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COMPARISON OF ARBITRATION RULES

COMPARISON OF ARBITRATION RULES


INTERNATIONAL CHAMBER OF COMMERCE PARIS www.iccarbitration.org www.uncitral.org

ICC

UNCITRAL

KLRCA

HKIAC

LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com

SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my

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This publication is intended to provide an overview of the similarities and differences among some of the major institutional and ad hoc international arbitration rules. It is not intended as a substitute for detailed legal advice as to the procedures and laws which govern a particular dispute. Advice should be sought at any early stage of any dispute to assess the most appropriate course to adopt.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS STEP www.iccarbitration.org Effective from 1 January 1988. The ICCS International Court of Arbitration ensures the application of the ICC Rules of Arbitration in arbitrations it administers. The ICC plays a key role in appointing arbitrators, fixing arbitrators fees and scrutinising awards. The Costs scales set out in the ICC Rules are effective from 1 January 1998. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Effective from 1 January 1998. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg The new Rules came into effect on 1 July 2010.

Institutional Involvement

Yes.

Commencement of Article 4(2): Arbitration deemed to have Arbitration commenced at date Secretariat receives a written Request for Arbitration. Article 4(3): The Request for Arbitration must include the partys nomination for arbitrator. This is a time saving rule.

Adopted in 1976 by the General Assembly of the United Nations and recommended for inclusion in international commercial contracts. The rules are intended to provide a comprehensive and universal set of procedural rules which parties may select for the conduct of ad hoc arbitrations. The Rules were last revised in 2010. The Rules for Arbitration of the Kuala Lumpur Regional Centre for Arbitration, comprising two parts, the Specific Arbitration Rules and the UNCITRAL Arbitration Rules. No. Yes. The Rules were introduced to be followed in Rule 1: Where the parties to a contract ad-hoc arbitrations. have agreed in writing that disputes in relation to the contract shall be settled or resolved by arbitration in accordance with the Rules for Arbitration of the KLRCA, then such disputes shall be settled or resolved by arbitration in accordance with the UNCITRAL Arbitration Rules, subject to any modifications in the Specific KLRCA Arbitration Rules. Article 3(2): Arbitral Proceedings deemed UNCITRAL Article 3(2): Arbitral to have commenced on the date the Proceedings deemed to have commenced Respondent receives a written Notice of on the date the Respondent receives a Arbitration from the Claimant. written Notice of Arbitration from the Claimant.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my The Rules were last revised in 2010 The Rules were last updated in 2010. following release of the 2010 UNCITRAL Rules.

Yes. HKIAC Rules may be adopted in both domestic and international arbitrations.

No.

No. Rule 1.1: Where the parties have agreed to refer their disputes to the SIAC for arbitration, the parties are deemed to have agreed that the arbitration shall be conducted and administered in accordance with the SIAC Rules.

The Notice of Arbitration

Response to the Notice of Arbitration / Request for Arbitration

Article 4(1): A party wishing to have recourse to arbitration must submit a Request for Arbitration to the Secretariat. Article 4(3): The Request shall include a brief description of the claim, indication of amount involved and a proposal as to the number of arbitrators. Article 5(1): The Respondent must file an Article 4(1): Within 30 days of receipt of Answer to the Request for Arbitration within the Notice of Arbitration, the Respondent 30 days after request from the Secretariat. shall submit a Response to the Notice of Arbitration.

HKIAC Article 4.2: Arbitration deemed to start at date Notice of Arbitration is received by the HKIAC Secretariat. HKIAC Article 4.5: The Notice of Arbitration shall be submitted in the language of the arbitration agreed by the parties. Where no agreement is in place, the Notice of Arbitration shall be submitted in either English or Chinese. Article 3(3): The Notice of Arbitration UNCITRAL Article 3(3): The Notice of HKIAC Article 4.3: The Notice of Arbitration should include a brief description of the Arbitration should include a brief description should include a demand that the dispute be claim, indication of amount involved and a of the claim, indication of amount involved referred to arbitration, brief description of proposal as to the number of arbitrators. and a proposal as to the number of the claim, indication of amount involved and The Claimant may treat Notice of Arbitration arbitrators. The Claimant may treat Notice a proposal as to the number of arbitrators. as the Statement of Claim. of Arbitration as the Statement of Claim. UNCITRAL Article 4(1): Within 30 days of receipt of the Notice of Arbitration, the Respondent shall submit a Response to the Notice of Arbitration. HKIAC Article 5.1: Within 30 days from receipt of the Notice of Arbitration the Respondent shall submit to the HKIAC Secretariat an Answer to the Notice of Arbitration. The Answer to the Notice of Arbitration shall include the details of the Respondent including address, the Respondents comments on the particulars set out in the Notice of Arbitration and the Respondents proposal for the number of arbitrators. HKIAC Article 5.4: The Respondent should where possible set out any counterclaim or set-off defence in the Answer to the Notice of Arbitration.

Article 1.2: The date of receipt by the registrar of the Request for Arbitration shall be treated as the date on which the arbitration has commenced.

Rule 3.1: A party wishing to commence arbitration must file a Notice of Arbitration with the Registrar. Rule 3.3: The date of the receipt of the Notice of Arbitration shall be deemed to be the date of commencement of the arbitration.

