(3)
121(2)
(4) Comparison to the 1976 UNCITRAL Rules
123(5)
(5) A note on the Iran-US Claims Tribunal
128(1)
C Extracts from the Practice of Investment Tribunals
129(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
131(1)
(1) Tribunal Rules (1983), Article 33(1)
131(9)
(2) Tribunal Rules (1983), Article 33(2)
140(1)
(3) Tribunal Rules (1983), Article 33(3)
140(2)
(4) Other practice of the Iran-US Claims Tribunal
142(3)
PART II ARBITRAL PROCEDURES TO CONTROL THE SELECTION AND CONDUCT OF ARBITRATORS
Introduction
145(3)
Chapter 4 The Number and Selection of Arbitrators
1 Introduction
148(1)
2 Designating and Appointing Authorities---Article 6
148(9)
A Text of the 2010 UNCITRAL Rule
148(1)
B Commentary
149(1)
(1) Opportunities for agreement on an appointing authority---Article 6(1)
149(2)
(2) The role of the designating authority---Article 6(2) and (4)
151(2)
(3) Suspension of time periods in the absence of an appointing authority---Article 6(3)
153(1)
(4) The role of the appointing authority---Article 6(5)-(7)
153(2)
C Extracts from the Practice of the Iran-US Claims Tribunal
155(2)
3 The Number of Arbitrators---Article 7
157(5)
A Text of the 2010 UNCITRAL Rule
157(1)
B Commentary
157(1)
(1) The default rule on the number of arbitrators---Article 7(1)
157(3)
(2) The exception to the default rule of three arbitrators---Article 7(2)
160(1)
(3) A number of arbitrators other than one or three
161(1)
4 Appointment of the Sole Arbitrator---Article 8
162(2)
A Text of the 2010 UNCITRAL Rule
162(1)
B Commentary
163(1)
5 Appointment of a Three-Person Panel---Article 9
164(5)
A Text of the 2010 UNCITRAL Rule
164(1)
B Commentary
164(1)
(1) The right of each party to appoint an arbitrator
164(1)
(2) The appointment of the presiding arbitrator
165(1)
C Extracts from the Practice of Investment Tribunals
166(3)
6 Appointment in Multi-Party Arbitration---Article 10
169(3)
A Text of the 2010 UNCITRAL Rule
169(1)
B Commentary
169(1)
(1) The requirements for appointment---Article 10(1) and (2)
169(1)
(2) The power of the appointing authority to appoint and reappoint---Article 10(3)
170(2)
7 Comparison to the 1976 UNCITRAL Rules
172(5)
Chapter 5 The Challenge of Arbitrators
1 Introduction
177(17)
A An Overview of Challenges before Investment and other Tribunals
178(1)
(1) Challenge decision of April 15, 1993
178(1)
(2) Challenge decision of January 11, 1995
179(1)
(3) Challenge decision by a Division of the LCIA---October-December 2005
179(1)
(4) The US Government's challenge of Professor James Anaya in the Grand River arbitration---2007
180(1)
(5) The Argentine Government's challenge of Mr Judd I. Kessler in the National Grid arbitration---2007
180(1)
(6) The Argentine Government's challenges of Professor Gabrielle Kaufmann-Kohler in the AWG Group arbitration---2007-2008
181(1)
(a) The Argentine Government's first challenge---2007
181(1)
(b) The Argentine Government's second challenge---2008
181(1)
(7) The Argentine Government's challenge of Mr Stanimir Alexandrov in the ICS arbitration---2009
182(1)
(8) The claimant's challenge to Mr J Christopher Thomas in the Gallo arbitration---2009
182(1)
B An Overview of the Challenges before the Iran---US Claims Tribunal
183(1)
(1) The Iranian Government challenge of Nils Mangard---1982
183(1)
(2) The US Government challenge of Judges Kashani and Shafeiei---1984
184(1)
(3) The first Iranian Government challenge of Judge Briner in Case No 55, Amoco Iran and Islamic Republic of Iran---1988
184(1)
(4) The second Iranian Government challenge of Judge Briner---1989
184(1)
(5) The third Iranian Government challenge of Judge Briner---1989
185(1)
(6) The US claimant's challenge of Judge Noori in Case No 248, Carlson and Melli Industrial Group---1990
186(1)
(7) The Iranian Government challenge of Judge Arangio-Ruiz---1991
186(1)
(8) The Iranian Government challenges of Judge Krzysztof Skubiszewski---1999
186(1)
(9) The US Government challenge of Judge Bengt Broms---2001
187(1)
(10) The US claimant's challenge of Judge Bengt Broms in connection with Case No 485, Frederica Lincoln Riahi---2004
187(1)
(11) The US Government challenge of Judges Assadollah Noori, Koorosh Ameli, and Mohsen Aghahosseini---2005-2006
188(1)
(12) The Iranian Government challenge of Judge Krzystof Skubiszewski and the US Government challenge of Judge Hamid Reza Oloumi Yazdi---2007
188(1)
(13) The Iranian Government challenge of Judge Krzystof Skubiszewski and Judge Gaetano Arangio-Ruiz---2009
189(1)
(14) The US Government challenge of Judge Seyed Jamal Seifi---2010
190(1)
(15) The Iranian Government challenge of Judge Charles Brower---2010
190(1)
C The Exclusivity of the UNCITRAL Challenge Procedure
191(3)
2 The Duty to Disclose---Article 11
194(13)
A Text of the 2010 UNCITRAL Rule
194(1)
B Commentary
195(1)
(1) The duty to disclose
195(3)
(2) Model statements of independence
198(2)
(3) Disclosure guidelines of the Iran-US Claims Tribunal
200(1)
C Extracts from the Practice of Investment Tribunals
201(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
202(1)
(1) General
202(3)
(2) Disclosure by the US Arbitrators
205(2)
3 The Grounds for Challenge---Article 12
207(34)
A Text of the 2010 UNCITRAL Rule
207(1)
B Commentary
208(1)
(1) Challenge on the ground of justifiable doubts as to impartiality or independence---general remarks on Article 12(1)
208(1)
(a) The standard for impartiality and independence is objective
208(1)
(b) The same standard applies to party-appointed and non-party appointed arbitrators
209(2)
(c) Criteria regarding and examples of justifiable doubts
211(1)
(2) Challenge on the ground of justifiable doubts as to impartiality or independence
212(1)
(a) The meaning of "impartiality" and "independence"
213(1)
(b) When are doubts as to impartiality or independence justified?
