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UNCITRAL Notes on Organizing Arbitral Proceedings

Preface

Introduction

Purpose of the Notes

Non-binding character of the Notes

Discretion in conduct of proceedings and usefulness of timely decisions on organizing proceedings

Multi-party arbitration

Process of making decisions on organizing arbitral proceedings

List of matters for possible consideration in organizing arbitral proceedings

List of Matters for Possible Consideration in Organizing Arbitral Proceedings - Annotations 

1. Set of arbitration rules

If the parties have not agreed on a set of arbitration rules, would they wish to do so

2. Language of proceedings

(a) Possible need for translation of documents, in full or in part

(b) Possible need for interpretation of oral presentations

(c) Cost of translation and interpretation

3. Place of arbitration

(a) Determination of the place of arbitration, if not already agreed upon by the parties

(b) Possibility of meetings outside the place of arbitration

4. Administrative services that may be needed for the arbitral tribunal to carry out its functions

5. Deposits in respect of costs

(a) Amount to be deposited

(b) Management of deposits

(c) Supplementary deposits

6. Confidentiality of information relating to the arbitration; possible agreement thereon

7. Routing of written communications among the parties and the arbitrators

8. Telefax and other electronic means of sending documents

(a) Telefax

(b) Other electronic means (e. g. electronic mail and magnetic or optical disk)

9. Arrangements for the exchange of written submissions

(a) Scheduling of written submissions

(b) Consecutive or simultaneous submissions

10. Practical details concerning written submissions and evidence (e. g. method of submission, copies, numbering, references)

11. Defining points at issue; order of deciding issues; defining relief or remedy sought

(a) Should a list of points at issue be prepared

(b) In which order should the points at issue be decided

(c) Is there a need to define more precisely the relief or remedy sought

12. Possible settlement negotiations and their effect on scheduling proceedings

13. Documentary evidence

(a) Time-limits for submission of documentary evidence intended to be submitted by the parties; consequences of late submission

(b) Whether the arbitral tribunal intends to require a party to produce documentary evidence

(c) Should assertions about the origin and receipt of documents and about the correctness of photocopies be assumed as accurate

(d) Are the parties willing to submit jointly a single set of documentary evidence

(e) Should voluminous and complicated documentary evidence be presented through summaries, tabulations, charts, extracts or samples

14. Physical evidence other than documents

(a) What arrangements should be made if physical evidence will be submitted

(b) What arrangements should be made if an on-site inspection is necessary

15. Witnesses

(a) Advance notice about a witness whom a party intends to present; written witnesses' statements

(b) Manner of taking oral evidence of witnesses

(i) Order in which questions will be asked and the manner in which the hearing of witnesses will be conducted

(ii) Whether oral testimony will be given under oath or affirmation and, if so, in what form an oath or affirmation should be made

(iii) May witnesses be in the hearing room when they are not testifying

(c) The order in which the witnesses will be called

(d) Interviewing witnesses prior to their appearance at a hearing

(e) Hearing representatives of a party

16. Experts and expert witnesses

(a) Expert appointed by the arbitral tribunal

(i) The expert's terms of reference

(ii) The opportunity of the parties to comment on the expert's report, including by presenting expert testimony

(b) Expert opinion presented by a party (expert witness)

17. Hearings

(a) Decision whether to hold hearings

(b) Whether one period of hearings should be held or separate periods of hearings

(c) Setting dates for hearings

(d) Whether there should be a limit on the aggregate amount of time each party will have for oral arguments and questioning witnesses

(e) The order in which the parties will present their arguments and evidence

(f) Length of hearings

(g) Arrangements for a record of the hearings

(h) Whether and when the parties are permitted to submit notes summarizing their oral arguments

18. Multi-party arbitration

19. Possible requirements concerning filing or delivering the award

Who should take steps to fulfil any requirement

Endnotes

Endnotes

Endnotes

Metadata

SiSU Metadata, document information

Manifest

SiSU Manifest, alternative outputs etc.

UNCITRAL Notes on Organizing Arbitral Proceedings

copy @ Lex Mercatoria

Endnotes

 1. Report of the United Nations Commission on International Trade Law on the work of its twenty- sixth session, Official Records of the General Assembly, Forty-eighth Session, Supplement No. 17 (A/48/17) (reproduced in UNCITRAL Yearbook, vol. XXIV: 1993, part one), paras. 291-296.

 2. The draft Guidelines have been published as document A/CN.9/396/Add. 1 (reproduced in UNCITRAL Yearbook, vol. XXV: 1994, part two, IV); the considerations of the Commission are reflected in the report of the United Nations Commission on International Trade Law on the work of its twenty-seventh session, Official Records of the General Assembly, Forty-ninth Session Supplement No. 17 (A/49/17) (reproduced in UNCITRAL Yearbook, Vol. XXV: 1994, part two, IV), paras. 111-195.

 3. The proceedings of the Congress are published in Planning Efficient Arbitration Proceedings/The Law Applicable in International Arbitration, ICCA Congress Series No. 7, Kluwer Law International, The Hague, 1996.

 4. The draft Notes have been published as document A/CN. 9/410 (and will be reproduced in UNCITRAL Yearbook, vol. XXVI: 1995, part two, III).

 5. Report of the United Nations Commission on International Trade Law on the work of its twenty- eighth session, Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17) (and will be reproduced in UNCITRAL Yearbook, vol. XXVI: 1995, part one), paras. 314-373.

 6. The revised draft Notes have been published as document A/CN. 9/423 (and will be reproduced in UNCITRAL Yearbook, vol. XXVII: 1996, part two).

 7. Report of the United Nations Commission on International Trade Law on the work of its twenty-ninth session, Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17) (and will be reproduced in UNCITRAL Yearbook, vol. XXVII: 1996, part one), paras. 11 to 54.

 8. A prominent example of such rules are the UNCITRAL Arbitration Rules, which provide in article 15(1): "Subject to these Rules, the arbitral tribunal may conduct the arbitration in such manner as it considers appropriate, provided that the parties are treated with equality and that at any stage of the proceedings each party is given a full opportunity of presenting his case. "


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