联合国国际贸易法委员会国际商事仲裁示范法（1985）uncitral model law on international commercial arbitration (1985)

1、联合国国际贸易法委员会国际商事仲裁示范法（1985）-UNCITRAL Model Law on International Commercial Arbitration (1985) 联合国国际贸易法委员会国际商事仲裁示范法（1985） UNCITRALModelLawonInternationalCommercialArbitration(1985) CHAPTERI-GENERALPROVISIONSArticle1-ScopeofapplicationArticle2-DefinitionsandrulesofinterpretationArticle3-Receiptofwritte

2、ncommunicationsArticle4-WaiverofrighttoobjectArticle5-ExtentofcourtinterventionArticle6-Courtorotherauthorityforcertainfunctionsofarbitrationassistanceandsupervision CHAPTERII-ARBITRATIONAGREEMENTArticle7-DefinitionandformofarbitrationagreementArticle8-Arbitrationagreementandsubstantiveclaimbeforeco

3、urtArticle9-Arbitrationagreementandinterimmeasuresbycourt CHAPTERIII-COMPOSITIONOFARBITRALTRIBUNALArticle10-NumberofarbitratorsArticle11-AppointmentofarbitratorsArticle12-GroundsforchallengeArticle13-ChallengeprocedureArticle14-FailureorimpossibilitytoactArticle15-Appointmentofsubstitutearbitrator C

4、HAPTERIV-JURISDICTIONOFARBITRALTRIBUNALArticle16-CompetenceofarbitraltribunaltoruleonitsjurisdictionArticle17-Powerofarbitraltribunaltoorderinterimmeasures CHAPTERV-CONDUCTOFARBITRALPROCEEDINGSArticle18-EqualtreatmentofpartiesArticle19-DeterminationofrulesofprocedureArticle20-PlaceofarbitrationArtic

5、le21-CommencementofarbitralproceedingsArticle22-LanguageArticle23-StatementsofclaimanddefenceArticle24-HearingsandwrittenproceedingsArticle25-DefaultofapartyArticle26-ExpertappointedbyarbitraltribunalArticle27-Courtassistanceintakingevidence CHAPTERVI-MAKINGOFAWARDANDTERMINATIONOFPROCEEDINGSArticle2

6、8-RulesapplicabletosubstanceofdisputeArticle29-Decision-makingbypanelofarbitratorsArticle30-SettlementArticle31-FormandcontentsofawardArticle32-TerminationofproceedingsArticle33-Correctionofinterpretationofaward;additionalaward CHAPTERVII-RECOURSEAGAINSTAWARDArticle34-Applicationforsettingasideasexc

7、lusiverecourseagainstarbitralaward CHAPTERVIII-RECOGNITIONANDENFORCEMENTOFAWARDSArticle35-RecognitionandenforcementArticle36-Groundsforrefusingrecognitionorenforcement UNCITRALModelLawonInternationalCommercialArbitration(1985)(asadoptedbytheUnitedNationsCommissiononInternationalTradeLawon21June1985)

8、 CHAPTERI-GENERALPROVISIONS Article1-Scopeofapplication 1.ThisLawappliestointernationalcommercialarbitration,subjecttoanyagreementinforcebetweenthisStateandanyotherStateorStates.2.TheprovisionsofthisLaw,exceptarticles8,9,35and36,applyonlyiftheplaceofarbitrationisintheterritoryofthisState.3.Anarbitra

9、tionisinternationalif:(a)thepartiestoanarbitrationagreementhave,atthetimeoftheconclusionofthatagreement,theirplacesofbusinessindifferentStates;or(b)oneofthefollowingplacesissituatedoutsidetheStateinwhichthepartieshavetheirplacesofbusiness:(i)theplaceofarbitrationifdeterminedin,orpursuantto,thearbitr

10、ationagreement;(ii)anyplacewhereasubstantialpartoftheobligationsofthecommercialrelationshipistobeperformedortheplacewithwhichthesubject-matterofthedisputeismostcloselyconnected;or(c)thepartieshaveexpresslyagreedthatthesubject-matterofthearbitrationagreementrelatestomorethanonecountry.4.Forthepurpose

11、sofparagraph(3)ofthisarticle:(a)ifapartyhasmorethanoneplaceofbusiness,theplaceofbusinessisthatwhichhastheclosestrelationshiptothearbitrationagreement;(b)ifapartydoesnothaveaplaceofbusiness,referenceistobemadetohishabitualresidence.5.ThisLawshallnotaffectanyotherlawofthisStatebyvirtueofwhichcertaindi

