UNCITRAL
United Nations Commission on International Trade Law
The Role of UNCITRAL
in International Arbitration
18 July 2012
Renaud Sorieul
The Secretary of UNCITRAL
Topics to be Covered
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Technical Assistance
CLOUT system
UNCITRAL MAL Digest
Recommendations to assist arbitral
institutions & other interested bodies
 Current work of Working Group II
UNCITRAL
United Nations Commission on International Trade Law
Work of UNCITRAL
Technical Assistance & Coordination
 Technical legislative assistance for
modernization of trade laws & commercial
practices
 Promotion of understanding of
international trade law texts
 Emphasize benefits of international trade
law texts to the expansion of international
trade
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL TAC: Examples 2011-2012
Comments by the Secretariat on
 Mediation laws of Montenegro, Serbia,
Bosnia Herzegovina and Albania for
modernization of the texts as part of a joint
project with the GIZ
 Draft arbitration law by Albania
 Draft law by the Union of Comoros on
recognition and enforcement of awards
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL TAC: Examples 2011-2012
Comments by the Secretariat on
Arbitration rules of arbitral institutions,
including:
 Bangladesh International Arbitration Centre
(BIAC)
 Cyprus Arbitration and Mediation Centre
(CAMC)
UNCITRAL
United Nations Commission on International Trade Law
Work of UNCITRAL
CLOUT
= Case Law on UNCITRAL Texts
A collection of court decisions & arbitral awards
interpreting UNCITRAL texts
► Case abstracts in the 6 UN languages
UNCITRAL
United Nations Commission on International Trade Law
CLOUT : Texts covered
¤ CISG
¤ Convention on Independent Guarantees & Standby
Letters of Credit
¤ Hamburg Rules
¤ Limitation Convention (1974)
¤ Limitation Convention, 1980 (amended text)
¤ Model Law on International Commercial Arbitration
(1985)
¤ Model Law on Cross-Border Insolvency (1997)
¤ Model Law on Electronic Commerce
¤ New York Convention
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL
United Nations Commission on International Trade Law
The Digest
History
►in 1988: CLOUT
Collection of case law
= full text of decisions/awards by courts & tribunals
+
Summary of each decision & award
UNCITRAL
United Nations Commission on International Trade Law
The Digest
Commission: How to contribute to
uniform interpretation of
UNCITRAL texts?
CLOUT:
interpretation of certain
provisions not uniform
UNCITRAL
United Nations Commission on International Trade Law
The Digest
The Commission*:
“It was suggested that the digest could be
merely a compilation of differences in the
interpretation of the Convention rather than a
guide. In support of that view it was stated that
if the digest to be drafted were to function as a
guide, it would necessarily have to indicate
preference for some views over others….the
digest should not criticize domestic case law. “
*Official Records of the General Assembly, Fifty-sixth Session, Supplement
No. 17 (A/56/17), paras. 393-395.
UNCITRAL
United Nations Commission on International Trade Law
The Digest – its purpose
1. Identifying trends in the interpretation of the
Model Law
2. Identify whether any divergences as result of:
Interpretation of the text
or
Law enacting the Model Law differs in substance from the
Model Law
UNCITRAL
United Nations Commission on International Trade Law
The Digest
The Digest
A tool for technical cooperation
Providing users with a means to better understand,
interpret and apply the enactments of the Model Law
UNCITRAL
United Nations Commission on International Trade Law
The Digest on the Model Law
 Launched on 9 June 2012
 Organised according to the
Chapters and Articles in the
Model Law
 Summary of case law for
each Article, highlighting
common views and reporting
any divergent approach
 Footnotes with live links to
cases
 725 cases from 37 States all
over the world, 232 pages
UNCITRAL
United Nations Commission on International Trade Law
The Digest
UNCITRAL
United Nations Commission on International Trade Law
Guide on the New York
Convention
• Currently being prepared by UNCITRAL (expected in
2013)
• Meanwhile, online platform on the New York
Convention Guide (www.newyorkconvention1958.org)
was launched on 2 July 2012
• The website constitutes a platform which reflects the
evolution of case law on the New York Convention
UNCITRAL
United Nations Commission on International Trade Law
New York Convention
Other current projects
*Monitoring implementation of the New York
Convention
