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Travaux préparatoires: UNCITRAL Arbitration Rules

UNCITRAL Arbitration Rules (as revised in 2010)

Related documents are available from:

  • the forty-fifth, forty-sixth, forty-seventh, forty-eighth, forty-ninth, fiftieth, fifty-first and fifty-second sessions of Working Group II
  • and from the thirty-ninth, fortieth, forty-first, forty-second, and forty-third sessions of the Commission.

See also:

UNCITRAL Arbitration Rules (1976) [1]

Section I. Introductory rules

Section II. Composition of the arbitral tribunal

Section III. Arbitral proceedings

Section IV. The award

Related documents are available from the sixth, eighth and ninth sessions of the Commission.

Other related documents are available from the twelfth, thirteenth and fourteenth sessions of the Commission.

Title of article and article number

Status of Commission Session Discussions

Annotations to the article by reference to Travaux Préparatoire

Section I. Introductory rules

 

 

Scope of application (article 1) and model arbitration clause

Article 1

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • paras 10, 24: Article 1(2);
  • para 16, 25, 26, 43, 47, 48,51, 53 to 55: Article 1(1);
  • paras 27 to 38, 49, 50, 56: Article 1(1) and (2) generally and interrelationship between 2 paragraphs.

A/CN.9/9/C.2/SR.14 (23 April 1976),

  • paras 63 - 84: Article 1.
 

Model arbitration clause

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • paras 44 and 45; Model arbitration clause

Notice, calculation of periods of time (article 2)

 

A/CN.9/9/C.2/SR.2 (15 April 1976),

  • paras 1 to 25; Article 2(1)
  • paras 4, 5,13, 26 - 30:Article 2(2)

A/CN.9/9/C.2/SR.14 (23 April 1976),

  • paras 85 - 102: Article 2(1) & (2).

Notice of arbitration (article 3)

 

A/CN.9/9/C.2/SR.2 (15 April 1976),

  • para 41: Article 3(1);
  • para 43 : Article 3(2);
  • para 40 : Article 3(3);
  • para 39: Article 3(4);
  • paras 32 to 45; Article 3 generally.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 1 - 5: Article 3(1).
  • paras 6 - 14: Article 3(2);
  • paras 15 - 18: Article 3(3);
  • paras 19 - 20: Article 3(4).

Representation and assistance (article 4)

 

A/CN.9/9/C.2/SR.2 (15 April 1976),

  • paras 46 to 62: Article 4.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 21 - 24: Article 4(1).

Section II. Composition of the arbitral tribunal

 

 

Number of arbitrators (article 5)

 

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • paras 1 to 7: Article 5.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 25 - 28: Article 5.

Appointment of arbitrators (articles 6 to 8)

 
 
 

Article 6 - sole arbitrator

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • paras 12 to 17: Articles 6(2), (3) and (4)

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • paras 50, 53, 54 - 56:Article 6(2) - designation of appointing authority
  • paras 48, 61- 71 :Article 6(3) and (4) - neutral nationality
  • paras 46 to 73: Article 6 generally

A/CN.9/9/C.2/SR.4 (16 April 1976),

  • paras 1 - 38 ; 48 ; 49: Articles 6(1) & 6(2)
  • paras 54 - 69:Article 6(3)
  • paras 44 - 47, 50- 53: Article 6(4);
  • paras 46 to 73: Article 6 generally.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 29 - 35: Article 6(1);
  • paras 36 - 43: Article 6(2);
  • paras 44 - 47: Article 6(3) ;
  • paras 44 - 52: Article 6(4).
 

Article 7

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • paras 12 to 17: Articles 7(2) and (3)

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • paras 46 to 73: Article 7 generally [ check ]

A/CN.9/9/C.2/SR.4 (16 April 1976),

  • para 43.

A/CN.9/9/C.2/SR.5 (16 April 1976),

  • paras 1 - 8: Article 7(2);
  • paras 9 -21: Article 7(3).

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 53 - 35: Article 8, in particular 8(2)(b).
 

Article 8

A/CN.9/9/C.2/SR.4 (16 April 1976),

  • para 51.

A/CN.9/9/C.2/SR.6 (19 April 1976),

  • paras 1 - 8.

Challenge of arbitrators (articles 9 to 12)

 
 
 

Article 9

 
 

Article 10

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • para 9 to 12, 16: Article 10(2);
  • paras 8 to 21:Article 10 generally.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 57 - 59: Article 10(2);
  • paras 60 -65 : Article 10(1);
 

Article 11

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • para 15: Article 11(3)

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • paras 22 to 26, 31, 36 37,38; Articles 11(1) and (2);
  • paras 35, 39 - 42: Article 11(2);
  • paras 27, to 30, 32,43: Article 11(3)
  • paras 22 to 45: Article 11 generally.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 66 - 72: Article 11(1);
  • paras 73 : Article 11(2);
  • paras 74 : Article 11(3);
 

Article 12

A/CN.9/9/C.2/SR.1 (14 April 1976),

  • para 15: Article 12

A/CN.9/9/C.2/SR.5 (16 April 1976),

  • paras 22 - 30: Article 12.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 75 - 78: Article 12(1).