213(2)
(1) An arbitrator's relationship with a witness
215(1)
(2) An arbitrator's financial relationship with a party (shareholding)
216(1)
(3) An arbitrator's financial relationship with a party (salary)
217(1)
(4) An arbitrator's previous employment by the parent corporation of a party
217(1)
(5) An arbitrator's representation in another forum that is adverse to a party
218(1)
(6) An arbitrator's previous advocacy on behalf of a country formerly adverse to a sovereign party
218(1)
(7) An arbitrator's representation of a third party with a right to intervene in the proceedings
219(1)
(8) An arbitrator's handling of the proceedings
220(2)
(9) An arbitrator's statement regarding a party or the dispute
222(1)
(10) An arbitrator's decision-making
222(1)
(11) An arbitrator's breach of the confidentiality of deliberations
223(2)
(12) An arbitrator's physical assault of a fellow arbitrator
225(1)
(c) The standard of independence and impartiality does not vary according to the stage of the proceedings
225(1)
(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
226(2)
(e) Are there any limitations on the circumstances which may be used as the basis for justifiable doubts?
228(1)
(3) Article 12(1) as providing the exclusive grounds for challenge
228(2)
(4) When may a party challenge the arbitrator it has appointed?---Article 12(2)
230(1)
C Extracts from the Practice of Investment and other Tribunals
231(4)
D Extracts From the Practice of the Iran-US Claims Tribunal
235(1)
(1) Tribunal Rules (1983), Article 10(1)
235(5)
(2) Tribunal Rules (1983), Article 10(2)
240(1)
4 The Initiation of the Challenge and the Potential for Agreement to the Challenge---Article 13
241(27)
A Text of the 2010 UNCITRAL Rule
241(1)
B Commentary
241(1)
(1) When notice of challenge must be made---Article 13(1)
241(1)
(a) General comments on the travaux preparatoires
241(2)
(b) When circumstances "became known" to the challenging party
243(1)
(1) Burden of proof
243(2)
(2) Actual prior knowledge
245(3)
(2) To whom should notice be sent; what form should notice take; sufficiency of the notice; who may send notice---Article 13(2)
248(5)
(3) Procedure if challenge is accepted by all parties or challenged arbitrator withdraws---Article 13(3)
253(3)
(4) Timeline for seeking a decision on a challenge---Article 13(4)
256(1)
C Extracts from the Practice of Investment Tribunals
256(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
257(1)
(1) Tribunal Rules (1983), Article 11(1)
257(6)
(2) Tribunal Rules (1983), Article 11(2)
263(4)
(3) Tribunal Rules (1983), Article 11(3)
267(1)
5 The Resolution of the Challenge
268(6)
A Text of the 2010 UNCITRAL Rule
268(1)
B Commentary
268(1)
(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?
268(2)
(2) When may a party seek the assistance of the PCA Secretary-General in designating an appointing authority?
