International Commercial Arbitration and Mediation in UNCITRAL Model Law Jurisdictions

Contents
Machine generated contents note: Part A: The UNCITRAL Model Law on International Commercial Arbitration 1985 (Revised 2006)
Part B: The UNCITRAL Model Law on International Commercial Mediation 2018
Part C: Comparison Charts
Introduction
1.The United Nations Commission on International Trade Law (UNCITRAL)
a.Origin, mandate and membership
b.Organization and methods of work
i.The Commission
ii.The Working Groups
iii.The Secretariat
c.Past work of UNCITRAL
d.Types of UNCITRAL Documents and their numbering
i.Annual reports of the Commission
ii.Commission documents
2.Arbitration in the UNCITRAL framework
a.United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards 1958
b.UNCITRAL Arbitration Rules 1976 (original version)
c.UNCITRAL Model Law on International Commercial Arbitration 1985 (original version)
d.UNCITRAL Notes on Organizing Arbitral Proceedings 1996 (updated 2016)
Contents note continued: e.UNCITRAL Model Law on International Commercial Arbitration 2006
f.UNCITRAL Arbitration Rules 2010
3.UNCITRAL Model Law on International Commercial Arbitration 2006
a.History of drafting the Model Law
b.Importance of the travaux preparatoires
c.Requirements for Model Law conformity
d.Types of adoption
i.Incorporation by reference
ii.Direct adoption
e.Case law (CLOUT)
ch. I General Provisions
Article 1 Scope of Application
1.Introduction
2.The material scope of the Model Law's application - article 1(1)
a.The definition of 'commercial'
b.'Arbitration' definition
c.Model Law is subject to treaty law
3.The territorial scope of the Model Law's application - article 1(2)
4.The definition of 'international' - article 1(3) and (4)
a.Model Law designed for international cases
b.'International' definition
i.Parties' place of business in different states - article 1(3)
Contents note continued: ii.Other relevant places - article 1(3)
iii.Express agreement on the subject matter - article 1(3)
5.Arbitrability - article 1(5)
6.Cases (CLOUT)
7.Conclusion
Article 2 Definitions and Rules of Interpretation
2.Definitions
a.'Arbitration' - Article 2(a)
b.'Arbitral tribunal' and 'court' - Articles 2(b) and (c)
c.Other definitions in the Model Law
d.Definitions added by adopting states
3.Rules of interpretation
a.Parties' freedom to determine a certain issue - Article 2(d)
b.Parties' agreement includes reference to arbitration rules - Article 2(e)
c.Counterclaim and counter-defence included - Article 2(f)
d.Adoption of the rides of interpretation
4.Cases (CLOUT)
5.Conclusion
Article 2A International Origin and General Principles
2.Adoptions
3.Conclusion
Article 3 Receipt of Written Communications
2.'(Written) communications'
Contents note continued: 3.Inquiry
Article 4 Waiver of Right to Object
2.First condition: 'Non-mandatory provision or arbitration agreement not complied with'
3.Second condition: 'Knowledge of the non-compliance'
4.Third condition: 'Objection stated without undue delay'
5.Fourth condition: 'Proceeding with the arbitration'
6.Effect of the waiver
7.Article 4 and arbitration rules
8.Cases (CLOUT)
9.Conclusion
Article 5 Extent of Court Intervention
a.The relationship between arbitration and the courts
b.The purpose of article 5
c.Textual analysis
2.'Matters governed by this Law'
a.The discussion
b.The scope of 'matters'
c.Model Law provisions expressly providing for court intervention
3.The adoption of article 5
Article 6 Court or Other Authority for Certain Functions of Arbitration Assistance and Supervision
Contents note continued: 1.Introduction
2.The scope of article 6
3.'Court, courts or ... other authority'
ch. II Arbitration Agreement
Article 7 (1985 Version) Definition and Form of the Arbitration Agreement
2.The definition of 'arbitration agreement' - article 7(1)
a.Definition of 'arbitration agreement'
b.Issues raised but not covered by article 7
3.'Writing' requirement - article 7(2)
a.The importance of the New York Convention in the context of article 7
