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Contents
- Preliminary Material
- Main Text
- Ch.1 Introduction
- Part I Fundamental Principles and the Legal Framework within which the Arbitral Tribunal Operates
- Introduction
- Ch.2 General Provisions and Place of Arbitration
- 1 Introduction
- 2 Scope of Application–Article 1
- 3 General Provisions– Article 15
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Other Tribunals
- 4 Place of Arbitration–Article 16
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Other Tribunals
- Ch.3 Applicable Law
- 1 Introduction
- 2 Applicable Law– Article 33
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- Part II Arbitral Procedures To Control The Selection And Conduct Of Arbitrators
- Introduction
- Ch.4 The Number And Selection Of Arbitrators
- Ch.5 The Challenge Of Arbitrators
- 1 Introduction
- A 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–1983
- (3) The first Iranian Government challenge of Judge Briner in Case No. 55, “Amoco Iran and The 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 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 Broms2001
- (10) The US Claimant challenge of Judge Bengt Broms in connection with Case No. 485, “Frederica Lincoln Riahi”–2004
- B An Overview of Challenges before Other UNCITRAL Tribunals
- C The Exclusivity of the UNCITRAL Challenge Procedure
- A An Overview of the Challenges before the Iran-US Claims Tribunal
- 2 The Duty to Disclose–Article 9
- 3 The Grounds for Challenge–Article 10
- A Text of the UNCITRAL Rule
- B Commentary
- (1) Challenge on the ground of justifiable doubts as to impartiality or independence–general remarks on Article 10(1)
- (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?
- (c) The standard of independence and impartiality does not vary depending on the stage of the proceedings
- (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
- (e) Are there any limitations on the circumstances which may be used as the basis for justifiable doubts?
- (3) Article 10(1) as providing the exclusive grounds for challenge
- (4) When may a party–appointed arbitrator be challenged by the party who appointed him–Article 10(2)
- C Extracts From the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of Other Tribunals
- 4 The Initiation of the Challenge and the Potential for Agreement to the Challenge–Article 11
- 5 The Resolution of the Challenge–Article 12
- 1 Introduction
- Ch.6 Resignation, Failure to Act, and the Consequences of the Replacement of an Arbitrator
- 1 Introduction
- 2 Replacement of an Arbitrator–Article 13
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of Ad Hoc Tribunals
- 3 Repetition of Hearings in the Event of the Replacement of an Arbitrator–Article 14
- Ch.7 The Appointing Authority and Composition Under the UNCITRAL Rules
- Part III The Initiation of the Arbitration and the Identification and Clarification of the Issues Presented
- Introduction
- Ch.8 The Notice Initiating Arbitration
- 1 Introduction
- 2 The Notice Initiating Arbitration–Article 3
- A Text of the UNCITRAL Rule
- B Commentary
- (1) The notice requirement–Article 3(1)
- (2) When arbitration proceedings are deemed to have commenced–Article 3(2)
- (3) What information must be provided in the notice of arbitration–Article 3(3)
- (4) Additional information provided in the notice of arbitration–Article 3(4)
- (5) The notice of arbitration at the Iran-US Claims Tribunal
- C Extracts from the Practice of NAFTA Tribunals
- D Extracts from the Practice of Other Tribunals
- Ch.9 The Choice of Language
- Ch.10 Notice and the Calculation of Periods of Time
- Ch.11 Statements of Claim and Defence
- 1 Introduction
- 2 The Statement of Claim–Article 18
- 3 The Statement of Defence–Article 19
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- Ch.12 Pleas as to the Jurisdiction of the Arbitral Tribunal
- 1 Introduction
- 2 Pleas as to Jurisdiction–Article 21
- A Text of the UNCITRAL Rule
- B Commentary
- (1) The extent of the power of the tribunal to determine its jurisdiction–Articles 21(1) and 21(2)
- (2) Objections to the existence or validity of the contract of which the arbitration agreement is a part–Article 21(2)
- (3) When objections should be raised–Article 21(3)
- (4) When objections should be ruled upon as a preliminary question–Article 21(4)
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Ad Hoc Tribunals
- Ch.13 Amendments to the Claim or Defence
- Ch.14 Further Written Statements and Time Limits on Submission
- Ch.15 The Question of Interim Measures
- 1 Introduction
- 2 Interim Measures–Article 26
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- Part IV The Presentation of the Case: Evidence and Hearings
- Introduction
- Ch.16 Evidence
- Ch.17 The Hearings
- 1 Introduction
- 2 The Hearings–Article 25
- A Text of the UNCITRAL Rule
- B Commentary
- (1) Notice of hearing–Article 25(1)
- (2) Notice of witnesses–Article 25(2)
- (3) Translation of oral statements, record of the hearing–Article 25(3)
- (4) The conduct of the hearing–Article 25(4)
- (5) Written witness statements–Article 25(5)
- (6) Admissibility, relevance, materiality and weight of the evidence–Article 25(6)
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Ad Hoc Tribunals
- 3 Closure of the Hearing–Article 29
- Ch.18 Experts
- 1 Introduction
- 2 Experts–Article 27
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Ad Hoc Tribunals
- Part V Default and Waiver
- Part VI The Award
- Introduction
- Ch.21 Decisions
- 1 Introduction
- 2 Decisions–Article 31
- A Text of the UNCITRAL Rule
- B Commentary
- C Extracts from the Practice of the Iran-US Claims Tribunal
- D Extracts from the Practice of NAFTA Tribunals
- E Extracts from the Practice of Ad Hoc Tribunals