270(1)
(3) What procedures the appointing authority may follow in deciding the challenge
271(1)
(4) Limitations on the powers of the appointing authority
272(1)
C Extracts from the Practice of Investment Tribunals
272(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
273(1)
(1) Tribunal Rules (1983), Article 12(1)
273(1)
(2) Tribunal Rules (1983), Article 12(2)
274(1)
6 Comparison to the 1976 UNCITRAL Rules
274(4)
Chapter 6 Failure to Act, other Disruptions, and the Replacement of an Arbitrator
1 Introduction
278(1)
2 Failure to Act and other Disruptions---Article 12(3)
278(27)
A Text of the 2010 UNCITRAL Rule
278(1)
B Commentary
278(1)
(1) Drafting history of the rule and general comments
278(2)
(2) Iran---US Claims Tribunal practice with respect to an arbitrator's failure to act
280(2)
(3) Iran---US Claims Tribunal practice with respect to other disruptions
282(1)
(a) A note on substitute arbitrators
282(1)
(b) A note on truncated proceedings
283(1)
(1) The absence of Mr Sani, Fall 1983
284(1)
(2) The absence of Judge Mostafavi, Spring 1988
284(1)
(3) The practice of the Tribunal regarding absence from the hearing
285(1)
(4) The practice of the Tribunal regarding the rendering of awards despite a refusal to sign
286(1)
(5) The practice of the Tribunal regarding the rendering of awards on agreed terms despite no participation by an arbitrator
286(1)
(6) The practice of the Tribunal regarding the holding of pre-hearing conference despite the absence of an arbitrator
286(1)
(c) A note on resignation of an arbitrator
286(3)
(4) Comparison to the 1976 UNCITRAL Rules
289(1)
C Extracts from the Practice of Investment Tribunals
289(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
290(1)
(1) Tribunal Rules (1983), Article 13(1)---Resignation
290(1)
(2) Tribunal Rules (1983), Article 13(2)---Failure to act
291(11)
(3) Tribunal Rules (1983), Article 13(3)
302(1)
(4) Tribunal Rules (1983), Article 13(4)
302(1)
(5) Tribunal Rules (1983), Article 13(5)
302(3)
3 Replacement of an Arbitrator---Article 14
305(13)
A Text of the 2010 UNCITRAL Rule
305(1)
B Commentary
305(1)
(1) Rationale for the revised approach: the problem of spurious resignations
305(2)
(2) Procedures when an arbitrator "has to be replaced"---Article 14(1)
307(1)
(3) Replacement of an arbitrator in "exceptional circumstances"---Article 14(2)
308(1)
(a) Depriving a party of its right to appoint
308(3)
(b) Procedural requirements
311(1)
(c) Exclusivity of the discretion of the appointing authority
312(1)
(d) Agreement between the parties
313(1)
(4) Comparison to the 1976 UNCITRAL Rules
314(1)
(a) The express power to proceed
315(2)
(b) The inherent power to proceed
317(1)
4 Repetition of Hearings in the Event of Replacement of an Arbitrator---Article 15
318(7)
A Text of the 2010 UNCITRAL Rule
318(1)
B Commentary
318(1)
(1) General comments
318(2)
(2) Comparison to the 1976 UNCITRAL Rules
320(2)
C Extracts from the Practice of the Iran-US Claims Tribunal
322(3)
Chapter 7 Exclusion of Liability for Arbitrators and other Participants
1 Introduction
325(1)
2 Exclusion of Liability for Arbitrators and other Key Actors---Article 16
325(12)
A Text of the 2010 UNCITRAL Rule
325(1)
B Commentary
326(1)
(1) General
326(4)
(2) Practice of the Iran-US Claims Tribunal
330(1)
(3) Comparison to the 1976 UNCITRAL Rules
330(1)
C Extracts from the Practice of Investment Tribunals
330(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
331(6)
Chapter 8 The Institution of the Appointing Authority
1 Evolution of the UNCITRAL Approach?
337(1)
2 The Appointing Authority and Composition Generally
338(2)
3 Lessons from the Iran-US Claims Tribunal for the Office of the Appointing Authority
340(5)
PART III THE INITIATION OF THE ARBITRATION AND THE IDENTIFICATION AND CLARIFICATION OF THE ISSUES PRESENTED
Introduction
345(2)
Chapter 9 Representation and Assistance
1 Introduction
347(1)
2 Representation and Assistance---Article 5
347(12)
A Text of the 2010 UNCITRAL Rule
347(1)
B Commentary
348(1)
(1) The right to representation and assistance by persons chosen
348(3)
(2) Communicating the identity and role of representatives and advisers
351(1)
(3) Proof of a representative's authority
352(1)
(4) Practice of the Iran-US Claims Tribunal
353(1)
(5) Comparison to the 1976 UNCITRAL Rules
354(1)
C Extracts from the Practice of Investment Tribunals
355(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
356(3)
Chapter 10 The Notice Initiating Arbitration and the Response
1 Introduction
359(1)
2 The Notice Initiating Arbitration---Article 3
360(10)
A Text of the 2010 UNCITRAL Rule
360(1)
B Commentary
361(1)
(1) The requirement to communicate a notice of arbitration---Article 3(1)
361(1)
(2) The date of commencement of arbitration proceedings---Article 3(2)
362(1)
(3) Mandatory information provided in the notice of arbitration---Article 3(3)
363(1)
