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Appendices, Appendix 8 2010 UNCITRAL Arbitration Rules (with new Article 1, paragraph 4, as adopted in 2013) »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking

Appendices, Appendix 3 A Comparison of the 2014 ICDR Rules Versus the 2009 ICDR Rules »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking

A Guide to the ICDR International Arbitration Rules »

Martin F Gusy, James M Hosking, Franz T Schwarz

A Guide to the ICDR International Arbitration Rules »

Martin F. Gusy, James M. Hosking

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

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz

Appendices, Appendix 4 AAA Commercial Arbitration Rules and Mediation Procedures (including Procedures for Large, Complex, Commercial Disputes)(effective 1 October 2013) »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking

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

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz

Appendices, Appendix 9 AAA Procedures for Cases under the UNCITRAL Arbitration Rules (effective August 1996) »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking

Part I Commentary on the ICDR International Rules, 10 Article 10—Notices »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter looks at Article 10 of the ICDR Rules. Both the arbitral tribunal and the parties to an arbitration must communicate in an effective and pre-agreed manner to ensure the smooth conduct of arbitral proceedings. Article 10(1) addresses the practicalities regarding notification of all communications between the parties. Notably, it addresses the variety of forms of modern communication, paying particular attention to forms of electronic communication. Likewise, Article 10(1) is drafted in sufficiently broad terminology that permits the parties and the tribunal to communicate in a variety of ways. Meanwhile, Article 10(2) provides the framework for calculating periods of time and time limits under the Rules. By specifically defining when notice periods begin to run, and anticipating holiday and other interruptions, Article 10(2) pre-empts possible dilatory tactics and sets the parties’ expectations for prompt notification, service of documents, and other communications that are essential to the timely and effective functioning of an arbitration.

10 Article 10—Replacement of an Arbitrator (Articles 10 and 11) »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
If an arbitrator withdraws after a challenge, or the administrator sustains the challenge, or the administrator determines that there are sufficient reasons to accept the resignation of an arbitrator, or an arbitrator dies, a substitute arbitrator shall be appointed pursuant to the provisions of Article 6, unless the parties otherwise agree. 10.01 Following the creation of a vacancy on the tribunal addressed in Articles 8 and 9, Articles 10 and 11 address the replacement of an arbitrator and its consequences, such as a repetition of prior proceedings. This...

Part I Commentary on the ICDR International Rules, 11 Article 11—Number of Arbitrators »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter assesses Article 11 of the ICDR Rules. One of the first questions that parties in arbitration must consider when constituting a tribunal is the number of arbitrators that will resolve their dispute. In most cases, this will be addressed either by an explicit agreement between the parties or, failing that, by the parties’ adoption of institutional rules that cover this issue. Where the parties do not select the number of arbitrators by agreement and also do not select a set of governing institutional rules, they will face default provisions of national arbitration laws. Article 11 provides a straightforward default rule that respects party autonomy but, absent party agreement, vests the determination of the number of arbitrators in the Administrator. In that respect, the presumption is that for reasons of procedural efficiency there will be a sole arbitrator unless the ‘size, complexity or other circumstances’ dictate that three arbitrators is appropriate.

11 Article 11—Replacement of an Arbitrator (Articles 10 and 11) »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
1. If an arbitrator on a three-person tribunal fails to participate in the arbitration for reasons other than those identified in Article 10, the two other arbitrators shall have the power in their sole discretion to continue the arbitration and to make any decision, ruling or award, notwithstanding the failure of the third arbitrator to participate. In determining whether to continue the arbitration or to render any decision, ruling or award without the participation of an arbitrator, the two other arbitrators shall take into account the stage of the arbitration,...

Part I Commentary on the ICDR International Rules, 12 Article 12—Appointment of Arbitrators »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter addresses Article 12 of the ICDR Rules, which sets out the default procedures for selecting the arbitrator(s). It is a hallmark of arbitration that the parties can agree on the process of selection and, in many cases, choose the specific arbitrators best suited to resolving the dispute. This differs from national courts systems, within which existing judges—permanently installed—hear randomly assigned cases. In arbitration, the parties compose the tribunal according to their agreement, the particular arbitration rules chosen, and the applicable law. The parties’ agreement on the procedure to constitute the tribunal is often contained in the arbitration agreement. If not contained therein, the ICDR Rules stipulate important procedural safeguards and substantive mechanisms for the appointment of their arbitrators in the event that the parties cannot agree on the process.

