Comparison of International Arbitration Rules - Fifth Edition
Expected Spring 2020! Pre-order Now!
The International Arbitration Team at Hogan Lovells LLP continues the work started by colleagues at Simpson Thacher & Bartlett LLP in compiling the current prevailing rules that guide arbitration proceedings throughout major centers across the world. The publication is an invaluable resource for all lawyers as it provides the most up-to-date comparison. Whether you are helping clients draft arbitration provisions for contracts; advising sovereign and quasi-sovereign entities preparing critical legislation; helping clients through arbitration proceedings; or writing articles for scholarly publications, the knowledge contained here is your guide. This book allows you to spend less time searching and more time solving your client’s most pressing legal issues.
The following updated rules are chronicled: The International Chamber of Commerce (“ICC”), American Arbitration Association/International Centre for Dispute Resolution (“AAA/ICDR”), London Court of International Arbitration (“LCIA”), Stockholm Chamber of Commerce (“SCC”), and Intnernational Centre for Settlement of Investment Disputes (“ICSID”). Additionally, the rules for the United Nations Commission on International Trade Law (“UNCITRAL”) and the International Institute for Conflict Prevention & Resolution (“CPR”) are included as standard rules for ad hoc international arbitration. In this fifth edition, updates reflect all amendments to these rules through Janaury 1, 2020.
Expected Spring 2020! Pre-order Now!
ARBITRATION CLAUSE
Model Clause
Effect of Arbitration Clause/Application of Rules
COMMENCEMENT OF ARBITRATION
Notice or Request for Arbitration
Answer and Counterclaims/Reply
Registration Fee/Advance on Costs
Joinder of Parties
CONSTITUTION OF THE ARBITRAL TRIBUNAL
Consolidation
Number of Arbitrators
Nationality/Qualifications of Arbitrators
Disclosure by Arbitrators
Appointment of Arbitrators
Challenge of Arbitrators
Replacement of Arbitrators
Truncated Tribunals
Compensation of Arbitrators
Communications Between Parties and Arbitrators
Liability of Arbitrators/Arbitral Institutions
GENERAL CONDITIONS
Notices and Communications/Calculation of Periods of Time
Place of Arbitration
Language/Translations
Representation and Assistance
Confidentiality/Privacy
PRELIMINARY ISSUES
Jurisdictional Issues
Applicable Substantive Law
Punitive Damages
ARBITRAL PROCEEDINGS
Transmission of File to Arbitrators
Conduct of Proceedings Generally/Applicable Procedural Law
Procedural Rulings
Expedited Proceedings
Terms of Reference/Procedural Timetable/Pre-Hearing Conference
Statement of Claim
Statement of Defense/Counterclaims/Reply
Amendments to Claims/Defenses
Further Written Statements
Time Limits
Disclosure/Discovery
Hearings
Evidence
Witnesses
Experts
Interim Measures
Emergency Arbitral Interim Measures
Default
Waiver of Rules
Closure of Hearings or Proceedings
ARBITRAL DECISIONS/AWARDS
Time Limits for Award
Quorum/Dissents
Place, Form, Notification and Effect of Award
Currency of Award/Interest
Determination and Allocation of Arbitration Costs
Correction, Interpretation or Supplementation of Award
Settlement/Other Termination
Recourse Against Award
APPENDIX
International Chamber of Commerce (“ICC”) Arbitration Rules
American Arbitration Association/International Centre for Dispute Resolution (“AAA/ICDR”) International Arbitration Rules
London Court of International Arbitration (“LCIA”) Arbitration Rules
Stockholm Chamber of Commerce (“SCC”) Arbitration Rules
International Center for the Settlement of Investment Disputes (“ICSID”) Arbitration Rules
United Nations Commission on International Trade Law (“UNCITRAL”) Arbitration Rules
International Institute for Conflict Prevention and Resolution (“CPR”) International Arbitration Rules
Hogan Lovells LLP is led by the 170-plus member market-leading international arbitration team at Hogan Lovells can strategically steer the most important dispute regardless of size, complexity, or seat. We bring together teams that span jurisdictions and time zones to resolve your disputes through commercial or investment treaty arbitration. We handle all aspects, as well as the before and after — from pre-arbitration litigation to post-award proceedings to appeals before the highest courts around the world. Our lawyers have held high-level positions on arbitration boards worldwide – the ICC Task Force on the Revision of Rules of Arbitration; the ICDR Panel (chairmanship), which drafted the International Expedited Procedures; and the UNCITRAL Working Group of Commercial Arbitration and Conciliation.
