International Commercial Arbitration and

Mediation in UNCITRAL Model Law

Jurisdictions

Fourth Edition

Dr Peter Binder, LLM

Attorney at Law, Arbitrator and Director of the International Law Reform Institute, Vienna (Austria)

www. international-commercial-arbitration, com

Wolters Kluwer

Table of Contents

Preface v

Acknowledgements ix

Introduction to the Structure of this Book 1

PART A: The UNCITRAL Model Law on International Commercial Arbitration 1985 (Revised 2006) 1

PART B: The UNCITRAL Model Law on International Commercial Mediation 2018 2

PART C: Comparison Charts 2

PART A The UNCITRAL Model Law on International Commercial Arbitration 1985 (With Amendments as Adopted in 2006) 5

Introduction 7 1. The United Nations Commission on International Trade Law

(UNCITRAL) 7 (a) Origin, mandate and membership 7 (b) Organization and methods of work 9

(i) The Commission 9 (ii) The Working Groups 9 (iii) The Secretariat 10

(c) Past work of UNCITRAL 10 (d) Types of UNCITRAL Documents and their numbering 11

(i) Annual reports of the Commission 11 (ii) Commission documents 11

2. Arbitration in the UNCITRAL framework 12

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(aj United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards 1958 12

(bj UNCITRAL Arbitration Rules 1976 (original version! 13 (c) UNCITRAL Model Law on international Commercial Arbitration 1985

(original version) 13 (d) UNCITRAL Notes on Organizing Arbitral Proceedings 1996 (updated

2016) 13 (e) UNCITRAL Model Law on International Commercial Arbitration 2006 14 (f) UNCITRAL Arbitration Rules 2010 14

3. UNCITRAL Model Law on International Commercial Arbitration 2006 14 (a) History of drafting the Model Law 14 (b) Importance of the travaux préparatoires 18 (c) Requirements for Model Law conformity 18 (d) Types of adoption 25

(i) Incorporation by reference 25 (iij Direct adoption 26

(e) Case law (CLOUT) 26

CHAPTER I General Provisions 29

ARTICLE 1 Scope of Application 30 1. Introduction 31 2. The material scope of the Model Law's application - article 1(1) 31

(a) The definition of 'commercial' 32 (b) 'Arbitration' definition 34 (c) Model Law is subject to treaty law 34

3. The territorial scope of the Model Law's application - article 1(2) 34 4. The definition of 'international' - article 1(3) and (4) 36

(a) Model Law designed for international cases 36 (b) 'International' definition 37

(i) Parties' place of business in different states - article 1(3) (a) 37 (ii) Other relevant places - article l(3)(b) 38 (iii) Express agreement on the subject matter - article 1 (3) (c) 39

5. Arbitrability - article 1 (5) 39 6. Cases (CLOUT) 41 7. Conclusion 48

ARTICLE 2 Definitions and Rules of Interpretation 49 1. Introduction 49 2. Definitions 50

(a) 'Arbitration' - Article 2(a) 50 (b) 'Arbitral tribunal' and 'court' - Articles 2(b) and (c) 52

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(c) Other definitions in the Model Law 53 Cd) Definitions added by adopting states 54

3. Rules of interpretation 54 (a) Parties' freedom to determine a certain issue - Article 2(d) 54 (b) Parties' agreement includes reference to arbitration rules - Article 2(e) 55 (c) Counterclaim and counter-defence included - Article 2(f) 55 (d) Adoption of the rules of interpretation 55

4. Cases (CLOUT) 56 5. Conclusion 57

ARTICLE 2A International Origin and General Principles 59 1. Introduction 59 2. Adoptions 60 3. Conclusion 61

ARTICLE 3 Receipt of Written Communications 62 1. Introduction 62 2. '(Written) communications' 65 3. Inquiry 66 4. Cases (CLOUT) 67 5. Conclusion 69

