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The UNCITRAL Arbitration Rules A Commentary

by: Caron, David D.; Pellonpää, Matti; Caplan, Lee M.

The UNCITRAL Arbitration Rules A Commentary

by: Caron, David D.; Pellonpää, Matti; Caplan, Lee M.

ISBN 13:
9780199297597
ISBN 10:
0199297592
Format: Hardcover
Copyright: 06/01/2006
Publisher: Oxford University Press
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Summary

This is an article by article legal commentary on the UN Commission on International Trade Law (UNCITRAL) Rules which govern a wide range of ad hoc arbitrations, including the IRAN - US Claims Tribunal and NAFTA disputes. The greater flexibility offered by the UNCITRAL arbitration rules means that it is increasingly being favored as a dispute resolution mechanism by governments across the globe.

Table of Cases and Other Practice

xxix

List of Abbreviations

xli

CHAPTER 1: INTRODUCTION

(12)

1 The Importance of the International Arbitral Process

(2)

2 The Origins and Structure of the Iran-US Claims Tribunal

(3)

3 The Tribunal's Use of the UNCITRAL Arbitration Rules

(4)

4 International Investment Agreements and the UNCITRAL Arbitration Rules

(3)

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

(152)

Introduction

(2)

CHAPTER 2: GENERAL PROVISIONS AND PLACE OF ARBITRATION

(104)

1 Introduction

(1)

2 Scope of Application—Article 1

(7)

A Text of the UNCITRAL Rule

(1)

B Commentary

(3)

C Extracts from the Practice of NAFTA Tribunals

(1)

D Extracts from the Practice of Other Tribunals

(2)

(1) General and Article 1(1)

(1)

(2) Article 1(2)

(1)

3 General Provisions—Article 15

(51)

A Text of the UNCITRAL Rule

(1)

B Commentary

(26)

(1) Basic Principles—Article 15(1)

(1)

(a) Arbitral Autonomy and its Limits

(1)

(b) Confidentiality and Non-Disputing Party Participation in UNCITRAL Arbitration

(1)

(d) Concluding Remarks

(1)

(2) Right to a Hearing—Article 15(2)

(5)

(3) Communication of Documents—Article 15(3)

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

(13)

(1) General and Tribunal Rules, Article 15(1)

(7)

(2) Tribunal Rules, Article 15(2)

(6)

D Extracts from the Practice of NAFTA Tribunals

(10)

(1) Article 15(1)—General

(2)

(2) Article 15(1)—Amicus Submissions

(8)

E Extracts from the Practice of Other Tribunals

(2)

4 Place of Arbitration—Article 16

(45)

A Text of the UNCITRAL Rule

(1)

B Commentary

(21)

(1) Selection of the Place of Arbitration—Article 16(1)

(1)

(a) Considerations to Be Taken into Account

(1)

(b) Neutrality

(1)

(d) Enforceability of the Award

(1)

(e) Practical Considerations

(1)

(f) Concluding Remarks

(1)

(2) Selection of the Particular Locale, Special Meetings for Consultation and the Hearing of Witnesses

(2)

(3) Special Meetings for the Inspection of Goods, Other Property or Documents

(1)

(4) Where the Award Shall Be Made

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

(1)

D Extracts from the Practice of NAFTA Tribunals

(15)

E Extracts from the Practice of Other Tribunals

114

(7)

CHAPTER 3: APPLICABLE LAW

121

(44)

1 Introduction

121

(1)

2 Applicable Law—Article 33

122

(47)

A Text of the UNCITRAL Rule

122

(1)

B Commentary

123

(17)

(1) The Main Rules—Article 33(1)

123

(1)

(a) The Principle of Party Autonomy and Its Application

123

(1)

(b) Choice of Applicable Law Where Not Designated by the Parties

130

(4)

(2) Amiable compositeur or ex aequo et bono—Article 33(2)

134

(2)

(3) Significance of the Contract and Trade Usages—Article 33(3)

136

(2)

(4) A Note on the Iran-US Claims Tribunal

138

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

140

(23)

(1) Tribunal Rules, Article 33(1)

140

(17)

(2) Tribunal Rules, Article 33(2)

157

(1)

(3) Tribunal Rules, Article 33(3)

157

(2)

(4) Other practice of the Iran-US Claims Tribunal

159

(4)

D Extracts from the Practice of NAFTA Tribunals

163

(2)

