Western and Central Africa
Eastern and Southern Africa
Eastern Europe and Central Asia
INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION
International Arbitration Rules
Where parties have agreed in writing to arbitrate disputes under
these International Arbitration Rules or have provided for
arbitration of an international dispute by the International Centre
for Dispute Resolution or the American Arbitration Association
without designating particular rules, the arbitration shall take
place in accordance with these rules, as in effect at the date of
commencement of the arbitration, subject to whatever modifications
the parties may adopt in writing.
These rules govern the arbitration, except that, where any such
rule is in conflict with any provision of the law applicable to the
arbitration from which the parties cannot derogate, that provision
These rules specify the duties and responsibilities of the
administrator, the International Centre for Dispute Resolution, a
division of the American Arbitration Association. The administrator
may provide services through its Centre, located in New York City,
or through the facilities of arbitral institutions with which it
has agreements of cooperation.
I. Commencing the Arbitration
Notice of Arbitration and Statement of Claim
The party initiating arbitration ("claimant") shall give written
notice of arbitration to the administrator and at the same time to
the party against whom a claim is being made ("respondent").
Arbitral proceedings shall be deemed to commence on the date on
which the administrator receives the notice of arbitration.
The notice of arbitration shall contain a statement of claim
including the following:
(a) a demand
that the dispute be referred to arbitration;
names and addresses of the parties;
reference to the arbitration clause or agreement that is
reference to any contract out of or in relation to which the
description of the claim and an indication of the facts supporting
the relief or remedy sought and the amount claimed; and
include proposals as to the means of designating and the number of
arbitrators, the place of arbitration and the language(s) of the
Upon receipt of the notice of arbitration, the administrator shall
communicate with all parties with respect to the arbitration and
shall acknowledge the commencement of the arbitration.
Statement of Defense and Counterclaim
Within 30 days after the commencement of the arbitration, a
respondent shall submit a written statement of defense, responding
to the issues raised in the notice of arbitration, to the claimant
and any other parties, and to the administrator.
At the time a respondent submits its statement of defense, a
respondent may make counterclaims or assert setoffs as to any claim
covered by the agreement to arbitrate, as to which the claimant
shall within 30 days submit a written statement of defense to the
respondent and any other parties and to the administrator.
A respondent shall respond to the administrator, the claimant and
other parties within 30 days after the commencement of the
arbitration as to any proposals the claimant may have made as to
the number of arbitrators, the place of the arbitration or the
language(s) of the arbitration, except to the extent that the
parties have previously agreed as to these matters.
The arbitral tribunal, or the administrator if the arbitral
tribunal has not yet been formed, may extend any of the time limits
established in this article if it considers such an extension
Amendments to Claims
During the arbitral proceedings, any party may amend or
supplement its claim, counterclaim or defense, unless the tribunal
considers it inappropriate to allow such amendment or supplement
because of the party's delay in making it, prejudice to the other
parties or any other circumstances. A party may not amend or
supplement a claim or counterclaim if the amendment or supplement
would fall outside the scope of the agreement to arbitrate.
II. The Tribunal
Number of Arbitrators
If the parties have not agreed on the number of arbitrators, one
arbitrator shall be appointed unless the administrator determines
in its discretion that three arbitrators are appropriate because of
the large size, complexity or other circumstances of the case.
Appointment of Arbitrators
The parties may mutually agree upon any procedure for appointing
arbitrators and shall inform the administrator as to such
The parties may mutually designate arbitrators, with or without the
assistance of the administrator. When such designations are made,
the parties shall notify the administrator so that notice of the
appointment can be communicated to the arbitrators, together with a
copy of these rules.
If within 45 days after the commencement of the arbitration, all of
the parties have not mutually agreed on a procedure for appointing
the arbitrator(s) or have not mutually agreed on the designation of
the arbitrator(s), the administrator shall, at the written request
of any party, appoint the arbitrator(s) and designate the presiding
arbitrator. If all of the parties have mutually agreed upon a
procedure for appointing the arbitrator(s), but all appointments
have not been made within the time limits provided in that
procedure, the administrator shall, at the written request of any
party, perform all functions provided for in that procedure that
remain to be performed.