ARTICLE 4 Waiver of Right to Object 70 1. Introduction 70 2. First condition: 'Non-mandatory provision or arbitration agreement not

complied with' 71 3. Second condition: 'Knowledge of the non-compliance' 74 4. Third condition: 'Objection stated without undue delay' 75 5. Fourth condition: 'Proceeding with the arbitration' 75 6. Effect of the waiver 76 7. Article 4 and arbitration rules 76 8. Cases (CLOUT) 77 9. Conclusion 80

ARTICLE 5 Extent of Court Intervention 81 1. Introduction 81

(a) The relationship between arbitration and the courts 81 (b) The purpose of article 5 81 (c) Textual analysis 82

2. 'Matters governed by this Law' 83 (a) The discussion 83

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(b) The scope of'matters' 84 (c) Model Law provisions expressly providing for court intervention 84

3. The adoption of article 5 84 4. Cases (CLOUT) 85 5. Conclusion 89

ARTICLE 6 Court or Other Authority for Certain Functions of Arbitration Assistance and Supervision 91 1. Introduction 91 2. The scope of article 6 92 3. 'Court, courts or ... other authority' 93 4. Cases (CLOUT) 94 5. Conclusion 96

CHAPTER II Arbitration Agreement 97

ARTICLE 7 (1985 VERSION) Definition and Form of the Arbitration Agreement 98 1. Introduction 98 2. The definition of 'arbitration agreement' - article 7(1) 99

(a) Definition of'arbitration agreement' 100 (b) Issues raised but not covered by article 7 101

3. 'Writing'requirement - article 7(2) 102 (a) The importance of the New York Convention in the context of

article 7 103 (b) Signed document, exchange of letters, telex, telegrams or other

means of telecommunication 105 (c) Exchange of statements of claim and defence 107 (d) Reference to a document containing an arbitration clause 108 (e) States'adoption of article 7(2) 108

4. Effect of an agreement's non-compliance with article 7 109 5. Cases (CLOUT) 110 6. Conclusion 128

ARTICLE 7 (2006 VERSION) Definition and Form of the Arbitration Agreement 129 1. Introduction 130 2. Problem areas identified upon revision of article 7 131

(a) Fact situations 132 (i) Tacit acceptance of an offer 132 (ii) Written communication of a third party evidencing the

arbitration agreement 133 (iii) Oral agreements 133

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ti v) Billsofiading 134 (vj Standing business relationship - previous contracts include

arbitration agreements 134 (vi) Addendum/extension/novation/settlement without an

additional arbitration agreement 134 (vii) Third-party rights and obligations under arbitration

agreements 135 (viii) Group of companies 136

(b) Solutions 136 3. Article 7 (2006 version) 136

(a) Structure 136 (b) Article 7 - Option I 137

(i) Article 7(1) 137 (ii) Article 7(2) 137 (iii) Article 7(3) 138 (iv) Article 7(4) 141 (v) Article 7(5) 142 (vi) Article 7(6) 142

(c) Article 7 - Option II 142 4. States adopting the revised version of article 7 143 5. Cases (CLOUT) 144 6. Conclusion 144

ARTICLE 8 Arbitration Agreement and Substantive Claim Before Court 146 1. Introduction 146 2. Court shall refer matters to arbitration - article 8(1) 147 3. Arbitral proceedings may be continued in case of court challenge -

article 8(2) 149 4. Cases (CLOUT) 149 5. Conclusion 181

ARTICLE 9 Arbitration Agreement and Interim Measures by Court 182 1. Introduction 182 2. Types of interim measures 183 3. Is a party agreement to exclude interim measures valid? 184 4. Cases (CLOUT) 185 5. Conclusion 190

CHAPTER III Composition of Arbitral Tribunal 191

ARTICLE 10 Number of Arbitrators 192

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1. Introduction 192 2. The three variants proposed for article 10(2) 193

fa J Three arbitrators ('Variant A') 193 (bj Number of arbitrators equals the number of parties ('Variant B') 194 (c) Single arbitrator ('Variant C') 195