The publication was prepared by a cross-office team, led by Oliver Armas and Samaa Haridi (Partners, New York), Richard Lorenzo (Partner, Miami), and Gabriella Morello (Senior Associate, Miami). The team that prepared this update included other associates throughout the firm’s International Arbitration practice, including Alba Briones (Madrid), Julia Grabowska (New York), William Homer (Miami), and Eduardo Lobaton Guzman (Mexico City). A special thanks to Irina Goga (New York) and Orlando Federico Cabrera Colorado (Mexico City) for their extra effort on this important project.
EDITORS
Oliver J. Armas is a Partner in Hogan Lovells’ New York office. Ollie has handled arbitrations under the rules of many of the major arbitral institutions around the world, including the ICC, AAA/ICDR, LCIA, ICSID, HKIAC, SIAC, SMA, LMAA, DIAC, and DIFC, among others. He is also a highly sought-after arbitrator. Fluent in Spanish, and with an understanding of Portuguese, Ollie routinely counsels clients on matters involving Latin America. Ollie is an active member of Hogan Lovells’ National Diversity Committee, and has served as part of the faculty of the Columbia Law School – Chartered Institute of Arbitrators Comprehensive Course On International Arbitration, as well as being a guest lecturer at Harvard Law School, NYU School of Law, and The University of Pennsylvania Law School.
Samaa A. Haridi is a Partner in Hogan Lovells’ New York office. Samaa is a common and civil law trained lawyer whose practice focuses on complex international commercial and investment arbitration proceedings under the arbitration rules of all the major arbitral institutions. Samaa also frequently sits as an arbitrator. She is currently serving as an officer in a number of arbitral organizations, including as Court Member of the ICC International Court of Arbitration, as Senior Vice-Chair of the Arbitration Committee of the International Bar Association, and as Vice President of the LCIA Arab Users’ Council. Samaa is a member of the bars of New York, California, and England & Wales, and is native in French and Arabic, in addition to her fluency in English. Given Samaa’s commitment to the representation of women in arbitration, she was recently appointed to the Equal Representation in Arbitration Pledge’s Global Steering Committee, and she serves as an advisor to the Hogan Lovells’ International Arbitration Women’s Steering Committee.
Gabriella Morello is a Senior Associate in Hogan Lovells’ Miami office. Gabriella has represented clients in high value ICC, AAA/ICDR, UNCITRAL, DIFC, and LCIA arbitrations. Gabriella is a member of the bars of New York and Florida, and is fluent in English and Spanish, and proficient in Italian and Portuguese. She routinely advises clients on matters involving Latin America, particularly in the energy, technology, telecommunications, health care, and construction sectors, among others. Committed to equal representation in the legal field, Gabriella co-founded and serves as co-chair of the firm’s International Arbitration Women’s Steering Committee.
CONTRIBUTORS
Alba Briones is a Senior Associate in Hogan Lovells’ Madrid office and is an active member in our International Arbitration and Litigation Group. Alba Briones focuses her practice in commercial litigation and arbitration, as well as investment arbitration. She brings extensive experience in contract, construction, engineering, energy and corporate disputes. Alba has acted before the ICC, CAM, CIMA, ICDR, and ICSID, as well as in ad hoc arbitrations under the UNCITRAL Rules, as Counsel or Secretary to the Arbitral Tribunal. Before joining Hogan Lovells, Alba worked for over four years for the renowned Spanish arbitrator, Mr. Juan Fernández-Armesto. Alba was Co-Chair of the Spanish Arbitration Club under forty for the 2013-2014 period.
