The UNCITRAL Arbitration Rules A Commentary

Reaching past the secrecy so often met in arbitration, the second edition of this commentary explains clearly and fully the workings of the UNCITRAL Rules of Arbitral Procedure recommended for use in 1976 by the United Nations. This new edition fully takes account of the revised Rules adopted in 2010 while maintaining coverage of the original Rules where these remain relevant. The differences between the old and the new Rules are clearly indicated and explained. Pulling together difficult to obtain sources from the Iran-United States Claims Tribunal, arbitrations under Chapter 11 of the North American Free Trade Agreement, and ad hoc arbitrations, it illuminates the shape the UNCITRAL Rules take in practice. The authors cogently critique that practice in the light of the negotiating history of the rules and solutions adopted by the other major private rules of arbitral procedure. To aid the specialist in the field, the practice of these various tribunals is extensively extracted and reproduced. Rich both in its analysis and sources, this text is indispensable for those working in or studying international arbitration.

David Caron is the C. William Maxeiner Distinguished Professor of Law at the University of California at Berkeley. He currently serves as President of the American Society of International Law, Co-Director of the Law of the Sea Institute, and as a member of the Board of Editors of the American Journal of International Law. He presently serves also as a member of the U.S. Department of State Advisory Committee on Public International Law and of the Investment Subcommittee of U.S. Secretary of State's Advisory Committee on International Economic Policy. He is a member of the Bars of the State of California and of England and Wales, and is a Barrister with Chambers at 20 Essex Street.

Lee M. Caplan is an Attorney-Adviser in the Office of International Claims and Investment Disputes of the US Department of State.

1. Introduction
Part I - Fundamental Principles and the Legal Framework within which the Arbitral Tribunal Operates
2. General Provisions and Place of Arbitration
3. Applicable Law
Part II - Arbitral Procedures to Control the Selection and Conduct of Arbitrators
4. The Number and Selection of Arbitrators
5. The Challenge of Arbitrators
6. Resignation, Failure to Act, and the Consequences of the Replacement of an Arbitrator
7. The Appointing Authority and Composition under the UNCITRAL Rules
Part III - The Initiation of the Arbitration and the Identification and Clarification of the Issues Presented
8. The Notice Initiating Arbitration
9. The Choice of Language
10. Notice and the Calculation of Periods of Time
11. Statements of Claim and Defence
12. Pleas as to the Jurisdiction of the Arbitral Tribunal
13. Amendments to the Claim or Defence
14. Further Written Statements and Time Limits on Submission
15. The Question of Interim Measures
Part IV - The Presentation of the Case: Evidence and Hearings
16. Evidence
17. The Hearings
18. Experts
Part V - Default and Waiver
19. Default
20. Waiver
Part VI - The Award
21. Decisions
22. Form and Effect
23. Settlement and Other Grounds for Termination
24. Post-Award Proceedings
25. The Cost of Arbitration