Article 1.1: A Request for Arbitration should include a brief statement describing the nature and circumstances of the dispute and specifying the claims advanced by the Claimant and proposal as to the number of arbitrators.

Rule 3.1: The Notice of Arbitration should include a demand the dispute be referred to arbitration, a brief statement setting out the nature and circumstances of the dispute, a reference to the contract and arbitration clause, and proposal as to the number of arbitrators. Article 2: Within 30 days of receiving the Rule 4.1: The Respondent shall send to Request for Arbitration the Respondent shall the Claimant a Response within 14 days send a written response to the Registrar. of receipt of the Notice of Arbitration. The Response should contain a confirmation or denial of all or part of the claim.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS www.iccarbitration.org Statement of Claim No statement of Claim / Case under the ICC / Statement of Rules. Case Article 4(3): The Request for Arbitration should set out details of claim including a description of the nature and circumstances of the dispute giving rise to the claim and a statement of the relief sought. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Article15.3: Within 30 days of receipt of the written notification from the Registrar of the formation of the Arbitral Tribunal the Claimant shall submit a Statement of Case. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 3.2: The Notice of Arbitration may also include the Statement of Claim. Rule 17.2: The Statement of Claim should include a statement of facts supporting the claim, the legal grounds or arguments supporting the claim, and the relief and remedy sought.

Statement of Defence

No Statement of Defence under the ICC Rules. Article 5(1): The Respondent shall file an Answer to the Statement of Claim within 30 days after request from Secretariat to do so. The Answer should include the Respondents comments to the nature and circumstances of the dispute and response to the relief sought. Article 5(5): Any counterclaim made by the Respondent shall be filed with its Answer to the Request for Arbitration.

Number of Arbitrators

Article 8(2): Where the parties have not agreed upon the number of arbitrators, the Court shall appoint a sole arbitrator, save where it appears to the Court the dispute warrants the appointment of three arbitrators.

Article 20(1): Statement of Claim to include a statement of facts supporting the claim, the points of issue, and the relief and remedy sought. Article 20(1): The Claimant may treat Notice of Arbitration as the Statement of Claim. If not, the Claimant must send to the Respondent and the Arbitrators the Statement of Claim within a period of time set by the Tribunal. Article 25: 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 45 days. Article 21(1): The Respondent may treat the Notice of Response as the Statement of Defence. If not, the Respondent must send to the Claimant and arbitrators the statement of defence within a period of time set by the Tribunal. Article 25: 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 45 days. Article 22: During the course of the Arbitral proceedings, a party may amend or supplement its claim or defence, including a counterclaim unless the Arbitral Tribunal considers it inappropriate with regards to delay or prejudice. Article 7: If by no later that 30 days following receipt of the Notice of Arbitration by the Respondent the parties have not agreed on the appointment of one arbitrator, three arbitrators shall be appointed.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my UNCITRAL Article 20(1): Statement of Claim to include a statement of facts supporting the claim, the points of issue, and the relief and remedy sought. UNCITRAL Article 20(1): The Claimant may treat Notice of Arbitration as the Statement of Claim. If not, the Claimant must send to the Respondent and the Arbitrators the Statement of Claim within a period of time set by the Tribunal.

UNCITRAL Article 21(1): The Respondent may treat its Notice of Response as the Statement of Defence. If not, the Respondent must send to the Claimant and arbitrators the Statement of Defence within a period of time set by the Tribunal.

Article 15.4: Within 30 days of receipt of the Statement of Case the Respondent shall send to the Registrar a Statement of Defence. Any counter claims should be submitted with the Statement of Defence.

Rule 4.2: The Response may also include the Statement of Defence. Rule 17.3: The Statement of Defence should respond to the matters raised in the Statement of Claim and set out a statement of facts supporting the Defence, contentions of law in the Statement of Claim it admits or denies, a response to the relief and remedy sought, and any counterclaim.

UNCITRAL Article 7: If by no later that 30 days following receipt of the Notice of Arbitration by the Respondent the parties have not agreed on the appointment of one arbitrator, three arbitrators shall be appointed.

HKIAC Article 6.1: If the parties have not agreed upon the number of arbitrators, the HKIAC Council shall at the request of a party decide whether the case shall be referred to a sole arbitrator or a three-member Arbitral Tribunal.

Article 5.4: A sole arbitrator shall be appointed unless the parties have agreed in writing otherwise, or the LCIA Court determines that in view of all of the circumstances of the case a three-member Tribunal is appropriate.

Rule 6.1: A sole arbitrator shall be appointed unless the parties have agreed otherwise, or given the complexities of the matter, the Registrar deems the dispute warrants the appointment of three arbitrators.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS Appointment of Arbitrators www.iccarbitration.org Article 9(2): The ICC Court may appoint or confirm arbitrators. The process is conducted through the ICC Secretariat. In the case of one arbitrator, where the parties cannot agree, the ICC Court appoints the arbitrator. Subject to the parties agreeing another procedure, in the case of three arbitrators, each party shall submit a candidate for confirmation. The chair of the Arbitral Tribunal is appointed by the ICC Court. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Article 5.5: The LCIA Court alone is empowered to appoint arbitrators. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 6.2: If the parties have agreed that any arbitrator is to be appointed by one or more of the parties, or by any third person including the arbitrators already appointed, that agreement shall be treated as an agreement to nominate an arbitrator under the SIAC Rules. Rule 6.3: In all cases, the arbitrators nominated by the parties, or by any third person including the arbitrators already appointed, shall be subject to appointment by the Chairman in his discretion.

