GENERAL ASSEMBLY RESOLUTION
Section I. Introductory rules
Scope of application (article 1)
and model arbitration clause
Notice, calculation of periods of time
Notice of arbitration (article
Representation and assistance (article 4)
Composition of the arbitral tribunal Number of
arbitrators (article 5)
Appointment of arbitrators
(articles 6 to 8)
Challenge of arbitrators (articles 9 to 12)
Replacement of an arbitrator (article 13)
Repetition of hearings in the event of the
replacement of an arbitrator (article 14)
Arbitral proceedings General provisions
Place of arbitration (article
Language (article 17)
Statement of claim
Statement of defence (article
Amendments to the claim or defence (article 20)
Pleas as to the jurisdiction of the arbitral tribunal (article 21)
Further written statements (article 22)
Periods of time (article
Evidence and hearings (articles 24 and 25)
Interim measures of protection (article 26)
Default (article 28)
Closure of hearings (article 29)
Waiver of rules
The award Decisions (article
Form and effect of the award (article 32)
Applicable law, amiable compositeur (article 33)
Settlement or other grounds for termination (article 34)
Interpretation of the award (article 35)
of the award (article 36)
Additional award (article 37)
Costs (articles 38 to 40)
Deposit of costs (article 41)
ADOPTED BY THE GENERAL ASSEMBLY ON 15 DECEMBER 1976
31/98. Arbitration Rules of the
United Nations Commission on International Trade Law
The General Assembly,
Recognizing the value
of arbitration as a method of settling disputes arising in the context of
international commercial relations,
Being convinced that
the establishment of rules for ad hoc arbitration that are acceptable in
countries with different legal, social and economic systems would significantly
contribute to the development of harmonious international economic relations,
Bearing in mind that
the Arbitration Rules of the United Nations Commission on International Trade
Law have been prepared after extensive consultation with arbitral institutions
and centres of international commercial arbitration,
Noting that the
Arbitration Rules were adopted by the United Nations Commission on
International Trade Law at its ninth session 1/ after due deliberation,
1. Recommends the use
of the Arbitration Rules of the United Nations Commission on International
Trade Law in the settlement of disputes arising in the context of international
commercial relations, particularly by reference to the Arbitration Rules in
2. Requests the
Secretary-General to arrange for the widest possible distribution of the
Records of the General Assembly, Thirty-first Session, Supplement No. 17
(A/31/17), chap. V, sect. C.
Section I. Introductory rules
SCOPE OF APPLICATION
1. 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.
2. 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.
*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
(c) The place of arbitration shall be ... (town or
(d) The language(s) to be used in the arbitral
proceedings shall be ...
NOTICE, CALCULATION OF PERIODS OF
1. 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.
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.
NOTICE OF ARBITRATION
1. The party initiating recourse to
arbitration (hereinafter called the "claimant") shall give to the other party
(hereinafter called the "respondent") a notice of arbitration.
2. Arbitral proceedings shall be
deemed to commence on the date on which the notice of arbitration is received
by the respondent.
3. The notice of arbitration shall
include the following:
(a) A demand that the dispute be referred
(b) The names and addresses
of the parties;
(c) A reference to the
arbitration clause or the separate arbitration agreement that is invoked;
(d) A reference to the
contract out of or in relation to which the dispute arises;
(e) The general nature of
the claim and an indication of the amount involved, if any;
(f) The relief or remedy
(g) A proposal as to the
number of arbitrators (i.e. one or three), if the parties have not previously
4. The notice of arbitration may also include:
(a) The proposals for the appointments of a
sole arbitrator and an appointing authority referred to in article 6, paragraph
(b) The notification of the
appointment of an arbitrator referred to in article 7;
(c) The statement of claim
referred to in article 18.
REPRESENTATION AND ASSISTANCE
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
Section II. Composition of the arbitral tribunal
NUMBER OF ARBITRATORS
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.
APPOINTMENT OF ARBITRATORS (Articles
6 to 8)
1. If a sole arbitrator is to be
appointed, either party may propose to the other:
(a) The names of one or more persons, one of whom
would serve as the sole arbitrator; and
(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.
2. 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.
3. 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:
(a) At the request of one of the parties
the appointing authority shall communicate to both parties an identical list
containing at least three names;
(b) 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;
(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;
(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
4. 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.
1. 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.
2. 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:
(a) The first party may request the
appointing authority previously designated by the parties to appoint the second
(b) 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
3. 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.
1. 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.
2. 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
CHALLENGE OF ARBITRATORS (Articles 9
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.
