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

David D Caron, Lee M Caplan

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From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber: null; date: 27 November 2020

(p. 1032) (p. 1033) Index

Algiers Accords
application of143
interim measures530
interpretative disputes concerning5
Iran–United States arbitration41, 206, 342, 366, 444, 552, 737
provisions of34, 137, 873
Security Account186
‘self-executing’ nature of43
amendments to claim or defence467–89 see also initiation of arbitration; statement of claim; statement of defence
arbitral tribunal, jurisdiction of469–70
comparison of 1976/2010 Rules475
general commentary on468–9
grounds for rejecting471–4
appropriateness471
delay471–4
‘discovery’ procedure471
other circumstances473–4
prejudice471–4
unjust enrichment472
investment tribunals, extracts from475–9
Iran-US Claims Tribunal, extracts from474, 479–89
liberal approach to468–9
procedural questions474
procedure of467–8
American Arbitration Association (AAA)
Code of Ethics for Arbitrators209, 723
Commercial Rules209
fee schedule862
International Arbitration Rules of2, 7, 34, 37, 120, 215, 313, 327, 361, 377, 704, 759
Panel of Arbitrators206
practice of225
publication of awards755
American Bar Association (ABA)205
amiable compositeur,see applicable law of the UNCITRAL Rules
amicus curiae submissions31–2, 36, 39–41
1976 UNCITRAL Rules, and31
Iran–US Claims Tribunal, and46
applicable law of the UNCITRAL Rules111–44
applicable law, amiable compositeur112, 119–21
choice of applicable law, not designated by parties118–19
comparison of 1976/2010 Rules123–7
contract, significance of121–3
ex aequo et bono119–21
investment tribunals, extracts from129–30
Iran-US Claims Tribunal128–9
choice of law142–4
extracts from the practice of131–42
other practice of142–4
meanings of ‘applicable law’111
party autonomy112–17
application of112–17
trade usages, significance of121–3
travaux préparatoires118–19
appointing authority
challenge process339
composition of338–40
designation of340–1
evolution of337
functions of341
impartiality and independence340, 342
Iran-US Claims Tribunal, lessons from340–3
selection criteria341
apportionment of costs865–96 see also costs of arbitration
allocation of costs865
apportioning and awarding costs865–70
‘circumstances of the case’870–5, 879–96
conduct of the parties871–3
degree of success of the parties870–1
dispute resolution mechanism, nature of874–5, 887–91
nature of the parties873–4
(p. 1034) claim for costs, requirements for making875–7
documentation875
reasonable legal costs, proof of876–7
timing of requests875–6
comparison of 1976/2010 Rules877
conduct of the parties882–6, 894–6
investment tribunals, extracts from877–91
Iran-US Claims Tribunal, extracts from891–6
success of the parties879–82, 892–4
arbitral tribunalsee also applicable law of the UNCITRAL Rules; general provisions of the UNCITRAL Rules; initiation of arbitration; place of arbitration of the UNCITRAL Rules; scope of application of the UNCITRAL Rules
fundamental principles of13–143
legal framework, operation of13–143
objections to the jurisdiction of449–66, 917
comparison of 1976/2010 Rules458–9
contract, objections to existence or validity of453–5
counterclaims455
doctrine of separability453–5
investment tribunals, extracts from459–63
Iran-US Claims Tribunal, extracts from463–6
Kompetenz-Kompetenz, principle of450–1
necessity of two-stage proceedings, principle of465
objections451
power to determine jurisdiction450–2
procedure of450
raising objections, circumstances for455–6
ruling upon objections, circumstances for457–8
set-off, claim for the purpose of455
three Chambers, policy of465–6
travaux préparatoires452
a-national arbitration36, 45
autonomy, arbitral13
limitations of30–6
confidentiality, and37
definition17
domestic18, 25
electronic commerce, and26
International Investment Agreements (IIAs) and20
investor–state arbitration7
future transparency rules23–4
opt-in approach23
opt-out approach23
UNCITRAL Rules, and7–8
limitations of25
NAFTA Chapter Eleven tribunal31, 33, 35
oral or tacit conduct, and26
third party participation36
tribunal
delay, duty to avoid unnecessary34
expense, duty to avoid unnecessary34
UNCITRAL, and3
arbitral procedures to control145–343
challenge of175–275
acceptance by all other parties253–5
actual prior knowledge245–8
appointing authority, decisions of271–2
appointing authority, limitations of power272
burden of proof243–5
challenge decision (April 15, 1993)178–9