Article 8(1): If the parties have agreed to appoint a sole arbitrator and if within 30 days after receipt by all parties of a proposal for the appointment of a sole arbitrator the parties have not reached agreement, at the request of a party the sole arbitrator will be appointed by the appointing authority (See Article 6 for the Designating and Appointing Authorities). Article 9(1): If three arbitrators are to be appointed, each party shall appoint one arbitrator. The two appointed arbitrators appoint the third arbitrator. Article 9(2): If within 30 days after receipt of a partys notification of the appointment of an arbitrator, the other party has not notified the first party of the arbitrator it has appointed, the first party may request the appointing authority to appoint the second arbitrator. Article 9(3): If within 30 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 the appointing authority (See Article 8).

Multi-Party Disputes

Article 10(1): Provides for multiple parties whether as a Claimant or Respondent. Article 10(2): Where multiple parties cannot agree a joint nomination of Arbitrator then the Court may appoint each Arbitrator and Chairman.

Article 10(1): Where three arbitrators are to be appointed and there are multiple parties as Claimant or Respondent, unless the parties have agreed to another method of appointment or arbitrators, the multiple parties shall jointly appoint the arbitrator.

Place of Arbitration Article 14(1): The place of the Arbitration shall be fixed by the Court, unless it has been agreed by the parties.

Article 18(1): Unless the parties have agreed upon the place where the arbitration is to be held, the place of arbitration shall be determined by the Arbitral Tribunal.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my Rule 3(1): Unless the parties have HKIAC Article 7.1: Where the parties have agreed otherwise, the KLRCA shall be the agreed that the dispute shall be referred appointing authority under the following to a sole arbitrator, they shall designate circumstances: the arbitrator within 30 days from the (a) if within 40 days from the date the latest of either the date when the Notice of Notice of Arbitration is received by the Arbitration was received by the Respondent respondent, no appointing authority has and the date the parties agreed the dispute been designated; or should be referred to a sole arbitrator. (b) it has been agreed by the parties. HKIAC Article 7.2: If the parties fail to Rule 3(2): Where the KLRC is to appoint designate the sole arbitrator within the a sole, presiding, second or substitute applicable time limit, the HKIAC Council shall arbitrator, the Director of the KLRCA shall appoint the sole arbitrator. appoint the arbitrator. HKIAC Article 8.1: Where the dispute is Rule 3(3): Where the appointing authority referred to three arbitrators, each party agreed by the parties fails to constitute the shall designate one arbitrator. The two tribunal within 30 days of a request of any appointed arbitrators then designate the party made under UNCITRAL Article 10(3), third arbitrator. the Director of the KLRCA shall constitute HKIAC Article 8.1(a): Where a party fails to the arbitral tribunal. appoint an arbitrator within 30 days after it receives notification of the other partys appointment of an arbitrator or within the time limit set by the parties agreement, the HKIAC shall appoint the second arbitrator. HKIAC Article 8.1(b): If the arbitrators fail to appoint the third arbitrator within 30 days or within the time limit set by the parties, the HKIAC Council will appoint the presiding arbitrator. UNCITRAL Article 10(1): Where three HKIAC Article 8.2(a): Where a dispute arbitrators are to be appointed and there are between more than one Claimant and one multiple parties as Claimant or Respondent, Respondent is referred to a three-member unless the parties have agreed to another Arbitral Tribunal, unless the parties have method of appointment or arbitrators, the agreed otherwise, the HKIAC Secretariat multiple parties shall jointly appoint the shall set an initial 30 day time limit for the arbitrator. Claimants and Respondents to designate an arbitrator. HKIAC Article 8.2(c): Where the Claimants or Respondents fail to appoint an arbitrator within the prescribed time limit, the HKIAC Council shall appoint the arbitrator. HKIAC Article 14.6: The Arbitral Tribunal shall have the power to allow upon the application of one of the parties, one or more third parties providing such third party has agreed in writing to join the proceedings. Rule 4: The Director of the KLRCA shall, at HKIAC Article 15.1: The seat of all the request or either party, make or arrange arbitrations conducted under the such facilities and assistance for the conduct HKIAC Rules is the Hong Kong Special of the Arbitral Tribunal. Administrative Region of the Peoples Republic of China.

Article 22.1(h): The Arbitral Tribunal may upon the application of a party, allow one or more third parties to be joined in the arbitration as a party provided any such third party and the applicant party have consented thereto in writing.

Rule 9.1: Where there are more than two parties in the arbitration, and three arbitrators are to be appointed, the Claimant shall jointly nominate one arbitrator and the Respondent shall jointly nominate one arbitrator. In the absence of such joint nominations having been made within 28 days of the filing of the Notice of Arbitration, the Chairman shall appoint all three arbitrators, one of whom shall act as presiding arbitrator.

Article 16: The parties may agree in writing the seat (or legal place) of the arbitration. If the parties fail to agree the seat of arbitration, the seat of the arbitration shall be London.