b.Signed document, exchange of letters, telex, telegrams or other means of telecommunication
c.Exchange of statements of claim and defence
d.Reference to a document containing an arbitration clause
e.States' adoption of article 7(2)
4.Effect of an agreement's non-compliance with article 7
5.Cases (CLOUT)
6.Conclusion
Article 7 (2006 Version) Definition and Form of the Arbitration Agreement
Contents note continued: 2.Problem areas identified upon revision of article 7
a.Fact situations
i.Tacit acceptance of an offer
ii.Written communication of a third party evidencing the arbitration agreement
iii.Oral agreements
iv.Bills of lading
v.Standing business relationship - previous contracts include arbitration agreements
vi.Addendum/​extension/​novation/​settlement without an additional arbitration agreement
vii.Third-party rights and obligations under arbitration agreements
viii.Group of companies
b.Solutions
3.Article 7 (2006 version)
a.Structure
b.Article 7 - Option I
i.Article 7(1)
ii.Article 7(2)
iii.Article 7(3)
iv.Article 7(4)
v.Article 7(5) 142 (vi) Article 7(6)
c.Article 7 - Option II
4.States adopting the revised version of article 7
Article 8 Arbitration Agreement and Substantive Claim Before Court
Contents note continued: 2.Court shall refer matters to arbitration - article 8(1)
3.Arbitral proceedings may be continued in case of court challenge - article 8(2)
Article 9 Arbitration Agreement and Interim Measures by Court
2.Types of interim measures
3.Is a party agreement to exclude interim measures valid?
ch. III Composition of Arbitral Tribunal
Article 10 Number of Arbitrators
2.The three variants proposed for article 10(2)
a.Three arbitrators ('Variant A')
b.Number of arbitrators equals the number of parties ('Variant B')
c.Single arbitrator ('Variant C')
3.How to avoid a tribunal deadlock
4.Is the parties' autonomy limited?
Article 11 Appointment of Arbitrators
2.No preclusion by reason of nationality - article 11(1)
Contents note continued: 3.Parties' freedom to agree on an appointment procedure - article 11(2)
4.Limits of the parties' freedom
5.Default procedure - article 11(3)
6.No appeal against court decision and considerations when securing appointment - article 11(5)
7.Cases (CLOUT)
8.Conclusion
Article 12 Grounds for Challenge
2.'Impartiality' and 'independence'
3.Individual grounds for challenge
4.The ICC Court of Arbitration's experience with challenge
5.Appointing party's prior knowledge of grounds for challenge
Article 13 Challenge Procedure
2.Parties' freedom to choose the challenge procedure - article 13(1)
3.Default challenge procedure - article 13(2)
4.Resort to court for final decision - article 13(3)
Article 14 Failure or Impossibility to Act
Contents note continued: 2.Arbitrator unable to perform functions - article 14(1)
a.Arbitrator's inability to perform
b.Arbitrator's withdrawal
c.Court request
d.The Non-mandatory character of article 14
e.Continuation of proceedings
3.Withdrawal does not imply admission of guilt - article 14(2)
Article 15 Appointment of Substitute Arbitrator
2.Grounds for the termination of the mandate
3.Substitute arbitrator
4.The effect of a substitution
ch. IV Jurisdiction of the Arbitral Tribunal
Article 16 Competence of the Arbitral Tribunal to Rule on Its Jurisdiction
2.Kompetenz-Kompotenz and separability - article 16(1)
a.Kompetenz-Kompetenz
b.Separability
c.Determination of applicable law
3.Plea of tribunal's lack of jurisdiction - article 16(2)
a.Time limit for raising pleas
Contents note continued: b.Effect of failure to invoke non-competence
4.Tribunal's ruling on plea and court control - article 16(3)
ch. IVA Interim Measures and Preliminary Orders
Article 17 (1985 Version) Power of the Arbitral Tribunal to Order Interim Measures
2.Characteristics
3.Examples of tribunal-ordered interim measures
4.Enforcement of interim measures
5.Differences between article 9 and article 17
Section 1 Interim Measures (2006 Version)
