13 80327 Recommendations Arbitral Institutions e

8/13/2019 13 80327 Recommendations Arbitral Institutions e

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UNCITRAL

UNITED NATIONS

C0/


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Further infonnat;on may he obtainedfmm:U)0*CTRAL secretariat+ ,ienna ntemationa Centre

-.O. o 00+ 1 21003&ienna+ A!s1ria

Tee4"one) %3536781( '909086090 Tee:a) %;6781( '90908717

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UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW

Recommendati

ons

to assist arbitral institutions and

other interested bodies with

reard to arbitration underthe UNCITRALArbitration Rules

!as re"ised in #$%$&

UNITED NATIONSNew 'or() #$%*


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) Trade La#. >arc" '017. A ri$"ts reser&ed+ &&ord#ide.

T"is 4!bication "as not1)) en :orma? edited.

-!bis"in$ 4rod!ction) En$is"+ -!bis"in$ and Librar? Section.

*nitedationsO::ice at ,ienna.


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Contents

General Assembly resolution 67/90

Recommendations to assist arbitral institutions

and other interested bodies with regard to arbitration under

the Arbitration Rules of the United Nations Commission on

nternational !rade "aw as re#ised

in $0%0Page

A& ntroduction

.................................................................. '

1. T"e UNCITRAL Arbitration R!es as re&ised in'010.. 7

'. @enera Assemb? reso!tion

9/'' .............................. 7

7. -!r4ose o: t"e recommendations

................................... 66. Di::erent !sa$es b? arbitra instit!tions and ot"er

interested

bodies............................................................. 6

(& Ado)tion of the UNC!RA" Arbitration Rulesas

the institutional rules of arbitral institutions or

other interested bodies

........................................................... *

1. A44ea to ea&e t"e s!bstance o: t"e UNCITRALArbitration R!es

!nc"an$ed .........................................

'. -resentation o:

modi:ications ........................................

C& Arbitral institutions and other interested bodies

administering arbitration under the

UNC!RA" Arbitration Rules or )ro#iding

some administrati#e

ser#ices.....................................................................


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...... 9

1. Administrati&e 4roced!res in con:ormit? #it" t"e

UNCITRAL Arbitration

R!es....................................... 11

'. O::er o: administrati&e

ser&ices .................................... 1'

7. Administrati&e :ee sc"ed!e........................................... 17

6. Dra:t mode

ca!ses........................................................ 16

+& Arbitral institution acting as a))ointingauthority... %*

1. Desi$natin$ and a44ointin$ a!t"orities %artice

9(......... 1

'. A44ointment o:

arbitrators............................................. 17. Decision on c"aen$e o:

arbitrator................................ '1

6. Re4acement o: an arbitrator %artice 16(

....................... '1

. Assistance in :iin$ :ees o:

arbitrators........................... ''

9. Re&ie# mec"anism %artice

61(...................................... '7

. Ad&isor? comments re$ardin$ de4osits ......................... '6

iii


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Resolution ado)ted by theGeneral Assembly

[on the report of the Sixth Committee

(A/67/46!"

67/90& Recommendations to assist arbitralinstitutions and other interested bodies with regard

to arbitration under the Arbitration Rules of the

United Nations Commission on nternational !rade

"aw

as re#ised in $0%0

#he $enera% A&&emb%y+

'ea%%ing its reso!tion ''0 %BBI( o: 1 December

199+ b? #"ic" it estabis"ed t"e United NationsCommission on Internationa Trade La# #it" t"e

4!r4ose o: :!rt"erin$ t"e 4ro8 $ressi&e "armoniation

and !ni:ication o: t"e a# o: internationa trade in t"e

interests o: a 4eo4es+ in 4artic!ar t"ose o: de&eo48

in$ co!ntries+

'ea%%ing a%&o its reso!tions 71/ o: 1 December

19 and

9/'' o: 9 December '010+ in #"ic" it recommended

t"e !se o: t"e Arbitration R!es o: t"e United Nations

Commission on Internationa Trade La#+1

'eogni)ing t"e &a!e o: arbitration as a met"od o:

settin$ dis4!tes t"at ma? arise in t"e contet o:

internationa commercia reations+

*oting t"at t"e Arbitration R!es are reco$nied as a

&er? s!c8 cess:! tet and are !sed in a #ide &ariet? o:

1


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circ!mstances co&8 erin$ a broad ran$e o: dis4!tes+

inc!din$ dis4!tes bet#een 4ri&ate commercia 4arties+in&estor8State dis4!tes+ State8to8State dis8 4!tes and

commercia dis4!tes administered b? arbitra instit!8

tions+ in a 4arts o: t"e #ord+

'eogni)ing t"e &a!e o: t"e 1' recommendationsto assist arbitra instit!tions and ot"er interested bodies

#it" re$ard to arbitration !nder t"e Arbitration R!es

as ado4ted in 19+'

1 O::icia Records o: t"e $enera% A&&emb%y+ #hirty,

fir&t Se&&ion+ Supp%ement *o- .7 (A/./.7!+ c"a4. ,+sect. C< and ibid.+ Sixty,fifth Se&&ion+ Supp%ement *o-.7 %A/9/1(+ anne I.

' Ibid.+ #hirty,&e0enth Se&&ion+ Supp%ement *o- .7

%A/7/1(+ anne I.

1


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A%&o reogni)ing t"e need :or iss!in$ !4dated

recommendations to assist arbitra instit!tions

and ot"er interested bodies #it" re$ard to

arbitration !nder t"e Arbitration R!es as re&isedin '010+

1e%ie0ing t"at !4dated recommendations to

assist arbitra insti8 t!tions and ot"er interested

bodies #it" re$ard to arbitration !nder t"eArbitration R!es as re&ised in '010 #i

si$ni:icant? en"ance t"e e::icienc? o: arbitration

!nder t"e R!es+

*oting t"at t"e 4re4aration o: t"e '01'

recommendations to assist arbitra instit!tions


arbitration !nder t"e Arbitration R!es as re&ised

in '010 #as t"e s!bFect o: d!e deiberation and

cons!tations #it" @o&ernments+ arbitra

instit!tions and interested bodies+

Con0ined t"at t"e recommendations as

ado4ted b? t"e Commission at its :ort?8:i:t"

session7 are acce4tabe to arbitra instit!tions and

ot"er interested bodies in co!ntries #it"di::erent e$a+ socia and economic s?stems and

can si$ni:icant? contrib8 !te to t"e

estabis"ment o: a "armonied e$a :rame#orG

:or a :air and e::icient settement o: internationa

commercia dis4!tes and to t"e de&eo4ment o:"armonio!s internationa economic reations+

1. 2xpre&&e& it& appreiation to t"e United

Nations Commission on Internationa Trade La#

:or "a&in$ :orm!ated and ado4ted t"erecommendations to assist arbitra instit!tions


10


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arbitration !nder t"e Arbitration R!es as re&ised

in '010


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Recommendations to assist arbitralinstitutions and other interested bodies withregard to arbitration under the UNC!RA"Arbitration Rules ,as re#ised in $0%0-

A&

ntroduction

1. The UNCITRAL Arbitration

Rules(as revised in 2010)

1. T"e UNCITRAL Arbitration R!es #ereori$ina? ado4ted in 196 and "a&e been !sed :or

t"e settement o: a broad ran$e o: dis4!tes+

inc!din$ dis4!tes bet#een 4ri&ate commercia

4ar8 ties #"ere no arbitra instit!tion is in&o&ed+

commercia dis4!tes administered b? arbitrainstit!tions+ in&estor8State dis4!tes and State8to8

State dis4!tes. T"e R!es are reco$nied as one o:

t"e most s!ccess:! internationa instr!ments o: a

contract!a nat!re in t"e :ied o: arbitration. T"e?

"a&e aso stron$? contrib!ted to t"e de&eo4ment

o: t"e arbitration acti&ities o: man? arbitra

instit!tions in a 4arts o: t"e #ord.

'. T"e 19 UNCITRAL Arbitration R!es

#ere re&ised in

'010 to better con:orm to c!rrent 4ractices ininternationa trade and to acco!nt :or c"an$es in

arbitra 4ractice o&er t"e 4ast

70 ?ears. T"e re&ision #as aimed at en"ancin$ t"e

e::icienc? o: arbitration !nder t"e 19

UNCITRAL Arbitration R!es and did not atert"e ori$ina str!ct!re o: t"e tet+ its s4irit or its

dra:tin$ st?e. T"e UNCITRAL Arbitration R!es1'


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as re&ised in '010 "a&e been in e::ect since 1

A!$!st '010.