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

165

(172)

Introduction

167

(2)

CHAPTER 4: THE NUMBER AND SELECTION OF ARBITRATORS

169

(16)

1 Introduction

169

(1)

2 The Number of Arbitrators—Article 5

170

(3)

A Text of the UNCITRAL Rule

170

(1)

B Commentary

170

(3)

3 Appointment of the Sole Arbitrator—Article 6

173

(5)

A Text of the UNCITRAL Rule

173

(1)

B Commentary

174

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

176

(2)

4 Appointment of a Three-Person Panel—Article 7

178

(4)

A Text of the UNCITRAL Rule

178

(1)

B Commentary

179

(2)

(1) The Right of Each Party to Appoint an Arbitrator

179

(1)

(2) The Appointment of the Presiding Arbitrator

180

(1)

C Extracts from the Practice of Ad Hoc Tribunals

181

(1)

5 Appointment by the Appointing Authority—Article 8

182

(3)

A Text of the UNCITRAL Rule

182

(1)

B Commentary

182

(3)

CHAPTER 5: THE CHALLENGE OF ARBITRATORS

185

(92)

1 Introduction

187

(12)

A An Overview of the Challenges before the Iran-US Claims Tribunal

187

(6)

(1) The Iranian Government Challenge of Nils Mangård-1982

187

(1)

(2) The United States Government Challenge of Judges Kashani and Shafeiei-1983

188

(1)

(3) The First Iranian Government Challenge of Judge Briner in Case No. 55, "Amoco Iran and The Islamic Republic of Iran"-1988

188

(1)

(4) The Second Iranian Government Challenge of Judge Briner-1989

189

(1)

(5) The Third Iranian Government Challenge of Judge Briner-1989

190

(1)

(6) The US Claimant Challenge of Judge Noori in Case No. 248, "Carlson and Melli Industrial Group" 1990

190

(1)

(7) The Iranian Government Challenge of Judge Arangio-Ruiz-1991

191

(1)

(8) The Iranian Government Challenges of Judge Krzysztof Skubiszewski-1999

191

(1)

(9) The US Government Challenge of Judge Bengt Broms-2001

192

(1)

(10) The US Claimant Challenge of Judge Bengt Broms in connection with Case No. 485, "Frederica Lincoln Riahi" —2004

192

(1)

B An Overview of Challenges before Other UNCITRAL Tribunals

193

(1)

(1) Challenge Decision of 15 April 1993

193

(1)

(2) Challenge Decision of 11 January 1995

194

(1)

C The Exclusivity of the UNCITRAL Challenge Procedure

194

(5)

2 The Duty to Disclose—Article 9

199

(10)

A Text of the UNCITRAL Rule

199

(1)

B Commentary

200

(4)

C Extracts from the Practice of the Iran-US Claims Tribunal

204

(5)

(1) General

204

(1)

(2) Disclosure by the US Arbitrators

205

(4)

3 The Grounds for Challenge—Article 10

209

(31)

A Text of the UNCITRAL Rule

209

(1)

B Commentary

210

(21)

(1) Challenge on the Ground of Justifiable Doubts as to Impartiality or Independence—General Remarks on Article 10(1)

210

(1)

(a) The Standard for Impartiality and Independence Is Objective

210

(1)

(b) The Same Standard Applies to Party-Appointed and Non-Party-Appointed Arbitrators

211

(1)

213

(1)

(2) Challenge on the Ground of Justifiable Doubts as to Impartiality or Independence

214

(1)

(a) The Meaning of "Impartiality" and "Independence"

215

(1)

(b) When Are Doubts as to Impartiality or Independence Justified?

215

(1)

224

(1)

(d) A Failure to Disclose Under Article 9 May Give Rise to, but Does Not Per Se Establish, Justifiable Doubts as to Impartiality or Independence

225

(1)

(e) Are There Any Limitations on the Circumstances Which May Be Used as the Basis for Justifiable Doubts?