Article 17 (2006 Version) Power of the Arbitral Tribunal to Order Interim Measures
2.Article 17(1)
3.Article 17(2)
4.Conclusion
Article 17A (2006 Version) Conditions for Granting Interim Measures
2.Article 17A(1)
3.Article 17A(2)
Section 2 Preliminary Orders (2006 Version)
Contents note continued: Article 17B (2006 Version) Applications for Preliminary Orders and Conditions for granting Preliminary Orders
2.Article 17B(1)
3.Article 17B(2)
4.Article 17B(3)
Article 17C (2006 Version) Specific Regime for Preliminary Orders
2.Article 17C(1)
3.Article 17C(2)
4.Article 17C(3)
5.Article 17C(4)
6.Article 17C(5)
Section 3 Provisions Applicable to Interim Measures and Preliminary Orders (2006 Version)
Article 17D (2006 Version) Modification, Suspension, Termination
2.Specifics of the provision
Article 17E (2006 Version) Provision of Security
2.Article 17E(1)
3.Article 17E(2)
Article 17F (2006 Version) Disclosure
2.Article 17F(1)
3.Article 17F(2)
Article 17G (2006 Version) Costs and Damages
2.Specifics
Contents note continued: 3.Conclusion
Section 4 Recognition and Enforcement of Interim Measures (2006 Version)
Article 17H (2006 Version) Recognition and Enforcement
2.Non-territorial scope of article 17H - inclusion in article 1(2) of the Model Law
3.Article 17H(1)
4.Article 17H (2)
5.Article 17H(3)
Article 17I (2006 Version) Grounds for Refusing Recognition and Enforcement
2.Footnote '3' to article 171
3.Non-territorial scope of article 171 - inclusion in article 1(2) of the Model Law
4.Article 171(1)
5.Article 171(2)
Section 5 Court-Ordered Interim Measures (2006 Version)
Article 17J (2006 Version) Court-Ordered Interim Measures
3.Non-territorial scope of article 17J - inclusion in article 1(2) of the Model Law
ch. V Conduct of Arbitral Proceedings
Article 18 Equal Treatment of the Parties
2.Fundamental principles
3.Violation of fundamental principles
Article 19 Determination of Rules of Procedure
2.Party autonomy in determining rules of procedure - article 19(1)
3.Autonomy subject to mandatory provisions
4.Is party autonomy time limited?
5.Considerations for the parties' choice
6.Adoptions
7.Default procedural discretion of the tribunal - article 19(2)
Article 20 Place of Arbitration
2.The 'place of arbitration'
3.Parties' freedom to agree on a place of arbitration - article 20(1)
4.Meeting of the tribunal - article 20(2)
Article 21 Commencement of Arbitral Proceedings
2.Formal requirements of a request
3.The effect of the receipt of a request for arbitration
Contents note continued: Article 22 Language
2.The determination of the language - article 22(1)
3.The application of the language - article 22(1) and (2)
Article 23 Statements of Claim and Defence
2.Contents and submission of statements of claim and defence - article 23(1)
3.Amending or supplementing the statement - article 23(2)
Article 24 Hearings and Written Proceedings
2.Decision on hearings or written proceedings - article 24(1)
a.Parties agree on oral hearings
b.Parties agree on written proceedings
c.Failing a party agreement
3.Advance notice - article 24(2)
4.Communication of statements, documents or other information - article 24(3)
Article 25 Default of a Party
2.Default of the claimant - article 25(a)
3.Default of the respondent - article 25(b)
Contents note continued: 4.Party's failure to appear or produce evidence - article 25(c)
6.Conclusion: arbitration in absence of respondent
Article 26 Expert Appointed by Arbitral Tribunal
2.The tribunal's power to appoint experts - article 26(1)(a)
3.Parties' co-operation with expert - article 26(1)(b)
4.Expert at the hearing and challenge of an expert
Article 27 Court Assistance in Taking Evidence
2.Request for court assistance
3.Execution of the request by court
4.International court assistance
5.Adoption of article 27
ch. VI Making of the Award and Termination of Proceedings
Article 28 Rules Applicable to the Substance of the Dispute
2.Rules of law chosen by the parties - article 28(1)
3.Tribunal determines applicable law - article 28(2)