(4) Additional information provided in the notice of arbitration---Article 3(4)
364(1)
(5) Insufficiency of the notice of arbitration---Article 3(5)
364(1)
(6) International investment agreements and the notice of arbitration
365(1)
(7) The notice of arbitration at the Iran-US Claims Tribunal
366(2)
(8) Comparison to the 1976 UNCITRAL Rules
368(1)
C Extracts from the Practice of Investment Tribunals
369(1)
3 The Response to the Notice of Arbitration---Article 4
370(5)
A Text of the 2010 UNCITRAL Rule
370(1)
B Commentary
370(1)
(1) The requirement to respond to the notice of arbitration---Article 4(1)
370(2)
(2) Mandatory contents of the response to the notice of arbitration---Article 4(1)
372(1)
(3) Optional contents of the response to the notice of arbitration---Article 4(2)
373(1)
(4) Absence, lateness, or insufficiency of the response to the notice of arbitration---Article 4(3)
373(1)
(5) Comparison to the 1976 UNCITRAL Rules
373(2)
Chapter 11 The Choice of Language
1 Introduction
375(1)
2 The Choice of Language---Article 19
376(17)
A Text of the 2010 UNCITRAL Rule
376(1)
B Commentary
376(1)
(1) Determination of the language of arbitration---Article 19(1)
376(6)
(2) Translation of documents and exhibits---Article 19(2)
382(2)
(3) Comparison to the 1976 UNCITRAL Rules
384(1)
C Extracts from the Practice of Investment Tribunals
384(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
385(1)
(1) Tribunal Rules (1983), Article 17(1)
385(2)
(2) Tribunal Rules (1983), Article 17(2)
387(6)
Chapter 12 Notice and the Calculation of Periods of Time
1 Introduction
393(1)
2 Notice and Calculation of Periods of Time---Article 2
394(15)
A Text of the 2010 UNCITRAL Rule
394(1)
B Commentary
395(1)
(1) What form notice may take---Article 2(1)
395(2)
(2) When notice becomes effective---Article 2(2)-(4)
397(1)
(a) A notice is "deemed to have been received"
397(2)
(b) Means of delivery, including by electronic communication
399(1)
(1) Electronic communications
400(1)
(c) Application of Article 2(1) of the 1976 UNCITRAL Rules by the Iran-US Claims Tribunal
401(1)
(3) How to calculate periods of time under the Rules---Article 2(5)-(6)
402(1)
(4) Comparison to the 1976 UNCITRAL Rules
403(1)
C Extracts from the Practice of Investment Tribunals
404(1)
D Extracts from the Practice of the Iran-United States Claims Tribunal
404(1)
(1) Tribunal Rules (1983), Article 2(1)
404(1)
(2) Tribunal Rules (1983), Article 2(2)
405(1)
(3) Tribunal Rules (1983), Article 2(3)
405(2)
(4) Tribunal Rules (1983), Article 2(4)
407(1)
(5) Tribunal Rules (1983), Article 2(5)
407(2)
Chapter 13 Statements of Claim and Defence
1 Introduction
409(1)
2 The Statement of Claim---Article 20
410(11)
A Text of the 2010 UNCITRAL Rule
410(1)
B Commentary
411(1)
(1) Submission of the statement of claim
411(1)
(2) Contents of the statement of claim
412(2)
(3) Sanctions for an inadequate statement of claim
414(1)
(4) A note on the Iran-US Claims Tribunal
415(1)
(5) Comparison to the 1976 UNCITRAL Rules
416(1)
C Extracts from the Practice of Investment Tribunals
417(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
419(1)
(1) Tribunal Rules (1983), Article 18(1)
419(1)
(2) Tribunal Rules (1983), Article 18(2)
419(2)
3 The Statement of Defence---Article 21
421(28)
A Text of the 2010 UNCITRAL Rule
422(1)
B Commentary
422(1)
(1) Submission of the statement of defence
422(1)
(2) Contents of the statement of defence
423(1)
(3) Submission of counterclaims and claims for the purpose of set-off
424(1)
(a) General issues
424(2)
(b) The counterclaim or the claim for a set-off must be within the jurisdiction of the arbitral tribunal
426(2)
(4) Supplementary provisions on counterclaims and claims for the purpose of set-off
428(1)
(5) Comparison to the 1976 UNCITRAL Rules
429(3)
C Extracts from the Practice of Investment Tribunals
432(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
434(1)
(1) Tribunal Rules (1983), Article 19(1)
434(2)
(2) Tribunal Rules (1983), Article 19(2)
436(1)
(3) Tribunal Rules (1983), Article 19(3)
436(11)
(4) Tribunal Rules (1983), Article 19(4)
447(2)
Chapter 14 Objections to the Jurisdiction of the Arbitral Tribunal
1 Introduction
449(1)
2 Objections to Jurisdiction---Article 23
450(17)
A Text of the 2010 UNCITRAL Rule
450(1)
B Commentary
450(1)
(1) The power of the tribunal to determine its own jurisdiction---Article 23(1)
450(3)
(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)
453(2)
(3) When objections should be raised---Article 23(2)
455(2)
(4) When objections should be ruled upon---Article 23(3)
457(1)
(5) Comparison to the 1976 UNCITRAL Rules
458(1)
C Extracts from the Practice of Investment Tribunals
459(4)
D Extracts from the Practice of the Iran-US Claims Tribunal
463(1)
(1) Tribunal Rules (1983), Article 21(1)
463(1)
(2) Tribunal Rules (1983), Article 21(2)
463(1)
(3) Tribunal Rules (1983), Article 21(3)