challenge decision (January 11, 1995)179
circumstances ‘became known’ to challenging party243–8
circumstances for230
comparison of 1976/2010 Rules274–5
exclusive grounds for228–30
form of notice248–53
grounds for207–41
impartiality or independence, justifiable doubts as to208–28
initiation of241–68
investment (and other) tribunals, extracts from231–5
investment (and other) tribunals, overview of178–83
investment tribunals, extracts from256, 272
Iran-US Claims Tribunal, extracts from235–41, 257–67, 273–4
Iran-US Claims Tribunal, overview of183–91
Judge Arangio-Ruiz, Iranian Govt. challenge of (1991)186
(p. 1035)
Judge Bengt Broms, US Claimant's challenge of (2004)187
Judge Bengt Broms, US Govt. challenge of (2001)187
Judge Briner, Iranian Govt. challenge of (1988)184
Judge Briner, Iranian Govt. challenges of (1989)184–5
Judge Charles Brower, Iranian Govt. challenge of (2010)190–1
Judge Hamid Reza Oloumi Yazdi, US Govt. challenge of (2007)188–9
Judge Krzysztof Skubiszewski, Iranian Govt. challenge of (2007)188–9
Judge Krzysztof Skubiszewski, Iranian Govt. challenges of (1999)186
Judge Krzysztof Skubiszewski and Judge Gaetano Arangio-Ruiz,
Iranian Govt. challenge of (2009)189–90
Judge Noori, US Claimant's challenge of (1990)186
Judge Seyed Jamal Seifi, US Govt. challenge of (2010)190
Judges Assadollah Noori, Koorosh Ameli, and Mohsen Aghahosseini, US Govt. challenge of (2005–2006)188
Judges Kashani and Shafeiei, US Govt. challenge of184
LCIA, challenge decision by (Oct–Dec 2005)179
mechanism of177
Mr J Christopher Thomas, claimant's challenge to (2009)182–3
Mr Judd L. Kessler, Argentine Govt. challenge of (2007)180–1
Mr Stanimir Alexandrov, Argentine Govt. challenge of (2009)182
Nils Mangård, Iranian Govt. challenge of (1982)183–4
notice of challenge241–53
potential for agreement to241–68
Prof. Gabrielle Kaufmann-Kohler, Argentine Govt. challenges of (2007–2008)181–2
Prof. James Anaya, US Govt challenge of (2007)180
recipient of notice248–53
resolution of268–74
Secretary General of the PCA, assistance of270–1
sender of notice248–53
sufficiency of notice248–53
timeline for see king a decision on 256
travaux préparatoires, general comments on241–3
Judge Krzysztof Skubiszewski and Judge Gaetano Arangio-Ruiz, Iranian Govt. challenge of (2009)189–90
UNCITRAL challenge procedure, exclusivity of191–3
withdrawal of challenged arbitrator253–5, 268–70
comparison of 1976/2010 Rules172–3
declaration of acceptance202
designating and appointing authorities148–56
agreement, opportunities for149–51
appointing authority, role of153–5
designating authority, role of151–3
importance of149
independent and impartial arbitrator149
Iran-US Claims Tribunal, extracts from155–6
Secretary-General of the PCA148
time periods, suspension of153
disclosures by914
duty to disclose194–207
circumstances to disclose194
failure to disclose198
investment tribunals, extracts from201–2
Iran-US Claims Tribunal:
disclosure guidelines of200–3
extracts from202–5
model statements of independence198–200
no circumstances to disclose194
stages of195–8
statement of independence194
US arbitrators, disclosure by205–7
exclusion of liability for325–35, 915
comparison of 1976/2010 rules330
immunity protection326–8
investment tribunals, extracts from330
Iran-US Claims Tribunal:
extracts from331–5
practice of330
negligence, concept of327
procedure325
(p. 1036) arbitral tribunal (cont.)
qualified immunity328
wrongdoing326–7, 329
failure to act and other disruptions278–305
absence of Judge Mostafavi, Spring (1988)284–5
absence of Mr Sani, Fall (1983)284
comparison of 1976/2010 rules289
drafting history of the rule278–80
general commentary278–80
investment tribunals, extracts from289–90
Iran-US Claims Tribunal practice:
extracts from290–304
with respect to failure to act280–1
with respect to other disruptions282–9
pre-hearing conferences286
procedure278
rendering awards286
replacement of an arbitrator305–23
resignation of an arbitrator286–9
substitute arbitrators282–3
truncated proceedings283–6
fees of852–65
arbitral tribunal, computation of fees and expenses860–2
arbitral tribunal, fees and expenses of855–62
comparison of 1976/2010 Rules862–3
efficiency859, 861–2
expenses under the rules853–5
fees and expenses of arbitrators852–3, 922
investment tribunals, extracts from863–5
manner of determining fees and expenses856–9
neutral arbiter, potential review by855–62
neutral mechanism858–60
regulation of arbitrator's fees853–5
transparency857–8, 860
impartiality and independence
confidentiality of deliberations, breach of223–4