12、sputesmaynotbesubmittedtoarbitrationormaybesubmittedtoarbitrationonlyaccordingtoprovisionsotherthanthoseofthisLaw. Article2-DefinitionsandrulesofinterpretationForthepurposesofthisLaw: (a)arbitrationmeansanyarbitrationwhetherornotadministeredbyapermanentarbitralinstitution;(b)arbitraltribunalmeansaso

13、learbitratororapanelofarbitrators;(c)courtmeansabodyororganofthejudicialsystemofaState;(d)whereaprovisionofthisLaw,exceptarticle28,leavesthepartiesfreetodetermineacertainissue,suchfreedomincludestherightofthepartiestoauthorizeathirdparty,includinganinstitution,tomakethatdetermination;(e)whereaprovis

14、ionofthisLawreferstothefactthatthepartieshaveagreedorthattheymayagreeorinanyotherwayreferstoanagreementoftheparties;suchagreementincludesanyarbitrationrulesreferredtointhatagreement;(f)whereaprovisionofthisLaw,otherthaninarticles25(a)and32(2)(a),referstoaclaim,italsoappliestoacounter-claim,andwherei

15、treferstoadefence,italsoappliestoadefencetosuchcounter-claim. Article3-Receiptofwrittencommunications 1.Unlessotherwiseagreedbytheparties:(a)anywrittencommunicationisdeemedtohavebeenreceivedifitisdeliveredtotheaddresseepersonallyorifitisdeliveredathisplaceofbusiness,habitualresidenceormailingaddress

16、;ifnoneofthesecanbefoundaftermakingareasonableinquiry,awrittencommunicationisdeemedtohavebeenreceivedifitissenttotheaddresseeslast-knownplaceofbusiness,habitualresidenceormailingaddressbyregisteredletteroranyothermeanswhichprovidesarecordoftheattempttodeliverit;(b)thecommunicationisdeemedtohavebeenr

17、eceivedonthedayitissodelivered. 2.Theprovisionsofthisarticledonotapplytocommunicationsincourtproceedings. Article4-Waiverofrighttoobject ApartywhoknowsthatanyprovisionofthisLawfromwhichthepartiesmayderogateoranyrequirementunderthearbitrationagreementhasnotbeencompliedwithandyetproceedswiththearbitra

18、tionwithoutstatinghisobjectiontosuchnon-compliancewithoutunduedelayor,ifatime-limitisprovidedtherefor,withinsuchperiodoftime,shallbedeemedtohavewaivedhisrighttoobject. Article5-Extentofcourtintervention InmattersgovernedbythisLaw,nocourtshallinterveneexceptwheresoprovidedinthisLaw. Article6-Courtoro

19、therauthorityforcertainfunctionsofarbitrationassistanceandsupervision Thefunctionsreferredtoinarticles11(3),11(4),13(3),14,16(3)and34(2)shallbeperformedby.EachStateenactingthismodellawspecifiesthecourt,courtsor,wherereferredtotherein,otherauthoritycompetenttoperformthesefunctions. CHAPTERII-ARBITRAT

20、IONAGREEMENT Article7-Definitionandformofarbitrationagreement 1.Arbitrationagreementisanagreementbythepartiestosubmittoarbitrationallorcertaindisputeswhichhavearisenorwhichmayarisebetweentheminrespectofadefinedlegalrelationship,whethercontractualornot.Anarbitrationagreementmaybeintheformofanarbitrat

21、ionclauseinacontractorintheformofaseparateagreement. 2.Thearbitrationagreementshallbeinwriting.Anagreementisinwritingifitiscontainedinadocumentsignedbythepartiesorinanexchangeofletters,telex,telegramsorothermeansoftelecommunicationwhichprovidearecordoftheagreement,orinanexchangeofstatementsofclaiman

22、ddefenceinwhichtheexistenceofanagreementisallegedbyonepartyandnotdeniedbyanother.Thereferenceinacontracttoadocumentcontaininganarbitrationclauseconstitutesanarbitrationagreementprovidedthatthecontractisinwritingandthereferenceissuchastomakethatclausepartofthecontract. Article8-Arbitrationagreementan

23、dsubstantiveclaimbeforecourt 1.Acourtbeforewhichanactionisbroughtinamatterwhichisthesubjectofanarbitrationagreementshall,ifapartysorequestsnotlaterthanwhensubmittinghisfirststatementonthesubstanceofthedispute,referthepartiestoarbitrationunlessitfindsthattheagreementisrealandvoid,inoperativeorincapab