Rule 18.1: The parties may agree the seat of arbitration. Failing such an agreement, the seat of arbitration shall be in Singapore, unless the Tribunal determines, having regard to all of the circumstances of the case, that another seat is more appropriate.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS Language of the Arbitration www.iccarbitration.org Article 16: If not agreed by the parties, the Arbitral Tribunal shall determine the language of the arbitration taking into account provisions of the contract. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Article 17.1: The language of the Arbitration shall be the language of the Arbitration Agreement. Article 17.3: Unless the parties have agreed upon the language or languages of the arbitration, the Arbitration Tribunal shall decide upon the language of the arbitration. Article 16.3: The law applicable to the arbitration (if any) shall be the arbitration law of the seat of the arbitration, unless the parties have agreed in writing on the application of another arbitration law and such agreement is not prohibited by the law of the Arbitral seat. Article 22.3: The Arbitral Tribunal shall decide the parties dispute based upon the law chosen by the parties. Where the parties have not agreed the law to be applied to the dispute, the Arbitral Tribunal shall apply what rules of law it considers appropriate. Not applicable for LCIA Arbitrations. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 19.1: Unless the parties have agreed otherwise, the Tribunal shall determine the language to be used in the proceedings.

Law to be applied by the Arbitral Tribunal to the merits and substance of the dispute

Article 17(1): If not agreed by the parties, the Arbitral Tribunal shall apply the rules of law that it determines appropriate.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my Article 19(1): Subject to agreement by UNCITRAL Article 19(1): Subject to HKIAC Article 16.1: Subject to the the parties the Tribunal shall determine the agreement by the parties the Tribunal shall agreement of the parties, the Arbitral language of the arbitration. determine the language of the arbitration. Tribunal shall determine the language to be used in the proceedings. HKIAC Article 16.2: The Arbitral Tribunal may order any of the documents annexed to the Statement of Claim or Defence to be accompanied by a translation. Article 35(1): The Arbitral Tribunal shall UNCITRAL Article 35(1): The Arbitral HKIAC Article 31.1: The Arbitral Tribunal apply the rules of law chosen by the parties, Tribunal shall apply the rules of law chosen shall apply the rules of law chosen by the failing such agreement the Tribunal shall by the parties, failing such agreement parties, failing such agreement the Tribunal apply the law which it determines to be the Tribunal shall apply the law which it shall determine the law of the dispute which appropriate. determines to be appropriate. it determines to be appropriate.

Rule 27.1: The Tribunal shall apply the rules of law designated by the parties as applicable to the substance of dispute. Failing such designation by the parties, the Tribunal shall apply the law which it determines to be appropriate.

Terms of Reference Article 18: A summary of the claim and & Procedural issues in dispute and particulars of the Timetable procedure is prepared by the Tribunal and signed by both parties at the outset of the proceedings. The use of Terms of Reference is not optional.

Not applicable under UNCITRAL Arbitration Not applicable for KLRCA Arbitrations. Rules. Note: Rule 5: The arbitral tribunal may conduct the arbitration in such a manner as it considers appropriate and unless the parties to the arbitration agree otherwise, limit the time available for each party to present its case. Establishing the Article 20(2): After consideration of Article 27(1): Each party has the burden of UNCITRAL Article 27(1): Each party has Facts of the Case / written submissions the Tribunal may hear proving the facts relied upon in support of the burden of proving the facts relied upon The Evidence oral submissions at the request of the its claim or defence. in support of its claim or defence. parties or on its own motion. Article 27(3): The Arbitral Tribunal may UNCITRAL Article 27(3): The Arbitral Silent on how evidence should be gathered, require the parties to produce documents Tribunal may require the parties to produce presented and received. and other evidence within such a period of documents and other evidence within such time as the Tribunal determines. a period of time as the Tribunal determines. Article 27(4): The Arbitral Tribunal shall UNCITRAL Article 27(4): The Arbitral determine the admissibility, relevance, Tribunal shall determine the admissibility, materiality and weight of the evidence relevance, materiality and weight of the offered. evidence offered. Article 30(3): If a party, after invited by UNCITRAL Article 30(3): If a party, duly the Arbitral Tribunal to produce documents, invited by the Arbitral Tribunal to produce exhibits or other evidence, fails to do so documents, exhibits or other evidence, fails within the established period of time, to do so within the established period of without showing sufficient cause, the time, without showing sufficient cause, the Arbitral Tribunal shall make the award on the Arbitral Tribunal shall make the award on the evidence before it. evidence before it.

Not applicable for HKIAC Arbitrations.

Not applicable to SIAC Arbitrations.

HKIAC Article 23.1: Each party shall have the burden of proving the facts relied on to support its claim or defence.

Article 19.1: Any party has a right to be heard orally before the Arbitral Tribunal unless the parties have agreed in writing to a documents-only arbitration.