464(1)
(4) Tribunal Rules (1983), Article 21(4)
464(3)
Chapter 15 Amendments to the Claim or Defence
1 Introduction
467(1)
2 Amendments to the Claim or Defence---Article 22
467(24)
A Text of the 2010 UNCITRAL Rule
467(1)
B Commentary
468(1)
(1) General
468(1)
(2) The amendment must not fall outside the jurisdiction of the arbitral tribunal
469(2)
(3) Grounds for rejecting an amendment: delay, prejudice or other circumstances
471(3)
(4) Procedural questions
474(1)
(5) Comparison to the 1976 UNCITRAL Rules
475(1)
C Extracts from the Practice of Investment Tribunals
475(4)
D Extracts from the Practice of the Iran-US Claims Tribunal
479(12)
Chapter 16 Further Written Statements and Time Limits on Submission
1 Introduction
491(1)
2 Further Written Statements---Article 24
491(14)
A Text of the 2010 UNCITRAL Rule
491(1)
B Commentary
492(1)
(1) General comments
492(4)
(2) Comparison to the 1976 UNCITRAL Rules
496(1)
C Extracts from the Practice of Investment Tribunals
496(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
498(7)
3 Time Limits on Submission---Article 25
505(8)
A Text of the 2010 UNCITRAL Rule
505(1)
B Commentary
505(1)
(1) General comments
505(3)
(2) Comparison to the 1976 UNCITRAL Rules
508(1)
C Extracts from the Practice of Investment Tribunals
508(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
508(5)
Chapter 17 Interim Measures
1 Introduction
513(1)
2 Interim Measures---Article 26
514(39)
A Text of the 2010 UNCITRAL Rule
514(1)
B Commentary
515(1)
(1) The precondition of a request by a party---Article 26(1)
516(1)
(2) Types of interim measures that may be granted---Article 26(2)
517(1)
(a) Maintain or restore the status quo
518(1)
(b) Prevent prejudice to the arbitral process itself
518(1)
(c) Preserve assets for possible satisfaction of award
519(1)
(d) Preserve evidence
519(1)
(3) Conditions for the ordering of interim measures---Article 26(3)
520(1)
(a) A likely harm not adequately reparable by an award of damages
521(1)
(b) An appropriate balance of likely harms
522(1)
(c) A reasonable possibility of success on the merits
522(2)
(d) Further conditions imposed by the agreement of the parties
524(1)
(4) Conditions relaxed for the preservation of evidence---Article 26(4)
524(1)
(5) The form (award or order) in which interim measures are granted
524(1)
(6) Tribunal's power to modify, suspend or terminate interim measures---Article 26(5)
525(1)
(7) Security for the costs of interim measures---Article 26(6)
526(1)
(8) Disclosure by any party of any material change---Article 26(7)
527(1)
(9) Liability for costs and damages---Article 26(8)
528(1)
(10) Relations between the arbitral tribunal and municipal courts in issuing interim measures---Article 26(9)
529(1)
(11) Issuance of preliminary orders
530(2)
(12) Comparison to the 1976 UNCITRAL Rules
532(1)
C Extracts from the Practice of Investment Tribunals
533(10)
D Extracts from the Practice of the Iran-US Claims Tribunal
543(1)
(1) Tribunal Rules (1983), Article 26(1)
543(7)
(2) Tribunal Rules (1983), Article 26(2)
550(1)
(3) Tribunal Rules (1983), Article 26(3)
551(2)
PART IV THE PRESENTATION OF THE CASE: EVIDENCE AND HEARINGS
Introduction
553(2)
Chapter 18 Evidence
1 Introduction
555(2)
2 Evidence---Article 27
557(44)
A Text of the 2010 UNCITRAL Rule
557(1)
B Commentary
557(1)
(1) Burden of proof---Article 27(1)
557(4)
(2) Definition of "witnesses"---Article 27(2)
561(1)
(a) General comments
561(2)
(b) Practice of the Iran-US Claims Tribunal
563(1)
(3) Written witness statements---Article 27(2)
564(1)
(4) Production of documents---Article 27(3)
565(1)
(a) General comments
565(2)
(b) Production of documents at the request of a party
567(3)
(c) "Enforcement" of production orders
570(1)
(5) Admissibility, relevance, materiality, and weight of the evidence---Article 27(4)
571(3)
(6) Comparison to the 1976 UNCITRAL Rules
574(2)
C Extracts from the Practice of Investment Tribunals
576(1)
(1) Article 27(1) (1976 Rules)---Burden of proof
576(1)
(2) Article 27(2) (1976 Rules)---Definition of "witnesses"
577(1)
(3) Article 27(2) (1976 Rules)---Written witness statements
577(1)
(4) Article 27(3) (1976 Rules)---Production of documents
577(2)
(5) Article 27(4) (1976 Rules)---Admissibility, relevance, materiality, and weight of the evidence
579(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
580(1)
(1) Tribunal Rules (1983), Article 24(1)---Burden of proof
580(7)
(2) Tribunal Rules (1983), Article 24(2)---Summary of evidence
587(1)
(3) Tribunal Rules (1983), Article 24(3)---Document production
588(5)
(4) Tribunal Rules (1983), Article 25(5)---Written witness statements
593(1)
(5) Tribunal Rules (1983), Article 25(6)---Admissibility, relevance, materiality, and weight of the evidence
594(7)
Chapter 19 The Hearings
1 Introduction
601(1)
2 The Hearings---Article 28
602(22)
A Text of the 2010 UNCITRAL Rule
602(1)