Orlando Federico Cabrera Colorado is an Associate in Hogan Lovells’ Mexico City and Miami offices. He leverages his knowledge of common and civil law jurisdictions, and his fluency in English, Spanish, Portuguese, and French to counsel international arbitration clients seamlessly across borders and languages. Having studied law in Canada, Mexico, and the United States, Orlando draws on his deep understanding of complex domestic and international disputes to effectively represent clients in ICSID, ICC, LCIA, and UNCITRAL arbitrations throughout Latin America, North America, and Europe. With more than ten years of experience, Orlando, a listed arbitrator by the Arbitration Center of the Lima Chamber of Commerce and the International Center for Conciliation and Arbitration, advises governments and corporate investors on dispute resolution and political risk management. Approaching each matter with profound intellectual curiosity, Orlando, an associate to the Madrid Court of Arbitration, represents clients in mining, energy, telecommunications, finance, construction, transport, national security, real estate assets, and government contracting. Orlando, a Fellow of the Chartered Institute of Arbitrators (CIArb) and Board Secretary of CIArb’s North American Branch, frequently writes, speaks, and organizes events on international arbitration. He currently serves as a Young ICCA Events Coordinator.
Irina Goga is an Associate in Hogan Lovells’ New York office. Irina focuses her practice on litigation and international arbitration. She has experience in commercial arbitration in the consumer and technology sectors and has handled matters ranging from contractual disputes to corporate governance. Irina graduated from New York University School of Law where she served as the Symposium Editor for the NYU Journal of International Law and Politics, organized events for the International Arbitration Association, and participated in the NYU Law in Paris program. She also worked on civil rights issues, such as prison reform and discrimination, alongside organizations such as the New York Civil Liberties Union and the Sikh Coalition.
Julia Grabowska is an Associate in Hogan Lovells’ New York office. Julia focuses her practice on litigation and international arbitration. She has experience in commercial arbitration and mediation in a variety of sectors, including life sciences, hospitality, and energy. Julia speaks English, Polish, Romanian, French, and Italian. At Columbia Law School, Julia served as a notes editor for the Columbia Journal of Transnational Law. Her work on the housing rights of the Roma population in Europe was selected for publication by the journal. She worked as an intern at the Committee Against Torture, focusing on violations of the Convention Against Torture in Eastern Europe and Central Asia.
William Homer is an Associate in Hogan Lovells’ Miami office. William focuses on complex commercial litigation and arbitration matters in the construction, energy, and technology sectors. He has handled disputes related to contractual matters, corporate governance, and foreign investment. While in law school at Florida State University, William served on the executive boards of the Florida State University Law Review and the Moot Court Team. He received book awards (for the highest grade in his class) in 10 courses, including Contracts, Legal Writing and Research I & II, Securities Regulation, Corporate Finance, and Property. Before law school, William served as an aviation-rated officer in the U.S. Air Force for seven years. He flew as a Senior Director on the E-3 Sentry and was awarded two Air Medals for outstanding aerial achievement.
Eduardo Lobatón Guzman is an Associate in Hogan Lovells’ Mexico City office. Eduardo focuses his practice in international and domestic arbitration, civil and commercial litigation, and antitrust. Since joining Hogan Lovells, Eduardo has represented and advised clients in complex litigations and arbitrations in diverse industries, including insurance, construction, infrastructure, energy, food, automotive, and IT. Eduardo graduated top of his class and summa cum laude from Instituto Tecnológico y de Estudios Superiores de Monterrey (ITESM). He also studied diverse aspects of international and transnational law in London, obtaining a certificate in transnational legal studies from the Georgetown Center for Transnational Legal Studies. Eduardo’s academic background includes the captaincy of his university’s international arbitration team for two consecutive years and obtaining an honorable mention for his performance in the competition. He also received the CENEVAL Award for Excellence in Performance in the law degree exam.