Contents note continued: 4.Amiable compositeur - article 28(3)
5.Trade usage - article 28(4)
Article 29 Decision-Making by a Panel of Arbitrators
2.Majority decision and deadlock of the tribunal
3.Questions of procedure
Article 30 Settlement
2.Request by parties
3.Objection by the tribunal
4.Award on agreed terms - article 30(2)
5.Adopted provisions encouraging settlements
Article 31 Form and Content of Award
2.Award in writing and signed - article 31(1)
3.Statement of reasons - article 31(2)
4.Date and place of the award - article 31(3)
5.Delivery of the award - article 31(4)
6.Additions made on adoption
Article 32 Termination of Proceedings
2.Final award - article 32(1)
Contents note continued: 3.Claimant withdraws his claim - article 32(2)(a)
4.Parties agree on termination - article 32(2)(b)
5.Continuation of proceedings unnecessary or impossible - article 32(2)(c)
Article 33 Correction and Interpretation of Awards; Additional Award
2.Correction of errors
3.Interpretation of the award
4.Additional award
ch. VII Recourse Against Award
Article 34 Application for Setting Aside
2.Recourse only by application for setting aside - article 34(1)
3.Grounds for setting aside - article 34(2)
a.Party-proven grounds - article 34(2)(a)
b.Ex officio grounds - article 34(2)(b)
4.Time limit for making application - article 34(3)
5.Suspending the setting-aside proceedings - article 34(4)
ch. VIII Recognition and Enforcement of Awards
Contents note continued: Article 35 Recognition and Enforcement of Awards
2.Award to be recognized and enforced - article 35(1)
3.Formal requirements for recognition and enforcement - article 35(2)
Article 36 Grounds for Refusing Recognition and Enforcement
2.Individual grounds for refusal
3.Does article 36(1) grant the court discretion?
4.Enforcement of nullified arbitral awards
Conclusion
The UNCITRAL Model Law on International Commercial Mediation and International Settlement Agreements Resulting from Mediation 2018
1.Terminology 'mediation' and 'conciliation'
2.History
3.The Model Law and the Convention
4.The new structure
5.Travaux preparatoires
7.Recent criticisms and outlook
Section 1 General Provisions
Article 1 Scope of Application of the Law and Definitions
Section 1
Contents note continued: 1.Scope of application - article 1(1)
a.Place of mediation
b.The definition of 'commercial' - Footnote 1
2.Definition of 'mediator' - article 1(2)
3.Definition of 'mediation' - article 1(3)
Article 2 Interpretation
2.International origin and the need to promote uniformity article 2(1)
3.General principles - article 2(2)
Section 2 International Commercial Mediation
Article 3 Scope of Application of the Section and Definitions
Section 2
2.Definition of 'international' - article 3(2)
3.Determination of place of business - article 3(3)
4.Opting into section 2 - article 3(4)
5.Opting out of section 2 - article 3(5)
6.Law applies irrespective of the basis on which it is carried out - article 3(6)
7.Exceptions from the applicability of the law - article 3(7)
Article 4 Variation by Agreement
2.Mandatory provisions of the Model Law on Mediation
Contents note continued: Article 5 Commencement of Mediation Proceedings
2.Parties' agreement to engage in mediation proceedings - article 5(1)
3.Invitation to mediate - article 5(2)
4.Footnote - Suspension of limitation periods
Article 6 Number and Appointment of Mediators
2.Number of mediators - article 6(1)
3.Appointment procedure - article 6(2)
4.Recommendation or appointment by institution or person - article 6(3)
5.Consideration for the recommendation/​appointment - article 6(4)
6.Mediator's duty of disclosure - article 6(5)
Article 7 Conduct of Mediation
2.Free choice of conduct - article 7(1)
3.Default manner of conduct - article 7(2)
4.Fair treatment of the parties - article 7(3)
5.Mediator's proposal for settlement - article 7(4)
Article 8 Communication Between Mediator and Parties
Contents note continued: 2.Separate meetings between the mediator and the parties
3.Mediator's duty of disclosure