B Commentary
602(1)
(1) Notice of hearing---Article 28(1)
602(2)
(2) The conduct of the hearing---Article 28(2)-(4)
604(1)
(a) The conditions for and manner of witness examination
604(1)
(1) Notice of hearing and witness testimony
605(1)
(2) Cross-examination
605(1)
(3) Declarations
606(1)
(b) Hearings normally held in camera
607(1)
(c) Retirement of witnesses
608(1)
(d) Examination without physical presence of witness
609(1)
(e) Translation of oral statements, record of the hearing
610(1)
(3) Comparison to the 1976 UNCITRAL Rules
611(2)
C Extracts from the Practice of Investment Tribunals
613(1)
(1) The conditions for and manner of witness examination
613(4)
(2) Hearings held in camera
617(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
617(1)
(1) Tribunal Rules (1983), Article 25(1)
617(2)
(2) Tribunal Rules (1983), Article 25(2)
619(4)
(3) Tribunal Rules (1983), Article 25(3)
623(1)
(4) Tribunal Rules (1983), Article 25(4)
624(1)
3 Closure of the Hearing---Article 31
624(11)
A Text of the 2010 UNCITRAL Rule
624(1)
B Commentary
625(1)
(1) Closure of the hearing---Article 31(1)
625(1)
(2) Reopening of the hearing---Article 31(2)
626(2)
(3) Comparison to the 1976 UNCITRAL Rules
628(1)
C Extracts from the Practice of Investment Tribunals
629(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
629(1)
(1) Tribunal Rules (1983), Article 29(1)
629(1)
(2) Tribunal Rules (1983), Article 29(2)
630(5)
Chapter 20 Tribunal-Appointed Experts
1 Introduction
635(1)
2 Tribunal-Appointed Experts---Article 29
636(33)
A Text of the 2010 UNCITRAL Rule
636(1)
B Commentary
637(1)
(1) General comments
637(1)
(2) Appointment by the tribunal and terms of reference---Article 29(1)-(2)
638(1)
(a) Appointment
638(2)
(b) Terms of reference
640(2)
(3) Objections to the qualifications or the impartiality and independence of the tribunal-appointed expert---Article 29(2)
642(2)
(4) The provision of relevant information to the tribunal-appointed expert---Article 29(3)
644(1)
(5) The tribunal-appointed expert's report---Article 29(4)
645(1)
(6) Expert hearings---Article 29(5)
646(1)
(7) Note on party-appointed "expert witnesses"
647(1)
(8) Comparison to the 1976 UNCITRAL Rules
648(1)
C Extracts from the Practice of Investment Tribunals
648(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
650(1)
(1) Tribunal Rules (1983), Article 27(1)---appointment and terms of reference
650(1)
(a) The Shahin Shaine Ebrahimi case
650(3)
(b) The Arco Exploration case
653(2)
(c) The Starrett Housing case
655(1)
(d) The Richard D Harza case
656(4)
(e) The Behring International case
660(2)
(2) Tribunal Rules (1983), Article 27(2)---provision of relevant information
662(1)
(3) Tribunal Rules (1983), Article 27(3)---expert report
663(1)
(a) The Shahin Shaine Ebrahimi case
663(1)
(b) The Arco Exploration case
664(1)
(c) The Behring International case
665(1)
(d) The Richard D Harza case
665(1)
(e) The Starrett Housing case
665(2)
(4) Tribunal Rules (1983), Article 27(4)---expert hearing
667(2)
PART V DEFAULT AND WAIVER
Introduction
669(2)
Chapter 21 Default
1 Introduction
671(1)
2 Default---Article 30
671(20)
A Text of the 2010 UNCITRAL Rule
671(1)
B Commentary
672(1)
(1) General comments
672(3)
(2) Failure to file early written submissions---Article 30(1)
675(2)
(3) Failure to appear at a hearing---Article 30(2)
677(1)
(4) Failure to produce documentary evidence---Article 30(3)
677(1)
(5) Comparison to the 1976 UNCITRAL Rules
678(1)
C Extracts from the Practice of Investment Tribunals
679(4)
D Extracts from the Practice of the Iran-US Claims Tribunal
683(1)
(1) General and Tribunal Rules (1983), Article 28
683(2)
(2) Tribunal Rules (1983), Article 28(2)
685(2)
(3) Tribunal Rules (1983), Article 28(3)
687(4)
Chapter 22 Waiver
1 Introduction
691(1)
2 Waiver---Article 32
691(6)
A Text of the 2010 UNCITRAL Rule
691(1)
B Commentary
692(1)
(1) General comments
692(1)
(2) The level of knowledge required
693(2)
(3) Comparison to the 1976 UNCITRAL Rules
695(1)
C Extracts from the Practice of Investment Tribunals
695(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
696(1)
PART VI THE AWARD
Introduction
697(2)
Chapter 23 Deliberations and Decisions
1 Introduction
699(1)
2 Decisions---Article 33
700(32)
A Text of the 2010 UNCITRAL Rule
700(1)
B Commentary
700(1)
(1) Awards and other Decisions by Majority Vote---Article 33(1)
700(1)
(a) General comments
700(4)
(b) Majority decision-making by the Iran-US Claims Tribunal
704(1)
(1) The dynamics of deliberations
704(1)
(2) The practice of deliberating and drafting awards
705(1)
(2) Decision-Making on Procedural Questions---Article 33(2)
706(3)
(a) The meaning of "questions of procedure"
709(1)
(b) Revision
710(1)
(3) Confidentiality of deliberations---Article 31, Note 2 of the 1983 Tribunal Rules
711(1)
(a) The scope of the rule of confidentiality
712(3)
(b) Enforcing the rule of confidentiality
