Table of Cases

xxi

Table of Treaties and Legislation

xxvii

List of Abbreviation

s xxxvii

Article 1

Introduction to ICDR arbitration

1

I.

Introduction to ICDR arbitration

A.

The American Arbitration Association (AAA)- An historic foundation

1.

The AAA's history

2.

The AAA's case management approach

3.

Principal AAA arbitration and mediation procedures

4.

AAA early dispute resolution options

5.

The AAA's arbitration policy initiatives

6.

The AAA's educational activities

B.

The International Centre for Dispute Resolution (ICDR)- The AAA's division focused on international disputes

1.

The ICDR's history

2.

The ICDR's case management approach

3.

ICDR New York headquarters and overseas locations

4.

International cooperative agreements

5.

Scope of the ICDR's services

6.

ICDR Guidelines for Arbitrators Concerning Exchanges of Information

C.

Statistics on AAA and ICDR arbitration

1.

AAA arbitration

2.

ICDR arbitration

D.

History of the ICDR Rules

1.

The 1993 revision

2.

The 1996/1997 revision

3.

Introduction of the International Dispute Resolution Procedures in 2003

4.

Addition of Article 37 in 2006

5.

Additional changes to the Fee Schedule

II.

Textual commentary

A.

Scope of application of the ICDR Rules (Article 1(1))

1.

Institutional arbitration (Article 1(1))

2.

'Where parties have agreed in writing to arbitrate disputes' (Article 1(1))

3.

'[U]nder these International Arbitration Rules' (Article 1(1))

4.

'[O]r have provided for arbitration of an international dispute by the International Centre for Dispute Resolution or the American Arbitration Association without designating particular rules' (Article 1(1))

5.

'[S}ubject to whatever modifications the parties may adopt in writing' (Article 1(1))

B.

ICDR Rules to apply except for mandatory rules of law (Article 1(2))

1.

'These rules govern the arbitration' (Article 1(2))

2.

'[L]aw applicable to the arbitration from which the parties cannot derogate' (Article 1(2))

C.

Duties and responsibilities of the administrator and other parties involved (Article 1(3))

1.

Emergency relief

2.

Administrative conference

3.

Ex parte communication and arbitrator selection, disclosure, and challenge procedure

4.

Preliminary hearing, evidence, and party submissions

5.

Award

Article 2

Notice of arbitration and statement of claim

31

I.

Introduction

A.

Party definitions and commencement of a case (Article 2(1) and (2))

B.

Content requirements (Article 2(3))

1.

'[D]emand that the dispute be referred to arbitration' (Article 2(3)(a))

2.

Names, addresses, and telephone numbers of the parties (Article 2(3)(b))

3.

Reference to 'the arbitration clause or agreement that is invoked', 'any contract out of or in relation to which the dispute arises', and 'a description of the claim and an indication of the facts supporting it' (Article 2(3)(c), (d), and (e))

4.

Relief or remedy sought, amount claimed (Article 2(3)(f)), and relevance for ICDR administrative fees

5.

Optional contents (Article 2(3)(g))

C.

Administrator's acknowledgement of commencement (Article 2(4))

D.

Deficient claim filing fee

E.

ICDR Fee Schedules

1.

The Standard Fee Schedule

2.

The Flexible Fee Schedule

3.

Non-payment of administrative fees and abeyance

Article 3

Statement of defence and counterclaim

45

A.

Contents of the statement of defence and joinder of third parties (Article 3(1))

B.

Counterclaims (Article 3(2))

C.

Additional content requirements (Article 3(3))

D.

Thirty-day time limits and extensions (Article 3(4))

Article 4

Amendments to claims

49

A.

Amendment and supplement of claims, counterclaims, or defences

B.

Tribunal's acceptance and denial of amendments and supplements to claims, counterclaims, or defences

C.

Impact on fees

Article 5

Number of arbitrators

55

A.

Party autonomy ('if the parties have not agreed')

B.

Institutional appointment

1.

Preference for three-member tribunal

2.

Default of a sole arbitrator

Article 6

Appointment of arbitrators

65

A.

Party autonomy and the constitution of the tribunal (Article 6(1) and (2))

B.

The limits on party autonomy to select arbitrators

C.

Default procedure for institutional arbitrator appointments (Article 6(3))

D.

Selecting 'suitable' candidates (Article 6(4))

E.

Constituting the tribunal in multi-party arbitrations (Article 6(5))

Article 7

Impartiality and independence of arbitrators

81

A.

Impartiality and independence (Article 7(1))

1.

The application of impartiality and independence under the ICDR Rules ('[a]rbitrators acting under these Rules shall be impartial and independent')

2.

Nationality of the arbitrator

3.

Disclosure

B.

Ex parte communications (Article 7(2))

C.

Availability and qualifications

Article 8

Challenge of arbitrators (Articles 8 and 9)

103

A.

Challenging an arbitrator (Article 8(1))

1.

When to challenge an arbitrator

2.

The substantive standard for challenging an arbitrator

3.

The procedure to challenge an arbitrator

B.

A 'reasoned' challenge (Article 8(2))

C.

Notification of the challenge and voluntary or agreed withdrawal (Article 8(3))

1.

Notification of the challenge

2.

Agreed or voluntary withdrawal

Article 9

Challenge of arbitrators (Articles 8 and 9)

117

A.

No reasoned decisions on challenges

B.

Challenging arbitrators pursuant to national law

Article 10

Replacement of an arbitrator (Articles 10 and 11)

121

Article 11

Replacement of an arbitrator (Articles 10 and 11)

127

A.