Rule 16.2: The Tribunal shall determine the relevance, materiality and admissibility of all evidence. Evidence need not be admissible in law. Rule 16.4: The Tribunal may in its discretion direct the order of proceedings, bifurcate proceedings, exclude cumulative or irrelevant testimony or other evidence and direct the parties to focus their presentations on issues the decision of which could dispose of the case. Rule 16.6: All statements, documents or other information supplied to the Tribunal by one party shall simultaneously be communicated to the other party.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS Documentary Evidence www.iccarbitration.org Article 20(6): The Arbitral Tribunal may decide the case solely on the documents submitted by the parties unless any of the parties requests a hearing. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Article 19.1: The parties may agree in writing to have a documents-only arbitration. Any party has the right to be heard orally before the Arbitral Tribunal. Article 15.6: Both the Statement of Case and Response shall be accompanied by copies of all essential documents upon which the party relies, unless they are too voluminous, at which point they should be submitted by list. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 16.6: All statements, documents or other information supplied to the Tribunal by one party shall simultaneously be communicated to the other party.

Oral Hearings

Article 27(3): The Arbitral Tribunal may require the parties to produce documents and other evidence within such a period of time as the Tribunal determines. Article 27(4): The Arbitral Tribunal shall determine the admissibility, relevance, materiality and weight of the evidence offered. Article 30(3): If a party, after invited by the Arbitral Tribunal to produce documents, exhibits or other evidence, fails to do so within the established period of time, without showing sufficient cause, the Arbitral Tribunal shall make the award on the evidence before it. Article 20(2): After consideration of Article 28(1): In the event of an oral written submissions the Tribunal may hear hearing, the Arbitral Tribunal shall give the oral submissions at the request of the parties adequate advance notice of the date, parties or on its own motion. time and place of the hearing. Article 21(1): When a hearing is to be held, Article 28(3): Hearings will be held in the Arbitral Tribunal will give reasonable private unless the parties agree otherwise. notice and summon the parties to appear before it on a day fixed by it.

Default & Non Attendance

Article 21(2): If any parties, although duly summoned, fails to appear without a valid excuse, the Arbitral Tribunal has the power to proceed with the hearing.

Article 30: If within a period of time fixed by the UNCITRAL Rules or the Arbitral Tribunal: (1): The Claimant has failed to communicate its Statement of Claim, the Arbitral Tribunal shall issue and order terminating the Arbitral proceedings, unless there are other remaining matters, such as a counter claim. (2): The Respondent has failed to communicate its response to the Notice of Arbitration or its Statement of Defence, the Arbitral Tribunal shall order the proceedings to continue, without treating such failure as an admission of the Claimants allegations. Article 30(2): If a party, duly notified under the Rules, fails to appear at a hearing, without showing sufficient cause for such failure, the Arbitral Tribunal may proceed with the arbitration. Article 30(3): If a party, duly invited by the Arbitral Tribunal to produce documents, exhibits or other evidence, fails to do so within the established period of time, without showing sufficient cause for such failure, the Arbitral Tribunal may make an award on the evidence before it.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my UNCITRAL Article 27(3): The Arbitral HKIAC Article 23.3: At any time during Tribunal may require the parties to produce the Arbitral proceedings the Arbitral documents and other evidence within such Tribunal may require the parties to produce a period of time as the Tribunal determines. documents or other evidence. The Arbitral UNCITRAL Article 27(4): The Arbitral Tribunal shall have the right to admit or Tribunal shall determine the admissibility, exclude any document, witness evidence or relevance, materiality and weight of the other evidence. evidence offered. HKIAC Article 23.10: The Arbitral Tribunal UNCITRAL Article 30(3): If a party, after shall determine the admissibility, relevance, invited by the Arbitral Tribunal to produce materiality and weight of any matter and documents, exhibits or other evidence, fails whether or not to apply the strict rules of to do so within the established period of evidence. time, without showing sufficient cause, the Arbitral Tribunal shall make the award on the evidence before it. UNCITRAL Article 28(1): In the event of HKIAC Article 23.4: In the event of an oral an oral hearing, the Arbitral Tribunal shall hearing, the arbitral tribunal shall give the give the parties adequate advance notice of parties adequate advance notice of the date, the date, time and place of the hearing. time and place of the hearing. UNCITRAL Article 28(3): Hearings will HKIAC Article 23.7: Hearings shall be held be held in private unless the parties agree in private unless the parties agree otherwise. otherwise. Rule 5: The Arbitral Tribunal may conduct the arbitration in such a manner as it considers appropriate and unless the parties to the arbitration agree otherwise, limit the time available for each party to present its case. UNCITRAL Article 30: If within a period HKIAC Article 26.1: If within a period of of time fixed by the UNCITRAL Rules or the time set by the Arbitral Tribunal the Claimant Arbitral Tribunal: has failed to communicate its Statement (1): The Claimant has failed to communicate of Claim without showing sufficient cause its Statement of Claim, the Arbitral Tribunal for such failure, the Arbitral Tribunal shall shall issue and order terminating the issue an order for the termination of the Arbitral proceedings, unless there are other Arbitral Proceedings unless the Respondent remaining matters, such as a counter claim. has brought a counterclaim and wishes the (2): The Respondent has failed to Arbitration to continue. communicate its response to the Notice of HKIAC Article 26.1: If, within the period Arbitration or its Statement of Defence, the of time set by the Arbitral Tribunal, the Arbitral Tribunal shall order the proceedings Respondent has failed to communicate its to continue, without treating such failure as Statement of Defence without showing an admission of the Claimants allegations. sufficient cause for such failure, the Arbitral UNCITRAL Article 30(2): If a party, duly Tribunal may proceed with the Arbitration. notified under the Rules, fails to appear at a hearing, without showing sufficient cause for such failure, the Arbitral Tribunal may proceed with the arbitration. UNCITRAL Article 30(3): If a party, duly invited by the Arbitral Tribunal to produce documents, exhibits or other evidence, fails to do so within the established period of time, without showing sufficient cause for such failure, the Arbitral Tribunal may make an award on the evidence before it.