715(1)
(1) Censure of written statements
715(1)
(2) Statements of disapproval by fellow arbitrators
716(1)
(3) Challenge proceedings
716(1)
(4) Comparison to the 1976 UNCITRAL Rules
716(1)
C Extracts from the Practice of Investment and other Tribunals
717(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
719(1)
(1) Tribunal Rules (1983), Article 31(1)
719(3)
(2) Tribunal Rules (1983), Article 31(2)
722(1)
(3) Tribunal Rules (1983), Article 31, Note 2---Confidentiality of deliberations
723(9)
Chapter 24 Form and Effect
1 Introduction
732(1)
2 Form and Effect---Article 34
732(49)
A Text of the 2010 UNCITRAL Rule
732(1)
B Commentary
733(1)
(1) Discretion to make separate awards---Article 34(1)
733(5)
(2) The award is "final and binding" and the parties must "carry out the award without delay"---Article 34(2)
738(1)
(a) General commentary on "final and binding"
738(1)
(1) "Final"
738(3)
(2) "Binding"
741(1)
(b) Waiver of recourse against the award---optional provision
742(3)
(3) Written award and designation of the date and place of the award's making---Article 34(2) and (4)
745(1)
(4) Obligation to sign and failure to sign the award---Article 34(4)
746(1)
(a) General comments on the travaux preparatoires
746(3)
(b) Practical matters regarding the statement of reasons for the absence of an arbitrator's signature
749(1)
(5) Statement of reasons for the award and dissenting opinions---Article 34(3)
750(1)
(a) Statement of reasons for the award
750(2)
(b) Dissenting and separate opinions
752(3)
(6) Publication of the award---Article 34(5)
755(2)
(7) Copies of the award to the parties---Article 34(6)
757(2)
(8) Filing and registration of the award
759(1)
(9) Comparison to the 1976 UNCITRAL Rules
759(2)
C Extracts from the Practice of Investment and other Tribunals
761(1)
(1) Article 32(1) (1976 Rules)---Types of award
761(1)
(2) Article 32(2) (1976 Rules)---Final and binding
762(1)
(3) Article 32(2) and (4) (1976 Rules)---Date, place, and signature
763(1)
(4) Article 32(4) (1976 Rules)---Failure to sign the award
764(1)
(5) Article 32(7) (1976 Rules)---Filing and registration of an award
765(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
766(1)
(1) Tribunal Rules (1983), Article 32(1)---Types of award
766(1)
(2) Tribunal Rules (1983), Article 32(2)---Final and binding award
767(1)
(3) Tribunal Rules (1983), Article 32(3) and (4)---Date, place, and signature
767(1)
(4) Tribunal Rules (1983), Article 32(3)---Reasons for the award
768(1)
(5) Tribunal Rules (1983), Article 32(4)---Failure to sign the award
769(1)
(a) Statements of reasons for failure to sign the award
769(4)
(b) Improper statements of reasons and post-award exchanges
773(3)
(6) Tribunal Rules (1983), Article 32(5)---Publication of the award
776(5)
Chapter 25 Settlement and other Grounds for Termination
1 Introduction
781(1)
2 Settlement and other Termination---Article 36
781(20)
A Text of the 2010 UNCITRAL Rule
781(1)
B Commentary
782(1)
(1) Settlement---Article 36(1)
782(1)
(a) Types of settlement agreement and the practice of awards on agreed terms
782(2)
(b) Discretion to record a settlement agreement
784(2)
(c) Pre-settlement negotiations
786(2)
(2) Other grounds for termination---Article 36(2)
788(1)
(a) Continuation of the arbitration is "unnecessary" or "impossible"
788(2)
(b) The existence of "remaining matters"
790(1)
(3) Technical requirements for awards on agreed terms---Article 36(3)
790(1)
(4) Comparison to the 1976 UNCITRAL Rules
790(2)
C Extracts from the Practice of Investment Tribunals
792(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
793(1)
(1) Tribunal Rules (1983), Article 34(1)
793(5)
(2) Tribunal Rules (1983), Article 34(2)
798(3)
Chapter 26 Post-Award Proceedings
1 Introduction
801(1)
2 Interpretation of the Award---Article 37
802(9)
A Text of the 2010 UNCITRAL Rule
802(1)
B Commentary
802(1)
(1) General
802(4)
(2) Comparison to the 1976 UNCITRAL Rules
806(1)
C Extracts from the Practice of Investment Tribunals
806(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
808(3)
3 Correction of the Award---Article 38
811(10)
A Text of the 2010 UNCITRAL Rule
811(1)
B Commentary
811(1)
(1) General
811(3)
(2) Comparison to the 1976 UNCITRAL Rules
814(1)
C Extracts from the Practice of Investment Tribunals
815(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
815(1)
(1) Request for correction granted
815(2)
(2) Request for correction denied
817(4)
4 Additional Award---Article 39
821(6)
A Text of the 2010 UNCITRAL Rule
821(1)
B Commentary
821(1)
(1) General
821(3)
(2) Comparison to the 1976 UNCITRAL Rules
824(1)
C Extracts from the Practice of Investment Tribunals
825(1)
D Extracts from the Practice of the Iran-US Claims Tribunal
825(1)
(1) Request for additional award granted
825(1)
(2) Request for additional award denied
825(2)
5 The Finality of Awards and the Inherent Power to Reconsider
