UNCITRAL Notes On Organizing Arbitral Proceedings

List of matters for possibleconsideration in organizinga rbitral proceedingsParagraphs1.Consultation regarding the organization of arbitralproceedings; procedural meetings. . . . . . . . . . . . . . . . . . . .(a) General principle of consultation between the parties and the arbitral tribunal . . . . . . . . . . . . . . . . .(b) Procedural meetings. . . . . . . . . . . . . . . . . . . . . . . . . . .(i) First procedural meeting. . . . . . . . . . . . . . . . . .(ii) Subsequent procedural meetings. . . . . . . . . .(iii) Modification of decisions on the organization of arbitral proceedings . . . . . . .(iv) Record of the outcome of a proceduralmeeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(v) Attendance of the parties . . . . . . . . . . . . . . . . .9-199-1011-1911-1314151617-192.Language or languages of the arbitral proceedings. . . . .(a) Determination of the language. . . . . . . . . . . . . . . . . .(b) Possible need for translation and interpretation. .(c) Multiple languages. . . . . . . . . . . . . . . . . . . . . . . . . . . . .(d) Costs of translation and interpretation. . . . . . . . . .20-262021-2324-25263.Place of arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Determination of the place of arbitration. . . . . . . .(b) Legal and other consequences of the place ofarbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(c) Possibility of holding hearings and meetings at a location different from the place of arbitration . . .27-31274.Administrative support for the arbitral tribunal. . . . . . . .(a) Administrative support and arbitral institutions. . .(b) Secretary to arbitral tribunal. . . . . . . . . . . . . . . . . . . .32-3832-3435-385.Costs of arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Items of costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(b) Deposit of costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(c) Fixing and allocating the costs. . . . . . . . . . . . . . . . . .39-4939-4243-4647-49328-3031

Paragraphs6.Possible agreement on confidentiality; transparencyin treaty-based investor-State arbitration. . . . . . . . . . . . . .(a) Agreement on confidentiality. . . . . . . . . . . . . . . . . . .(b) Transparency in treaty-based investor-Statearbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .50-5550-54557.Means of communication. . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Determination of the means of communication. .(b) Electronic means of communication . . . . . . . . . . . .(c) Flow of communication. . . . . . . . . . . . . . . . . . . . . . . .56-5956-5758598.Interim measures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Granting of interim measures. . . . . . . . . . . . . . . . . . .(b) Costs and damages arising from interim measures; security for costs and damages. . . . . . . .60-6460-629.63-64Written statements, witness statements, expertreports and documentary evidence. . . . . . . . . . . . . . . . . . .65-6610. Practical details regarding the form and methodof submissions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6711. Points at issue and relief or remedy sought. . . . . . . . . . . .(a) Preparation of a list of points at issue. . . . . . . . . . . .(b) Determination of the order in which the pointsat issue will be decided; possibility of bifurcatedproceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(c) Relief or remedy sought. . . . . . . . . . . . . . . . . . . . . . . .68-716812. Amicable settlement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7213. Documentary evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Time limits for submission of documentary evidence by the parties; consequences of failureto submit or late submission. . . . . . . . . . . . . . . . . . . .(b) Requests to disclose documents . . . . . . . . . . . . . . . .(c) Evidence obtained by the arbitral tribunal fromthird parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(d) Assertions about the provenance and authenticity of documentary evidence. . . . . . . . . . .(e) Presentation of documentary evidence. . . . . . . . . .73-85469-707173-7576-787980-8182-85

Paragraphs14. Witnesses of fact. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Identification of witnesses of fact; contactwith the parties and their representatives. . . . . . . .(i) Witness statements and advance notice. . . .(ii) Whether a party or persons related to aparty may be heard as witnesses. . . . . . . . . . .(iii) Nature of the contact of a party or its representative with witnesses . . . . . . . . . . . . .(b) Manner of taking oral evidence of witnesses . . . . .86-9186-9086-8889909115. Experts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92-107(a) Types of experts and selection. . . . . . . . . . . . . . . . . .92-93(b) Party-appointed experts, expert witnesses . . . . . . . 94-100(c) Tribunal-appointed experts. . . . . . . . . . . . . . . . . . . . . 101-107(i) Function of the tribunal-appointed expert. . 101-105(ii) Terms of reference of the tribunalappointed expert . . . . . . . . . . . . . . . . . . . . . . . . . 106-10716. Inspection of a site, property or goods. . . . . . . . . . . . . . . . 108-113(a) Physical evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109(b) Inspections of site, property or goods . . . . . . . . . . . 110-11317. Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(a) Decision whether to hold hearings. . . . . . . . . . . . . .(b) Scheduling of hearings. . . . . . . . . . . . . . . . . . . . . . . . .(c) Manner of conducting hearings. . . . . . . . . . . . . . . . .(i) Different practices. . . . . . . . . . . . . . . . . . . . . . . .(ii) Holding of a hearing in-person or remotely.(iii) Deciding which witnesses of fact andexpert witnesses (“witnesses”) will provide oral testimony. . . . . . . . . . . . . . . . . . . .(iv) Non-appearance of a witness. . . . . . . . . . . . . .(v) Invitation of a witness by the arbitraltribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(vi) Whether oral testimony will be givenunder oath or affirmation and, if so, inwhat form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(vii) Order of presentations at hearings. . . . . . . . .(viii) Manner in which witnesses of fact andexpert witnesses (“witnesses”) will beheard. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(ix) Whether witnesses of fact may be in the hearing room when they are not testifying. .(x) Submission of new evidence . . . . . . . . . . . . . .(d) Arrangements for a record of the hearings . . . . . . .(e) Post-hearing submissions. . . . . . . . . . . . . . . . . . . . . . 7-128129-130131-132133134-135136