1. Any arbitrator may be challenged
if circumstances exist that give rise to justifiable doubts as to the
arbitrators impartiality or independence.
2. A party may challenge the
arbitrator appointed by him only for reasons of which he becomes aware after
the appointment has been made.
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.
2. 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.
3. 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.
1. 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:
(a) When the initial appointment was made
by an appointing authority, by that authority;
(b) When the initial
appointment was not made by an appointing authority, but an appointing
authority has been previously designated, by that authority;
(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
2. 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.
REPLACEMENT OF ON ARBITRATOR
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.
2. 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.
REPETITION OF HEARINGS IN THE EVENT
OF THE REPLACEMENT OF AN ARBITRATOR
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.
Section III. Arbitral proceedings
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.
2. If either party so requests at
any stage of the proceedings, the arbitral tribunal shall hold hearings for the
presentation of evidence by witnesses, including expert witnesses, or for oral
argument. In the absence of such a request, the arbitral tribunal shall decide
whether to hold such hearings or whether the proceedings shall be conducted on
the basis of documents and other materials.
3. All documents or information
supplied to the arbitral tribunal by one party shall at the same time be
communicated by that party to the other party.
PLACE OF ARBITRATION
1. Unless the parties have agreed
upon the place where the arbitration is to be held, such place shall be
determined by the arbitral tribunal, having regard to the circumstances of the
2. The arbitral tribunal may
determine the locale of the arbitration within the country agreed upon by the
parties. It may hear witnesses and hold meetings for consultation among its
members at any place it deems appropriate, having regard to the circumstances
of the arbitration.
3. The arbitral tribunal may meet at
any place it deems appropriate for the inspection of goods, other property or
documents. The parties shall be given sufficient notice to enable them to be
present at such inspection.
4. The award shall be made at the
place of arbitration.
1. Subject to an agreement by the
parties, the arbitral tribunal shall, promptly after its appointment, determine
the language or languages to be used in the proceedings. This determination
shall apply to the statement of claim, the statement of defence, and any
further written statements and, if oral hearings take place, to the language or
languages to be used in such hearings.
2. The arbitral tribunal may order
that any documents annexed to the statement of claim or statement of defence,
and any supplementary documents or exhibits submitted in the course of the
proceedings, delivered in their original language, shall be accompanied by a
translation into the language or languages agreed upon by the parties or
determined by the arbitral tribunal.
STATEMENT OF CLAIM
1. Unless the statement of claim was
contained in the notice of arbitration, within a period of time to be
determined by the arbitral tribunal, the claimant shall communicate his
statement of claim in writing to the respondent and to each of the arbitrators.
A copy of the contract, and of the arbitration agreement if not contained in
the contract, shall be annexed thereto.
2. The statement of claim shall
include the following particulars:
(a) The names and addresses of the parties;
(b) A statement of the facts supporting the
(c) The points at issue;
(d) The relief or remedy sought.
The claimant may annex to his statement of claim all
documents he deems relevant or may add a reference to the documents or other
evidence he will submit.
STATEMENT OF DEFENCE
1. Within a period of time to be
determined by the arbitral tribunal, the respondent shall communicate his
statement of defence in writing to the claimant and to each of the arbitrators.
2. The statement of defence shall
reply to the particulars (b), (c) and (d) of the statement
of claim (article 18, para. 2). The respondent may annex to his statement the
documents on which he relies for his defence or may add a reference to the
documents or other evidence he will submit.
3. In his statement of defence, or
at a later stage in the arbitral proceedings if the arbitral tribunal decides
that the delay was justified under the circumstances, the respondent may make a
counter-claim arising out of the same contract or rely on a claim arising out
of the same contract for the purpose of a set-off.
4. The provisions of article 18,
paragraph 2, shall apply to a counter-claim and a claim relied on for the
purpose of a set-off.
AMENDMENTS TO THE CLAIM OR
During the course of the arbitral
proceedings either party may amend or supplement his claim or defence unless
the arbitral tribunal considers it inappropriate to allow such amendment having
regard to the delay in making it or prejudice to the other party or any other
circumstances. However, a claim may not be amended in such a manner that the
amended claim falls outside the scope of the arbitration clause or separate
PLEAS AS TO THE JURISDICTION OF THE
1. The arbitral tribunal shall have
the power to rule on objections that it has no jurisdiction, including any
objections with respect to the existence or validity of the arbitration clause
or of the separate arbitration agreement.
2. The arbitral tribunal shall have
the power to determine the existence or the validity of the contract of which
an arbitration clause forms a part. For the purposes of article 21, an
arbitration clause which forms part of a contract and which provides for
arbitration under these Rules shall be treated as an agreement independent of
the other terms of the contract. A decision by the arbitral tribunal that the
contract is null and void shall not entail ipso jure the invalidity of
the arbitration clause.