The authority of a truncated tribunal to render an award (Article 11(1))

B.

Repeating previous hearings (Article 11(2))

Article 12

Representation

133

Article 13

Place of arbitration

137

A.

The 'place' of arbitration (Article 13(1))

1.

Importance of the place (or 'seat') of the arbitration

2.

Determination of the place of arbitration

B.

Location of hearings and procedural acts (Article 13(2))

Article 14

Language

147

A.

Default rule provides predictability and efficiency

B.

In-built discretion and input by the parties provides flexibility

Article 15

Pleas as to jurisdiction

151

A.

Competence-competence (Article 15(1))

B.

Separability (Article 15(2))

C.

Timely objection (Article 15(3))

Article 16

Conduct of the arbitration

167

A.

The tribunal's discretion to conduct the proceedings (Article 16(1))

1.

The tribunal's discretion and the parties' agreement on procedural matters

2.

Limits imposed by due process

B.

Duty of expedition (Article 16(2))

C.

Evidence (Article 16(3))

D.

Notification of information to the other parties (Article 16(4))

Article 17

Further written statements

179

A.

Additional written statements (Article 17(1))

B.

Time limits (Article 17(2))

Article 18

Notices

185

A.

Method of communication (Article 18(1))

B.

Calculating time periods (Article 18(2))

Article 19

Evidence

189

A.

Burden of proof (Article 19(1))

B.

Exchange of information and document production (Article 19(2) and (3))

Article 20

Hearings

195

A.

Logistics for hearing (Article 20(1))

B.

Witness testimony (Article 20(2)-(5))

C.

Evidence and privilege issues (Article 20(6))

Article 21

Interim measures of protection

203

A.

Power to order interim measures (Article 21(1))

B.

Form of interim measures and security (Article 21(2))

C.

Application to court not incompatible (Article 21(3))

D.

Costs associated with application for interim measures (Article 21(4))

Article 22

Experts

209

A.

Appointment of the expert (Article 22(1))

B.

Provision of information to the expert (Article 22(2))

C.

Opportunity to comment on and question the expert report (Article 22(3) and (4))

Article 23

Default

215

A.

Failure to file a statement of defence or appear at hearing (Article 23(1) and (2))

B.

Failure to produce evidence or take any other step (Article 23(3))

Article 24

Closure of hearing

221

Article 25

Waiver of rules

225

Article 26

Awards, decisions, and rulings

229

A.

Awards to be made by majority and failure to sign (Article 26(1))

B.

Presiding arbitrator may make procedural rulings (Article 26(2))

Article 27

Form and effect of the award

235

A.

Award is final and binding (Article 27(1))

B.

Award must be reasoned (Article 27(2))

C.

Award must state date and place made and be communicated to parties (Article 27(3) and (5))

D.

Award is confidential, but redacted award may be published (Article 27(4) and (8))

E.

Award may be registered (Article 27(6))

F.

Tribunal may make interim awards (Article 27(7))

Article 28

Applicable laws and remedies

245

A.

Parties' choice of law to be given effect (Article 28(1))

B.

Tribunal to apply contract terms and usages of the trade (Article 28(2))

C.

Tribunal may act as an amiable compositeur (Article 28(3))

D.

Currency, interest, punitive damages (Article 28(4) and (5))

Article 29

Settlement or other reasons for termination

255

A.

Termination upon settlement (Article 29(1))

B.

Termination where continuation unnecessary or impossible (Article 29(2))

Article 30

Interpretation or correction of the award

261

A.

Request to interpret, correct, or make an additional award (Article 30(1))

1.

Interpretation

2.

Correction

3.

Additional award

B.

Tribunal may grant request where justified (Article 30(2))

Article 31

Costs

269

A.

Tribunal's power to fix the costs of arbitration

B.

Tribunal may apportion costs

C.

Components of the costs of arbitration

D.

Logistics for making award of the costs of arbitration

Article 32

Compensation of arbitrators

277

Article 33

Deposit of costs

281

A.

Deposits as an advance on costs (Article 33(1) and (2))

B.

Default on payment (Article 33(3))

C.

Accounting and return of deposit (Article 33(4))

Article 34

Confidentiality

287

Article 35

Exclusion of liability

291

Article 36

Interpretation of rules

295

Article 37

Emergency measures of protection

299

A.

Applicability (Article 37(1))

B.

Application for emergency relief (Article 37(2) and (3))

C.

The emergency arbitrator's powers (Article 37(4) and (5))

D.

Tribunal may reconsider once constituted (Article 37(6))

E.

Costs and security for costs (Article 37(7) and (9))

F.

Party may seek judicial emergency relief (Article 37(8))

Appendix 1: ICDR International Dispute Resolution Procedures (Including Mediation and Arbitration Rules)

315

Appendix 2: International Case Filing Administrative Fee Schedules

331

Appendix 3: ICDR Guidelines for Arbitrators Concerning Exchanges of Information

335

Appendix 4: AAA Commercial Arbitration Rules and Mediation Procedures (Including Procedures for Large, Complex, Commercial Disputes)

337

Appendix 5: International Commercial Arbitration Supplementary Procedures

355

Appendix 6: 1976 United Nations Commission on International Trade Law (UNCITRAL) Arbitration Rules

357

Appendix 7: 2010 UNCITRAL Arbitration Rules

369

Appendix 8: AAA Procedures for Cases Under the UNCITRAL Arbitration Rules

385

Appendix 9: List of AAA Rules Available on the AAA's Website

389

Index

393