227

(1)

(3) Article 10(1) As Providing the Exclusive Grounds for Challenge

228

(1)

(4) When May a Party-Appointed Arbitrator Be Challenged by the Party Who Appointed Him—Article 10(2)

231

(1)

C Extracts From the Practice of the Iran-US Claims Tribunal

231

(7)

(1) Tribunal Rules, Article 10(1)

231

(7)

(2) Tribunal Rules, Article 10(2)

238

(1)

D Extracts from the Practice of Other Tribunals

238

(2)

4 The Initiation of the Challenge and the Potential for Agreement to the Challenge—Article 11

240

(25)

A Text of the UNCITRAL Rule

240

(1)

B Commentary

241

(12)

(1) When Notice of Challenge Must Be Made—Article 11(1)

241

(5)

(2) To Whom Should Notice Be Sent; What Form Should Notice Take—Article 11(2)

246

(5)

(3) Procedure if Challenge is Accepted by Other Party or Challenged Arbitrator Withdraws—Article 11(3)

251

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

253

(11)

(1) Tribunal Rules, Article 11(1)

253

(6)

(2) Tribunal Rules, Article 11(2)

259

(4)

(3) Tribunal Rules, Article 11(3)

263

(1)

D Extracts from the Practice of NAFTA Tribunals

264

(1)

E Extracts from the Practice of Other Tribunals

264

(1)

5 The Resolution of the Challenge—Article 12

265

(12)

A Text of the UNCITRAL Rule

265

(1)

B Commentary

266

(7)

(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 Article 12(1)

266

(6)

(2) Procedure for Appointing a Substitute Arbitrator if the Challenge Is Sustained—Article 12(2)

272

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

273

(2)

(1) Tribunal Rules, Article 12(1)

273

(2)

(2) Tribunal Rules, Article 12(2)

275

(1)

D Extracts from the Practice of NAFTA Tribunals

275

(2)

CHAPTER 6: RESIGNATION, FAILURE TO ACT, AND THE CONSEQUENCES OF THE REPLACEMENT OF AN ARBITRATOR

277

(52)

1 Introduction

277

(1)

2 Replacement of an Arbitrator—Article 13

278

(44)

A Text of the UNCITRAL Rule

278

(1)

B Commentary

279

(20)

(1) Resignation, Absence and Death—Article 13(1)

279

(1)

(a) Drafting History of the Rule

279

(1)

(b) Tribunal Practice on Article 13(1)

281

(3)

(2) Failure to Act—Article 13(2)

284

(1)

(a) Drafting History of the Rule

284

(1)

(b) Tribunal Practice on Article 13(2)

285

(1)

287

(1)

(d) A Note on Truncated Proceedings

287

(10)

(3) Tribunal Rules, Article 13(3)

297

(1)

(4) Tribunal Rules, Article 13(4)

298

(1)

(5) Tribunal Rules, Article 13(5)

298

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

299

(22)

(1) Tribunal Rules, Article 13(1)

299

(1)

(2) Tribunal Rules, Article 13(2)

299

(19)

(3) Tribunal Rules, Article 13(3)

318

(1)

(4) Tribunal Rules, Article 13(4)

319

(1)

(5) Tribunal Rules, Article 13(5)

319

(2)

D Extracts from the Practice of Ad Hoc Tribunals

321

(1)

3 Repetition of Hearings in the Event of the Replacement of an Arbitrator—Article 14

322

(7)

A Text of the UNCITRAL Rule

322

(1)

B Commentary

323

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

326

(3)

CHAPTER 7: THE APPOINTING AUTHORITY AND COMPOSITION UNDER THE UNCITRAL RULES

329

(8)

1 An Evaluation of the UNCITRAL Approach

329

(3)

2 The Office of the Appointing Authority

332

(5)

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

337

(224)

Introduction

339

(2)

CHAPTER 8: THE NOTICE INITIATING ARBITRATION

341

(10)

1 Introduction

341

(1)

2 The Notice Initiating Arbitration—Article 3

342

(9)

A Text of the UNCITRAL Rule

342

(1)

B Commentary

342

(7)

(1) The Notice Requirement—Article 3(1)

342

(1)

(2) When Arbitration Proceedings Are Deemed to Have Commenced—Article 3(2)

343

(1)

(3) What Information Must Be Provided in the Notice of Arbitration—Article 3(3)

344

(1)

(4) Additional Information Provided in the Notice of Arbitration—Article 3(4)

345

(1)

(5) The Notice of Arbitration in the Iran-US Claims Tribunal

346

(3)

C Extracts from the Practice of NAFTA Tribunals

349

(1)

D Extracts from the Practice of Other Tribunals

350

(1)

CHAPTER 9: THE CHOICE OF LANGUAGE

351

(24)

1 Introduction

351

(1)

2 The Choice of Language—Article 17

352

(23)

