| Scope of Application |
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| Article 1 |
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2
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Where the parties to a contract have agreed in
writing* that disputes in relation to that contract
shall be referred to arbitration under the UNCITRAL
Arbitration Rules, then such disputes shall be
settled in accordance with these Rules subject
to such modification as the parties may agree
in writing.
These Rules shall govern the arbitration except
that where any of these Rules is in conflict with
a provision of the law applicable to the arbitration
from which the parties cannot derogate, that provision
shall prevail.
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*MODEL ARBITRATION CLAUSE
Any dispute, controversy or claim arising out
of or relating to this contract, or the breach,
termination or invalidity thereof, shall be settled
by arbitration in accordance with the UNCITRAL
Arbitration Rules as at present in force.
Note — Parties may wish to consider adding:
(a) The appointing authority shall be ... (name
of institution or person);
(b) The number of arbitrators shall be ... (one
or three);
(c) The place of arbitration shall be ... (town
or country);
(d) The language(s) to be used in the arbitral
proceedings shall be ...
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| Notice, Calculation of Periods of Time |
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| Article 2 |
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For the purposes of these Rules, any notice,
including a notification, communication or proposal,
is deemed to have been received if it is physically
delivered to the addressee or if it is delivered
at his habitual residence, place of business or
mailing address, or, if none of these can be found
after making reasonable inquiry, then at the addressee's
last-known residence or place of business. Notice
shall be deemed to have been received on the day
it is so delivered.
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| 2 |
For the purposes of calculating a
period of time under these Rules, such period shall
begin to run on the day following the day when a
notice, notification, communication or proposal
is received. If the last day of such period is an
official holiday or a non-business day at the residence
or place of business of the addressee, the period
is extended until the first business day which follows.
Official holidays or non-business days occurring
during the running of the period of time are included
in calculating the period. |
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| Notice of Arbitration |
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| Article 3 |
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The party initiating recourse to arbitration (hereinafter called the "claimant") shall give to the other party (hereinafter called the "respondent") a notice of arbitration. |
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Arbitral proceedings shall be deemed to commence on the date on which the notice of arbitration is received by the respondent. |
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| 3 |
The notice of arbitration shall include the following:
| (a) |
A demand that the dispute be referred to arbitration; |
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| (b) |
The names and addresses of the parties; |
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| (c) |
A reference to the arbitration clause or the separate arbitration agreement that is invoked; |
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| (d) |
A reference to the contract out of or in relation to which the dispute arises; |
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| (e) |
The general nature of the claim and an indication of the amount involved, if any; |
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| (f) |
The relief or remedy sought; |
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| (g) |
A proposal as to the number of arbitrators (i.e. one or three), if the parties have not previously agreed thereon. |
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| 4 |
The notice of arbitration may also include:
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The proposals for the appointments of a sole arbitrator and an appointing authority referred to in article 6, paragraph 1; |
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| (b) |
The notification of the appointment of an arbitrator referred to in article 7; |
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| (c) |
The statement of claim referred to in article 18. |
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| Representation and Assistance |
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| Article 4 |
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The parties may be represented or assisted by persons of their choice. The names and addresses of such persons must be communicated in writing to the other party; such communication must specify whether the appointment is being made for purposes of representation or assistance. |
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| SECTION II: COMPOSITION OF THE ARBITRAL TRIBUNAL |
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| Number of Arbitrators |
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| Article 5 |
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| 1 |
If the parties have not previously agreed on the number of arbitrators (i.e. one or three), and if within fifteen days after the receipt by the respondent of the notice of arbitration the parties have not agreed that there shall be only one arbitrator, three arbitrators shall be appointed. |
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| Appointment of Arbitrators (Articles 6 to 8) |
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| Article 6 |
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1 |
If a sole arbitrator is to be appointed, either party may propose to the other:
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The names of one or more persons, one of whom would serve as the sole arbitrator; and |
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| (b) |
If no appointing authority has been agreed upon by the parties, the name or names of one or more institutions or persons, one of whom would serve as appointing authority. |
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If within thirty days after receipt by a party of a proposal made in accordance with paragraph 1 the parties have not reached agreement on the choice of a sole arbitrator, the sole arbitrator shall be appointed by the appointing authority agreed upon by the parties. If no appointing authority has been agreed upon by the parties, or if the appointing authority agreed upon refuses to act or fails to appoint the arbitrator within sixty days of the receipt of a party's request therefor, either party may request the Secretary-General of the Permanent Court of Arbitration at The Hague to designate an appointing authority. |
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The appointing authority shall, at the request of one of the parties, appoint the sole arbitrator as promptly as possible. In making the appointment the appointing authority shall use the following list-procedure, unless both parties agree that the list-procedure should not be used or unless the appointing authority determines in its discretion that the use of the list-procedure is not appropriate for the case:
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At the request of one of the parties the appointing authority shall communicate to both parties an identical list containing at least three names; |
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Within fifteen days after the receipt of this list, each party may return the list to the appointing authority after having deleted the name or names to which he objects and numbered the remaining names on the list in the order of his preference; |
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| (c) |