Replacement of an arbitrator (article 13)

Article 13

A/CN.9/9/C.2/SR.5 (16 April 1976),

  • paras 31- 33: Article 13(1);
  • paras 34 - 45; Article 13(2) :

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 79 - 84: Article 13(1) :

Repetition of hearings in the event of the replacement of an arbitrator (article 14)

Article 14

A/CN.9/9/C.2/SR.5 (16 April 1976),

  • paras 46 - 58; Article 14.

A/CN.9/9/C.2/SR.15 (23 April 1976),

  • paras 85 - 94: Article 14.

Section III. Arbitral proceedings

 

 

General provisions (article 15)

Article 15

A/CN.9/9/C.2/SR.3 (15 April 1976),

  • paras 41, 42, 44, 45.

A/CN.9/9/C.2/SR.6 (19 April 1976),

  • paras 9 -12: Article 15 (1)
  • paras 13 - 36: Article 15(2);
  • paras 48 - 54: Article 15(3);
  • paras 37-4 7 Article 15 generally and relationship to Article 38

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 3,7,8, 72- 78: Article 15(1).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 2 - 5: Article 15.

Place of arbitration (article 16)

Article 16

A/CN.9/9/C.2/SR.6 (19 April 1976),

  • paras 55 -61: Article 16 (1);
  • paras 55 - 67 :Article 16(2);
  • paras 30 -36 ;62 ;63 : Article 16 (3);
  • paras 70 - 92: Article 16(4)

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 6 - 9: Article 16.

Language (article 17)

Article 17

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 10: Article 17.

Statement of claim (article 18)

Article 18

A/CN.9/9/C.2/SR.2 (15 April 1976),

  • paras 32 - 39: Article 18 generally.

A/CN.9/9/C.2/SR.7 (19 April 1976),

  • paras 4 - 7: Article 18(1);
  • paras 8 - 22:Article 18(2).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 11 - 12: Article 18.

Statement of defence (article 19)

Article 19

A/CN.9/9/C.2/SR.7 (19 April 1976),

  • paras 47 - 53 :Article 19 (1);
  • paras 54 - 61: Article 19 (2);
  • paras 62 - 76: Article 19 (3).

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 1 - 12: Article 19(4) and generally concerning amendment.

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 13 - 14: Article 19.

Amendments to the claim or defence (article 20)

Article 20

A/CN.9/9/C.2/SR.7 (19 April 1976),

  • paras 23 -46, 57- 59, 77 - 84.

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 1 - 12: Article 20 - amendment of defence.

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 15 - 19: Article 20.

Pleas as to the jurisdiction of the arbitral tribunal (article 21)

Article 21

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 13 - 26: Article 21(1) & (2)
  • paras 27 - 31; Article 21(3);
  • paras 32 - 43: Article 21(4).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 20 - 25: Article 21.

Further written statements (article 22)

Article 22

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 10,49 - 60 Article 20 generally and former draft provisions;
  • paras 44 - 48 concerning obligations now in Article 24(1);
  • paras 61 - 78: relationship between former paragraph of Article 22 and current provisions of Article 24(2) &(3).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 26 - 30: Article 22.

Periods of time (article 23)

Article 23

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 79 - 80; relationship between Articles 22 and 23;
  • paras 81 - 91; calculation of time and relationship with current Article 2(2) and discussion of time limit.

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 26,31 - 35: Article 23.

Evidence and hearings (articles 24 and 25)

 
 
 

Article 24

A/CN.9/9/C.2/SR.7 (19 April 1976),

  • paras 16, 19 - 22: Article 24(2) and (3) [ check]

A/CN.9/9/C.2/SR.8 (20 April 1976),

  • paras 61 - 78: Article 24(2) &(3).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 36 - 40: Article 24 (1).
 

Article 25

A/CN.9/9/C.2/SR.9 (20 April 1976),

  • paras 1 -2: Article 25(1);
  • paras 3 -11: Article 25(2);
  • paras 12 - 21: Article 25(3);
  • paras 24 - 37: Article 25(4);
  • paras 38 - 52: Article 25(5);
  • paras 43 - 45: Article 25(1).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 41 - 53: Article 25 generally;
  • paras 44 - 46: Article 25(2);
  • paras 47: Article 25(3), (4) & (5);
  • paras 48 - 53: Article 25(6).

Interim measures of protection (article 26)

 

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 54 - 56: Article 26 generally.

Experts (article 27)

Article 27

A/CN.9/9/C.2/SR.9 (20 April 1976),

  • paras 60 - 63: Article 27(1);
  • paras 64: Article 27(2) & (3);
  • paras 65 - 70: Article 27(4).

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 57 - 58: Article 27 generally.