decision-making222–3
failure to disclose226–7
handling of proceedings220–2
impartiality, meaning of213
independence, meaning of213
justifiable doubts:
circumstances of213–15
criteria and examples of211–12
limitations on228–30
non-party-appointed arbitrators209–11
objective standards208
parent corporation of a party, previous employment by217
party (salary), financial relationship with217
party (shareholding), financial relationship with216–17
party-appointed arbitrators209–11
physical assault of a fellow arbitrator225
previous advocacy218–19
representation in another forum218
stage of proceedings225–6
standard of225–6
statement regarding party or dispute222
third-party representation219–20
witnesses, relationship with215–16
multi-party arbitration, appointment of
appoint and reappoint, power to170–1
challenges169
procedure166–8
requirements for appointment169
number of157–61
agreement on157
default rule on157–9
one or three, other than161
three arbitrators, exception to the default rule of160–1
replacement of305–23
agreement between disputing parties313
appointing authority, exclusivity of discretion312
comparison of 1976/2010 rules314–18, 320–2
‘exceptional circumstances’ in308–13
express power to proceed315–17
‘has to be replaced’, procedures of307–8
inherent power to proceed317–18
Iran-US Claims Tribunal, extracts from322–3
necessary replacement305
procedural appointment311–12
procedure305
repetition of hearings in the event of318–23, 915
right to appoint, depriving a party of308–11
(p. 1037)
spurious resignations305–7
sole arbitrator, appointment of162–4
implications of164
list-procedure163
nationality of163–4
procedure162
statement of impartiality and independence202
three-person panel, appointment of
investment tribunals, extracts from166–8
presiding arbitrator, appointment of165–6
procedure164
right of each party to appoint an arbitrator164–5
Association of Southeast Asian Nations (ASEAN)
Regional Investment Agreement8
Australian Centre for International Commercial Arbitration (ACICA)17–18, 365
autonomy, party19–20
burden of proofsee evidence
CAFTA-DR (Dominican Republic–Central America–United States Free Trade Agreement)22, 58, 365
Chapter Ten385, 792
Cairo International Commercial Arbitration Centre6, 18
calculation of periods of timesee notice and calculation of periods of time
challenge,see arbitrators: challenge of
choice of language,see language, choice of
Civil Aviation Organization405
Claims Settlement Declarationsee underIran–US Claims Tribunal
Committee on the Elimination of Racial Discrimination (CERD)180, 218
comparative approach to UNCITRAL Rules (1976/2010)
amendments to claim or defence475
applicable law of the UNCITRAL Rules123–7
apportionment of costs877
arbitral tribunal, objections to the jurisdiction of458–9
arbitrators172–3
challenge of274–5
exclusion of liability330
failure to act and other disruptions289
fees of862–3
replacement of314–18, 320–2
costs of arbitration848–9
default678–9
deposit of costs900–1
evidence574–6
form and effect759–60
further written statements496
general provisions58–9
hearings611–13
closure of628–9
interim measures532–3
language, choice of384
notice and calculation of periods of time403–4
notice initiating arbitration368–9
response to373
place of arbitration95–6
post-award proceedings:
additional award824–5
correction of the award814–15
interpretation of the award806
representation and assistance354–5
scope of application24–6
settlement and other termination790–2
statement of claim416–17
statement of defence429–31
time limits on submission508
tribunal-appointed experts648
competence-competence doctrine450–3, 458
contractual relationship16, 18, 24–5
Convention on the Limitation Period in the International Sale of Goods363, 402
costs of arbitration839–905 see also apportionment of costs; arbitrators: fees of; deposit of costs
background840
comparison of 1976/2010 Rules848–9
costs defined843–7
(p. 1038) costs of arbitration (cont.)
costs of completion of an award847–8
costs of correction of an award847–8
costs of interpretation of an award847–8
definition of ‘costs’841
duty to fix841–3
investment and other tribunals, extracts from849–52
Iran-US Claims Tribunal, costs of848
decisions699–730 see also deliberations
default671–89 see also default and waiver
background671
comparison of 1976/2010 Rules678–9
counterclaims677, 679
default judgment673
documentary evidence, failure to produce677–9
equality678
evidence673
ex parte proceedings674
extension request process673
fairness678
general comments on672–5