Paragraphs18. Multiparty arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137-13819. Joinder and consolidation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 139-143(a) Joinder. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139-141(b) Consolidation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142-14320. Possible requirements concerning form, content, filing, registration and delivery of the award. . . . . . . . . . . 144-1466

Annotations1.  Consultation regarding the organization ofarbitral proceedings; procedural meetings(a)  General principle of consultation between theparties and the arbitral tribunal9. It is usual for the arbitral tribunal to involve the parties in m akingdecisions on the organization of the arbitral proceedings and, wherepossible, to seek their agreement. Such consultations are i ntrinsic tothe consensual nature of arbitration and are normally undertakenwith respect to most organizational decisions addressed in the Notes.However, in order to remain concise, the need for such consultationis not necessarily repeated in the Notes each time consultation isexpected to occur.10. Likewise, it is usual for the parties to consult the arbitral tribunal whenever they agree between themselves on any issue thatmight affect the organization of the arbitral proceedings. When the agreement of the parties affects the planning of the arbitrators, theparties would usually also seek the agreement of the arbitral tribunal.Moreover, if the parties agree after the arbitral tribunal has been constituted that an arbitral institution will administer the arbitration,the parties would usually secure the agreement of both the arbitraltribunal and that institution.(b)Procedural meetings(i)First procedural meeting11. It is advisable for the arbitral tribunal to give the parties a timelyindication as to the organization of the arbitral proceedings and themanner in which it intends to proceed. In particular, in internationalarbitrations, parties may be accustomed to differing styles of arbitralproceedings and, without such guidance, they may find certain aspects of the arbitral proceedings unpredictable and difficult to prepare for.12. As a method of consultation with the parties, the arbitraltribunal may consider holding, at the outset of the arbitral proceedings, a meeting or case management conference at which it7

determines the organization of the arbitral proceedings and a procedural timetable.13. A number of issues covered by the Notes would usually be addressed at the first procedural meeting, and thus create the basis fora common understanding of the procedure among the parties and thearbitral tribunal. If a procedural timetable is established, it may serve,for instance, to indicate time limits for the communication of writtenstatements, witness statements, expert reports and d ocumentary evidence, so that the parties may plan early in the arbitral proceedings.A procedural timetable may include provisional dates for hearings. Inpreparing the procedural timetable, the parties and the arbitral tribunalmay also wish to consider whether any s tatutory and/or mandatorytime limits on the duration of the a rbitral proceedings are providedfor in the applicable arbitration law or arbitration rules.(ii)Subsequent procedural meetings14. The arbitral tribunal usually holds additional procedural meetings (including what are sometimes referred to as “preparatoryconferences” or “pre-hearing conferences”) at subsequent stages ofthe arbitral proceedings. Procedural meetings are significant as theyset the stage for the arbitral proceedings and aim at ensuring theirefficiency. Procedural meetings may be used, for instance, for thearbitral tribunal to reassess whether further submissions are requiredor further evidence ought to be presented as well as to discuss matters relating to the organization of a hearing. The procedural timetable can be updated accordingly as the arbitral proceedingsprogress.(iii)  Modification of decisions on the organization ofarbitral proceedings15. Decisions on the organization of arbitral proceedings can berevisited and modified at relevant stages of the arbitral proceedingsby the arbitral tribunal. However, the arbitral tribunal should exercise caution in modifying procedural arrangements, in particular where the parties have taken steps in reliance on those arrangements. Moreover, the arbitral tribunal may not be able tomodify procedural arrangements to the extent that those arrangements result from an agreement between the parties. If a modification is required, the a rbitral tribunal would usually seek theagreement of the parties thereon.8