In making such appointments, the administrator, after inviting
consultation with the parties, shall endeavor to select suitable
arbitrators. At the request of any party or on its own initiative,
the administrator may appoint nationals of a country other than
that of any of the parties.
Unless the parties have agreed otherwise no later than 45 days
after the commencement of the arbitration, if the notice of
arbitration names two or more claimants or two or more respondents,
the administrator shall appoint all the arbitrators.
Impartiality and Independence of Arbitrators
Arbitrators acting under these rules shall be impartial and
independent. Prior to accepting appointment, a prospective
arbitrator shall disclose to the administrator any circumstance
likely to give rise to justifiable doubts as to the arbitrator's
impartiality or independence. If, at any stage during the
arbitration, new circumstances arise that may give rise to such
doubts, an arbitrator shall promptly disclose such circumstances to
the parties and to the administrator. Upon receipt of such
information from an arbitrator or a party, the administrator shall
communicate it to the other parties and to the tribunal.
No party or anyone acting on its behalf shall have any ex parte
communication relating to the case with any arbitrator, or with any
candidate for appointment as party-appointed arbitrator except to
advise the candidate of the general nature of the controversy and
of the anticipated proceedings and to discuss the candidate's
qualifications, availability or independence in relation to the
parties, or to discuss the suitability of candidates for selection
as a third arbitrator where the parties or party-designated
arbitrators are to participate in that selection. No party or
anyone acting on its behalf shall have any ex parte communication
relating to the case with any candidate for presiding
Challenge of Arbitrators
A party may challenge any arbitrator whenever circumstances exist
that give rise to justifiable doubts as to the arbitrator's
impartiality or independence. A party wishing to challenge an
arbitrator shall send notice of the challenge to the administrator
within 15 days after being notified of the appointment of the
arbitrator or within 15 days after the circumstances giving rise to
the challenge become known to that party.
The challenge shall state in writing the reasons for the
Upon receipt of such a challenge, the administrator shall notify
the other parties of the challenge. When an arbitrator has been
challenged by one party, the other party or parties may agree to
the acceptance of the challenge and, if there is agreement, the
arbitrator shall withdraw. The challenged arbitrator may also
withdraw from office in the absence of such agreement. In neither
case does withdrawal imply acceptance of the validity of the
grounds for the challenge.
If the other party or parties do not agree to the challenge or
the challenged arbitrator does not withdraw, the administrator in
its sole discretion shall make the decision on the challenge.
Replacement of an Arbitrator
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.
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, the reason, if any,
expressed by the third arbitrator for such nonparticipation, and
such other matters as they consider appropriate in the
circumstances of the case. In the event that the two other
arbitrators determine not to continue the arbitration without the
participation of the third arbitrator, the administrator on proof
satisfactory to it shall declare the office vacant, and a
substitute arbitrator shall be appointed pursuant to the provisions
of Article 6, unless the parties otherwise agree.
If a substitute arbitrator is appointed under either Article 10 or
Article 11, the tribunal shall determine at its sole discretion
whether all or part of any prior hearings shall be repeated.
III. General Conditions
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
Place of Arbitration
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.
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 to
be present at any such proceedings
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.
Pleas as to Jurisdiction
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
A party must object to the jurisdiction of the tribunal or to the
arbitrability of a claim or counterclaim no later than the filing
of the statement of defense, as provided in Article 3, to the claim
or counterclaim that gives rise to the objection. The tribunal may
rule on such objections as a preliminary matter or as part of the
Conduct of the Arbitration
Subject to these rules, the tribunal may conduct the arbitration in
whatever manner it considers appropriate, provided that the parties
are treated with equality and that each party has the right to be
heard and is given a fair opportunity to present its case.
The tribunal, exercising its discretion, shall conduct the
proceedings with a view to expediting the resolution of the
dispute. It may conduct a preparatory conference with the parties
for the purpose of organizing, scheduling and agreeing to
procedures to expedite the subsequent proceedings.