hearing, failure to appear at a677
investment tribunals, extracts from679–83
Iran-US Claims Tribunal683–9
notice requirement674
procedure671–2
‘remaining matters’675
sanction mechanisms678
set-off, claim for the purpose of677, 679
statement of claim676
‘sufficient cause’, meaning of674–5
written submissions, failure to file early675–7
default and waiver669–96 see also default; waiver
defined legal relationship16, 18, 24
deliberations,see decisions
deposit of costs896–905 see also costs of arbitration
accountant, right to900–1
appointing authority, consultation with899
comparison of 1976/2010 Rules900–1
investment tribunals, extracts from901–3
Iran-US Claims Tribunal, extracts from903–5
procedure of896–7
request for deposits897–9
requested deposits, failure to make899–900
unexpended deposits, return of900–1
dispute resolution13
arbitration, and17
doctrine of quantum meruit133
doctrine of separability453–5, 458
equality32–4
1976 UNCITRAL Rules, and32
Iran–US Claims Tribunal, and33
EC Convention on the law applicable to contractual relations115
European Commission of Human Rights (ECHR)213
European Convention on International Commercial Arbitration123, 529
European Convention on the Protection of Human Rights and Fundamental Freedoms171, 213
evidence555–600 see also evidence and hearings; hearings
admissibility of571–4, 579–80, 594–600
affidavit testimony565–6, 574
burden of proof557–61, 576–7, 580–7
common law/civil law systems556, 563, 566
comparison of 1976/2010 Rules574–6
confidential negotiations, information concerning572
context555–7
‘discovery’ procedure566–7
documentary, submission of575–6
documents, production of565–71, 577, 588–93
general comments565–7
production orders, ‘enforcement’ of570–1
request of a party, at the567–70
electronic evidence47
‘fishing expeditions’567
hearsay evidence573
IBA Rules on the Taking of Evidence556–7, 569–70
inquisitorial civil law system555–6
interim measures571
(p. 1039)
investment tribunals, extracts from576–80
Iran-US Claims Tribunal, extracts from580–600
materiality of571–4, 579–80, 594–600
non-compliance570
prima facie proof559–61, 574
procedure557
reasonable doubt standard559–60
rebuttal evidence564
relevance of571–4, 579–80, 594–600
summary of587–8
weight of571–4, 579–80, 594–600
categories of individuals562
company witnesses573
definition of561–4, 576–7
fact and expert witnesses563
general comments on561–3
Iran-US Claims Tribunal, practice of563–4
party witnesses562–3, 576
written witness statements564–5, 577, 593, 938–9, 987
evidence and hearings553–667 see also evidence; hearings; tribunal-appointed experts
ex aequo et bono,see applicable law of the UNCITRAL Rules
expropriation25
Foreign Claims Settlement Commission of the United States581
form and effect731–79
absence of arbitrator's signature, reasons for749–50
‘award on jurisidiction’734
award's making, date, and place of745–6
civil law750
comparison of 1976/2010 Rules759–60
confidentiality749, 755–6, 760
copies of award to parties757–9
date, place, and signature763, 767–8
definition of ‘award’735
dispositif750, 752
dissenting and separate opinions752–5
failure to sign award746–50, 764–5, 769–76
improper statements of reasons773–6
post-award exchanges773–6
statement of reasons for769–73
fairness739
filing of award759–60, 765–6
‘final and binding’ award738–42, 759, 762–3, 767
binding741–2
final738–41
‘final award’733
interim award734, 736–7, 759
interlocutory award734, 736–8, 759
investment and other tribunals, extracts from761–6
Iran-US Claims Tribunal, extracts from766–79
‘legal duty’756
‘legal proceeding’756
‘legal right’756
Model Law negotiations735, 744
obligation to sign award746–50
‘partial award’734, 736–7, 739–40, 759
place of arbitration745–6, 759–60
possible waiver statement733
procedure732–3
publication of award755–7, 776–9
reasons for award768
‘recourse’743–4
registration of award759–60, 765–6
separate awards, discretion to make733–8
‘set aside’ proceedings740, 743
statement of reasons for award750–2
time limits758–9
transparency757
travaux préparatoires, general comments on746–9, 751, 757
types of awards734, 761, 766–7
waiver of recourse against award742–5, 920
‘without delay’742, 758
written award745–6
background491
comparison of 1976/2010 Rules496
counter-memorial (respondent) statements492–4
dilatory pleas493
documentary evidence493, 495
final rebuttal submission495
general comments on492–6
investment tribunals, extracts from496–8
Iran-US Claims Tribunal, extracts from498–505
legal argumentation494
(p. 1040) form and effect (cont.)