3. How to avoid a tribunal deadlock 195 4. Is the parties' autonomy limited? 196 5. Cases (CLOUT) 197 6. Conclusion 198

ARTICLE 11 Appointment of Arbitrators 199 1. Introduction 200 2. No preclusion by reason of nationality - article 11(1) 200 3. Parties' freedom to agree on an appointment procedure - article 11(2) 201 4. Limits of the parties' freedom 202 5. Default procedure - article 11 (3) 202 6. No appeal against court decision and considerations when securing

appointment - article 11 (5) 203 7. Cases (CLOUT) 204 8. Conclusion 215

ARTICU''. 12 Grounds for Challenge 216 1. Introduction 216 2. 'Impartiality' and 'independence' 217 3. Individual grounds for challenge 220 4. The ICC Court of Arbitration's experience with challenge 221 5. Appointing party's prior knowledge of grounds for challenge 222 6. Cases (CLOUT) 222 7. Conclusion 227

ARTICI.K 13 Challenge Procedure 228 1. Introduction 228 2. Parties' freedom to choose the challenge procedure - article 13(1) 229 3. Default challenge procedure - article 13(2) 230 4. Resort to court for final decision - article 13(3) 232 5. Cases (CLOUT) 233 6. Conclusion 234

ARTICLE 14 Failure or Impossibility to Act 235 1. Introduction 235 2. Arbitrator unable to perform functions - article 14(1) 236

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(a) Arbitrator's inability to perform 236 (b) Arbitrator's withdrawal 238 (c) Court request 238 (d) The Non-mandatory character of article 14 239 (e) Continuation of proceedings 240

3. Withdrawal does not imply admission of guilt - article 14(2] 241 4. Cases (CLOUT) 241 5. Conclusion 242

ARTICLE 15 Appointment of Substitute Arbitrator 243 1. Introduction 243 2. Grounds for the termination of the mandate 244 3. Substitute arbitrator 245 4. The effect of a substitution 246 5. Cases (CLOUT) 248 6. Conclusion 249

CHAPTER IV Jurisdiction of the Arbitral Tribunal 251

ARTICLE 16 Competence of the Arbitral Tribunal to Rule on Its Jurisdiction 252 1. Introduction 252 2. Kompetenz-Kompetenz and separability - article 16(1) 253

(a) Kompetenz-Kompetenz 253 (b) Separability 254 (c) Determination of applicable law 255

3. Plea of tribunal's lack of jurisdiction - article 16(2) 255 (a) Time limit for raising pleas 256 (b) Effect of failure to invoke non-competence 256

4. Tribunal's ruling on plea and court control - article 16(3) 257 5. Cases (CLOUT) 258 6. Conclusion 275

CHAPTER IVA Interim Measures and Preliminary Orders 277

ARTICLE 17 (1985 VERSION) Power of the Arbitral Tribunal to Order Interim Measures 278 1. Introduction 278 2. Characteristics 279 3. Examples of tribunal-ordered interim measures 280 4. Enforcement of interim measures 281 5. Differences between article 9 and article 17 282

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6. Cases (CLOUT) 288

7. Conclusion 288

SECTION 1 Interim Measures (2006 Version) 287

ARTICLE 17 (2006 VERSION) Power of the Arbitral Tribunal to Order Interim Measures 287 1. Introduction 287

2. Article 17(1) 288

3. Article 17(2) 289 4. Conclusion 292

ARTICLE 17A (2006 VERSION) Conditions for Granting Interim Measures 293 1. Introduction 293 2. Article 17A(1) 293 3. Article 17A(2) 296 4. Conclusion 296

SECTION 2 Preliminary Orders (2006 Version) 297 ARTICLE 17B (2006 VERSION) Applications for Preliminary Orders and Conditions for granting Preliminary Orders 297 1. Introduction 297 2. Article 17B( 1) 298 3. Article 17B(2) 299 4. Article 17B(3) 299 5. Conclusion 300

ARTICLE 17C (2006 VERSION) Specific Regime for Preliminary Orders 301 1. Introduction 301 2. Article 17C(1) 302 3. Article 17C(2) 302 4. Article 17C(3) 303 5. Article 17C (4) 303 6. Article 17C(5) 303 7. Conclusion 304