The tribunal may in its discretion direct the order of proof,
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 all
or part of the case.
Documents or information supplied to the tribunal by one party
shall at the same time be communicated by that party to the other
party or parties.
Further Written Statements
The tribunal may decide whether the parties shall present any
written statements in addition to statements of claims and
counterclaims and statements of defense, and it shall fix the
periods of time for submitting any such statements.
The periods of time fixed by the tribunal for the communication of
such written statements should not exceed 45 days. However, the
tribunal may extend such time limits if it considers such an
Unless otherwise agreed by the parties or ordered by the tribunal,
all notices, statements and written communications may be served on
a party by air mail, air courier, facsimile transmission, telex,
telegram, or other written forms of electronic communication
addressed to the party or its representative at its last known
address or by personal service.
For the purpose of calculating a period of time under these rules,
such period shall begin to run on the day following the day when a
notice, statement or written communication is received. If the last
day of such period is an official holiday at the place received,
the period is extended until the first business day which follows.
Official holidays occurring during the running of the period of
time are included in calculating the period.
Each party shall have the burden of proving the facts relied on to
support its claim or defense.
The tribunal may order a party to deliver to the tribunal and to
the other parties a summary of the documents and other evidence
which that party intends to present in support of its claim,
counterclaim or defense.
At any time during the proceedings, the tribunal may order parties
to produce other documents, exhibits or other evidence it deems
necessary or appropriate.
The tribunal shall give the parties at least 30 days' advance
notice of the date, time and place of the initial oral hearing. The
tribunal shall give reasonable notice of subsequent hearings.
At least 15 days before the hearings, each party shall give the
tribunal and the other parties the names and addresses of any
witnesses it intends to present, the subject of their testimony and
the languages in which such witnesses will give their
At the request of the tribunal or pursuant to mutual agreement of
the parties, the administrator shall make arrangements for the
interpretation of oral testimony or for a record of the
Hearings are private unless the parties agree otherwise or the law
provides to the contrary. The tribunal may require any witness or
witnesses to retire during the testimony of other witnesses. The
tribunal may determine the manner in which witnesses are
Evidence of witnesses may also be presented in the form of written
statements signed by them.
The tribunal shall determine the admissibility, relevance,
materiality and weight of the evidence offered by any party. The
tribunal shall take into account applicable principles of legal
privilege, such as those involving the confidentiality of
communications between a lawyer and client.
Interim Measures of Protection
At the request of any party, the tribunal may take whatever interim
measures it deems necessary, including injunctive relief and
measures for the protection or conservation of property.
Such interim measures may take the form of an interim award, and
the tribunal may require security for the costs of such
A request for interim measures addressed by a party to a judicial
authority shall not be deemed incompatible with the agreement to
arbitrate or a waiver of the right to arbitrate.
The tribunal may in its discretion apportion costs associated with
applications for interim relief in any interim award or in the
The tribunal may appoint one or more independent experts to report
to it, in writing, on specific issues designated by the tribunal
and communicated to the parties.
The parties shall provide such an expert with any relevant
information or produce for inspection any relevant documents or
goods that the expert may require. Any dispute between a party and
the expert as to the relevance of the requested information or
goods shall be referred to the tribunal for decision.
Upon receipt of an expert's report, the tribunal shall send a copy
of the report to all parties and shall give the parties an
opportunity to express, in writing, their opinion on the report. A
party may examine any document on which the expert has relied in
such a report.
At the request of any party, the tribunal shall give the parties an
opportunity to question the expert at a hearing. At this hearing,
parties may present expert witnesses to testify on the points at
If a party fails to file a statement of defense within the time
established by the tribunal without showing sufficient cause for
such failure, as determined by the tribunal, the tribunal may
proceed with the arbitration.