memorial (claimant) statements492–4
Memorials in Rebuttal493
procedure491
rejoinder (duplique)492
reply (réplique)492
simultaneous pleadings495
submission of492
written pleadings493–4
written statements493–4
general provisions of UNCITRAL Rules29–77
arbitral autonomy30–6
communication of documents53–4
comparison of 1976/2010 Rules58–9
confidentiality36–9
consolidation of claims57–8
general application, issues of49
general provisions30
hearing, right to a49–53
preliminary meetings52–3
scope of hearings49–51
timing of hearing requests51–2
investment (and other) tribunals, extracts from59–69
amicus submissions65–9
equal treatment, safeguarding66
equality, requirement of68–9
NAFTA, relevant provisions of68
parties’ right to present their case68–9
Iran-US Claims Tribunal41–5
extracts from the practice of69–77
general and tribunal rules (1983)69–73
tribunal rules (1983)74–7
joinder of third persons54–7
lex loci arbitri45–6
non-disputing party (amicus) submissions39–41
provisional timetable46–7
time periods, modifications of47–8
Geneva Convention (1927)740–1
Hague Convention on the Law Applicable to International Sale of Goods115
Hague Convention on the Law Applicable to Matrimonial Property Regimes139
hearings601–33, 918 see also evidence and hearings
ad hoc arbitration604
additional information605, 626
closure of the hearing624–33
additional hearings626
comparison of 1976/2010 Rules628–9
exceptional circumstances626–8
hearings vs proceedings624–5
investment tribunals, extracts from629
Iran-US Claims Tribunal629–33
late-filed documents625
post-hearing submissions625
procedure624
proceedings624–6
reopening of the hearing626–8
comparison of 1976/2010 Rules611–13
conduct of the hearing604–11
cross-examination605–6
declarations606–7
hearing, record of the610–11
hearings held in camera607–8, 617
investment tribunals, practice of607–8
Iran-US Claims Tribunal608
notice of hearing and witness testimony605
oral statements, translation of610–11
witness examination:
conditions for604–7, 613–17
manner of604–7, 613–17
without physical presence of609–10
witnesses, retirement of608–9
efficiency604
equal treatment604, 626
fair trial, notion of601
fairness604, 626
IBA Rules on the Taking of Evidence602
investment tribunals, extracts from613–17
Iran-US Claims Tribunal, extracts from617–24
Language Services611
language of arbitration610
legal assistants in attendance608
notice of hearing602–4
oaths606–7
observation of hearings608
overregulation605
place of arbitration603
prior notice603
procedure602
questioning witnesses, aggregate amount of time for941–2
rebuttal evidence612–3
stenographic transcripts611
(p. 1041)
telecommunication602, 609–10
videoconferencing609
testimony608–9
time, indication of603
travel requirements603
Hong Kong International Arbitration Centre (HKIAC)6
implied consent, theory of22, 55–7
issues, identification and clarification of345–549
Inter-American Panama Convention86
Inter-American Commercial Arbitration Commission6, 194, 361
Inter-American Commission on Human Rights180, 218
Inter-American Convention on Extraterritorial Validity of Foreign Judgments and Arbitral Awards741
Inter-American Panama Convention86
interim measures513–52, 917–18 see also initiation of arbitration
assets519
awards vs orders525
background513–4
categories of518
comparison of 1976/2010 Rules532–3
conditions for the ordering of520–4
agreement of the parties, conditions imposed by524
‘harm not adequately reparable by an award of damages’521–2
likely harms, appropriate balance of522
success on the merits, reasonable possibility of522–4
conditions on the awarding of524
costs and damages, liability for528–9
costs of, security for526–7
criteria/guidelines536
decisions regarding530
definition of517
detail of515–16
disclosure of material change527–8
duplicative proceedings518
enforcement and recognition519
form (award or order) for granting524–5
function and scope516
investment tribunals, extracts from533–43
Iran-US Claims Tribunal518, 530, 543–52
issuance of:
by arbitral tribunals529–30
by municipal courts529–30
modify, Tribunal's power to525–6
precondition of a request by a party516–17
preliminary orders, issuance of530–2
preservation of evidence, conditions relaxed for524
prima facie test523, 536
procedure for granting514–15
protective measures530
sale or transfer of goods518
securing funds519
security, ordering of526–7
suspend, Tribunal's power to525–6
terminate, Tribunal's power to525–6
types of517–20
arbitral process, prevent prejudice to518–19
preserve assets for possible satisfaction of award519
preserve evidence519–20
status quo, maintain or restore518
urgency536
International Bar Association (IBA)
Code of Ethics213, 711, 787
Rules on the Taking of Evidence556, 578, 602, 642–3, 647
International Centre for Dispute Resolution (ICDR)6
International Arbitration Rules6, 194, 196, 397, 449
International Centre for the Settlement of Investment Disputes (ICSID)
additional awards872
Additional Facility Rules89, 109, 449, 517
administrative and financial regulation27, 90, 108, 850, 864
Arbitration Rules7, 9, 41, 181, 192, 269, 367, 607, 615, 758, 871, 886
(p. 1042) International Centre for the Settlement of Investment Disputes (cont.)