 Decision of the Commission: Survey
 108 replies
 Published on the UNCITRAL website
*Project of a guide
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL
Recommendations to assist arbitral
institutions and other interested bodies with
regard to arbitration under the UNCITRAL
Arbitration Rules
1982 & 2012
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
Origin of the 1982 Recommendations
►Adoption of the 1976 UNCITRAL Arbitration
Rules
►Arbitration did not have the standing as it
has today
►Mandate to Secretariat:
provide information & assistance to arbitral
institutions and other relevant bodies in using
the Arbitration Rules
► Adoption in 1982
UNCITRAL
United Nations Commission on International Trade Law
History of the 2012 Recommendations
Revision of the 1976
Rules necessary to
“conform to current practices in
international trade
and
to meet changes … over the last 30 years
in arbitral practice”
GA resolution 65/22 (2010)
UNCITRAL
United Nations Commission on International Trade Law
History of the 2012 Recommendations
Origin of the 2012 Recommendations:
Need for new recommendations
Revised UNCITRAL Arbitration Rules
 Particular in view of extended role of
appointing authority
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
Purpose of the Recommendations
Promote the use of the Rules
Increase inclination of arbitral institutions
world-wide to act as appointing authority
under the Rules
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
Mandate by the Commission
Similar Recommendations should be issued on
the 2010 UNCITRAL Arbitration Rules
New recommendations to follow same pattern as
1982 Recommendations
2010: Commission mandate
UNCITRAL
United Nations Commission on International Trade Law
Secretariat
Recommendations to arbitral institutions
Secretariat
Consultation with
Arbitral Institutions
&
other bodies
Questionnaire on the use of the UNCITRAL Arbitration
Rules in cooperation with IFCA
UNCITRAL
United Nations Commission on International Trade Law
Consulted institutions
the American Arbitration Association (AAA), the Arbitration Court attached to the Commerce and Agricultural Chamber
of the Czech Republic, the Arbitration Court attached to the Hungarian Chamber of Commerce and Industry, the
Arbitration Institute of the Stockholm Chamber of Commerce (SCC), the Australian Centre for International Commercial
Arbitration (ACICA), the Belgian Center for Arbitration and Mediation (CEPANI), the Board of Arbitration of the Central
Chamber of Commerce of Finland, the Cairo Regional Centre for International Commercial Arbitration (CRCICA), the
Centro de Arbitraje y Conciliacíon Cámara de Comercio de Bogotá, the Centro de Arbitraje y Mediación – Cámara de
Comercio de Santiago (CAM Santiago), Chamber of Arbitration of the Milan Chamber of Commerce, China International
Economic and Trade Arbitration Commission (CIETAC), the Court of International Commercial Arbitration attached to
the Chamber of Commerce and Industry of Romania, the Court of Arbitration at the Polish Chamber of Commerce, the
Danish Institute of Arbitration (DIA), the Dubai International Arbitration Centre (DIAC), the Foreign Trade Court of
Arbitration of the Chamber of Commerce and Industry of Serbia, the GCC Commercial Arbitration Centre, German
Institution of Arbitration (DIS), the Hong Kong International Arbitration Centre (HKIAC), the Indian Council of
Arbitration, the International Arbitration Court of the International Chamber of Commerce (ICC), the International
Commercial Arbitration Court – Russian Federation Chamber of Commerce and Industry, the International Commercial
Arbitration Court at the Ukrainian Chamber of Commerce and Industry, the Japan Commercial Arbitration Association
(JCAA), the International Centre for Settlement of Investment Disputes (ICSID), the Korean Commercial Arbitration
Board, the Kuala Lumpur Regional Centre of Arbitration (KLRCA), the London Court of International Arbitration (LCIA),
the Madrid Court of Arbitration, the Permanent Court of Arbitration at The Hague (PCA), the Mediation and Arbitration
Center (CANACO), the Permanent Arbitration Court at the Croatian Chamber of Economy, the Permanent Arbitration
Court of the Mauritius Chamber of Commerce and Industry, the Qatar International Center for Conciliation and
Arbitration, the Singapore International Arbitration Centre (SIAC), the Swiss Arbitration Association (ASA), the Tunis
Center for Conciliation and Arbitration, the Venice Chamber of Arbitration, the Vienna International Arbitration Centre
(VIAC), the Waren-Verein der Hamburger Börse e.V.
