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
Intemet) &&
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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$ni:icant? en"ance t"e e::icienc? o: arbitration
!nder t"e R!es+
*oting t"at t"e 4re4aration o: t"e '01'
recommendations to assist arbitra instit!tions
and ot"er interested bodies #it" re$ard to
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
and ot"er interested bodies #it" re$ard to
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#.
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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
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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
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