(iv)Record of the outcome of a procedural meeting16. A record of the outcome of a procedural meeting can take various forms depending on its significance, such as a proceduralorder, summary minutes, or an ordinary communication among theparties and the arbitral tribunal. Usually, the arbitral tribunal recordsthe rules of procedure that have been determined to apply to thearbitral proceedings in a procedural order. The outcome of a procedural meeting can be made in writing or first made orally andrecorded in writing after the procedural meeting. The parties and thearbitral tribunal may consider whether to produce transcripts, whichcould provide a precise record of the procedural meeting (see below,para. 135).(v)Attendance of the parties17. It is usually advisable that the parties themselves, in additionto any representatives they may have appointed, be present at procedural meetings.18. If a party neither participates nor is represented in a proceduralmeeting, the arbitral tribunal should nevertheless ensure that thenon-participating party has an opportunity to participate in the further stages of the arbitral proceedings and to present its case. Theprocedural timetable, if established, should provide for suchopportunity.19. Procedural meetings can be held either in the physical presenceof all participants, or remotely via technological means of communication. The arbitral tribunal may consider, in each case, whether itwould be preferable to hold the meeting in-person, which may facilitate personal interaction, or to use remote means of communication, which may reduce costs (see also below, para. 122).2.  Language or languages of the arbitralproceedings(a)Determination of the language20. The parties may agree on the language or languages in whichthe arbitral proceedings will be conducted. Such agreement ensuresthat the parties have the capacity to communicate in the language orlanguages of the arbitral proceedings. In the absence of such agreement, the arbitral tribunal will usually determine the languageor languages. Common criteria for that determination are the primarylanguage of the contract(s) or other legal instruments under which9

the dispute arose, and the language commonly used by the partiesin their communication. The parties and the arbitral tribunal usuallychoose a single language to conduct the arbitral proceedings(see below, para. 24).(b)Possible need for translation and interpretation21. The parties may rely on documentary evidence, judicial decisions and juridical writings (“legal authorities”) that are not inthe language of the arbitral proceedings. In determining whether torequire translation of those documents in full or in part, the arbitraltribunal may consider whether the parties and the arbitral tribunalare able to understand the content of such documents without translation and whether cost-efficient measures are available in lieuof translation in full (such as translation of the relevant part of documents, or a single template translation for documents of similaror standardized content).22. Interpretation may be necessary where witnesses or experts appearing at a hearing are unable to testify in the language of thearbitral proceedings. Witnesses and experts familiar with the language of the arbitral proceedings might still require occasional interpretation, rather than full interpretation. If interpretation is necessary, it is a dvisable to consider whether the interpretation willbe simultaneous or consecutive. While simultaneous interpretationis less time- consuming, consecutive interpretation allows for a closermonitoring of the accuracy of the interpretation.23. The responsibility for arranging translation and/or i nterpretationtypically lies with the parties even in arbitrations administered by anarbitral institution.(c)Multiple languages24. Because of the logistical difficulties and considerable extra coststhat often arise from conducting arbitral proceedings in more thanone language, the parties and the arbitral tribunal usually choose toconduct the arbitral proceedings in a single language unless there areparticular circumstances that would require the use of more thanone language.25. When multiple languages are to be used in arbitral proceedings,the parties and the arbitral tribunal may need to decide whether thelanguages are to be used interchangeably without any translation orinterpretation, or whether all communications and documents needto be translated and oral evidence interpreted into all the languagesof the arbitration. As an alternative, the parties and the arbitral10

t ribunal may decide that one of the languages will be designated asauthoritative for the purpose of the arbitral proceedings (such thatany of the multiple languages could be used during the proceedings,but procedural orders and arbitral awards, for example, would beissued only in the authoritative language). In any case, where translation is required, the parties and the arbitral tribunal may needto consider whether, in the interest of economy and efficiency, itwould be acceptable to limit translation to relevant sections of documents or to exempt certain types of documents, such as legalauthorities (see above, para. 21), from translation.(d)Costs of translation and interpretation26. When making decisions about translation and interpretation, itis advisable for the arbitral tribunal to decide whether any or all ofthe costs are to be paid by the parties at the time the costs are incurred. Irrespective of who pays the costs when they are incurred,the arbitral tribunal may later have to decide how these costs, alongwith other costs, will ultimately be allocated between the parties, ifthe arbitral tribunal considers that these costs are to be included inthe costs of arbitration (see below, paras. 39 and 47 to 49).3.Place of arbitration(a)Determination of the place of arbitration27. The parties may agree on the place (or “seat”) of arbitration. Ifthe place of arbitration has not been agreed by the parties, typicallythe arbitral tribunal or the arbitral institution administering the arbitration will have to determine the place of arbitration at theoutset of the arbitral proceedings. Arbitration rules of some institutions contain a default place of arbitration, applicable wherethe parties have not chosen one.(b)  Legal and other consequences of the place ofarbitration28. The place of arbitration normally determines the applicable arbitration law. Such determination has a legal impact on various matters, such as the requirements relating to the appointment andchallenge of arbitrators, whether and on what grounds a party canseek judicial review or setting aside of an arbitral award, which courtis competent with respect to the arbitral proceedings, as well as theconditions for recognition and enforcement of an arbitral award inother jurisdictions. It is advisable that the parties and the arbitraltribunal familiarize themselves

Adopts the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings, and authorizes the Secretariat to edit and finalize the text of the Notes pursuant to the deliberations of the Commission at its forty-ninth session; 2. Recommends the use of the Notes including by parties to arbitration, arbitral tribunals, arbitral institutions as well as for