SECTION 3 Provisions Applicable to Interim Measures and Preliminary Orders (2006 Version) 305 ARTICLE 17D (2006 VERSION) Modification, Suspension, Termination 305

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1. Introduction 305 2. Specifics of the provision 305 3. Conclusion 307

ARTICLE 17E (2006 VERSION) Provision of Security 308 1. Introduction 308 2. Article I7E(I) 308 3. Article 17E(2) 309 4. Conclusion 309

ARTICLE 17F (2006 VERSION) Disclosure 310 1. Introduction 310 2. Article 17F(1) 310 3. Article 17F(2) 311 4. Conclusion 312

ARTICLE 17G (2006 VERSION) Costs and Damages 313 1. Introduction 313 2. Specifics 313 3. Conclusion 315

SECTION 4 Recognition and Enforcement of Interim Measures (2006 Version) 316 ARTICLE 17H (2006 VERSION) Recognition and Enforcement 316 1. Introduction 317 2. Non-territorial scope of article 17H - inclusion in article 1 (2) of the Model

Law 317 3. Article 17H(1) 317 4. Article 17H (2) 318 5. Article 17H(3) 318 6. Conclusion 319

ARTICLE 171 (2006 VERSION) Grounds for Refusing Recognition and Enforcement 320 1. Introduction 321 2. Footnote '3' to article 171 321 3. Non-territorial scope of article 171 - inclusion in article 1 (2) of the Model

Law 322 4. Article 171(1) 322 5. Article 171(2) 324 6. Conclusion 324

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SECTION 5 Court-Ordered Interim Measures (.2006 Version) 225 ARTICLE 17J (2006 VERSION) Court-Ordered Interim Measures 225 1. Introduction 225 2. Specifics of the provision 226 2. Non-territorial scope of article 17J - inclusion in article 1(2) of the Model

Law 226 4. Conclusion 227

CHARTER V Conduct of Arbitral Proceedings 229

ARTICLE 18 Equal Treatment of the Parties 220 1. Introduction 330 2. Fundamental principles 331 3. Violation of fundamental principles 332 4. Cases (CLOUT) 332 5. Conclusion 336

ARTICLE 19 Determination of Rules of Procedure 337 1. Introduction 337 2. Party autonomy in determining rules of procedure - article 19(1) 338 3. Autonomy subject to mandatory provisions 338 4. Is party autonomy time limited? 339 5. Considerations for the parties' choice 340 6. Adoptions 340 7. Default procedural discretion of the tribunal - article 19(2) 341 8. Cases (CLOUT) 343 9. Conclusion 345

ARTICEE 20 Place of Arbitration 346 1. Introduction 346 2. The 'place of arbitration' 347 3. Parties' freedom to agree on a place of arbitration - article 20(1) 348 4. Meeting of the tribunal - article 20(2) 348 5. Cases (CLOUT) 34g 6. Conclusion 350

ARTICLE 21 Commencement of Arbitral Proceedings 351 1. Introduction 351

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2. Formal requirements of a request 353 3. The effect of the receipt of a request for arbitration 354 4. Cases (CLOUT) 356 5. Conclusion 356

ARTICLE 22 Language 357 1. Introduction 357 2. The determination of the language - article 22(1) 358 3. The application of the language - article 22(1) and (2) 361 4. Cases (CLOUT) 361 5. Conclusion 362

ARTICLE 23 Statements of Claim and Defence 363 1. Introduction 363 2. Contents and submission of statements of claim and defence -

article 23(1) 364 3. Amending or supplementing the statement - article 23(2) 367 4. Cases (CLOUT) 368 5. Conclusion 368

ARTICLE 24 Hearings and Written Proceedings 369 1. Introduction 369 2. Decision on hearings or written proceedings - article 24(1) 370

(a) Parties agree on oral hearings 370 (b) Parties agree on written proceedings 371 (c) Failing a party agreement 372