2. General Assembl resolution

!"#22

7. In '010+ t"e @enera Assemb?+ b? itsreso!tion 9/''+ recommended t"e !se o: t"e

UNCITRAL Arbitration R!es as re&ised in '010

in t"e settement o: dis4!tes arisin$ in t"e contet

o: internationa commercia reations. T"at

recommendation #as based on t"e con&iction t"atHt"e re&ision o: t"e Arbitration R!es in a manner

t"at is acce4tabe to co!ntries #it" di::erent e$a+

socia and economic s?stems can si$ni:icant?

contrib!te to t"e

6 ffiia% 'eord& of the $enera% A&&emb%y+

#hirty,fir&t Se&&ion+ Supp%ement*o- .7 %A/71/1(+ 4ara. .

Ibid.+ Sixty,fifth Se&&ion+ Supp%ement *o- .7

(A/6/.7!+4aras. 1781 and anne I.

17


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de&eo4ment o: "armonio!s internationa

economic reations and to t"e contin!o!s

stren$t"enin$ o: t"e r!e o: a#.

6. In t"at reso!tion+ t"e @enera Assemb?

noted t"at Ht"e re&ised tet can be e4ected to

contrib!te si$ni:icant? to t"e estabis"ment o: a

"armonied e$a :rame#orG :or t"e :air and

e::icient settement o: internationa commerciadis4!tes.

$. %ur&ose o' the

reommendations

. T"e 4resent recommendations are made #it"

re$ard to t"e !se o: t"e UNCITRAL Arbitration

R!es. %Jor recommendations on t"e !se o: t"e

19 UNCITRAL Arbitration R!es+ see t"e

HRecommendations to assist arbitra instit!tionsand ot"er inter8 ested bodies #it" re$ard to

arbitrations !nder t"e UNCITRAL Arbitration

R!es+9 ado4ted at t"e :i:teent" session o:

UNCITRAL+ in 1'.( T"eir 4!r4ose is to

in:orm and assist arbi8 tra instit!tions and ot"erinterested bodies t"at en&isa$e !sin$ t"e

UNCITRAL Arbitration R!es as described in

4ara$ra4" 9 beo#.

. *i''erent usa+es b arbitral institutionsand other interested bodies

9. T"e UNCITRAL Arbitration R!es "a&e

been !sed in t"e :oo#in$ di::erent #a?s b?

arbitra instit!tions and ot"er inter8 ested bodies+

inc!din$ c"ambers o: commerce and tradeassociations)

16


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(a! T"e? "a&e ser&ed as a mode :or

instit!tions dra:tin$ t"eir o#n arbitration

r!es. T"e de$ree to #"ic" t"e

UNCITRAL Arbitration R!es "a&ebeen !sed as a dra:tin$ mode ran$es

:rom ins4iration to :! ado4tion o: t"e

R!es %see section beo#(arc" '011+ it is 4ro&ided t"at t"ose r!esHare based !4on t"e ne# UNCITRAL ArbitrationR!es+ as re&ised in '010+ #it" minormodi:ications emanatin$ main? :rom t"e CentreMsroe as an arbitra instit!tion and an a44ointin$a!t"orit?. T"e Arbitration R!es %as re&ised in'010( o: t"e !aa L!m4!r Re$iona Centre o:Arbitration 4ro&ide t"at t"e r!es :or arbitration o:t"e instit!tion s"a be t"e HUNCITRALArbitration R!es as modi:ied in accordance #it"t"e r!es set o!t beo#.

1


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end o: t"e tet o: t"e instit!tiona r!es. J!rt"er+

it mi$"t be ad&isabe to accom4an? t"e

instit!tiona r!es #it" a s"ort e4a8 nation o:

t"e reasons :or t"e modi:ications.10

(b! 2ffeti0e

date

11. Artice 1+ 4ara$ra4" '+ o: t"e

UNCITRAL Arbitration R!es de:ines an

e::ecti&e date :or t"ose R!es. Ob&io!s?+ t"e

instit!tiona r!es based on t"e UNCITRAL

Arbitration R!es #i "a&e t"eir o#n s4eci:ic

date o: a44ication. In t"e interest o: e$a

certaint?+ it is recommended to re:er in t"e

arbitration r!es to t"e e::ecti&e date o:

a44ication o: t"e r!es so t"at t"e 4arties Gno#

#"ic" &ersion is a44icabe.