A Text of the UNCITRAL Rule

352

(1)

B Commentary

352

(11)

(1) Determination of the Language of Arbitration—Article 17(1)

352

(7)

(2) Translation of Documents and Exhibits Article 17(2)

359

(4)

C Extracts from the Practice of the Iran-US Claims Tribunal

363

(11)

(1) Tribunal Rules, Article 17(1)

363

(3)

(2) Tribunal Rules, Article 17(2)

366

(8)

D Extracts from the Practice of NAFTA Tribunals

374

(1)

CHAPTER 10: NOTICE AND THE CALCULATION OF PERIODS OF TIME

375

(16)

1 Introduction

375

(1)

2 Notice and the Calculation of Periods of Time—Article 2

376

(15)

A Text of the UNCITRAL Rule

376

(1)

B Commentary

377

(6)

(1) When Notice Becomes Effective—Article 2(1)

377

(1)

(a) The Drafting History of Article 2(1)

377

(1)

(b) Application of Article 2(1) by the Iran-US Claims Tribunal

380

(1)

(2) How to Calculate Periods of Time under the Rules Article 2(2)

381

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

383

(10)

(1) Tribunal Rules, Article 2(1)

383

(1)

(2) Tribunal Rules, Article 2(2)

384

(1)

(3) Tribunal Rules, Article 2(3)

384

(3)

(4) Tribunal Rules, Article 2(4)

387

(1)

(5) Tribunal Rules, Article 2(5)

387

(4)

CHAPTER 11: STATEMENTS OF CLAIM AND DEFENCE

391

(52)

1 Introduction

392

(1)

2 The Statement of Claim—Article 18

393

(13)

A Text of the UNCITRAL Rule

393

(1)

B Commentary

394

(5)

(1) Submission of the Statement of Claim

394

(1)

(2) Contents of the Statement of Claim

395

(1)

(3) Sanctions for an Inadequate Statement of Claim

396

(2)

(4) A Note on the Iran-US Claims Tribunal

398

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

399

(3)

(1) Tribunal Rules, Article 18(1)

399

(1)

(2) Tribunal Rules, Article 18(2)

400

(2)

D Extracts from the Practice of NAFTA Tribunals

402

(4)

3 The Statement of Defence—Article 19

406

(37)

A Text of the UNCITRAL Rule

406

(1)

B Commentary

407

(9)

(1) Submission of the Statement of Defence

407

(1)

(2) Contents of the Statement of Defence

408

(1)

(3) Submission of Counter-Claims and Claims for the Purpose of Set-Off

409

(1)

(a) Preliminary Remarks

409

(1)

(b) The Counter-Claim or the Claim for a Set-Off Must Arise out of the Same Contract as the Main Claim

412

(3)

(4) Supplementary Provisions on Counter-Claims and Claims for the Purpose of Set-Off

415

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

416

(21)

(1) Tribunal Rules, Article 19(1)

416

(2)

(2) Tribunal Rules, Article 19(2)

418

(1)

(3) Tribunal Rules, Article 19(3)

419

(18)

(4) Tribunal Rules, Article 19(4)

437

(1)

D Extracts from the Practice of NAFTA Tribunals

437

(6)

CHAPTER 12: PLEAS AS TO THE JURISDICTION OF THE ARBITRAL TRIBUNAL

443

(22)

1 Introduction

443

(1)

2 Pleas as to Jurisdiction-Article 21

444

(21)

A Text of the UNCITRAL Rule

444

(1)

B Commentary

444

(7)

(1) The Extent of the Power of the Tribunal to Determine its Jurisdiction—Articles 21(1) and 21(2)

444

(2)

(2) Objections to the Existence or Validity of the Contract of Which the Arbitration Agreement is a Part Article 21(2)

446

(2)

(3) When Objections Should be Raised—Article 21(3)

448

(1)

(4) When Objections Should be Ruled Upon as a Preliminary Question—Article 21(4)

449

(2)

C Extracts From The Practice of The Iran-US Claims Tribunal

451

(5)

(1) Tribunal Rules, Article 21(1)

451

(1)

(2) Tribunal Rules, Article 21(2)

451

(1)

(3) Tribunal Rules, Article 21(3)

452

(1)

(4) Tribunal Rules, Article 21(4)

452

(4)

D Extracts from the Practice of NAFTA Tribunals

456

(6)