3. Advance notice - article 24(2) 372 4. Communication of statements, documents or other information - article

24(3) 373 5. Cases (CLOUT) 374 6. Conclusion 375

ARTICLE 25 Default of a Party 376 1. Introduction 376 2. Default of the claimant - article 25(a) 377 3. Default of the respondent - article 25(b) 379 4. Party's failure to appear or produce evidence - article 25(c) 380 5. Cases (CLOUT) 381 6. Conclusion: arbitration in absence of respondent 381

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ARTICLE 26 Expert Appointed by Arbitral Tribunal 383 1. Introduction 383 2. The tribunal's power to appoint experts - article 26(1)(a) 384 3. Parties' co-operation with expert - article 26(1 )(b) 385 4. Expert at the hearing and challenge of an expert 386 5. Cases (CLOUT) 387 6. Conclusion 387

ARTICLE 27 Court Assistance in Taking Evidence 388 1. Introduction 388 2. Request for court assistance 389 3. Execution of the request by court 391 4. International court assistance 391 5. Adoption of article 27 392 6. Cases (CLOUT) 393 7. Conclusion 395

CHAPTER VI Making of the Award and Termination of Proceedings 397

ARTICI.F. 28 Rules Applicable to the Substance of the Dispute 398 1. Introduction 398 2. Rules of law chosen by the parties - article 28(1) 399 3. Tribunal determines applicable law - article 28(2) 400 4. Amiable compositeur - article 28(3) 401 5. Trade usage - article 28(4) 402 6. Cases (CLOUT) 403 7. Conclusion 405

ARTICLE 29 Decision-Making by a Panel of Arbitrators 406 1. Introduction 406 2. Majority decision and deadlock of the tribunal 407 3. Questions of procedure 409 4. Cases (CLOUT) 420 5. Conclusion 412

ARTICLE 30 Settlement 412 1. Introduction 412 2. Request by parties 413 3. Objection by the tribunal 414

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4. Award on agreed terms - article 30(2) 415 5. Adopted provisions encouraging settlements 416 6. Cases (CLOUT) 416 7. Conclusion 416

ARTICLE 31 Form and Content of Award 417 1. Introduction 417 2. Award in writing and signed - article 31(1) 418 3. Statement of reasons - article 31 (2) 420 4. Date and place of the award - article 31 (3) 420 5. Delivery of the award - article 31 (4) 422 6. Additions made on adoption 423 7. Cases (CLOUT) 423 8. Conclusion 426

ARTICLE 32 Termination of Proceedings 428 1. Introduction 428 2. Final award - article 32(1) 429 3. Claimant withdraws his claim - article 32(2)(a) 430 4. Parties agree on termination - article 32(2)(b) 431 5. Continuation of proceedings unnecessary or impossible - article 32(2) (c) 432 6. Additions made on adoption 433 7. Cases (CLOUT) 433 8. Conclusion 434

ARTICLE 33 Correction and Interpretation of Awards; Additional Award 435 1. Introduction 436 2. Correction of errors 437 3. Interpretation of the award 438 4. Additional award 439 5. Cases (CLOUT) 440 6. Conclusion 441

CHAPTER VII Recourse Against Award 443

ARTICLE 34 Application for Setting Aside 444 1. Introduction 445 2. Recourse only by application for setting aside - article 34(1) 446 3. Grounds for setting aside - article 34(2) 447

(a) Party-proven grounds - article 34(2) (a) 449

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(b 1 Ex officio grounds - article 34(2)(b) 450 4. Tinte limit for making application - article 34(3) 451 5. Suspending the setting-aside proceedings - article 34(4) 452 6. Cases (CLOUT) 452 7. Conclusion 490

CHAFFER VIII Recognition and Enforcement of Awards 491

ARTICLE 35 Recognition and Enforcement of Awards 492 1. Introduction 492 2. Award to be recognized and enforced - article 35(1) 493 3. Formal requirements for recognition and enforcement - article 35(2) 495 4. Cases (CLOUT) 496 5. Conclusion 510

ARTICLE 36 Grounds for Refusing Recognition and Enforcement 511 1. Introduction 512 2. Individual grounds for refusal 512 3. Does article 36(1) grant the court discretion? 513 4. Enforcement of nullified arbitral awards 514 5. Cases (CLOUT) 515 6. Conclusion 545