(! Communiation

hanne%

1'. Us!a?+ #"en an instit!tion administers acase+ comm!ni8 cations bet#een t"e 4arties

be:ore t"e constit!tion o: t"e arbitra trib!na

#o!d be carried o!t t"ro!$" t"e instit!tion.

T"ere:ore+ it is recommended to ada4t artices 7

and 6 o: t"e UNCITRAL Arbitration R!es

reatin$ to comm!nication be:ore t"e constit!8

tion o: t"e arbitra trib!na. Jor eam4e+ in

reation to artice 7+ 4ara$ra4" 1)

(a! I: t"e comm!nications taGe 4ace

t"ro!$" t"e instit!tion+ artice 7+4ara$ra4" 1+ co!d be amended as

:oo#s)1


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1. T"e 4art? or 4arties initiatin$

reco!rse to arbitra8 tion %"ereina:ter

caed t"e Hcaimant( s"a com8

m!nicate to name o: t"e instit!tion

a notice o: arbitration. Name o: t"e

instit!tion s"a com8 m!nicate t"e

notice o: arbitration to t"e ot"er 4art?

or 4arties %"ereina:ter caed t"e

Hres4ond8 ent( #it"o!t !nd!edea? immediate?.

See+ :or eam4e+ t"e -ermanent Co!rt o:Arbitration O4tiona R!es :orArbitration bet#een Internationa Or$aniationsand -ri&ate -arties+ e::ecti&e 1 *!?19 %based on t"e 19 &ersion o: t"eUNCITRAL Arbitration R!es(< a&aiabe:rom###.4ca8c4a.or$/s"o#:ie.as4P:iQid'01.

10 Jor eam4e+ in t"e tet o: t"e -ermanent

Co!rt o: Arbitration O4tiona R!es :orArbitratin$ Dis4!tes bet#een T#o -arties o:W"ic" On? One Is a State+ e::ec8 ti&e 9 *!?17 %a&aiabe :rom ###.4ca8c4a.or$/s"o#:ie.as4P:iQid16(+ t"e

:oo#in$note is inserted) HT"ese R!es are based on t"e19 UNCITRAL Arbitration R!es+ #it" t"e:oo#in$ modi:ications) >odi:ications toindicate t"e :!nctions o: t"e Secretar?8@eneraand t"e Internationa !rea! o: t"e -ermanentCo!rt o: Arbitration) Artice 1+ 4ara. 6 %added(.

1
http://www.pca-cpa.org/showfile.asp?fil_id=201http://www.pca-cpa.org/showfile.asp?fil_id=201http://www.pca-cpa.org/showfile.asp?fil_id=194)http://www.pca-cpa.org/showfile.asp?fil_id=194)http://www.pca-cpa.org/showfile.asp?fil_id=201http://www.pca-cpa.org/showfile.asp?fil_id=201http://www.pca-cpa.org/showfile.asp?fil_id=194)http://www.pca-cpa.org/showfile.asp?fil_id=194)


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Or as :oo#s)

1. T"e 4art? or 4arties initiatin$ reco!rse

to arbitra8 tion %"ereina:ter caed t"eHcaimant( s"a :ie #it" name o: t"e

instit!tion a notice o: arbitra8 tion and

name o: t"e instit!tion s"a

comm!ni8 cate it to t"e ot"er 4art? or

4arties %"ereina:ter caed t"eHres4ondent(.11

(b! I: t"e instit!tion recei&es co4ies o: t"e

comm!nica8 tions+ artice 7+ 4ara$ra4" 1+

#o!d remain !nc"an$ed+ and t"e

:oo#in$ 4ro&ision co!d be added)

A doc!ments transmitted 4!rs!ant to

artices 7 and 6 o: t"e UNCITRAL

Arbitration R!es s"a be ser&ed on

name o: t"e instit!tion at t"e time o:

s!c" trans8 mission to t"e ot"er 4art? or

4arties or immediate? t"erea:ter.1'

17. To address t"e matter o: comm!nications

a:ter t"e constit!8 tion o: t"e arbitra trib!na+ t"e

instit!tion ma? eit"er)

(a! >odi:? eac" artice in t"e UNCITRAL

Arbitration R!es re:errin$ to

comm!nications+ name?) artice < artice

11< artice 17+ 4ara$ra4" '< artice 1+4ara8 $ra4" 6< artice '0+ 4ara$ra4" 1

Documents

13 80327 Recommendations Arbitral Institutions e