confidentiality of awards37
costs of arbitration881
Convention89, 181, 350, 451, 755, 805, 828, 831, 834
headquarters101–2, 108–9
investment treaty claim890
location of89
oath of sincerity643
offer of World Bank's facilities107
Schedule of Fees854, 855, 858, 864
Secretariat of181
Secretary-General of166, 180, 183, 218, 272, 365, 761, 850
Deputy183, 220, 244, 246–7
tribunals181, 606
International Chamber of Commerce (ICC)
arbitral institution, as an4, 7, 365, 755
arbitration disputes745
arbitral tribunals115, 205, 266
Arbitration Rules2, 7, 57, 58, 80, 94, 112, 119120, 122, 125, 129, 170, 194, 196, 199, 259, 319, 329, 352, 365, 371, 397, 399, 449, 625, 692, 694, 701, 703, 715, 742–5, 758, 866
awards of127, 190, 470, 563
consolidation, practice on57
cost rules855, 864
deadlock-breaking provision701
General Counsel of the259
International Court of Arbitration54, 171, 723
party-appointed arbitrators, disapproval of191
practice of191
supervisory function337
terms of reference376
texts adopted by118
International Court of Justice (ICJ)
contentious cases68
deliberation713, 728
expert advice, on637
international authority285, 292
Judges of726
practice of40, 66, 536, 545, 573, 626, 702, 803
President of153, 341–2, 702
Reports165
Statute of711, 723, 828, 831, 834
international investment agreements (IIAs)
arbitration arising under20, 22
consolidation provisions58
cost of arbitration874
non-contractual disputes416
number of7–8
proliferation of7
state–state arbitration873
types of8
International Trade Commission (ITC)103
Iran–US Claims Tribunal
amicus curiae submissions46
applicable law128–9
appointing authority, lessons from340–3
Arco Exploration case653–5, 664–5
Behring International case660–3, 665
choice of law142–4
costs of848
default683–9
disclosure guidelines200–3
disruptions280–1
equality33
extracts from the practice of:
amendments to claim or defence474, 479–89
applicable law131–42
apportionment of costs891–6
arbitral tribunal463–6
arbitrators, challenge of235–41, 257–67, 273–4
deposit of costs903–5
designating and appointing authorities155–6
duty to disclose202–5
evidence580–600
exclusion of liability330–5
failure to act and other disruptions290–304
form and effect766–79
further written statements498–505
general provisions41–5, 69–77
notice and calculation of periods of time404–8
(p. 1043)
post-award proceedings825–7, 815–21, 832–7, 832–7, 808–11
replacement of arbitrators322–3
representation and assistance356–7
settlement and other termination793–800
statement of claim419–21
statement of defence434–47
time limits on submission508–12
tribunal-appointed experts650–67
failure to act280–1
general and tribunal rules (1983)69–73
government challenges,see arbitrators: challenges of
hearings617–24
closure of629–33
conduct of608
language services611
interim measures518, 530, 543–52
language, choice of375, 377, 379–80
annexes384
communications383
contracts383
correspondence383
decrees383
extracts from385–92
invoices383
place of arbitration109
portions of laws383
shipping documents383
technical reports383
translation criteria382–3
tribunal guidelines383
nature of proceedings before41–5
notice and calculation of periods of time401–2
notice initiating arbitration366–8
other practice of142–4
overview of183–91
representation and assistance353–4
Richard D Harza case656–60, 665
Shahin Shaine Ebrahimi case650–3, 663–4
Starrett Housing case655–6, 665–6
statement of claim415–16
statement of defence426
tribunal rules (1983)74–7
waiver696
witnesses, practice of563–4
Iranian Centre for International Legal Affairs239
Iranian Social Insurance Organization594
Kuala Lumpur Regional Centre for Arbitration6, 18
language, choice of375–92 see also initiation of arbitration
annexes382
arbitrators and experts, linguistic backgrounds of375
award, language of the375
bilingualism378–82
bills of lading382
business correspondence382
comparison of 1996/2010 Rules384
costs of translation and interpretation384
documents and exhibits, translation of382–4
English378–9
investment tribunals, extracts from384–5
investor-state arbitration377
invoices382
Iran-US Claims Tribunal, at the375, 377, 379–80
annexes384
communications383
contracts383
correspondence383
decrees383
extracts from385–92
invoices383
portions of laws383
shipping documents383
technical reports383
translation criteria382–3
tribunal guidelines383
language ability378
language of arbitration, determination of376–82
language of proceedings931
oral presentations, possible need for interpretation of931
translation and interpretation, cost of931
translation of documents, possible need for931
national languages, equality of378
oral proceedings375, 379
promptness377
provisions for376
Spanish379
written statements375, 379
(p. 1044) London Court of International Arbitration (LCIA)7, 150, 337