Default (article 28)

Article 28

A/CN.9/9/C.2/SR.10 (21 April 1976),

  • paras 1- 3 and 4 - 14: Article 28(1);
  • paras 15 - 20: Article 28(2);
  • paras 21 - 25: Article 28(3) :

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 59 - 69: Article 28(1) generally;
  • paras 70: Article 28(2);
  • paras 71 - 73: Article 28(3).

Closure of hearings (article 29)

Article 29

A/CN.9/9/C.2/SR.10 (21 April 1976),

  • paras 26 - 28: Articles 29 (1) & (2) - former Article 25 bis.

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 74 - 86: Article 29(1);
  • paras 87 - 93: Article 29(2).

Waiver of rules (article 30)

Article 30

A/CN.9/9/C.2/SR.10 (21 April 1976),

  • paras 29-53.

A/CN.9/9/C.2/SR.16 (26 April 1976),

  • paras 94; Article 30(1); and
  • paras 95: Article 30(2). [ query ]

Section IV. The Award

 

 

Decisions (article 31)

Article 31

A/CN.9/9/C.2/SR.6 (19 April 1976),

  • paras 93 - 100: Article 31(1) and (2)

A/CN.9/9/C.2/SR.10 (21 April 1976),

  • paras 54-57 and 78 - 81; Article 31(1) - decisions by majority

A/CN.9/9/C.2/SR.11 (21 April 1976),

  • paras 1- 22: Article 31(1).

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 1 - 11; Article 31(2).

Form and effect of the award (article 32)

Article 32

A/CN.9/9/C.2/SR.10 (21 April 1976),

  • paras 58 - 59; Article 32(1);
  • paras 60 - 77; Article 32(2) &(3).

A/CN.9/9/C.2/SR.11 (21 April 1976),

  • paras 23 47: Article 32 (4) - dissenting opinions, signing of the award;
  • paras 48 - 50: Article 32(5);
  • paras 51 - 68: Article 32(6);
  • paras 69 - 71 : Article 32(7).

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 12 - 19; Article 32(2);
  • paras 20 - 22; Article 32(4).

Applicable law, amiable compositeur (article 33)

Article 33

A/CN.9/9/C.2/SR.11 (21 April 1976), para 72. [ query ]

A/CN.9/9/C.2/SR.14 (23 April 1976),

  • paras 1 - 17: Article 33(1);
  • paras 18 - 33: Article 33(2);
  • paras 34 - 54: Article 33(3).

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 23 - 33; Article 33(3).

Settlement or other grounds for termination (article 34)

Article 34

A/CN.9/9/C.2/SR.11 (21 April 1976),

  • paras 73 - 87: Article 34(1);
  • paras 88 - 96: Article 34(2) qnd discussions of costs.

A/CN.9/9/C.2/SR.12 (22 April 1976),

  • paras 1 - 2:Article 34(3).

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 34 - 35; Article 34.

Interpretation of the award (article 35)

Article 35

A/CN.9/9/C.2/SR.12 (22 April 1976),

  • paras 3 - 14.

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 36; Article 35.

Correction of the award (article 36)

Article 36

A/CN.9/9/C.2/SR.12 (22 April 1976),

  • paras 15 - 20.

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 37; Article 36.

Additional award (article 37)

Article 37

A/CN.9/9/C.2/SR.12 (22 April 1976),

  • paras 15 - 20: Article 37(1);
  • paras 21 - 30: Article 37(2):
  • paras 31 - 32: Article 37(3).

Costs (articles 38 to 40)

 
 
 

Article 38

A/CN.9/9/C.2/SR.4 (16 April 1976),

  • paras 40 to 42: Article 38(e) and (f).

A/CN.9/9/C.2/SR.6 (19 April 1976),

  • paras 37- 47 relationship between costs under Articles 15 and Article 38

A/CN.9/9/C.2/SR.12 (22 April 1976),

  • paras 33 - 41: Article 38 generally;
  • paras 42 - 61; Article 38(1)(a);
  • paras 62 - 79: Article 38(1)(b) & (c).

A/CN.9/9/C.2/SR.13 (22 April 1976),

  • paras 1 - 31; Article 38(1)(e);
  • paras 26 - 28; Article 38(1)(f) particularly;

A/CN.9/9/C.2/SR.17 (26 April 1976),

  • paras 38-43; Article 38(f).
 

Article 39

 
 

Article 40

A/CN.9/9/C.2/SR.13 (22 April 1976),

  • paras 1 - 31; Article 40(1) & (2) - relationship with Article 38(e).

Deposit of costs (article 41)

Article 41

A/CN.9/9/C.2/SR.13 (22 April 1976),

  • paras 32 - 38; Article 41(1);
  • paras 39 - 41; Article 41(2);
  • paras 42 - 43; Article 41(3);
  • paras 44 - 51; Article 41(4);
  • paras 76; Article 41(5) and see also paras 57 - 75 for discussion about deposit to cover appointing authorities fees.;

 

Other Summary Records

[1] A/CN.9/9/C.2/SR.14 (23 April 1976), see paras 55 - 61 concerning structure of Rules: agreement on title of the Rules and retention of section headings for each article. Commencement of second reading starts at para 62.