Article 19.1: Any party that expresses a Rule 21.1: Unless the parties have agreed desire has the right to be heard orally before on a documents only arbitration, the the Arbitral Tribunal. Tribunal shall, if either party so requests or the Tribunal so decides, hold a hearing for the presentation of evidence and/or for oral submissions on the merits of the dispute. Rule 22.2: The Tribunal has discretion to allow, refuse or limit the appearance of witnesses.

Article 15.8: If the Respondent fails to submit a Statement of Defence or the Claimant a Statement of Defence to Counterclaim, or if at any point any party fails to avail itself of the opportunity to present its case as directed by the LCIA Rules or Arbitral Tribunal, the Arbitral Tribunal may nevertheless proceed with the arbitration and make an award.

Rule 17.8: If the Claimant fails within the time specified to submit its Statement of Claim, the Tribunal may issue an order for the termination of the Arbitral Proceedings or give such other directions as may be appropriate. Rule 17.9: If the Respondent fails to submit a Statement of Defence, or if at any point any party fails to avail itself of the opportunity to present its case in a manner directed by the Tribunal, the Tribunal may proceed with the arbitration. Rule 21.3: If any party to the proceedings fails to appear at a hearing without showing sufficient cause for such failure, the Tribunal may proceed with the arbitration and may make the award based on the submissions and evidence before it.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS Interim Measures www.iccarbitration.org Article 23(1): Unless the parties have otherwise agreed, as soon as the file has been transmitted to it, the Arbitral Tribunal may order any interim or conservatory measure it deems appropriate. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 26.1: The Tribunal may at the request of a party, issue an order or an award granting any interim relief it deems appropriate. The Tribunal may order the party requesting interim relief to provide appropriate security in connection with the relief sought.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my Article 26(1): At the request of either party UNCITRAL Article 26(1): At the request of HKIAC Article 24.1: At the request of the Tribunal may grant interim measures, either party the Tribunal may grant interim either party the Arbitral Tribunal may order including the preservation of assets and measures, including the preservation of any interim measures it deems necessary or maintaining the status quo pending the assets and maintaining the status quo appropriate. determination of the dispute. pending the determination of the dispute. HKIAC Article 24.4: The Arbitral Tribunal has the discretion to apportion the costs relating to a request for interim measures in an order, interim award or final award.

Security of Costs

Article 23(1): Unless the parties have otherwise agreed, as soon as the file has been transmitted to it, the Arbitral Tribunal may order any interim or conservatory measure it deems appropriate.

Confidentiality

Timing of the Award

The Rules do not provide for the parties to keep the award confidential, however, Article 6 of the Statues of the International Court of Arbitration provides that the work of the Court is confidential in nature which must be respected by everyone who participates in that work in whatever capacity. Article 24(1): Final Award must be No prescribed time limit for delivering the rendered within 6 months. This time limit award. will run from the date of the last signature by the Arbitral Tribunal or by the parties to the Terms of Reference. Article 24(2): The Court may extend the six months time limit pursuant to a reasoned request from the Arbitral Tribunal or on its own initiative.

www.lcia-arbitration.com Article 25: The Tribunal shall have the power, unless otherwise agreed by the parties to order a party to a claim or counterclaim to provide security for all or part of the amount in dispute, order the preservation, storage or disposal of any property under the control of the parties and relating to the subject matter of the arbitration and on a provisional basis, subject to the final determination in an award grant any relief the Arbitral Tribunal would have the power to grant in an award. Article 26(1): At the request of either party UNCITRAL Article 26(1): At the request of HKIAC Article 24.1: At the request of Article 25.2: The Arbitral Tribunal has the the Tribunal can grant interim measures either party the Tribunal can grant interim either party the Arbitral Tribunal may order power, upon the application of a party, including the preservation of assets. measures, including the preservation of any interim measures it deems necessary or to order any claiming or counterclaiming assets and maintaining the status quo appropriate. party to provide security for the legal costs pending the determination of the dispute. or other costs of any other party by way of deposit, bank guarantee or in any other manner the Arbitral Tribunal considers appropriate. Article 34(5): The award may be made Rule 10: The Arbitral Tribunal, the parties HKIAC Article 39.3: The award may be Article 30.1: Unless the parties agree public with the consent of both parties. and the KLRCA shall keep all matters relating published only if a request for publication in writing to the contrary, the parties to the arbitration confidential, except where is addressed to the HKIAC Secretariat and undertake to keep confidential all matters its disclosure is necessary for the purposes all reference to names and addresses have regarding the arbitration. of implementation and enforcement. been deleted. Article 3.3: The LCIA Court does not publish any award or any part of the award without the prior written consent of the parties. No prescribed time limit for delivering the award.