827(13)
A Commentary
827(4)
B Extracts from the Practice of Investment Tribunals
831(1)
C Extracts from the Practice of the Iran-US Claims Tribunal
832(1)
(1) Limited power of review
832(4)
(2) Revision to address fraud or corruption
836(4)
Chapter 27 The Costs of Arbitration
1 Introduction
840(1)
2 The Costs of Arbitration---Article 40
841(11)
A Text of the 2010 UNCITRAL Rule
841(1)
B Commentary
841(1)
(1) The duty to fix the costs of arbitration
841(2)
(2) Costs defined
843(1)
(a) Subparagraph (a)
843(1)
(b) Subparagraphs (b) and (c)
844(1)
(c) Subparagraph (d)
844(1)
(d) Subparagraph (e)
845(1)
(e) Subparagraph (f)
846(1)
(3) The costs of interpretation, correction and completion of an award---Article 40(3)
847(1)
(4) Note on the costs of the Iran-US Claims Tribunal
848(1)
(5) Comparison to the 1976 UNCITRAL Rules
848(1)
C Extracts from the Practice of Investment and other Tribunals
849(3)
3 Arbitrators' Fees---Article 41
852(13)
A Text of the 2010 UNCITRAL Rule
852(1)
B Commentary
853(1)
(1) Regulation of the arbitrators' fees and expenses under the Rules---general background, Article 41(1) and (2)
853(2)
(2) Determining the fees and expenses of the arbitral tribunal and potential review by a neutral arbiter---Article 41(3)-(6)
855(1)
(a) The manner in which fees and expenses will be determined---Article 41(3) and (5)
856(1)
(1) Transparency
857(1)
(2) Neutral Mechanism
858(1)
(3) Efficiency
859(1)
(b) The computation of the arbitral tribunal's fees and expenses---Article 41(4)-(6)
860(1)
(1) Transparency
860(1)
(2) Neutral Mechanism
860(1)
(3) Efficiency
861(1)
(3) Comparison to the 1976 UNCITRAL Rules
862(1)
C Extracts from the Practice of Investment Tribunals
863(2)
4 Apportionment of Costs---Article 42
865(31)
A Text of the 2010 UNCITRAL Rule
865(1)
B Commentary
865(1)
(1) Apportioning and awarding costs
865(5)
(2) "The circumstances of the case"
870(1)
(a) The degree of success of the parties
870(1)
(b) The conduct of the parties
871(2)
(c) The nature of the parties
873(1)
(d) The nature of the dispute resolution mechanism
874(1)
(3) Requirements for making a claim for costs
875(1)
(a) Documentation
875(1)
(b) Timing of requests
875(1)
(c) Proof of reasonable legal costs
876(1)
(4) Comparison to the 1976 UNCITRAL Rules
877(1)
C Extracts from the Practice of Investment Tribunals
877(1)
(1) Article 40(1) and (2) (1976 Rules)---General
877(2)
(2) Article 40(1) and (2) (1976 Rules)---"Circumstances of the case"
879(1)
(a) The success of the parties
879(3)
(b) The conduct of the parties
882(5)
(c) The nature of the dispute resolution mechanism
887(4)
D Extracts from the Practice of the Iran-US Claims Tribunal
891(1)
(1) Tribunal Rules (1983), Article 40(1) and (2)---General
891(1)
(2) Tribunal Rules (1983), Article 40(1) and (2)---"Circumstances of the case"
892(1)
(a) The success of the parties
892(2)
(b) The conduct of the parties
894(2)
5 Deposit of Costs---Article 43
896(11)
A Text of the 2010 UNCITRAL Rule
896(1)
B Commentary
897(1)
(1) The request for deposits
897(2)
(2) Consultation with the appointing authority
899(1)
(3) Failure to make requested deposits
899(1)
(4) The right to an accounting and the return of unexpended deposits
900(1)
(5) Comparison to the 1976 UNCITRAL Rules
901(1)
C Extracts from the Practice of Investment Tribunals
901(2)
D Extracts from the Practice of the Iran-US Claims Tribunal
903(4)
Appendices
Appendix 1 UNCITRAL Arbitration Rules (as revised in 2010)
907(18)
Appendix 2 UNCITRAL Arbitration Rules (1976)
925(14)
Appendix 3 A Tabular Comparison of the 1976-2010 UNCITRAL Arbitration Rules
939(28)
Appendix 4 UNCITRAL Notes on Organizing Arbitral Proceedings (May 28-June 14, 1996)
967(16)
Appendix 5 The Tribunal Rules of Procedure Provisionally adopted May 3, 1983, as amended May 27, 1997
983(24)
Appendix 6 Recommendations to Assist Arbitral Institutions and Other Interested Bodies with regard to Arbitration under the UNCITRAL Arbitration Rules as revised in 2010
1007(14)
Select Bibliography 1021(12)
Index 1033
David Caron is the C. William Maxeiner Distinguished Professor of Law at the University of California at Berkeley. He currently serves as President of the American Society of International Law, Co-Director of the Law of the Sea Institute, and as a member of the Board of Editors of the American Journal of International Law. He presently serves also as a member of the U.S. Department of State Advisory Committee on Public International Law and of the Investment Subcommittee of U.S. Secretary of State's Advisory Committee on International Economic Policy. He is a member of the Bars of the State of California and of England and Wales, and is a Barrister with Chambers at 20 Essex Street.



Lee M. Caplan is an Attorney-Adviser in the Office of International Claims and Investment Disputes of the US Department of State.