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Handbook of UNCITRAL Arbitration

Handbook of UNCITRAL Arbitration
Commentary, Precedents & Models for UNCITRAL-based Arbitration Rules
4th Edition
Practice Area:  Arbitration, Litigation
ISBN:  9780414100213
Published by:  Sweet & Maxwell
Publication Date:  26 Apr 2023
Subscription Information:  Non-Subscribable Product
Format:  Hardback
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"The Handbook is a comprehensive and in-depth analysis of UNCITRAL arbitration. As with the prior editions, this fourth edition of the Handbook of UNCITRAL Arbitration will provide an invaluable contribution to UNCITRAL arbitration."

Anna Joubin-Bret
Secretary, UNCITRAL
Director, International Trade Law Division United Nations

The Handbook of UNCITRAL Arbitration presents a practical, rule by rule guide to the UNCITRAL Arbitration Rules, offering in-depth commentary, analysis and support materials as used in both commercial and investment arbitration. It reviews each stage of the UNCITRAL arbitration process, from the arbitration clause, through the arbitral proceedings, to the award.

This highly anticipated fourth edition deals with the Rules as modified with the addition of the UNCITRAL Expedited Arbitration Rules that came into effect in September 2021.

International arbitration is evolving rapidly, and the Handbook provides an up-to-date analysis of key aspects of arbitration law applicable to UNCITRAL arbitration wherever conducted. It deals with issues such as:

  • The procedural issues for which a majority is required under art.33(1) of the Rules and those which the presiding arbitrator is entitled to decide on his or her own in the absence of a majority under art.33(2) of the Rules.
  • The obligations of collegiality within the Tribunal with respect to procedural decisions and awards.
  • The conduct of virtual procedural and substantive hearings, including case management conferences.
  • The due process issues relating to admission – or exclusion – of evidence and amendments to claims.
  • The role of the Appointing Authorities and in particular the role of the LCIA, ICC, SIAC and the Permanent Court of Arbitration.
  • The law applicable to the arbitration agreement. With a discussion of the varying and conflicting approaches reflected in Enka Insaat Ve Sanayi AS v. OOO Insurance Company Chubb & Ors [2020] UKSC 38 and Kabab-Ji SAL v Kout Food Group UK Supreme Court ([2021] UKSC 48 in the UK and Kabab-Ji in France (French Supreme Court Civ. 1iere of 28 September 2022)
  • The issue of joinder of non-signatories to an arbitration with particular reference to Dallah and Kabab-Ji (in the UK and France)
  • Whether the courts adopt a deferential or non-deferential approach to reviewing jurisdiction with reference in particular to the decisions in the UK and the USA.
  • Whether and how to challenge and arbitrator and the most recent challenge decisions, with an updated table of over 100 of such decisions.
  • The updated IBA Rules on the Taking of Evidence in International Arbitration as amended in 2020.
  • The US Supreme Court decision in ZF Automotive US, Inc. v. Luxshare, Ltd., 142 S.Ct. 2078 (2022) limiting the application of 28 USC §1782(a) regarding discovery in the United States in support of international arbitration.
  • The most recent approaches to interim measures, including security for costs.

The Handbook of UNCITRAL Arbitration is based on the author’s everyday practical experience in hundreds of arbitrations. It deals with the latest trends in international arbitration relating to issues such as the conduct of disclosure, the role of experts, the conduct of virtual hearings and other attempts to render international arbitration more expeditious and cost-effective.

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CONTENTS

Part I - Commentary on the UNCITRAL Rules of Arbitration
INTRODUCTION
Introductory remarks
A. Structure of the Handbook 
  • Part I: Commentary on the Rules and the Expedited     Arbitration Rules
  • Part II: Commentary on the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration/Convention on Transparency in Treaty-based Investor-State Arbitration
  • Part III: Supporting material 
B. Background to the Rules
  • Context of the Rules 
C.International ad hoc arbitration
  • Ad hoc and institutional arbitration 
  • Appointing authorities 
D. Current trends in international arbitration
E.  Further issues to be addressed

INTRODUCTORY RULES
Introductory remarks for Section I: Introductory Rules
  • Article 1 Scope of Application
  • Article 2 Notice and Calculation of Periods of Time
  • Article 3 Notice of Arbitration
  • Article 4 Response to the Notice of Arbitration
  • Article 5 Representation and Assistance
  • Article 6 Designating and Appointing Authorities
COMPOSITION OF THE ARBITRAL TRIBUNAL
Introductory remarks for Section II
  • Article 7 Number of Arbitrators
  • Article 8 Appointment of arbitrators (articles 8 to 10)
  • Disclosures by and Challenge of Arbitrators (Articles 11 to 13)
  • Article 14 Replacement of an Arbitrator
  • Article 15 Repetition of hearings in the event of the replacement of an arbitrator
  • Article 16 Exclusion of liability
ARBITRAL PROCEEDINGS
Introductory remarks with respect to Section III
  • Article 17 General Provisions
  • Article 18 Place of Arbitration
  • Article 19 Language
  • Article 20 Statement of Claim
  • Article 21 Statement of Defence
  • Article 22 Amendments to the Claim or Defence
  • Article 23 Pleas as to the Jurisdiction of the Arbitral Tribunal
  • Article 24 Further Written Statements
  • Article 25 Periods of Time
  • Article 26 Interim Measures
  • Article 27 Evidence
  • Article 28 Hearings
  • Article 29 Experts Appointed by the Arbitral Tribunal
  • Article 30 Default
  • Article 31 Closure of Hearings
  • Article 32 Waiver of Right to Object
THE AWARD
Introductory remarks to Section IV
  • Article 33 Decisions
  • Article 34 Form and Effect of the Award
  • Article 35 Applicable Law, Amiable Compositeur
  • Article 36 Settlement or Other Grounds for Termination
  • Article 37 Interpretation of the Award
  • Article 38 Correction of the Award
  • Article 39 Additional Award
  • Article 40 Definition of Costs
  • Article 41 Fees and Expenses of Arbitrators
  • Article 42 Allocation of Costs
  • Article 43 Deposit of Costs
Part II - UNCITRAL Rules on Transparency in Treaty-Based Investor-State Arbitration
Introductory remarks 
  • Article 1(4) of the UNCITRAL Arbitration Rules 
  • Rules on Transparency 
  • The Convention on Transparency
Part III - Appendices and Supporting Material

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