E Extracts from the Practice of Ad Hoc Tribunals

462

(3)

CHAPTER 13: AMENDMENTS TO THE CLAIM OR DEFENCE

465

(32)

1 Introduction

465

(1)

2 Amendments to the Claim or Defence—Article 20

466

(31)

A Text of the UNCITRAL Rule

466

(1)

B Commentary

466

(9)

(1) General Remarks

466

(2)

(2) The Amendment Must Not Fall Outside the Scope of the Arbitration Clause or Agreement

468

(2)

(3) Grounds for Rejecting an Amendment: Delay, Prejudice or Other Circumstances

470

(4)

(4) Procedural Questions

474

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

475

(16)

D Extracts from the Practice of NAFTA Tribunals

491

(3)

E Extracts from the Practice of Ad Hoc Tribunals

494

(3)

CHAPTER 14: FURTHER WRITTEN STATEMENTS AND TIME LIMITS ON SUBMISSION

497

(34)

1 Introduction

497

(1)

2 Further Written Statements—Article 22

498

(20)

A Text of the UNCITRAL Rule

498

(1)

B Commentary

498

(5)

C Extracts from the Practice of the Iran-US Claims Tribunal

503

(12)

D Extracts from the Practice of NAFTA Tribunals

515

(2)

E Extracts from the Practice of Ad Hoc Tribunals

517

(1)

3 Time Limits on Submission—Article 23

518

(13)

A Text of the UNCITRAL Rule

518

(1)

B Commentary

518

(5)

C Extracts from the Practice of the Iran-US Claims Tribunal

523

(8)

CHAPTER 15: THE QUESTION OF INTERIM MEASURES

531

(30)

1 Introduction

531

(1)

2 Interim Measures—Article 26

532

(33)

A Text of the UNCITRAL Rule

533

(1)

B Commentary

533

(13)

(1) Conditions for the Ordering and Contents of Interim Measures—Article 26(1)

533

(1)

(a) Interim Measures Must Be Requested by a Party

533

(1)

(b) Interim Measures Must Be Necessary in Respect of the Subject Matter of the Dispute

534

(1)

539

(1)

(2) The Form of a Decision on Interim Measures and the Costs of Such Measures—Article 26(2)

540

(3)

(3) Relations Between the Arbitral Tribunal and Municipal Courts in Question Concerning Interim Measures

543

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

546

(21)

(1) Tribunal Rules, Article 26(1)

546

(12)

(2) Tribunal Rules, Article 26(2)

558

(2)

(3) Tribunal Rules, Article 26(3)

560

(1)

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

561

(148)

Introduction

563

(2)

CHAPTER 16: EVIDENCE

565

(40)

1 Introduction

565

(2)

2 Evidence—Article 24

567

(38)

A Text of the UNCITRAL Rule

567

(1)

B Commentary

568

(12)

(1) Burden of Proof—Article 24(1)

568

(4)

(2) Summary of Evidence to be Delivered to the Arbitral Tribunal and the Other Party—Article 24(2)

572

(2)

(3) Production of Documents—Article 24(3)

574

(1)

(a) General Remarks

574

(1)

(b) Arbitral "Discovery" at the Request of a Party

576

(1)

578

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

580

(21)

(1) Tribunal Rules, Article 24(1)

580

(12)

(2) Tribunal Rules, Article 24(2)

592

(1)

(3) Tribunal Rules, Article 24(3)

592

(9)

D Extracts from the Practice of NAFTA Tribunals

601

(2)

E Extracts from the Practice of Ad Hoc Tribunals

603

(2)

CHAPTER 17: THE HEARINGS

605

(58)

1 Introduction

606

(1)

2 The Hearings—Article 25

606

(44)

A Text of the UNCITRAL Rule

606

(2)

B Commentary

608

(16)

(1) Notice of Hearing—Article 25(1)

608

(2)

(2) Notice of Witnesses—Article 25(2)

610

(1)

(a) Main Contents of the Provision

610

(1)

(b) "Witnesses" within the Meaning of Article 25(2)

611

(2)

(3) Translation of Oral Statements, Record of the Hearing Article 25(3)

613

(3)

(4) The Conduct of the Hearing—Article 25(4)

616

(1)

(a) Hearings Normally Held In Camera

616

(1)

(b) Retirement of Witnesses

617

(1)

617

(2)

(5) Written Witness Statements—Article 25(5)