“The updated Comparison of International Arbitration Rules is an extremely useful tool for arbitrators and practitioners: easy-to-use, comprehensive, and well organized. The authors have made a tremendous contribution to the practice of arbitration with this reference guide.” -Meg Kinnear, Secretary-General of the International Centre for Settlement of Investment Disputes (ICSID)
“This updated Comparison book is a practical guide that once again provides an interesting and useful contribution to the arbitration library, which users of arbitration will be happy to turn to for quick and easy reference.” -Jacomijn van Haersolte-van Hof, Director General of the London Court of International Arbitration (LCIA)
“This fifth edition is a rich user-friendly reference that offers a truly practical guide and a very resourceful compass for clients, practitioners, scholars and all those who wish to navigate through the intricacies of the prevailing rules that guide arbitration proceedings.” -Mohamed S. Abdel Wahab, Professor of Private International Law and International Arbitration - Cairo University and Founding Partner and Head of International Arbitration - Zulficar & Partners Law Firm (Egypt)
Hogan Lovells LLP is led by the 170-plus member market-leading international arbitration team at Hogan Lovells can strategically steer the most important dispute regardless of size, complexity, or seat. We bring together teams that span jurisdictions and time zones to resolve your disputes through commercial or investment treaty arbitration. We handle all aspects, as well as the before and after — from pre-arbitration litigation to post-award proceedings to appeals before the highest courts around the world. Our lawyers have held high-level positions on arbitration boards worldwide – the ICC Task Force on the Revision of Rules of Arbitration; the ICDR Panel (chairmanship), which drafted the International Expedited Procedures; and the UNCITRAL Working Group of Commercial Arbitration and Conciliation.
The publication was prepared by a cross-office team, led by Oliver Armas and Samaa Haridi (Partners, New York), Richard Lorenzo (Partner, Miami), and Gabriella Morello (Senior Associate, Miami). The team that prepared this update included other associates throughout the firm’s International Arbitration practice, including Alba Briones (Madrid), Julia Grabowska (New York), William Homer (Miami), and Eduardo Lobaton Guzman (Mexico City). A special thanks to Irina Goga (New York) and Orlando Federico Cabrera Colorado (Mexico City) for their extra effort on this important project.
EDITORS
Oliver J. Armas is a Partner in Hogan Lovells’ New York office. Ollie has handled arbitrations under the rules of many of the major arbitral institutions around the world, including the ICC, AAA/ICDR, LCIA, ICSID, HKIAC, SIAC, SMA, LMAA, DIAC, and DIFC, among others. He is also a highly sought-after arbitrator. Fluent in Spanish, and with an understanding of Portuguese, Ollie routinely counsels clients on matters involving Latin America. Ollie is an active member of Hogan Lovells’ National Diversity Committee, and has served as part of the faculty of the Columbia Law School – Chartered Institute of Arbitrators Comprehensive Course On International Arbitration, as well as being a guest lecturer at Harvard Law School, NYU School of Law, and The University of Pennsylvania Law School.
Samaa A. Haridi is a Partner in Hogan Lovells’ New York office. Samaa is a common and civil law trained lawyer whose practice focuses on complex international commercial and investment arbitration proceedings under the arbitration rules of all the major arbitral institutions. Samaa also frequently sits as an arbitrator. She is currently serving as an officer in a number of arbitral organizations, including as Court Member of the ICC International Court of Arbitration, as Senior Vice-Chair of the Arbitration Committee of the International Bar Association, and as Vice President of the LCIA Arab Users’ Council. Samaa is a member of the bars of New York, California, and England & Wales, and is native in French and Arabic, in addition to her fluency in English. Given Samaa’s commitment to the representation of women in arbitration, she was recently appointed to the Equal Representation in Arbitration Pledge’s Global Steering Committee, and she serves as an advisor to the Hogan Lovells’ International Arbitration Women’s Steering Committee.
Gabriella Morello is a Senior Associate in Hogan Lovells’ Miami office. Gabriella has represented clients in high value ICC, AAA/ICDR, UNCITRAL, DIFC, and LCIA arbitrations. Gabriella is a member of the bars of New York and Florida, and is fluent in English and Spanish, and proficient in Italian and Portuguese. She routinely advises clients on matters involving Latin America, particularly in the energy, technology, telecommunications, health care, and construction sectors, among others. Committed to equal representation in the legal field, Gabriella co-founded and serves as co-chair of the firm’s International Arbitration Women’s Steering Committee.