3. A plea that the arbitral tribunal
does not have jurisdiction shall be raised not later than in the statement of
defence or, with respect to a counter-claim, in the reply to the counter-claim.
4. In general, the arbitral tribunal
should rule on a plea concerning its jurisdiction as a preliminary question.
However, the arbitral tribunal may proceed with the arbitration and rule on
such a plea in their final award.
FURTHER WRITTEN STATEMENTS
The arbitral tribunal shall decide
which further written statements, in addition to the statement of claim and the
statement of defence, shall be required from the parties or may be presented by
them and shall fix the periods of time for communicating such statements.
PERIODS OF TIME
The periods of time fixed by the
arbitral tribunal for the communication of written statements (including the
statement of claim and statement of defence) should not exceed forty-five days.
However, the arbitral tribunal may extend the time-limits if it concludes that
an extension is justified.
EVIDENCE AND HEARINGS (ARTICLES 24
1. Each party shall have the burden
of proving the facts relied on to support his claim or defence.
2. The arbitral tribunal may, if it
considers it appropriate, require a party to deliver to the tribunal and to the
other party, within such a period of time as the arbitral tribunal shall
decide, a summary of the documents and other evidence which that party intends
to present in support of the facts in issue set out in his statement of claim
or statement of defence.
3. At any time during the arbitral
proceedings the arbitral tribunal may require the parties to produce documents,
exhibits or other evidence within such a period of time as the tribunal shall
1. In the event of an oral hearing,
the arbitral tribunal shall give the parties adequate advance notice of the
date, time and place thereof.
2. If witnesses are to be heard, at
least fifteen days before the hearing each party shall communicate to the
arbitral tribunal and to the other party the names and addresses of the
witnesses he intends to present, the subject upon and the languages in which
such witnesses will give their testimony.
3. The arbitral tribunal shall make
arrangements for the translation of oral statements made at a hearing and for a
record of the hearing if either is deemed necessary by the tribunal under the
circumstances of the case, or if the parties have agreed thereto and have
communicated such agreement to the tribunal at least fifteen days before the
4. Hearings shall be held in
camera unless the parties agree otherwise. The arbitral tribunal may
require the retirement of any witness or witnesses during the testimony of
other witnesses. The arbitral tribunal is free to determine the manner in which
witnesses are examined.
5. Evidence of witnesses may also be
presented in the form of written statements signed by them.
6. The arbitral tribunal shall
determine the admissibility, relevance, materiality and weight of the evidence
INTERIM MEASURES OF
1. At the request of either party,
the arbitral tribunal may take any interim measures it deems necessary in
respect of the subject-matter of the dispute, including measures for the
conservation of the goods forming the subject-matter in dispute, such as
ordering their deposit with a third person or the sale of perishable goods.
2. Such interim measures may be
established in the form of an interim award. The arbitral tribunal shall be
entitled to require security for the costs of such measures.
3. A request for interim measures
addressed by any party to a judicial authority shall not be deemed incompatible
with the agreement to arbitrate, or as a waiver of that agreement.
1. The arbitral tribunal may appoint
one or more experts to report to it, in writing, on specific issues to be
determined by the tribunal. A copy of the expert's terms of reference,
established by the arbitral tribunal, shall be communicated to the parties.
2. The parties shall give the expert
any relevant information or produce for his inspection any relevant documents
or goods that he may require of them. Any dispute between a party and such
expert as to the relevance of the required information or production shall be
referred to the arbitral tribunal for decision.
3. Upon receipt of the expert's
report, the arbitral tribunal shall communicate a copy of the report to the
parties who shall be given the opportunity to express, in writing, their
opinion on the report. A party shall be entitled to examine any document on
which the expert has relied in his report.
4. At the request of either party
the expert, after delivery of the report, may be heard at a hearing where the
parties shall have the opportunity to be present and to interrogate the expert.
At this hearing either party may present expert witnesses in order to testify
on the points at issue. The provisions of article 25 shall be applicable to
1. If, within the period of time
fixed by the arbitral tribunal, the claimant has failed to communicate his
claim without showing sufficient cause for such failure, the arbitral tribunal
shall issue an order for the termination of the arbitral proceedings. If,
within the period of time fixed by the arbitral tribunal, the respondent has
failed to communicate his statement of defence without showing sufficient cause
for such failure, the arbitral tribunal shall order that the proceedings
2. If one of the parties, duly
notified under these Rules, fails to appear at a hearing, without showing
sufficient cause for such failure, the arbitral tribunal may proceed with the
3. If one of the parties, duly
invited to produce documentary evidence, fails to do so within the established
period of time, without showing sufficient cause for such failure, the arbitral
tribunal may make the award on the evidence before it.