Conclusion 547

PART B UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, 2018 (Amending the UNCITRAL Model Law on International Commercial Conciliation, 2002) 549

The UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation 2018 551 Introduction 551

1. Terminology'mediation'and'conciliation' 552 2. History 553 3. The Model Law and the Convention 555 4. The new structure 557 5. Travaiix préparatoires 558 6. Adoptions 558 7. Recent criticisms and outlook 559

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SECTION 1 General Provisions 563

ARTICLE 1 Scope of Application of the Law and Definitions 565 Section 1 566

1. Scope of application - article 1(1) 566 (a) Place of mediation 566 (b) The definition of 'commercial' - Footnote 1 567

2. Definition of'mediator'- article 1 (2) 567 3. Definition of 'mediation' - article 1(3) 568

ARTICLE 2 Interpretation 569

1. Introduction 569 2. International origin and the need to promote uniformity -

article 2(1) 570 3. General principles - article 2(2) 571

SECTION 2 International Commercial Mediation 573

ARTICLE 3 Scope of Application of the Section and Definitions 575 Section 2 576

1. Introduction 576 2. Definition of'international'- article 3(2) 577 3. Determination of place of business - article 3(3) 577 4. Opting into section 2 - article 3(4) 578 5. Opting out of section 2 - article 3(5) 579 6. Law applies irrespective of the basis on which it is carried out -

article 3(6) 580 7. Exceptions from the applicability of the law - article 3(7) 580

ARTICLE 4 Variation by Agreement 582

1. Introduction 582 2. Mandatory provisions of the Model Law on Mediation 583

ARTICLE 5 Commencement of Mediation Proceedings 585

1. Introduction 585 2. Parties' agreement to engage in mediation proceedings - article 5(1) 586 3. Invitation to mediate - article 5(2) 586 4. Footnote - Suspension of limitation periods 587

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ARTICLE 6 Number and Appointment of Mediators 590

1. Introduction 591 2. Number of mediators - article 6(1) 591 3. Appointment procedure - article 6(2) 591 4. Recommendation or appointment by institution or person -

article 6(3) 592 5. Consideration for the recommendation/appointment - article 6(4) 592 6. Mediator's duty of disclosure - article 6(5) 593

ARTICLE 7 Conduct of Mediation 595

1. Introduction 595 2. Free choice of conduct - article 7(1) 596 3. Default manner of conduct - article 7(2) 596 4. Fair treatment of the parties - article 7(3) 596 5. Mediator's proposal for settlement - article 7(4) 597

ARTICLE 8 Communication Between Mediator and Parties 598

1. Introduction 598 2. Separate meetings between the mediator and the parties 598 3. Mediator's duty of disclosure 599

ARTICLE 9 Disclosure of Information 600

1. Introduction 600 2. Default - Mediator may disclose 600 3. Discussion 601 4. Definition of 'information concerning the dispute' 602

ARTICLE 10 Confidentiality 603

1. Introduction 603 2. Addressees of the provision 604 3. 'Unless otherwise agreed by the parties' 605 4. Exceptions to the duty of confidentiality 605

ARTICLE 11 Admissibility of Evidence in other Proceedings 607

1. Introduction 608 2. Inadmissibility of particular evidence - article 11 (1) 608 3. Form of information irrelevant - article 11(2) 610 4. Disclosure of information may not be ordered/exceptions - article

11(3) 610

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(a) The disclosure required by law 610 (b) The disclosure required for enforcement of the settlement

agreement 611 5. Protection extends to unrelated proceedings - article 11 (4) 611 6. Factual evidence used in mediation not barred from subsequent other

proceedings - article 11 (5) 611

ARTICLE 12 Termination of Mediation Proceedings 613

1. Introduction 613 2. Types of termination 614

ARTICLE 13 Mediator Acting as Arbitrator 616

1. Introduction 616 2. 'Unless otherwise agreed by the parties' 617 3. Arbitrator acting as mediator 617

ARTICLE 14 Resort to Arbitral or Judicial Proceedings 619

1. Introduction 619 2. Med-arb clauses 620 3. Exception - Preservation of rights 620

ARTICLE 15 Binding and Enforceable Nature of Settlement Agreements 622

1. Introduction 622 2. 'Smallest common denominator'and non-mandatory nature 623 3. Form requirements of settlement agreement 623 4. Binding and enforceable 624 5. Methods of enforcement 625