Article 9 Disclosure of Information
2.Default - Mediator may disclose
3.Discussion
4.Definition of 'information concerning the dispute'
Article 10 Confidentiality
2.Addressees of the provision
3.'Unless otherwise agreed by the parties'
4.Exceptions to the duty of confidentiality
Article 11 Admissibility of Evidence in other Proceedings
2.Inadmissibility of particular evidence - article 11(1)
3.Form of information irrelevant - article 11(2)
4.Disclosure of information may not be ordered/​exceptions - article 11(3)
a.The disclosure required by law
b.The disclosure required for enforcement of the settlement agreement
5.Protection extends to unrelated proceedings - article 11(4)
Contents note continued: 6.Factual evidence used in mediation not barred from subsequent other proceedings - article 11(5)
Article 12 Termination of Mediation Proceedings
2.Types of termination
Article 13 Mediator Acting as Arbitrator
2.'Unless otherwise agreed by the parties'
3.Arbitrator acting as mediator
Article 14 Resort to Arbitral or Judicial Proceedings
2.Med-arb clauses
3.Exception - Preservation of rights
Article 15 Binding and Enforceable Nature of Settlement Agreements
2.'Smallest common denominator' and non-mandatory nature
3.Form requirements of settlement agreement
4.Binding and enforceable
5.Methods of enforcement
Section 3 International Settlement Agreements
Article 16 Scope of Application of the Section and Definitions
1.Definition of a settlement agreement (for the purposes of sect. 3) - Art. 16(1)
a.'International agreements'
Contents note continued: b.'Resulting from mediation'
c.'Concluded in writing by parties'
d.'To resolve a commercial dispute'
e.Footnote 6 - Optional 'opt-in' vs. Art. 19(1)(d) - de facto 'opt-out'
2.Excluded settlement agreements - Art. 16(2) and (3)
a.Art 16(2) - Exclusions by subject matter
b.Art 16(3) - Exclusions by means of arriving at a settlement agreement
3.Internationality of the settlement agreement - Art. 16(4) and (5)
a.Assessment of the internationality of the settlement agreement
b.Notion of 'place of business'
4.Written requirement - Art. 16(6)
Article 17 General Principles
1.Article 17(1)
2.Article 17(2)
Article 18 Requirements for Reliance on Settlement Agreements
2.List of requirements for reliance - Art. 18(1)
a.Settlement agreement signed by the parties - Art. 18(1)(a)
b.Evidence that the settlement agreement resulted from mediation - Art. 18(1)(b)
3.Signature requirement - Art. 18(2)
Contents note continued: 4.Language of the settlement agreement - Art. 18(3)
5.Further necessary documents and expeditious action - Art. 18(4) and (5)
Article 19 Grounds for Refusing to Grant Relief
2.Party proven grounds for refusing to grant relief - Article 19(1)
a.Incapacity of a party - Article 19(1)(a)
b.Settlement agreement null and void, inoperative or incapable of being performed - Article 19(1)(b)(i)
c.Settlement agreement not binding or not final - Article 19(1)(b)(ii)
d.Settlement agreement has been subsequently modified - Article 19(1)(b)(iii)
e.Obligations in the settlement agreement have been performed or are not clear and comprehensible - Article 19(1)(c)
f.Granting relief would be contrary to the terms of the settlement agreement - Article 19(1)(d)
g.Serious breach by the mediator - Article 19(1)(e)
h.Lack of impartiality or independence of the mediator - Article 19(1)(f)
Contents note continued: 3.Ex officio grounds for refusing to grant relief - Article 19(2)
Article 20 Parallel Applications or Claims 666 Conclusion
UNCITRAL Model Law on International Commercial Arbitration Comparison Charts
Introduction to the Comparison Charts
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)
Appendix 2 UNCITRAL Arbitration Rules (as revised in 2010)
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)
Appendix 4 UNCITRAL Conciliation Rules 1980 (Resolution 35/​52 Adopted by the General Assembly on December 4, 1980)
Appendix 5 Guide to Use and Enactment of the UNCITRAL Model Law on International Commercial Conciliation 2002.