CONTRIBUTORS
Alba Briones is a Senior Associate in Hogan Lovells’ Madrid office and is an active member in our International Arbitration and Litigation Group. Alba Briones focuses her practice in commercial litigation and arbitration, as well as investment arbitration. She brings extensive experience in contract, construction, engineering, energy and corporate disputes. Alba has acted before the ICC, CAM, CIMA, ICDR, and ICSID, as well as in ad hoc arbitrations under the UNCITRAL Rules, as Counsel or Secretary to the Arbitral Tribunal. Before joining Hogan Lovells, Alba worked for over four years for the renowned Spanish arbitrator, Mr. Juan Fernández-Armesto. Alba was Co-Chair of the Spanish Arbitration Club under forty for the 2013-2014 period.
Orlando Federico Cabrera Colorado is an Associate in Hogan Lovells’ Mexico City and Miami offices. He leverages his knowledge of common and civil law jurisdictions, and his fluency in English, Spanish, Portuguese, and French to counsel international arbitration clients seamlessly across borders and languages. Having studied law in Canada, Mexico, and the United States, Orlando draws on his deep understanding of complex domestic and international disputes to effectively represent clients in ICSID, ICC, LCIA, and UNCITRAL arbitrations throughout Latin America, North America, and Europe. With more than ten years of experience, Orlando, a listed arbitrator by the Arbitration Center of the Lima Chamber of Commerce and the International Center for Conciliation and Arbitration, advises governments and corporate investors on dispute resolution and political risk management. Approaching each matter with profound intellectual curiosity, Orlando, an associate to the Madrid Court of Arbitration, represents clients in mining, energy, telecommunications, finance, construction, transport, national security, real estate assets, and government contracting. Orlando, a Fellow of the Chartered Institute of Arbitrators (CIArb) and Board Secretary of CIArb’s North American Branch, frequently writes, speaks, and organizes events on international arbitration. He currently serves as a Young ICCA Events Coordinator.
Irina Goga is an Associate in Hogan Lovells’ New York office. Irina focuses her practice on litigation and international arbitration. She has experience in commercial arbitration in the consumer and technology sectors and has handled matters ranging from contractual disputes to corporate governance. Irina graduated from New York University School of Law where she served as the Symposium Editor for the NYU Journal of International Law and Politics, organized events for the International Arbitration Association, and participated in the NYU Law in Paris program. She also worked on civil rights issues, such as prison reform and discrimination, alongside organizations such as the New York Civil Liberties Union and the Sikh Coalition.
Julia Grabowska is an Associate in Hogan Lovells’ New York office. Julia focuses her practice on litigation and international arbitration. She has experience in commercial arbitration and mediation in a variety of sectors, including life sciences, hospitality, and energy. Julia speaks English, Polish, Romanian, French, and Italian. At Columbia Law School, Julia served as a notes editor for the Columbia Journal of Transnational Law. Her work on the housing rights of the Roma population in Europe was selected for publication by the journal. She worked as an intern at the Committee Against Torture, focusing on violations of the Convention Against Torture in Eastern Europe and Central Asia.
William Homer is an Associate in Hogan Lovells’ Miami office. William focuses on complex commercial litigation and arbitration matters in the construction, energy, and technology sectors. He has handled disputes related to contractual matters, corporate governance, and foreign investment. While in law school at Florida State University, William served on the executive boards of the Florida State University Law Review and the Moot Court Team. He received book awards (for the highest grade in his class) in 10 courses, including Contracts, Legal Writing and Research I & II, Securities Regulation, Corporate Finance, and Property. Before law school, William served as an aviation-rated officer in the U.S. Air Force for seven years. He flew as a Senior Director on the E-3 Sentry and was awarded two Air Medals for outstanding aerial achievement.