If a party, duly notified under these rules, fails to appear at a
hearing without showing sufficient cause for such failure, as
determined by the tribunal, the tribunal may proceed with the
If a party, duly invited to produce evidence or take any other
steps in the proceedings, fails to do so within the time
established by the tribunal without showing sufficient cause for
such failure, as determined by the tribunal, the tribunal may make
the award on the evidence before it.
Closure of Hearing
After asking the parties if they have any further testimony or
evidentiary submissions and upon receiving negative replies or if
satisfied that the record is complete, the tribunal may declare the
The tribunal in its discretion, on its own motion or upon
application of a party, may reopen the hearings at any time before
the award is made.
Waiver of Rules
A party who knows that any provision of the rules or requirement
under the rules has not been complied with, but proceeds with the
arbitration without promptly stating an objection in writing
thereto, shall be deemed to have waived the right to object.
Awards, Decisions and Rulings
When there is more than one arbitrator, any award, decision or
ruling of the arbitral tribunal shall be made by a majority of the
arbitrators. If any arbitrator fails to sign the award, it shall be
accompanied by a statement of the reason for the absence of such
When the parties or the tribunal so authorize, the presiding
arbitrator may make decisions or rulings on questions of procedure,
subject to revision by the tribunal.
Form and Effect of the Award
Awards shall be made in writing, promptly by the tribunal, and
shall be final and binding on the parties. The parties undertake to
carry out any such award without delay.
The tribunal shall state the reasons upon which the award is based,
unless the parties have agreed that no reasons need be given.
The award shall contain the date and the place where the award was
made, which shall be the place designated pursuant to Article
An award may be made public only with the consent of all parties or
as required by law.
Copies of the award shall be communicated to the parties by the
If the arbitration law of the country where the award is made
requires the award to be filed or registered, the tribunal shall
comply with such requirement.
In addition to making a final award, the tribunal may make interim,
interlocutory, or partial orders and awards.
Applicable Laws and Remedies
The tribunal shall apply the substantive law(s) or rules of law
designated by the parties as applicable to the dispute. Failing
such a designation by the parties, the tribunal shall apply such
law(s) or rules of law as it determines to be appropriate.
In arbitrations involving the application of contracts, the
tribunal shall decide in accordance with the terms of the contract
and shall take into account usages of the trade applicable to the
The tribunal shall not decide as amiable compositeur or ex aequo et
bono unless the parties have expressly authorized it to do so.
A monetary award shall be in the currency or currencies of the
contract unless the tribunal considers another currency more
appropriate, and the tribunal may award such pre-award and
post-award interest, simple or compound, as it considers
appropriate, taking into consideration the contract and applicable
Unless the parties agree otherwise, the parties expressly waive and
forego any right to punitive, exemplary or similar damages unless a
statute requires that compensatory damages be increased in a
specified manner. This provision shall not apply to any award of
arbitration costs to a party to compensate for dilatory or bad
faith conduct in the arbitration.
Settlement or Other Reasons for Termination
If the parties settle the dispute before an award is made, the
tribunal shall terminate the arbitration and, if requested by all
parties, may record the settlement in the form of an award on
agreed terms. The tribunal is not obliged to give reasons for such
If the continuation of the proceedings becomes unnecessary or
impossible for any other reason, the tribunal shall inform the
parties of its intention to terminate the proceedings. The tribunal
shall thereafter issue an order terminating the arbitration, unless
a party raises justifiable grounds for objection.
Interpretation or Correction of the Award
Within 30 days after the receipt of an award, any party, with
notice to the other parties, may request the tribunal to interpret
the award or correct any clerical, typographical or computation
errors or make an additional award as to claims presented but
omitted from the award.
If the tribunal considers such a request justified, after
considering the contentions of the parties, it shall comply with
such a request within 30 days after the request.
The tribunal shall fix the costs of arbitration in its award.
The tribunal may apportion such costs among the parties if it
determines that such apportionment is reasonable, taking into
account the circumstances of the case.
Such costs may include:
(a) the fees
and expenses of the arbitrators;
costs of assistance required by the tribunal, including its
(c) the fees
and expenses of the administrator;
reasonable costs for legal representation of a successful party;
(e) any such
costs incurred in connection with an application for interim or
emergency relief pursuant to Article 21.