24、leofbeingperformed. 2.Whereanactionreferredtoinparagraph(1)ofthisarticlehasbeenbrought,arbitralproceedingsmayneverthelessbecommencedorcontinued,andanawardmaybemade,whiletheissueispendingbeforethecourt. Article9-Arbitrationagreementandinterimmeasuresbycourt Itisnotincompatiblewithanarbitrationagreeme

25、ntforapartytorequest,beforeorduringarbitralproceedings,fromacourtaninterimmeasureofprotectionandforacourttograntsuchmeasure. CHAPTERIII-COMPOSITIONOFARBITRALTRIBUNAL Article10-Numberofarbitrators 1.Thepartiesarefreetodeterminethenumberofarbitrators.2.Failingsuchdetermination,thenumberofarbitratorssh

26、allbethree. Article11-Appointmentofarbitrators 1.Nopersonshallbeprecludedbyreasonofhisnationalityfromactingasanarbitrator,unlessotherwiseagreedbytheparties. 2.Thepartiesarefreetoagreeonaprocedureofappointingthearbitratororarbitrators,subjecttotheprovisionsofparagraphs(4)and(5)ofthisarticle. 3.Failin

27、gsuchagreement,(a)inanarbitrationwiththreearbitrators,eachpartyshallappointonearbitrator,andthetwoarbitratorsthusappointedshallappointthethirdarbitrator;ifapartyfailstoappointthearbitratorwithinthirtydaysofreceiptofarequesttodosofromtheotherparty,orifthetwoarbitratorsfailtoagreeonthethirdarbitratorw

28、ithinthirtydaysoftheirappointment,theappointmentshallbemade,uponrequestofaparty,bythecourtorotherauthorityspecifiedinarticle6;(b)inanarbitrationwithasolearbitrator,ifthepartiesareunabletoagreeonthearbitrator,heshallbeappointed,uponrequestofaparty,bythecourtorotherauthorityspecifiedinarticle6. 4.Wher

29、e,underanappointmentprocedureagreeduponbytheparties,(a)apartyfailstoactasrequiredundersuchprocedure,or(b)theparties,ortwoarbitrators,areunabletoreachanagreementexpectedofthemundersuchprocedure,or(c)athirdparty,includinganinstitution,failstoperformanyfunctionentrustedtoitundersuchprocedure,anypartyma

30、yrequestthecourtorotherauthorityspecifiedinarticle6totakethenecessarymeasure,unlesstheagreementontheappointmentprocedureprovidesothermeansforsecuringtheappointment. 5.Adecisiononamatterentrustedbyparagraph(3)and(4)ofthisarticletothecourtorotherauthorityspecifiedinarticle6shallbesubjecttonoappeal.The

31、courtorotherauthority,inappointinganarbitrator,shallhavedueregardtoanyqualificationsrequiredofthearbitratorbytheagreementofthepartiesandtosuchconsiderationsasarelikelytosecuretheappointmentofanindependentandimpartialarbitratorand,inthecaseofasoleorthirdarbitrator,shalltakeintoaccountaswelltheadvisab

32、ilityofappointinganarbitratorofanationalityotherthanthoseoftheparties. Article12-Groundsforchallenge 1.Whenapersonisapproachedinconnectionwithhispossibleappointmentasanarbitrator,heshalldiscloseanycircumstanceslikelytogiverisetojustifiabledoubtsastohisimpartialityorindependence.Anarbitrator,fromthet

33、imeofhisappointmentandthroughoutthearbitralproceedings,shallwithoutdelaydiscloseanysuchcircumstancestothepartiesunlesstheyhavealreadybeeninformedofthembyhim. 2.Anarbitratormaybechallengedonlyifcircumstancesexistthatgiverisetojustifiabledoubtsastohisimpartialityorindependence,orifhedoesnotpossessqual

34、ificationsagreedtobytheparties.Apartymaychallengeanarbitratorappointedbyhim,orinwhoseappointmenthehasparticipated,onlyforreasonsofwhichhebecomesawareaftertheappointmenthasbeenmade. Article13-Challengeprocedure 1.Thepartiesarefreetoagreeonaprocedureforchallenginganarbitrator,subjecttotheprovisionsofp