SECTION 3 International Settlement Agreements 629

ARTICLE 16 Scope of Application of the Section and Definitions 631 Section 3 632

1. Definition of a settlement agreement (for the purposes of sect. 3) -Art. 16(1) 633 (a) 'International agreements' 635 (b) 'Resulting from mediation' 635 (c) 'Concluded in writing by parties' 636 (d) 'To resolve a commercial dispute' 638

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(e) Footnote 6 - Optional 'opt-in' vs. Art. 19(1)(d) - de facto 'opt-out' 638

2. Excluded settlement agreements - Art. 16(2) and (3) 639 (a) Art 16(2) - Exclusions by subject matter 639 (b) Art 16(3) - Exclusions by means of arriving at a settlement

agreement 640 3. Internationality of the settlement agreement - Art. 16(4) and (5) 641

(a) Assessment of the internationality of the settlement agreement 641 (b) Notion of 'place of business' 643

4. Written requirement - Art. 16(6) 643

ARTICLE 17 General Principles 647

1. Article 17(1) 647 2. Article 17(2) 649

ARTICLE 18 Requirements for Reliance on Settlement Agreements 650

1. Introduction 651 2. List of requirements for reliance - Art. 18(1) 651

(a) Settlement agreement signed by the parties - Art. 18(1) (a) 652 (b) Evidence that the settlement agreement resulted from

mediation - Art. 18(1)(b) 652 3. Signature requirement - Art. 18(2) 653 4. Language of the settlement agreement - Art. 18(3) 654 5. Further necessary documents and expeditious action - Art. 18(4)

and (5) 654

ARTICLE 19 Grounds for Refusing to Grant Relief 656

1. Introduction 657 2. Party proven grounds for refusing to grant relief - Article 19(1) 659

(a) Incapacity of a party - Article 19(1) (a) 659 (b) Settlement agreement null and void, inoperative or incapable

of being performed - Article 19(1) (b) (i) 660 (c) Settlement agreement not binding or not final - Article

19(l)(b)(ii) 661 (d) Settlement agreement has been subsequently modified -

Article 19(l)(b)(iii) 661 (e) Obligations in the settlement agreement have been performed

or are not clear and comprehensible - Article 19(1)(c) 662 (f) Granting relief would be contrary to the terms of the settlement

agreement - Article 19(1) (d) 662

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(gj Serious breach by the mediator - Article 19(l)(e) 663 (h) Lack of impartiality or independence of the mediator - Article

19(l)(f) 664 3. Ex officio grounds for refusing to grant relief - Article 19(2) 665

ARTICLE 20 Parallel Applications or Claims 666

Conclusion 669

PART C Comparison Charts 671

UNCITRAL Model Law on International Commercial Arbitration Comparison Charts 673 Introduction to the Comparison Charts 673

Appendices 961

APPENDIX 1 UNCITRAL Model Law on International Commercial Arbitration 1985 With amendments as adopted in 2006 (United Nations documents A/40/17, annex I and A/61/17, annex I) 963

APPENDIX 2 UNCITRAL Arbitration Rules (as revised in 2010) 983

APPENDIX 3 UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation, 2018 (amending the UNCITRAL Model Law on International Commercial Conciliation, 2002) 1005

APPENDIX 4 UNCITRAL Conciliation Rules 1980 (Resolution 35/52 adopted by the General Assembly on December 4, 1980) 1015

APPENDIX 5 Guide to Use and Enactment of the UNCITRAL Model Law on International Commercial Conciliation 2002 1023

Bibliography of United Nations Documents 1061

Table of National Legislation 1067

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Table of Conventions, Model Laws and Rules 1073

Index 1075

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