Arbitration Rules34, 37, 55–6, 79, 94, 120, 313, 327, 329, 365, 371, 377, 397, 414, 449, 563, 703, 733, 735, 743, 755–6, 758
case administration62, 232, 271, 272, 450, 477, 533
costs of arbitration881
division of, challenge decision by a179–80, 221–2
fee schedule of855
practice of54, 365
supervisory function337
member
definition of994
Mexican-United States General Claims Commission581
model arbitration clause for contracts17
multi-party arbitration943, 991
NAFTA (North American Free Trade Agreement)166
awards736, 889
breach of obligations419
disclosure39
Free Trade Commission37, 41
interpretation of493
provisions of8, 183
publication of awards756–7
status of871
tribunals415, 492, 875
national
definition of994
National Defence Industries Organization825
National Industries Organization of Iran (NIOI)262
New York Convention (Convention on the
Recognition and Enforcement of Foreign Arbitral Awards)
a-national awards under43, 45, 86
applicability of43
arbitration system1, 3, 26, 428, 762
articles of56, 84, 87, 117, 125, 376, 393, 692, 741, 744–5, 757, 828
‘awards’524, 540, 710, 741
‘binding’, meaning of741
enforceability of an award32, 42, 84, 86–7, 115, 306, 381, 626, 740, 742
estoppel367
‘in writing’ requirement366
NAFTA parties89
national law44, 674
non-commercial disputes18
non-contractual disputes25
‘null and void’, use of the phrase in454
parties to102, 105, 107
recognition and enforcement381
scope of application18–19
standards adopted in35
UNCITRAL Rules, consistency with515
notice and calculation of periods of time393–408 see also initiation of arbitration
background393–4
comparison of 1976/2010 Rules403–4
deadlines403
deemed receipt399, 403
delivery394
designated/authorized addresses399–400, 403
Drafting Committee398
electronic communication395–7, 400–1
forms a notice may take395–7
investment tribunals, extracts from404
Iran-US Claims Tribunal, application by401–2
extracts from the practice of404–8
means of communication397
method of calculating time periods402–3
place of business397
procedure394
receipt of notice397
record of transmission396, 400
when notice become effective397–402
electronic communication400–1
means of delivery399–401
(p. 1045)
notice ‘deemed to have been received’397–9
notice initiating arbitrationsee also initiation of arbitration
additional information364
arbitration proceedings, date of commencement of362–3
comparison of 1976/2010 Rules368–9
date of receipt of notice359
Dutch legal system366–7
insufficiency of364–5
international investment agreements and365–6
investment tribunals, extracts from369–70
Iran-US Claims Tribunal, at the366–8
mandatory information363
multi-party arbitration368
notice requirement359
procedure360
provisions of the Rules369
requirement to communicate361–2
response to370–3
absence373
comparison of 1976/2010 Rules373
insufficiency of373
lateness373
mandatory contents of372
optional contents of373
procedure370
requirement to respond370–2
statement of claim vs361, 366
statements of claim and410
sufficiency of364–5
two-tiered approach361–2, 371–2
wording of the Rules369
Permanent Court of Arbitration (PCA)
appointing authority152–3
arbitration under61, 100, 542, 761
Arbitrator's Declaration of Acceptance202
arbitrator's fees854
case administration26, 38, 50, 59–60, 64, 69, 167–8, 330, 352, 355, 361, 385, 425, 434, 451, 474, 539, 541, 569, 576, 616–17, 650, 696, 719, 737, 761, 792, 815, 851–2, 864–6, 882, 886, 889–90, 902–3
designation, process for requesting153, 270–1, 339
disputes under UNCITRAL Rules158
fees and expenses of792
independence, model statements of198
International Bureau of854
Optional Rules for Arbitrating Disputes between two States7
representation on152
role of153
selection by28
Secretary-General of90, 148, 150–3, 155–6, 162, 164, 167, 172, 178, 219, 273, 275, 339–41, 841, 846, 848, 852–6, 858–61, 876, 896
assistance from270–1
wrongdoing327
place of arbitration of UNCITRAL rules77–109
comparison of 1976/2010 Rules95–6
‘deemed to have been made’92–3
investment tribunals, extracts from96–109
cost and support services, availability of102, 108
law on arbitral procedure, suitability of102
multilateral treaties102
neutrality factor101–2
parties and arbitrators, convenience of102, 107
proximity of evidence103, 108
subject matter in dispute, location of103, 108
Iran-US Claims Tribunal:
extracts from the practice of109
location of meetings93–5
meaning of ‘place of arbitration’78–9
selection of place of arbitration80–92
considerations80–91
enforcement of the award85–7
legal significance of91–2
local law, nature, and suitability of80–5
neutrality87–9
practical considerations89–91
post-award proceedings801–37 see also award, the
additional award821–7
comparison of 1976/2010 Rules824–5
general comments on821–4
investment tribunals, extracts from825
Iran-US Claims Tribunal, extracts from825–7
(p. 1046) post-award proceedings (cont.)