12 Article 12—Representation »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
Any party may be represented in the arbitration. The names, addresses, and telephone numbers of representatives shall be communicated in writing to the other parties and to the administrator. Once the tribunal has been established, the parties or their representatives may communicate in writing directly with the tribunal. 12.01 Although some jurisdictions have traditionally placed restrictions on who can appear on behalf of the parties in an arbitration proceeding conducted on its territory,1 there is a clear trend in international arbitration towards allowing the...

Part I Commentary on the ICDR International Rules, 13 Article 13—Impartiality and Independence of Arbitrator »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter explores Article 13, which requires that arbitrators in ICDR disputes shall be impartial and independent. The importance of impartiality and independence is significant. These notions affect the very core of arbitration, including the selection of arbitrators and the subsequent process for challenging arbitrators, and even provide a potential basis for seeking to annul the resulting award. To assess an arbitrator’s independence and impartiality, Article 13 requires broad and continuous disclosure—‘at any stage during the arbitration’—which also allows the parties to determine whether they wish to challenge a named arbitrator using the procedure set out in Article 14. Ultimately, the requirements of impartiality and independence seek to ensure the integrity of the arbitral process and emanate from the arbitrators’ judicial function in resolving the dispute.

13 Article 13—Place of Arbitration »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
1. If the parties disagree as to the place of arbitration, the administrator may initially determine the place of arbitration, subject to the power of the tribunal to determine finally the place of arbitration within 60 days after its constitution. All such determinations shall be made having regard for the contentions of the parties and the circumstances of the arbitration. 2. The tribunal may hold conferences or hear witnesses or inspect property or documents at any place it deems appropriate. The parties shall be given sufficient written notice to enable them...

Part I Commentary on the ICDR International Rules, 14 Article 14—Challenge of an Arbitrator »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter studies Article 14 of the ICDR Rules, which sets forth a procedure for challenging arbitrators for lack of impartiality or independence. Article 14 provides that one may challenge an arbitrator ‘whenever circumstances exist that give rise to justifiable doubts as to the arbitrator’s impartiality or independence’ and establishes the challenge procedure itself. If the parties do not agree on the merits of the challenge and if the arbitrator does not voluntarily withdraw, it is for the ICDR, in its sole discretion, to decide the challenge. After the ICDR reviews the parties’ submissions and arbitrator’s comments, the Administrator ordinarily resolves the challenge quickly. If the challenge is rejected, the arbitration will proceed. If the challenge is granted, the arbitrator will be replaced pursuant to Article 15. Typically, the ICDR’s decision is final and the parties have no ability to object.

14 Article 14—Language »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
If the parties have not agreed otherwise, the language(s) of the arbitration shall be that of the documents containing the arbitration agreement, subject to the power of the tribunal to determine otherwise based upon the contentions of the parties and the circumstances of the arbitration. The tribunal may order that any documents delivered in another language shall be accompanied by a translation into the language(s) of the arbitration. 14.01 Article 14 recognizes as binding the parties’ agreement, in the arbitration clause or otherwise, on a particular language...

15 Article 15—Pleas as to Jurisdiction »

From: A Guide to the ICDR International Arbitration Rules
Martin F Gusy, James M Hosking, Franz T Schwarz
1. The tribunal shall have the power to rule on its own jurisdiction, including any objections with respect to the existence, scope or validity of the arbitration agreement. 2. The tribunal shall have the power to determine the existence or validity of a contract of which an arbitration clause forms a part. Such an arbitration clause shall be treated as an agreement independent of the other terms of the contract. A decision by the tribunal that the contract is null and void shall not for that reason alone render invalid the arbitration clause. 3. A party must...

Part I Commentary on the ICDR International Rules, 15 Article 15—Replacement of an Arbitrator »

Martin F Gusy, James M Hosking
From: A Guide to the ICDR International Arbitration Rules (2nd Edition)
Martin F. Gusy, James M. Hosking
This chapter discusses Article 15 of the ICDR Rules, which addresses the replacement of an arbitrator and its consequences, such as a repetition of prior proceedings. This involves a delicate balancing act: a substitute arbitrator must be able to consider all of the details of the case, while the parties may want to avoid starting the case over or repeating significant portions of the proceedings because doing so creates time and cost burdens. Article 15(3) further provides for the possibility of a truncated tribunal in certain circumstances. Importantly, the application of Article 15(1) applies to a broad range of circumstances where: an arbitrator resigns; an arbitrator is incapable of performing the duties of an arbitrator; or an arbitrator is removed for any reason and the office becomes vacant.