619

(2)

(6) Admissibility, Relevance, Materiality and Weight of the Evidence—Article 25(6)

621

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

624

(21)

(1) Tribunal Rules, Article 25(1)

624

(2)

(2) Tribunal Rules, Article 25(2)

626

(8)

(3) Tribunal Rules, Article 25(3)

634

(1)

(4) Tribunal Rules, Article 25(4)

635

(1)

(5) Tribunal Rules, Article 25(5)

636

(1)

(6) Tribunal Rules, Article 25(6)

637

(8)

D Extracts from the Practice of NAFTA Tribunals

645

(3)

E Extracts from the Practice of Ad Hoc Tribunals

648

(2)

3 Closure of the Hearing—Article 29

650

(13)

A Text of the UNCITRAL Rule

650

(1)

B Commentary

650

(5)

(1) Closure of the Hearing—Article 29(1)

650

(2)

(2) Reopening of the Hearing—Article 29(2)

652

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

655

(7)

(1) Tribunal Rules, Article 29(1)

655

(1)

(2) Tribunal Rules, Article 29(2)

656

(6)

D Extracts from the Practice of NAFTA Tribunals

662

(1)

E Extracts from the Practice of Ad Hoc Tribunals

662

(1)

CHAPTER 18: EXPERTS

663

(46)

1 Introduction

663

(1)

2 Experts—Article 27

664

(49)

A Text of the UNCITRAL Rule

664

(1)

B Commentary

665

(12)

(1) General Comments

665

(2)

(2) Appointment and Terms of Reference Article 27(1)

667

(1)

(a) Appointment

667

(1)

(b) Terms of Reference

670

(1)

(3) The Provision of Relevant Information to the Expert Article 27(2)

671

(2)

(4) The Expert's Report Article 27(3)

673

(2)

(5) Expert Hearings Article 27(4)

675

(1)

(6) A Note on Party-Appointed Experts

676

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

677

(29)

(1) Tribunal Rule, Article 27(1)—Appointment and Terms of Reference

677

(1)

(a) The Shain Shaine Ebrahimi Case

677

(1)

(b) The Arco Exploration Case

682

(1)

685

(1)

(d) The Richard D Harza Case

687

(1)

(e) The Behring International Case

693

(3)

(2) Tribunal Rules, Article 27(2)—Provision of Relevant Information

696

(3)

(3) Tribunal Rules, Article 27(3)—Expert Report

699

(1)

(a) The Shain Shaine Ebrahimi Case

699

(1)

(b) The Arco Exploration Case

700

(1)

701

(1)

(d) The Richard D Harza Case

702

(1)

(e) The Starrett Housing Case

702

(2)

(4) Tribunal Rules, Article 27(4)—Expert Hearing

704

(2)

D Extracts from the Practice of NAFTA Tribunals

706

(1)

E Extracts from the Practice of Ad Hoc Tribunals

706

(3)

PART V: DEFAULT AND WAIVER

709

(36)

Introduction

711

(2)

CHAPTER 19: DEFAULT

713

(26)

1 Introduction

713

(1)

2 Default—Article 28

714

(25)

A Text of the UNCITRAL Rule

714

(1)

B Commentary

714

(7)

(1) General Comments

714

(4)

(2) Failure to File Initial Written Submissions—Article 28(1)

718

(1)

(3) Failure to Appear at a Hearing—Article 28(2)

719

(1)

(4) Failure to produce documentary evidence—Article 28(3)

720

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

721

(10)

(1) General and Tribunal Rules, Article 28

721

(3)

(2) Tribunal Rules, Article 28(2)

724

(3)

(3) Tribunal Rules, Article 28(3)

727

(4)

D Extracts from the Practice of Ad Hoc Tribunals

731

(8)

CHAPTER 20: WAIVER

739

(6)

1 Introduction

739

(1)

2 Waiver—Article 30

740

(9)

A Text of the UNCITRAL Rule

740

(1)

B Commentary

740

(3)

(1) General Comments

740

(1)

(2) The Criteria for Waiver

741

(1)

(a) Knowledge of Non-Compliance

741

(1)

(b) Continuation with the Proceedings

742

(1)

743

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

743

(1)

D Extracts from the Practice of Ad Hoc Tribunals

744

(1)

PART VI: THE AWARD

745

(250)

Introduction

747

(2)

CHAPTER 21: DECISIONS

749

(40)