Rule 26.1: The Tribunal may at the request of a party, issue an order or an award granting any interim relief it deems appropriate. The Tribunal may order the party requesting interim relief to provide appropriate security in connection with the relief sought. Rule 35.1: The parties and the Tribunal shall at all times treat all matters relating to the proceedings and the award as confidential.

Decision of the Arbitrators

Rule 6(1): The Arbitral Tribunal shall render its final award within a period which is limited to three months from the date of delivery of the closing oral submissions or written statements. This limit may be extended by the arbitral tribunal with the consent of the parties, or in the absence of consent, by the Director of the KLRCA in consultation with the arbitral tribunal and the parties. Article 25(1): When the Arbitral Tribunal is Article 33(1): Where there is more than UNCITRAL Article 33(1): Where there is composed of more than one arbitrator, an one arbitrator, the decision of the Arbitral more than one arbitrator, the decision of award is given by the majority decision. If Tribunal shall be made by the majority of the the Arbitral Tribunal shall be made by the there is no majority, the award shall be made arbitrators. majority of the arbitrators. by the Chairman of the Arbitral Tribunal alone.

No prescribed time limit for delivering of the Rule 28.2: Before issuing the award, the award. Tribunal shall submit it in draft form to the Registrar. Unless the Registrar extends time or the parties agree otherwise, the Tribunal shall submit the draft award to the Registrar within 45 days from the date the proceedings closed. No award shall be issued by the Tribunal until it has been approved by the Registrar. Rule 28.5: Where there is more than one arbitrator, the Tribunal shall decide by a majority. Failing a majority decision, the presiding arbitrator alone shall make the award for the Tribunal.

Communication of the Award

HKIAC Article 29.1: Where there are three Article 26.3: Where there are three arbitrators any award or other decision shall arbitrators and the Arbitral Tribunal fails be made by the majority of the arbitrators. to agree on any issue, the arbitrators shall decide that issue by majority. Failing a majority decision on any issue, the Chairman of the Arbitral Tribunal shall decide that issue. Article 27(1): Before signing any Award, Article 34(6): Copies of the award signed Rule 6(2): The Arbitral Tribunal shall furnish HKIAC Article 30.4: The award must be Article 26.5: The sole arbitrator or chairman the Arbitral Tribunal shall submit a draft form by the arbitrators shall be communicated to the Director of the KLRCA with a signed signed by all of the arbitrators. shall be responsible for delivering the award to the Court. The Award is not rendered the parties by the Arbitral Tribunal. copy of the award made by it, including any HKIAC Article 30.5: An award shall be to the LCIA, which in turn will transmit by the Arbitral Tribunal until it has been interim or interlocutory award. affixed with the seal of the HKIAC. certified copies to the parties provided that approved by the Court. the costs of the arbitration have been paid Article 28(1): Once an Award has been to the LCIA. made, the Secretariat shall notify the parties of the decision of the Arbitral Tribunal.

Rule 28.6: The award shall be delivered to the Registrar, who shall transmit certified copies to the parties upon the full settlement of the costs of arbitration.

COMPARISON OF ARBITRATION RULES


ICC INTERNATIONAL CHAMBER OF COMMERCE PARIS Remedying of Omissions www.iccarbitration.org Article 29(1): On its own initiative, the Arbitral Tribunal may correct a clerical, computation or typographical error, provided such correction is submitted for approval to the Court within 30 days of the date of such Award. Article 29(2): The parties may apply for the correction of a clerical, computation or typographical error, providing such application is made to the Secretariat within 30 days of receipt of the Award by the Tribunal. UNCITRAL www.uncitral.org KLRCA HKIAC LCIA LONDON COURT OF INTERNATIONAL ARBITRATION www.lcia-arbitration.com Article 27.1: Within 30 days of receipt of the award (or lesser period agreed by the parties) a party may by written notice to the Registrar and copied to all parties request the Arbitral Tribunal correct in the award any errors in computation, clerical or typographical errors or any errors of a similar nature. SIAC SINGAPORE INTERNATIONAL ARBITRATION CENTRE www.siac.org.sg Rule 29.1: Within 30 days of receipt of the award, a party may by written request to the Registrar request the Tribunal to correct in the award any error in computation, any clerical or typographical error or error of a similar nature. If the arbitral tribunal considers the request justified it shall make the correction in 30 days.

Appeal

Costs

Article 38(1): Within 30 days of 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 and any clerical or typographical errors. Article 38(2): If the Arbitral Tribunal consider the corrections are justified it must make the corrections within 45 days of receipt of the request. Article 39(1): Within 30 days after receipt of the award, either party, with notice to the other party, may request the Arbitral Tribunal make an additional award as to claims presented in the Arbitral proceedings but omitted from the award. Article 39(2): If the Arbitral Tribunal considers the request justified, it shall make the additional award within 60 days of receipt of the request. Article 28(6): All awards shall be binding Article 34(2): All awards shall be made in on the parties. By submitting the dispute to writing and shall be final and binding on all arbitration under these Rules, the parties parties. undertake to carry out any Award without delay and shall be deemed to have waived their right to any form of recourse. Article 30(2): As soon as practicable, the Article 40: The Arbitral Tribunal shall fix the Court shall fix the advance on costs in an costs of the arbitration in the final award. amount likely to cover fees and expenses of Article 42: The costs of the arbitration shall the arbitrators and the ICC administrative in principle be borne by the unsuccessful costs for the claims and counterclaims which party. However, the Arbitral Tribunal may have been referred to it by the parties. award apportion costs as it considers Article 31(1): The costs of the arbitration reasonable taking into account the shall include the fees and expenses of circumstances of the case. the arbitrators and the ICC administrative Article 43(1): On its establishment the expenses fixed by the Court. Arbitral Tribunal may request the parties Article 31(3): The final award shall fix deposit an equal amount as an advance on the costs of the arbitration and decide costs. which of the parties shall bear them or in what proportion they shall be borne by the parties.