CLOSURE OF HEARINGS
1. The arbitral tribunal may inquire
of the parties if they have any further proof to offer or witnesses to be heard
or submissions to make and, if there are none, it may declare the hearings
2. The arbitral tribunal may, if it
considers it necessary owing to exceptional circumstances, decide, on its own
motion or upon application of a party, to reopen the hearings at any time
before the award is made.
WAIVER OF RULES
A party who knows that any provision
of, or requirement under, these Rules has not been complied with and yet
proceeds with the arbitration without promptly stating his objection to such
non-compliance, shall be deemed to have waived his right to object.
Section IV. The award
1. When there are three arbitrators,
any award or other decision of the arbitral tribunal shall be made by a
majority of the arbitrators.
2. In the case of questions of
procedure, when there is no majority or when the arbitral tribunal so
authorizes, the presiding arbitrator may decide on his own, subject to
revision, if any, by the arbitral tribunal.
FORM AND EFFECT OF THE AWARD
1. In addition to making a final
award, the arbitral tribunal shall be entitled to make interim, interlocutory,
or partial awards.
2. The award shall be made in
writing and shall be final and binding on the parties. The parties undertake to
carry out the award without delay.
3. The arbitral tribunal shall state
the reasons upon which the award is based, unless the parties have agreed that
no reasons are to be given.
4. An award shall be signed by the
arbitrators and it shall contain the date on which and the place where the
award was made. Where there are three arbitrators and one of them fails to
sign, the award shall state the reason for the absence of the signature.
5. The award may be made public only
with the consent of both parties.
6. Copies of the award signed by the
arbitrators shall be communicated to the parties by the arbitral tribunal.
7. If the arbitration law of the
country where the award is made requires that the award be filed or registered
by the arbitral tribunal, the tribunal shall comply with this requirement
within the period of time required by law.
APPLICABLE LAW, AMIABLE COMPOSITEUR
1. The arbitral tribunal shall apply
the law designated by the parties as applicable to the substance of the
dispute. Failing such designation by the parties, the arbitral tribunal shall
apply the law determined by the conflict of laws rules which it considers
2. The arbitral tribunal shall
decide as amiable compositeur or ex aequo et bono only if the
parties have expressly authorized the arbitral tribunal to do so and if the law
applicable to the arbitral procedure permits such arbitration.
3. In all cases, the arbitral
tribunal shall decide in accordance with the terms of the contract and shall
take into account the usages of the trade applicable to the transaction.
SETTLEMENT OR OTHER GROUNDS FOR
1. If, before the award is made, the
parties agree on a settlement of the dispute, the arbitral tribunal shall
either issue an order for the termination of the arbitral proceedings or, if
requested by both parties and accepted by the tribunal, record the settlement
in the form of an arbitral award on agreed terms. The arbitral tribunal is not
obliged to give reasons for such an award.
2. If, before the award is made, the
continuation of the arbitral proceedings becomes unnecessary or impossible for
any reason not mentioned in paragraph 1, the arbitral tribunal shall inform the
parties of its intention to issue an order for the termination of the
proceedings. The arbitral tribunal shall have the power to issue such an order
unless a party raises justifiable grounds for objection.
3. Copies of the order for
termination of the arbitral proceedings or of the arbitral award on agreed
terms, signed by the arbitrators, shall be communicated by the arbitral
tribunal to the parties. Where an arbitral award on agreed terms is made, the
provisions of article 32, paragraphs 2 and 4 to 7, shall apply.
INTERPRETATION OF THE AWARD
1. Within thirty days after the
receipt of the award, either party, with notice to the other party, may request
that the arbitral tribunal give an interpretation of the award.
2. The interpretation shall be given
in writing within forty-five days after the receipt of the request. The
interpretation shall form part of the award and the provisions of article 32,
paragraphs 2 to 7, shall apply.
CORRECTION OF THE AWARD
1. Within thirty days after the
receipt of the award, either party, with notice to the other party, may request
the arbitral tribunal to correct in the award any errors in computation, any
clerical or typographical errors, or any errors of similar nature. The arbitral
tribunal may within thirty days after the communication of the award make such
corrections on its own initiative.
2. Such corrections shall be in
writing, and the provisions of article 32, paragraphs 2 to 7, shall apply.