1 Introduction

749

(1)

2 Decisions—Article 31

750

(39)

A Text of the UNCITRAL Rule

750

(1)

B Commentary

750

(19)

(1) Awards and Other Decisions by Majority Vote—Article 31(1)

750

(1)

(a) General Comments

750

(1)

(b) The Practice of Deliberating and Drafting Awards by the Iran-US Claims Tribunal

755

(1)

(2) Decision-Making on Procedural Questions Article 31(2)

756

(1)

(a) The Meaning of "Questions of Procedure"

759

(1)

(b) Revision

761

(1)

(3) Confidentiality of Deliberations—Article 31, Note 2 of the Tribunal Rules

762

(1)

(a) The Scope of the Rule of Confidentiality

763

(1)

(b) Enforcing the Rule of Confidentiality

766

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

769

(16)

(1) Tribunal Rules, Article 31(1)

769

(5)

(2) Tribunal Rules, Article 31(2)

774

(1)

(3) Tribunal Rules, Article 31, Note 2—Confidentiality of Deliberations

775

(10)

D Extracts from the Practice of NAFTA Tribunals

785

(1)

E Extracts from the Practice of Ad Hoc Tribunals

785

(4)

CHAPTER 22: FORM AND EFFECT

789

(64)

1 Introduction

790

(1)

2 Form and Effect—Article 32

791

(62)

A Text of the UNCITRAL Rule

791

(1)

B Commentary

791

(31)

(1) Types of awards—Article 32(1)

791

(6)

(2) The Award is "Final and Binding" and the Parties Must "Carry Out the Award without Delay"—Article 32(2)

797

(6)

(3) Written Award and Designation of the Date and Place of the Award's Making—Articles 32(2) and 32(4)

803

(1)

(4) Obligation to Sign and Failure to Sign the Award Article 32(4)

804

(1)

(a) General comments on the travaux pre'paratoires

805

(1)

(b) Practical Matters Regarding the Statement of Reasons for the Absence of an Arbitrator's Signature

809

(2)

(5) Statement of Reasons for the Award and Dissenting Opinions—Article 32(3)

811

(6)

(6) Publication of the Award—Article 32(5)

817

(2)

(7) Copies of the Award to the Parties—Article 32(6)

819

(2)

(8) Filing and Registration of the Award—Article 32(7)

821

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

822

(22)

(1) Tribunal Rules, Article 32(1)—Types of Awards

822

(1)

(2) Tribunal Rules, Article 32(2)—Final and Binding Award

823

(1)

(3) Tribunal Rules, Articles 32(3) and 32(4)—Date, Place, and Signature

824

(1)

(4) Tribunal Rules, Article 32(3)—Reasons for the Award

825

(1)

(5) Tribunal Rules, Article 32(4)—Failure to Sign the Award

826

(1)

(a) Statements of Reasons for Failure to Sign the Award

826

(1)

(b) Improper Statements of Reasons and Post-Award Exchanges

834

(5)

(6) Tribunal Rules, Article 32(5)—Publication of the Award

839

(5)

D Extracts from the Practice of NAFTA and Other Tribunals

844

(10)

(1) Article 32(1)—Types of Awards

844

(1)

(2) Article 32(2)—Final and Binding

845

(3)

(3) Articles 32(2) and 32(4)—Date, Place, and Signature

848

(1)

(4) Article 32(4)—Failure to Sign the Award

849

(1)

(5) Article 32(7)—Filing and Registration of an Award

850

(3)

CHAPTER 23: SETTLEMENT AND OTHER GROUNDS FOR TERMINATION

853

(26)

1 Introduction

853

(1)

2 Settlement and Other Termination—Article 34

854

(25)

A Text of the UNCITRAL Rule

854

(1)

B Commentary

854

(12)

(1) Settlement—Article 34(1)

854

(1)

(a) Types of Settlement Agreements and the Practice of Awards on Agreed Terms

854

(1)

(b) Discretion to Record a Settlement Agreement

857

(1)

860

(2)

(2) Other Grounds for Termination—Article 34(2)

862

(1)

(a) Continuation of the Arbitration Is "Unnecessary" or "Impossible"

862

(1)

(b) "Justifiable Grounds for Objection"

864

(1)

(3) Technical Requirements for Awards on Agreed Terms Article 34(3)

865

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

866

(14)

(1) Tribunal Rules, Article 34(1)