35、aragraph(3)ofthisarticle. 2.Failingsuchagreement,apartywhichintendstochallengeanarbitratorshall,withinfifteendaysafterbecomingawareoftheconstitutionofthearbitraltribunalorafterbecomingawareofanycircumstancereferredtoinarticle12(2),sendawrittenstatementofthereasonsforthechallengetothearbitraltribunal

36、.Unlessthechallengedarbitratorwithdrawsfromhisofficeortheotherpartyagreestothechallenge,thearbitraltribunalshalldecideonthechallenge. 3.Ifachallengeunderanyprocedureagreeduponbythepartiesorundertheprocedureofparagraph(2)ofthisarticleisnotsuccessful,thechallengingpartymayrequest,withinthirtydaysafter

37、havingreceivednoticeofthedecisionrejectingthechallenge,thecourtorotherauthorityspecifiedinarticle6todecideonthechallenge,whichdecisionshallbesubjecttonoappeal;whilesucharequestispending,thearbitraltribunal,includingthechallengedarbitrator,maycontinuethearbitralproceedingsandmakeanaward. Article14-Fa

38、ilureorimpossibilitytoact 1.Ifanarbitratorbecomesdejureordefactounabletoperformhisfunctionsorforotherreasonsfailstoactwithoutunduedelay,hismandateterminatesifhewithdrawsfromhisofficeorifthepartiesagreeonthetermination.Otherwise,ifacontroversyremainsconcerninganyofthesegrounds,anypartymayrequesttheco

39、urtorotherauthorityspecifiedinarticle6todecideontheterminationofthemandate,whichdecisionshallbesubjecttonoappeal. 2.If,underthisarticleorarticle13(2),anarbitratorwithdrawsfromhisofficeorapartyagreestotheterminationofthemandateofanarbitrator,thisdoesnotimplyacceptanceofthevalidityofanygroundreferredt

40、ointhisarticleorarticle12(2). Article15-Appointmentofsubstitutearbitrator Wherethemandateofanarbitratorterminatesunderarticle13or14orbecauseofhiswithdrawalfromofficeforanyotherreasonorbecauseoftherevocationofhismandatebyagreementofthepartiesorinanyothercaseofterminationofhismandate,asubstitutearbitr

41、atorshallbeappointedaccordingtotherulesthatwereapplicabletotheappointmentofthearbitratorbeingreplaced. CHAPTERIV-JURISDICTIONOFARBITRALTRIBUNAL Article16-Competenceofarbitraltribunaltoruleonitsjurisdiction 1.Thearbitraltribunalmayruleonitsownjurisdiction,includinganyobjectionswithrespecttotheexisten

42、ceorvalidityofthearbitrationagreement.Forthatpurpose,anarbitrationclausewhichformspartofacontractshallbetreatedasanagreementindependentoftheothertermsofthecontract.Adecisionbythearbitraltribunalthatthecontractisnullandvoidshallnotentailipsojuretheinvalidityofthearbitrationclause. 2.Apleathatthearbit

43、raltribunaldoesnothavejurisdictionshallberaisednotlaterthanthesubmissionofthestatementofdefence.Apartyisnotprecludedfromraisingsuchapleabythefactthathehasappointed,orparticipatedintheappointmentof,anarbitrator.Apleathatthearbitraltribunalisexceedingthescopeofitsauthorityshallberaisedassoonasthematte

44、rallegedtobebeyondthescopeofitsauthorityisraisedduringthearbitralproceedings.Thearbitraltribunalmay,ineithercase,admitalaterpleaifitconsidersthedelayjustified. 3.Thearbitraltribunalmayruleonapleareferredtoinparagraph(2)ofthisarticleeitherasapreliminaryquestionorinanawardonthemerits.Ifthearbitraltrib

45、unalrulesasapreliminaryquestionthatithasjurisdiction,anypartymayrequest,withinthirtydaysafterhavingreceivednoticeofthatruling,thecourtspecifiedinarticle6todecidethematter,whichdecisionshallbesubjecttonoappeal;whilesucharequestispending,thearbitraltribunalmaycontinuethearbitralproceedingsandmakeanawa

46、rd. Article17-Powerofarbitraltribunaltoorderinterimmeasures Unlessotherwiseagreedbytheparties,thearbitraltribunalmay,attherequestofaparty,orderanypartytotakesuchinterimmeasureofprotectionasthearbitraltribunalmayconsidernecessaryinrespectofthesubject-matterofthedispute.Thearbitraltribunalmayrequirean