MALAYSIA - KUALA LUMPUR REGIONAL HONG KONG INTERNATIONAL CENTRE FOR ARBITRATION www.hkiac.org www.rcakl.org.my UNCITRAL Article 38(1): Within 30 days HKIAC Article 34.1: Within 30 days after of receipt of the award, either party, with receipt of the award, either party, with notice to the other party may request the notice to the other party, may request the Arbitral Tribunal to correct in the award any Arbitral Tribunal to correct any errors in errors in computation and any clerical or computation, clerical or typographical errors typographical errors. in the award. Article 38(2): If the corrections are justified the Arbitral Tribunal shall make the corrections within 45 days of receipt of the request. UNCITRAL Article 39(1): Within 30 days after receipt of the award, either party, with notice to the other party, may request the Arbitral Tribunal make an additional award as to claims presented in the Arbitral proceedings but omitted from the award. Article 39(2): If the Arbitral Tribunal considers the request justified, it shall make the additional award within 60 days of receipt of the request. UNCITRAL Article 34(2): All awards shall HKIAC Article 30.2: Awards shall be final be made in writing and shall be final and and binding. binding on all parties.

Arbitrators Fees / Institutions Costs

Article 31(1): The costs of the arbitration shall include the fees and expenses of the arbitrators and the ICC administrative expenses fixed by the Court. Set out in the Scales of Administrative Expenses and Arbitrators Fees found at Appendix III of the ICC Rules.

Article 41(1): The fees of the Arbitral Tribunal shall be reasonable in amount, taking into account the amount in dispute.

Expedited Procedure

No.

No.

Article 26.9: All awards shall be final and binding on the parties. By agreeing to arbitration under the LCIA Rules the parties irrevocably waive their right to any form of appeal, review or recourse to any state court or other judicial authority. UNCITRAL Article 40: The Arbitral Tribunal HKIAC Article 36.1: The Arbitral Tribunal Article 28.1: The costs of the Arbitration shall fix the costs of the arbitration in the shall determine the costs of the arbitration (other than the legal or other costs incurred final award. in its award. by the parties) shall be determined by the UNCITRAL Article 42: The costs of the HKIAC Article 36.4: The costs shall in LCIA in accordance with Schedule of Costs arbitration shall in principle be borne by the principle be borne by the unsuccessful party. set by the LCIA. The parties are jointly and unsuccessful party. However, the Arbitral The Arbitral Tribunal may apportion all or severally liable to the Arbitral Tribunal and Tribunal may award apportion costs as it part of the costs as is reasonable. the LCIA for the Arbitration costs. considers reasonable taking into account Article 28.3: The Arbitral Tribunal shall have the circumstances of the case. the power to order in its award al or part of Rule 7(1): The term costs shall also include the legal costs incurred by a party to be paid the expenses reasonably incurred by the by another party. KLRCA in connection with the arbitration as well as its administrative charges. Rule 7(3): The administrative charges of the KLRCA shall be fixed by the Director of the KLRCA in accordance with the Costs of Arbitration prescribed by the KLRCA. Rule 7(1): The term costs shall also include HKIAC Article 36.1: The costs of the Article 28.1: The costs of the Arbitration the expenses reasonably incurred by the arbitration shall include the fees of the (other than the legal or other costs incurred KLRCA in connection with the arbitration as Arbitral Tribunal including the travel and by the parties) shall be determined by the well as its administrative charges. other expenses incurred by the arbitrators. LCIA in accordance with Schedule of Costs Rule 7(4): The fees of the Arbitral Tribunal set by the LCIA. The parties are jointly and and KLRCAs administrative charges may, severally liable to the Arbitral Tribunal and in exceptional or unusual or unforeseen the LCIA for the Arbitration costs. circumstances, be adjusted at the discretion of the Director of the KLRCA. No. Yes. No. HKIAC Article 38.1: Shall apply to all cases in which the amount in dispute representing the aggregate of the claim and counterclaim does not exceed USD250,000.00.

Rule 28.9: The award shall be final and binding on the parties from the date it is made.

Rule: 31.1: The Tribunal shall specify in the award, the total amount of the costs of the arbitration. Unless the parties have agreed otherwise, the Tribunal shall determine in the award the apportionment of the costs of arbitration among the parties.

Rule 30.1: The Tribunals fees and Centres fees shall be ascertained in accordance with the Schedule of Fees in force at the time of commencement of the arbitration.

Yes. Rule 5: Where a dispute does not exceed S$5 million a party may apply by written application for the arbitration to be conducted under the Expedited Procedure.

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