After the expiration of the above period of time the appointing authority shall appoint the sole arbitrator from among the names approved on the lists returned to it and in accordance with the order of preference indicated by the parties; |
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| (d) |
If for any reason the appointment cannot be made according to this procedure, the appointing authority may exercise its discretion in appointing the sole arbitrator. |
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In making the appointment, the appointing authority shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account as well the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties. |
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| Article 7 |
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If three arbitrators are to be appointed, each party shall appoint one arbitrator. The two arbitrators thus appointed shall choose the third arbitrator who will act as the presiding arbitrator of the tribunal. |
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If within thirty days after the receipt of a party's notification of the appointment of an arbitrator the other party has not notified the first party of the arbitrator he has appointed:
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The first party may request the appointing authority previously designated by the parties to appoint the second arbitrator; or |
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If no such authority has been previously designated by the parties, or if the appointing authority previously designated refuses to act or fails to appoint the arbitrator within thirty days after receipt of a party's request therefor, the first party may request the Secretary-General of the Permanent Court of Arbitration at The Hague to designate the appointing authority. The first party may then request the appointing authority so designated to appoint the second arbitrator. In either case, the appointing authority may exercise its discretion in appointing the arbitrator. |
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If within thirty days after the appointment of the second arbitrator the two arbitrators have not agreed on the choice of the presiding arbitrator, the presiding arbitrator shall be appointed by an appointing authority in the same way as a sole arbitrator would be appointed under article 6. |
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| Article 8 |
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When an appointing authority is requested to appoint an arbitrator pursuant to article 6 or article 7, the party which makes the request shall send to the appointing authority a copy of the notice of arbitration, a copy of the contract out of or in relation to which the dispute has arisen and a copy of the arbitration agreement if it is not contained in the contract. The appointing authority may require from either party such information as it deems necessary to fulfil its function. |
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Where the names of one or more persons are proposed for appointment as arbitrators, their full names, addresses and nationalities shall be indicated, together with a description of their qualifications. |
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| Challenge of Arbitrators (Articles 9 to 12) |
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| Article 9 |
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| A prospective arbitrator shall disclose to those who approach him in connexion with his possible appointment any circumstances likely to give rise to justifiable doubts as to his impartiality or independence. An arbitrator, once appointed or chosen, shall disclose such circumstances to the parties unless they have already been informed by him of these circumstances. |
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| Article 10 |
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1 |
Any arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrators impartiality or independence. |
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A party may challenge the arbitrator appointed by him only for reasons of which he becomes aware after the appointment has been made. |
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| Article 11 |
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1 |
A party who intends to challenge an arbitrator shall send notice of his challenge within fifteen days after the appointment of the challenged arbitrator has been notified to the challenging party or within fifteen days after the circumstances mentioned in articles 9 and 10 became known to that party. |
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The challenge shall be notified to the other party, to the arbitrator who is challenged and to the other members of the arbitral tribunal. The notification shall be in writing and shall state the reasons for the challenge. |
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When an arbitrator has been challenged by one party, the other party may agree to the challenge. The arbitrator may also, after the challenge, withdraw from his office. In neither case does this imply acceptance of the validity of the grounds for the challenge. In both cases the procedure provided in article 6 or 7 shall be used in full for the appointment of the substitute arbitrator, even if during the process of appointing the challenged arbitrator a party had failed to exercise his right to appoint or to participate in the appointment. |
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| Article 12 |
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If the other party does not agree to the challenge and the challenged arbitrator does not withdraw, the decision on the challenge will be made:
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When the initial appointment was made by an appointing authority, by that authority; |
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When the initial appointment was not made by an appointing authority, but an appointing authority has been previously designated, by that authority; |
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| (c) |
In all other cases, by the appointing authority to be designated in accordance with the procedure for designating an appointing authority as provided for in article 6. |
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If the appointing authority sustains the challenge, a substitute arbitrator shall be appointed or chosen pursuant to the procedure applicable to the appointment or choice of an arbitrator as provided in articles 6 to 9 except that, when this procedure would call for the designation of an appointing authority, the appointment of the arbitrator shall be made by the appointing authority which decided on the challenge. |
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| Replacement of an Arbitrator |
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| Article 13 |
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1 |
In the event of the death or resignation of an arbitrator during the course of the arbitral proceedings, a substitute arbitrator shall be appointed or chosen pursuant to the procedure provided for in articles 6 to 9 that was applicable to the appointment or choice of the arbitrator being replaced. |
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In the event that an arbitrator fails to act or in the event of the de jure or de facto impossibility of his performing his functions, the procedure in respect of the challenge and replacement of an arbitrator as provided in the preceding articles shall apply. |
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| Repetition of Hearings in the Event of the Replacement of an Arbitrator |
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| Article 14 |
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If under articles 11 to 13 the sole or presiding arbitrator is replaced, any hearings held previously shall be repeated; if any other arbitrator is replaced, such prior hearings may be repeated at the discretion of the arbitral tribunal. |
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