1. Within thirty days after the
receipt of the award, either party, with notice to the other party, may request
the arbitral tribunal to make an additional award as to claims presented in the
arbitral proceedings but omitted from the award.
2. If the arbitral tribunal
considers the request for an additional award to be justified and considers
that the omission can be rectified without any further hearings or evidence, it
shall complete its award within sixty days after the receipt of the request.
3. When an additional award is made,
the provisions of article 32, paragraphs 2 to 7, shall apply.
COSTS (Articles 38 to 40)
The arbitral tribunal shall fix the
costs of arbitration in its award. The term "costs" includes only:
(a) The fees of the arbitral tribunal to be
stated separately as to each arbitrator and to be fixed by the tribunal itself
in accordance with article 39;
(b) The travel and other
expenses incurred by the arbitrators;
(c) The costs of expert
advice and of other assistance required by the arbitral tribunal;
(d) The travel and other
expenses of witnesses to the extent such expenses are approved by the arbitral
(e) The costs for legal
representation and assistance of the successful party if such costs were
claimed during the arbitral proceedings, and only to the extent that the
arbitral tribunal determines that the amount of such costs is reasonable;
(f) Any fees and expenses
of the appointing authority as well as the expenses of the Secretary-General of
the Permanent Court of Arbitration at The Hague.
1. The fees of the arbitral tribunal
shall be reasonable in amount, taking into account the amount in dispute, the
complexity of the subject-matter, the time spent by the arbitrators and any
other relevant circumstances of the case.
2. If an appointing authority has
been agreed upon by the parties or designated by the Secretary-General of the
Permanent Court of Arbitration at The Hague, and if that authority has issued a
schedule of fees for arbitrators in international cases which it administers,
the arbitral tribunal in fixing its fees shall take that schedule of fees into
account to the extent that it considers appropriate in the circumstances of the
3. If such appointing authority has
not issued a schedule of fees for arbitrators in international cases, any party
may at any time request the appointing authority to furnish a statement setting
forth the basis for establishing fees which is customarily followed in
international cases in which the authority appoints arbitrators. If the
appointing authority consents to provide such a statement, the arbitral
tribunal in fixing its fees shall take such information into account to the
extent that it considers appropriate in the circumstances of the case.
4. In cases referred to in
paragraphs 2 and 3, when a party so requests and the appointing authority
consents to perform the function, the arbitral tribunal shall fix its fees only
after consultation with the appointing authority which may make any comment it
deems appropriate to the arbitral tribunal concerning the fees.
1. Except as provided in paragraph
2, the costs of arbitration shall in principle be borne by the unsuccessful
party. However, the arbitral tribunal may apportion each of such costs between
the parties if it determines that apportionment is reasonable, taking into
account the circumstances of the case.
2. With respect to the costs of
legal representation and assistance referred to in article 38, paragraph
(e), the arbitral tribunal, taking into account the circumstances of the
case, shall be free to determine which party shall bear such costs or may
apportion such costs between the parties if it determines that apportionment is
3. When the arbitral tribunal issues
an order for the termination of the arbitral proceedings or makes an award on
agreed terms, it shall fix the costs of arbitration referred to in article 38
and article 39, paragraph 1, in the text of that order or award.
4. No additional fees may be charged
by an arbitral tribunal for interpretation or correction or completion of its
award under articles 35 to 37.
DEPOSIT OF COSTS
1. The arbitral tribunal, on its
establishment, may request each party to deposit an equal amount as an advance
for the costs referred to in article 38, paragraphs (a), (b) and (c).
2. During the course of the arbitral
proceedings the arbitral tribunal may request supplementary deposits from the
3. If an appointing authority has
been agreed upon by the parties or designated by the Secretary-General of the
Permanent Court of Arbitration at The Hague, and when a party so requests and
the appointing authority consents to perform the function, the arbitral
tribunal shall fix the amounts of any deposits or supplementary deposits only
after consultation with the appointing authority which may make any comments to
the arbitral tribunal which it deems appropriate concerning the amount of such
deposits and supplementary deposits.
4. If the required deposits are not
paid in full within thirty days after the receipt of the request, the arbitral
tribunal shall so inform the parties in order that one or another of them may
make the required payment. If such payment is not made, the arbitral tribunal
may order the suspension or termination of the arbitral proceedings.
5. After the award has been made,
the arbitral tribunal shall render an accounting to the parties of the deposits
received and return any unexpended balance to the parties.
Further information may be obtained from:
Vienna International Centre
P.O. Box 500 A-1400 Vienna, Austria
Telephone: (+43 1) 26060-4060
Telefax: (+43 1) 26060-5813