procedure821
request denied825
request granted825
background801–2
correction of the award811–21
comparison of 1976/2010 Rules814–15
correction process811–14
investment tribunals, extracts from815
Iran-US Claims Tribunal, extracts from815–21
procedure811
finality of awards827–37
general comments on827–31
investment tribunals, extracts from831–2
Iran-US Claims Tribunal, extracts from832–7
fraud or corruption, revision to address836–7
inherent power to reconsider827–37
general comments on827–31
investment tribunals, extracts from831–2
Iran-US Claims Tribunal, extracts from832–7
interpretation of the award802–11
comparison of 1976/2010 Rules806
interpretation process802–6
investment tribunals, extracts from806–8
Iran-US Claims Tribunal, extracts from808–11
procedure802
limited power of review832–5
procedural conference
discretion to schedule47
property rights25
representation and assistancesee also initiation of arbitration
changes in representation350
comparison of 1976/2010 Rules354–5
identity and role of advisors, communication of351–2
identity and role of representatives, communication of351–2
investment tribunals, extracts from355–6
Iran-US Claims Tribunal, practice of353–4
extracts from the practice of356–7
late appointments350
procedure of347–8
proof of authority350, 352–3
right to347
right to, by persons chosen348–50
res judicata, doctrine of190, 222–3, 682, 738–9, 741, 767, 807
scope of application of UNCITRAL Rules16–29
arbitration, general comments on17
comparison of 1976/2010 rules24–6
defined legal relationship18
investor-state arbitration:
future transparency rules for23–4
model arbitration clause24
model arbitration clause for contracts17
modification of the Rules19–20
non-derogation from mandatory law (Article 1(2) 1976 Rules)28–9
parties to an arbitration agreement16–17
party autonomy19–20
presumptive scope of application20–2
scope and modification (Article 1(1) 1976 Rules)26–8
scope of the rules18
writing requirement, elimination of18–19
Secretary-General
definition of98, 294
settlement and other termination781–800, 920–1
awards on agreed terms, technical requirements for790
background781
comparison of 1976/2010 Rules790–2
grounds for termination, other788–90
‘impossible’ continuation of arbitration788–90
‘remaining matters,’ existence of790
‘unnecessary’ continuation of arbitration788–90
investment tribunals, extracts from792–3
Iran-US Claims Tribunal, extracts from793–800
procedure781–2
settlement782–8
practice of award on agreed terms782–4
pre-settlement negotiations786–8
settlement agreement, discretion to record784–6
(p. 1047)
settlement agreement, types of782–4
settlement negotiations, possible936–7, 985
statement of claim916 see also amendments to claim or defence; initiation of arbitration; statement of defence
comparison of 1976/2010 Rules416–17
contents of412–14
investment tribunals, extracts from417–19
Iran-US Claims Tribunal415–16
extracts from419–21
notice of arbitration and410
procedure of410–11
sanctions for an inadequate414–15
submission of411–12
statement of defencesee also amendments to claim or defence; initiation of arbitration; statement of claim
comparison of 1976/2010 Rules429–31
contents of423–4
counterclaims421–2
arbitral tribunal, jurisdiction of426–8
Counter-claim Memorial426
general issues with424–6
Iran-US Claims Tribunal426
late442–4
submission of424–8
supplementary provisions on428–9
investment tribunals, extracts from432–4
Iran-US Claims Tribunal, extracts from434–47
‘out of the same contract’430
prejudice, concept of425
procedure of422
set-off, claims for the purpose of424–9
social security431
submission of422–3
time limit422
taxation431
statements of claim and defence409–47 see also amendments to claim or defence; statement of claim; statement of defence
written pleadings409–10
Stockholm Chamber of Commerce (SCC)7, 556
case administration451
Rules34, 371
Swiss Arbitration Association (SAA)54
third parties31
1976 UNCITRAL Rules and31
arbitral process, participation in the36, 39–41
time limits on submission505–12 see also further written statements; initiation of arbitration
comparison of 1976/2010 Rules508
deliberations508
equality and fairness508
general comments on505–8
investment tribunals, extracts from508
Iran-US Claims Tribunal, extracts from508–12
late-filed documents508
linguistic modality, use of506
procedure505
‘showing of sufficient cause’507
time, calculation of periods of,see notice and calculation of periods of time
tribunal-appointed experts635–67 see also evidence and hearings
appointment638–40, 650–62
complexity of639
cost-benefit analysis639
expediency of639
selection process640
background635–6
comparison of 1976/2010 Rules648
decision-making process of645
expert hearings646–7, 667
expert report640, 645–6, 663–6
expertise of637
fact-finding duties638
general comments on637–8
IBA Rules on the Taking of Evidence642–3
ICSID and643
impartiality and independence of, objections to640, 642–3, 648
investment tribunals, extracts from648–50
Iran-US Claims Tribunal, extracts from650–67
Arco Exploration case653–5, 664–5
Behring International case660–3, 665
Richard D Harza case656–60, 665
(p. 1048) tribunal-appointed experts (cont.)
Shahin Shaine Ebrahimi case650–3, 663–4
Starrett Housing case655–6, 665–6
methods for employing assistance of638
neutrality of643
non-compliance644
oath of sincerity and confidentiality643
party-appointed ‘expert witnesses’647–8
party-appointed experts636
pre- and post-appointment642
procedure636–7
qualifications of, objections to640, 642–3, 645
relevant information, provision of644–5, 662–3
terms of reference640–2, 650–62
unjust enrichment, doctrine of141, 472, 482
United Nations Convention on Contracts for the International Sale of Goods118, 122
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit396
United Nations Convention on the Law of the Sea (UNCLOS)7
United Nations Convention on the Use of Electronic Communications in International Contracts395, 397
Vienna Convention on the Law of Treaties (VCLT)21
waiver691–6 see also default and waiver
automatic application, by692
background691
comparison of 1976/2010 Rules695
failure to object694–5
general comments on692–3
investment tribunals, extracts from695–6
Iran-US Claims Tribunal, extracts from696
level of knowledge required693–5
arbitration experience of parties693
failure to raise an objection694
mischief693
procedural manoeuvres693
procedural non-compliance692, 694–5
procedural rights692
procedure691
‘without undue delay’695
Washington Convention, on the Settlement of Investment Disputes Between
States and Nationals of Other States101, 229, 450
witness statements,see evidence
witnesses,see evidence
World Trade Organisation66