866

(8)

(2) Tribunal Rules, Article 34(2)

874

(5)

CHAPTER 24: POST-AWARD PROCEEDINGS

879

(48)

1 Introduction

880

(1)

2 Interpretation of the Award—Article 35

880

(14)

A Text of the UNCITRAL Rule

880

(1)

B Commentary

881

(4)

C Extracts from the Practice of the Iran-US Claims Tribunal

885

(6)

D Extracts from the Practice of NAFTA Tribunals

891

(1)

E Extracts from the Practice of Other Tribunals

892

(2)

3 Correction of the Award—Article 36

894

(14)

A Text of the UNCITRAL Rule

894

(1)

B Commentary

895

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

898

(10)

(1) Request for Correction Granted

898

(2)

(2) Request for Correction Denied

900

(8)

4 Additional Award—Article 37

908

(6)

A Text of the UNCITRAL Rule

908

(1)

B Commentary

908

(3)

C Extracts from the Practice of the Iran-US Claims Tribunal

911

(3)

(1) Request for Additional Award Granted

911

(1)

(2) Request for Additional Award Denied

911

(3)

5 The Finality of Awards and the Inherent Power to Reconsider

914

(13)

A Commentary

914

(5)

B Extracts from the Practice of the Iran-US Claims Tribunal

919

(5)

(1) Limited Power of Review

919

(2)

(2) Revision to Address Fraud or Corruption

921

(3)

C Extracts from the Practice of NAFTA Tribunals

924

(1)

D Extracts from the Practice of Other Tribunals

925

(2)

CHAPTER 25: THE COSTS OF ARBITRATION

927

(68)

1 Introduction

928

(1)

2 The Costs of Arbitration—Article 38

928

(13)

A Text of the UNCITRAL Rule

928

(1)

B Commentary

929

(6)

(1) Costs Defined

929

(4)

(2) The Duty to Fix the Costs of Arbitration

933

(1)

(3) Note on the Costs of the Iran-US Claims Tribunal

934

(1)

C Extracts from the Practice of NAFTA Tribunals

935

(1)

D Extracts from the Practice of Ad Hoc Tribunals

936

(5)

3 Arbitrators' Fees—Article 39

941

(6)

A Text of the UNCITRAL Rule

941

(1)

B Commentary

942

(4)

C Extracts from the Practice of NAFTA Tribunals

946

(1)

4 Apportionment of Costs—Article 40

947

(35)

A Text of the UNCITRAL Rule

947

(1)

B Commentary

947

(9)

(1) Apportioning and Awarding Costs

947

(4)

(2) "The Circumstances of the Case"

951

(1)

(a) The Success of the Parties

951

(1)

(b) The Conduct of the Parties

952

(1)

953

(1)

(3) Requirements for Making a Claim for Costs

954

(2)

C Extracts from the Practice of the Iran-US Claims Tribunal

956

(10)

(1) Tribunal Rules, Article 40(1) and (2)—General

956

(4)

(2) Article 40(1) and (2)—"Circumstances of the Case"

960

(1)

(a) The Success of the Parties

960

(1)

(b) The Conduct of the Parties

962

(4)

D Extracts from the Practice of NAFTA Tribunals

966

(10)

E Extracts from the Practice of Ad Hoc Tribunals

976

(6)

5 Deposit of Costs—Article 41

982

(13)

A Text of the UNCITRAL Rule

982

(1)

B Commentary

983

(5)

(1) The Request for Deposits

983

(2)

(2) Consultation with the Appointing Authority

985

(1)

(3) Failure to Make Requested Deposits

986

(1)

(4) The Right to an Accounting and the Return of Unexpended Deposits

987

(1)

C Extracts from the Practice of the Iran-US Claims Tribunal

988

(4)

D Extracts from the Practice of NAFTA Tribunals

992

(1)

E Extracts from the Practice of Ad Hoc Tribunals

993

(2)

Select Bibliography

995

(14)

Appendices

1009

(40)

Index

1049

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The UNCITRAL Arbitration Rules A Commentary

The UNCITRAL Arbitration Rules A Commentary

9780199297597

0199297592

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Table of Contents

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Amazon no longer offers textbook rentals. We do!

The UNCITRAL Arbitration Rules A Commentary

The UNCITRAL Arbitration Rules A Commentary

9780199297597

0199297592

Summary

Table of Contents

Supplemental Materials

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