- Ch.22 Form and Effect
- 1 Introduction
- 2 Form and Effect–Article 32
- A Text of the UNCITRAL Rule
- B Commentary
- (1) Types of awards–Article 32(1)
- (2) The award is “final and binding” and the parties must “carry out the award without delay”–Article 32(2)
- (3) Written award and designation of the date and place of the award's making–Articles 32(2) and 32(4)
- (4) Obligation to sign and failure to sign the award–Article 32(4)
- (5) Statement of reasons for the award and dissenting opinions–Article 32(3)
- (6) Publication of the award–Article 32(5)
- (7) Copies of the award to the parties–Article 32(6)
- (8) Filing and registration of the award–Article 32(7)
- C Extracts from the Practice of the Iran-US Claims Tribunal
- (1) Tribunal Rules, Article 32(1)–Types of awards
- (2) Tribunal Rules, Article 32(2)–Final and binding award
- (3) Tribunal Rules, Articles 32(3) and 32(4)–Date, place, and signature
- (4) Tribunal Rules, Article 32(3)–Reasons for the award
- (5) Tribunal Rules, Article 32(4)–Failure to Sign the Award
- (6) Tribunal Rules, Article 32(5)–Publication of the award
- D Extracts from the Practice of NAFTA and Other Tribunals
- Ch.23 Settlement and Other Grounds for Termination
- 1 Introduction
- 2 Settlement and Other Termination–Article 34
- Ch.24 Post–Award Proceedings
- Ch.25 The Costs of Arbitration
- 1 Introduction
- 2 The Costs of Arbitration–Article 38
- 3 Arbitrators' Fees–Article 39
- 4 Apportionment of Costs–Article 40
- 5 Deposit of Costs–Article 41
- Further Material
- Select Bibliography
- [No Title]
- APPENDIX 1 UNCITRAL Arbitration Rules
- GENERAL ASSEMBLY RESOLUTION 31/98
- MODEL ARBITRATION CLAUSE
- UNCITRAL ARBITRATION RULES
- s.I Introductory rules
- s.II Composition of the arbitral tribunal
- Art.5 Number of arbitrators
- Art.6 Appointment of arbitrators
- Art.7 Appointment of arbitrators
- Art.8 Appointment of arbitrators
- Art.9 Challenge of arbitrators
- Art.10 Challenge of arbitrators
- Art.11 Challenge of arbitrators
- Art.12 Challenge of arbitrators
- Art.13 Replacement of an arbitrator
- Art.14 Repetition of hearings in the event of the replacement of an arbitrator
- s.III Arbitral proceedings
- Art.15 General provisions
- Art.16 Place of arbitration
- Art.17 Language
- Art.18 Statement of claim
- Art.19 Statement of defence
- Art.20 Amendments to the claim or defence
- Art.21 Pleas as to the jurisdiction of the arbitral tribunal
- Art.22 Further written statements
- Art.23 Periods of time
- Art.24 Evidence and hearings
- Art.25 Evidence and hearings
- Art.26 Interim measures of protection
- Art.27 Experts
- Art.28 Default
- Art.29 Closure of hearings
- Art.30 Waiver of rules
- s.IV The award
- APPENDIX 2 UNCITRAL Notes on Organizing Arbitral Proceedings
- Preface
- Introduction
- Purpose of the Notes
- Non–binding character of the Notes
- Discretion in conduct of proceedings and usefulness of timely decisions on organizing proceedings
- Multi–party arbitration
- Process of making decisions on organizing arbitral proceedings
- List of matters for possible consideration in organizing arbitral proceedings
- 1 Set of arbitration rules
- 2 Language of proceedings
- 3 Place of arbitration
- 4 Administrative services that may be needed for the arbitral tribunal to carry out its functions
- 5 Deposits in respect of costs
- 6 Confidentiality of information relating to the arbitration; possible agreement thereon
- 7 Routing of written communications among the parties and the arbitrators
- 8 Telefax and other electronic means of sending documents
- 9 Arrangements for the exchange of written submissions
- 10 Practical details concerning written submissions and evidence (e. g. method of submission, copies, numbering, references)
- 11 Defining points at issue; order of deciding issues; defining relief or remedy sought
- 12 Possible settlement negotiations and their effect on scheduling proceedings
- 13 Documentary evidence
- (a) Time–limits for submission of documentary evidence intended to be submitted by the parties; consequences of late submission
- (b) Whether the arbitral tribunal intends to require a party to produce documentary evidence
- (c) Should assertions about the origin and receipt of documents and about the correctness of photocopies be assumed as accurate
- (d) Are the parties willing to submit jointly a single set of documentary evidence
- (e) Should voluminous and complicated documentary evidence be presented through summaries, tabulations, charts, extracts or samples
- 14 Physical evidence other than documents
- 15 Witnesses
- 59
- (a) Advance notice about a witness whom a party intends to present; written witnesses' statements
- (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
- (ii) Whether oral testimony will be given under oath or affirmation and, if so, in what form an oath or affirmation should be made
- (iii) May witnesses be in the hearing room when they are not testifying
- (c) The order in which the witnesses will be called
- (d) Interviewing witnesses prior to their appearance at a hearing
- (e) Hearing representatives of a party
- 16 Experts and expert witnesses
- 17 Hearings
- (a) Decision whether to hold hearings
- (b) Whether one period of hearings should be held or separate periods of hearings
- (c) Setting dates for hearings
- (d) Whether there should be a limit on the aggregate amount of time each party will have for oral arguments and questioning witnesses
- (e) The order in which the parties will present their arguments and evidence
- (f) Length of hearings
- (g) Arrangements for a record of the hearings
- (h) Whether and when the parties are permitted to submit notes summarizing their oral arguments
- 18 Multi–party arbitration
- 19 Possible requirements concerning filing or delivering the award
- Index