Eduardo Lobatón Guzman is an Associate in Hogan Lovells’ Mexico City office. Eduardo focuses his practice in international and domestic arbitration, civil and commercial litigation, and antitrust. Since joining Hogan Lovells, Eduardo has represented and advised clients in complex litigations and arbitrations in diverse industries, including insurance, construction, infrastructure, energy, food, automotive, and IT. Eduardo graduated top of his class and summa cum laude from Instituto Tecnológico y de Estudios Superiores de Monterrey (ITESM). He also studied diverse aspects of international and transnational law in London, obtaining a certificate in transnational legal studies from the Georgetown Center for Transnational Legal Studies. Eduardo’s academic background includes the captaincy of his university’s international arbitration team for two consecutive years and obtaining an honorable mention for his performance in the competition. He also received the CENEVAL Award for Excellence in Performance in the law degree exam.
“The updated Comparison of International Arbitration Rules is an extremely useful tool for arbitrators and practitioners: easy-to-use, comprehensive, and well organized. The authors have made a tremendous contribution to the practice of arbitration with this reference guide.” -Meg Kinnear, Secretary-General of the International Centre for Settlement of Investment Disputes (ICSID)
“This updated Comparison book is a practical guide that once again provides an interesting and useful contribution to the arbitration library, which users of arbitration will be happy to turn to for quick and easy reference.” -Jacomijn van Haersolte-van Hof, Director General of the London Court of International Arbitration (LCIA)
“This fifth edition is a rich user-friendly reference that offers a truly practical guide and a very resourceful compass for clients, practitioners, scholars and all those who wish to navigate through the intricacies of the prevailing rules that guide arbitration proceedings.” -Mohamed S. Abdel Wahab, Professor of Private International Law and International Arbitration - Cairo University and Founding Partner and Head of International Arbitration - Zulficar & Partners Law Firm (Egypt)
Expected Spring 2020! Pre-order Now!
ARBITRATION CLAUSE
Model Clause
Effect of Arbitration Clause/Application of Rules
COMMENCEMENT OF ARBITRATION
Notice or Request for Arbitration
Answer and Counterclaims/Reply
Registration Fee/Advance on Costs
Joinder of Parties
CONSTITUTION OF THE ARBITRAL TRIBUNAL
Consolidation
Number of Arbitrators
Nationality/Qualifications of Arbitrators
Disclosure by Arbitrators
Appointment of Arbitrators
Challenge of Arbitrators
Replacement of Arbitrators
Truncated Tribunals
Compensation of Arbitrators
Communications Between Parties and Arbitrators
Liability of Arbitrators/Arbitral Institutions
GENERAL CONDITIONS
Notices and Communications/Calculation of Periods of Time
Place of Arbitration
Language/Translations
Representation and Assistance
Confidentiality/Privacy
PRELIMINARY ISSUES
Jurisdictional Issues
Applicable Substantive Law
Punitive Damages
ARBITRAL PROCEEDINGS
Transmission of File to Arbitrators
Conduct of Proceedings Generally/Applicable Procedural Law
Procedural Rulings
Expedited Proceedings
Terms of Reference/Procedural Timetable/Pre-Hearing Conference
Statement of Claim
Statement of Defense/Counterclaims/Reply
Amendments to Claims/Defenses
Further Written Statements
Time Limits
Disclosure/Discovery
Hearings
Evidence
Witnesses
Experts
Interim Measures
Emergency Arbitral Interim Measures
Default
Waiver of Rules
Closure of Hearings or Proceedings
ARBITRAL DECISIONS/AWARDS
Time Limits for Award
Quorum/Dissents
Place, Form, Notification and Effect of Award
Currency of Award/Interest
Determination and Allocation of Arbitration Costs
Correction, Interpretation or Supplementation of Award
Settlement/Other Termination
Recourse Against Award
APPENDIX
International Chamber of Commerce (“ICC”) Arbitration Rules
American Arbitration Association/International Centre for Dispute Resolution (“AAA/ICDR”) International Arbitration Rules
London Court of International Arbitration (“LCIA”) Arbitration Rules
Stockholm Chamber of Commerce (“SCC”) Arbitration Rules
International Center for the Settlement of Investment Disputes (“ICSID”) Arbitration Rules
United Nations Commission on International Trade Law (“UNCITRAL”) Arbitration Rules
International Institute for Conflict Prevention and Resolution (“CPR”) International Arbitration Rules