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
Adoption
2012
Providing Guidance where
I.
II.
The UNCITRAL Rules are used as institutional rules
Arbitral institutions administer arbitration under the
UNCITRAL Rules or provide some administrative
services
III. An Arbitral institution acts as appointing authority
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
I. The UNCITRAL Rules are used as institutional rules
1.
Appeal to leave the Rules unchanged
2.
Presentation of modifications needed to the
UNCITRAL Rules to be used as institutional rules
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
II. Arbitral institutions administering UNCITRAL arbitrations
or providing some services
1.
Administrative procedures in conformity with the
Rules
2.
Offer of administrative services
3.
Administrative fee schedule
4.
Draft model clauses
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
III. Arbitral institution acting as appointing authority
Part III: Guidance on the role of the appointing authority
under the 2010 Rules based on the travaux
préparatoires
UNCITRAL
United Nations Commission on International Trade Law
Recommendations to arbitral institutions
III. Arbitral institution* acting as appointing authority
*or person
6 main functions for the appointing authority:
(a)
(b)
(c)
(d)
(e)
Appointment of arbitrators
Decision on challenge of arbitrators
Replacement of arbitrators
Assistance in fixing the fees of arbitrators
Participation in the review mechanism on the costs
and fees and
(f) Advisory comments regarding deposits.
UNCITRAL
United Nations Commission on International Trade Law
Revision of the
UNCITRAL Arbitration Rules
1976 Rules:
Revision:
Recognized as very successful text
Used in variety of circumstances
Covering broad range of disputes
In all parts of the world
Keep flexibility, spirit and style
Inclusion of investment arbitration?
Keep generic applicability of Rules
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL current work on transparency
in treaty-based investor-State arbitration
Mandate by the Commission:
prepare a legal standard
►Too early for decision on form and scope
► Limited to preparation of rules of uniform
law on transparency in treaty- based
investor-State arbitration
►During that work, identify any other topic
with respect to treat-based investor-State
arbitration for possible future work
UNCITRAL
United Nations Commission on International Trade Law
Work on transparency in treaty-based
investor-State arbitration of WG II
VARIOUS POSSIBLE FORMS:
- Guidelines
- Model Clauses
- Stand-alone rules
whether complementing the UNCITRAL
Arbitration Rules, or applying irrespective of
the set of rules chosen by the parties.
UNCITRAL
United Nations Commission on International Trade Law
UNCITRAL current work on
transparency in treaty-based
investor-State arbitration
Form
The Working Group: agreement to
draft the legal standard on
transparency on the basis of
rules.
UNCITRAL
United Nations Commission on International Trade Law
Work on transparency in treaty-based investorState arbitration of WG II
Form, after agreement on rules:
Open Question: Stand-alone or annex
Consequences
UNCITRAL
United Nations Commission on International Trade Law
Work on transparency in treatybased investor-State arbitration
of WG II
Applicability of the rules to existing treaties
- Recommendation
- Convention
- Interpretative Declaration
- Treaty Amendment or Modification
UNCITRAL
United Nations Commission on International Trade Law
Work on transparency in treaty-based
investor-State arbitration of WG II
Future work:
Many possibilities
UNCITRAL
United Nations Commission on International Trade Law
Future work
Revision of the UNCITRAL Notes on
Organizing Arbitral Proceedings
Designed to assist arbitrators
Annotated list
for example:
*Arbitration rules
*Language of proceedings
*Place of arbitration
- Non-binding text
UNCITRAL
United Nations Commission on International Trade Law
Work on transparency in treatybased investor-State arbitration
of WG II
Interested in more:
Working papers, UNCITRAL texts,
available for free download:
www.uncitral.org
UNCITRAL
United Nations Commission on International Trade Law
The End
Thank you
UNCITRAL
United Nations Commission on International Trade Law
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