47、ypartytoprovideappropriatesecurityinconnectionwithsuchmeasure. CHAPTERV-CONDUCTOFARBITRALPROCEEDINGS Article18-Equaltreatmentofparties Thepartiesshallbetreatedwithequalityandeachpartyshallbegivenafullopportunityofpresentinghiscase. Article19-Determinationofrulesofprocedure 1.Subjecttotheprovisionsof

48、thisLaw,thepartiesarefreetoagreeontheproceduretobefollowedbythearbitraltribunalinconductingtheproceedings.2.Failingsuchagreement,thearbitraltribunalmay,subjecttotheprovisionsofthisLaw,conductthearbitrationinsuchmannerasitconsidersappropriate.Thepowerconferreduponthearbitraltribunalincludesthepowerto

49、determinetheadmissibility,relevance,materialityandweightofanyevidence. Article20-Placeofarbitration 1.Thepartiesarefreetoagreeontheplaceofarbitration.Failingsuchagreement,theplaceofarbitrationshallbedeterminedbythearbitraltribunalhavingregardtothecircumstancesofthecase,includingtheconvenienceofthepa

50、rties.2.Notwithstandingtheprovisionsofparagraph(1)ofthisarticle,thearbitraltribunalmay,unlessotherwiseagreedbytheparties,meetatanyplaceitconsidersappropriateforconsultationamongitsmembers,forhearingwitnesses,expertsortheparties,orforinspectionofgoods,otherpropertyordocuments. Article21-Commencemento

51、farbitralproceedings Unlessotherwiseagreedbytheparties,thearbitralproceedingsinrespectofaparticulardisputecommenceonthedateonwhicharequestforthatdisputetobereferredtoarbitrationisreceivedbytherespondent. Article22-Language 1.Thepartiesarefreetoagreeonthelanguageorlanguagestobeusedinthearbitralprocee

52、dings.Failingsuchagreement,thearbitraltribunalshalldeterminethelanguageorlanguagestobeusedintheproceedings.Thisagreementordetermination,unlessotherwisespecifiedtherein,shallapplytoanywrittenstatementbyaparty,anyhearingandanyaward,decisionorothercommunicationbythearbitraltribunal.2.Thearbitraltribuna

53、lmayorderthatanydocumentaryevidenceshallbeaccompaniedbyatranslationintothelanguageorlanguagesagreeduponbythepartiesordeterminedbythearbitraltribunal. Article23-Statementsofclaimanddefence 1.Withintheperiodoftimeagreedbythepartiesordeterminedbythearbitraltribunal,theclaimantshallstatethefactssupporti

54、nghisclaim,thepointsatissueandtherelieforremedysought,andtherespondentshallstatehisdefenceinrespectoftheseparticulars,unlessthepartieshaveotherwiseagreedastotherequiredelementsofsuchstatements.Thepartiesmaysubmitwiththeirstatementsalldocumentstheyconsidertoberelevantormayaddareferencetothedocumentso

55、rotherevidencetheywillsubmit.2.Unlessotherwiseagreedbytheparties,eitherpartymayamendorsupplementhisclaimordefenceduringthecourseofthearbitralproceedings,unlessthearbitraltribunalconsidersitinappropriatetoallowsuchamendmenthavingregardtothedelayinmakingit. Article24-Hearingsandwrittenproceedings 1.Su

56、bjecttoanycontraryagreementbytheparties,thearbitraltribunalshalldecidewhethertoholdoralhearingsforthepresentationofevidenceorfororalargument,orwhethertheproceedingsshallbeconductedonthebasisofdocumentsandothermaterials.However,unlessthepartieshaveagreedthatnohearingsshallbeheld,thearbitraltribunalsh

57、allholdsuchhearingsatanappropriatestageoftheproceedings,ifsorequestedbyaparty.2.Thepartiesshallbegivensufficientadvancenoticeofanyhearingandofanymeetingofthearbitraltribunalforthepurposesofinspectionofgoods,otherpropertyordocuments.3.Allstatements,documentsorotherinformationsuppliedtothearbitraltrib

58、unalbyonepartyshallbecommunicatedtotheotherparty.Alsoanyexpertreportorevidentiarydocumentonwhichthearbitraltribunalmayrelyinmakingitsdecisionshallbecommunicatedtotheparties. Article25-Defaultofaparty Unlessotherwiseagreedbytheparties,if,withoutshowingsufficientcause,(a)theclaimantfailstocommunicatehisstatementofclaiminaccordancewitharticle23(1),thearbitraltribunalshallterminatetheproceedings;(b)therespondentfai