Compensation of Arbitrators
Arbitrators shall be compensated based upon their amount of
service, taking into account their stated rate of compensation and
the size and complexity of the case. The administrator shall
arrange an appropriate daily or hourly rate, based on such
considerations, with the parties and with each of the arbitrators
as soon as practicable after the commencement of the arbitration.
If the parties fail to agree on the terms of compensation, the
administrator shall establish an appropriate rate and communicate
it in writing to the parties.
Deposit of Costs
When a party files claims, the administrator may request the filing
party to deposit appropriate amounts as an advance for the costs
referred to in Article 31, paragraphs (a), (b) and (c).
During the course of the arbitral proceedings, the tribunal may
request supplementary deposits from the parties.
If the deposits requested are not paid in full within 30 days after
the receipt of the request, the administrator shall so inform the
parties, in order that one or the other of them may make the
required payment. If such payments are not made, the tribunal may
order the suspension or termination of the proceedings.
After the award has been made, the administrator shall render an
accounting to the parties of the deposits received and return any
unexpended balance to the parties.
Confidential information disclosed during the proceedings by the
parties or by witnesses shall not be divulged by an arbitrator or
by the administrator. Unless otherwise agreed by the parties, or
required by applicable law, the members of the tribunal and the
administrator shall keep confidential all matters relating to the
arbitration or the award.
Exclusion of Liability
The members of the tribunal and the administrator shall not be
liable to any party for any act or omission in connection with any
arbitration conducted under these rules, except that they may be
liable for the consequences of conscious and deliberate
Interpretation of Rules
The tribunal shall interpret and apply these rules insofar as
they relate to its powers and duties. The administrator shall
interpret and apply all other rules.
The administrative fees of the ICDR are based on the amount of
the claim or counterclaim. Arbitrator compensation is not included
in this schedule. Unless the parties agree otherwise, arbitrator
compensation and administrative fees are subject to allocation by
the arbitrator in the award.
A nonrefundable initial filing fee is payable in full by a
filing party when a claim, counterclaim or additional claim is
A case service fee will be incurred for all cases that proceed
to their first hearing. This fee will be payable in advance at the
time that the first hearing is scheduled. This fee will be refunded
at the conclusion of the case if no hearings have occurred.
However, if the administrator is not notified at least 24 hours
before the time of the scheduled hearing, the case service fee will
remain due and will not be refunded.
These fees will be billed in accordance with the following
Amount of Claim
Initial Filing Fee
Case Service Fee
Above $0 to $10,000
Above $10,000 to $75,000
Above $75,000 to $150,000
Above $150,000 to $300,000
Above $300,000 to $500,000
Above $500,000 to $1,000,000
Above $1,000,000 to $7,000,000
Above $7,000,000 to $10,000,000
No Amount Stated**
*Contact the ICDR's New York office for fees for claims in
excess of $10 million.
** This fee is applicable when no amount can be stated at the
time of filing, or when a claim or counterclaim is not for a
monetary amount. The fees are subject to increase or decrease when
the claim or counterclaim is disclosed.
The minimum fees for any case having three or more arbitrators
are $2,750 for the filing fee, plus a $1,000 case service fee.
Suspension for Nonpayment
If arbitrator compensation or administrative charges have not
been paid in full, the administrator may so inform the parties in
order that one of them may advance the required payment. If such
payments are not made, the tribunal may order the suspension or
termination of the proceedings. If no arbitrator has yet been
appointed, the ICDR may suspend the proceedings.
Hearing Room Rental
The fees described above do not cover the rental of hearing
rooms, which are available on a rental basis. Check with the ICDR
for availability and rates.
Rules, forms, procedures and guides, as well as information
about applying for a fee reduction or deferral, are subject to
periodic change and updating. To ensure that you have the most
current information, see our Web site at www.adr.org.
International Centre for Dispute Resolution
New York, NY 10019-6708
©2003 American Arbitration Association. All Rights