ABSTRACT
This index is prepared to reflect the chronological progress through the arbital process rather than alphabetically. A numerical index is at Appendix B.2.
Page The Institution and its role:
Articles 3.1-3 and 29.1 of the LCIA Rules; Articles 1.1-5 of the ICC Rules; and Article 1.3 of the ICDR Rules. 200
Definitions and interpretation: Articles 5.1 and 32.2 of the LCIA Rules; and Articles 2(i)–(iii) and 35 of the ICC Rules; and Article 36 of the ICDR Rules. 201
Effect of the arbitration agreement: Introduction to the LCIA Rules; Article 6.1 of the ICC Rules; Article 1.1-2 of the ICDR Rules; and Article 1.1-2 of the UNCITRAL Rules. 202
Commencing the arbitration: Article 1.1-2 of the LCIA Rules; Article 4.1-5 of the ICC Rules; Article 2.1-4 of the ICDR Rules; and Article 3.1-4 of the UNCITRAL Rules. 203
The Response/Answer, Counterclaim and Reply: Article 2.1-3 of the LCIA Rules; Article 5.1-6 of the ICC Rules; and Article 3.1-4 of the ICDR Rules. 205
Calculation of time, notices and other communications: Article 4.1-6 of the LCIA Rules; Article 3.1-4 of the ICC Rules; Article 18.1-2 of the ICDR Rules; and Article 2.1-2 of the UNCITRAL Rules. 206
Extension of time: Articles 4.7 and 22.1(b) of the LCIA Rules; Article 32.1-2 of the ICC Rules; Article 17.2 of the ICDR Rules; and Article 23 of the UNCITRAL Rules. 208
Page Variation provisions relating to the formation of the arbitral tribunal:
Independence and impartiality: Article 5.2-3 of the LCIA Rules; Articles 7.1-3 and 7.5 of the ICC Rules; Article 7.1-2 of the ICDR Rules; and Article 9 of the UNCITRAL Rules. 209
Institutional appointment of arbitrators and procedure: Articles 5.4-6 and 7.1 of the LCIA Rules; Articles 7.4, 7.6 and 9.2-4 of the ICC Rules; and Article 8.1-2 of the UNCITRAL Rules. 210
Criteria for appointment: Articles 5.5 and 6.1-3 of the LCIA Rules; Articles 9.1 and 9.5 of the ICC Rules; Article 6.4 of the ICDR Rules; and Article 6.4 of the UNCITRAL Rules. 212
Number of arbitrators, party appointments and default appointment by the institution:
Articles 2.3, 5.4 and 7.1-2 of the LCIA Rules; Articles 8.1-4 and 9.6 of the ICC Rules; Articles 5 and 6.1-3 of the ICDR Rules; and Articles 5, 6.1-3 and 7.1-3 of the UNCITRAL Rules. 213
Multiple parties: Article 8.1-2 of the LCIA Rules; and Article 10.1-2 of the ICC Rules and Article 6.5 of the ICDR Rules. 217
Expedited formation: Article 9.1-3 of the LCIA Rules; and Article 37.1-9 of the ICDR Rules. 218
Fees for arbitrators: Article 5.3 of the LCIA Rules; Article 31.2 and App.III Article 2(1) of the ICC Rules; Article 32 of the ICDR Rules; and Article 39.1-4 of the UNCITRAL Rules. 221
Replacement of arbitrators: Articles 10.1-2 and 11.1-2 of the LCIA Rules; Article 12.1-4 of the ICC Rules; Articles 10 and 11.1-2 of the ICDR Rules; and Articles 13.1-2 and 14 of the UNCITRAL Rules. 223
Truncated tribunals: Article 12.1-3 of the LCIA Rules; Article 12.5 of the ICC Rules; and Article 11.1 of the ICDR Rules. 224
Party challenges and procedure: Article 10.3-4 of the LCIA Rules; Article 11.1-3 of the ICC Rules; Articles 8.1-3 and 9 of the ICDR Rules; and Articles 10.1-2, 11.1-3 and 12.1-2 of the UNCITRAL Rules. 225
Communications between parties and the arbitral tribunal: Article 13.1-3 of the LCIA Rules; Article 13 of the ICC Rules; Article 12 of the ICDR Rules and Article 4 of the UNCITRAL Rules. 228
Terms of Reference and provisional timetable: Article 18.1-4 of the ICC Rules. 229
Page Conduct of the arbitration:
Article 14.1-2 of the LCIA Rules; Articles 15.1-2 and 20.1 of the ICC Rules; Article 16.1-4 of the ICDR Rules; and Article 15.1 and 15.3 of the UNCITRAL Rules. 231
Further written statements or pleadings: Article 15.1-7 of the LCIA Rules; Article 17.1-2 of the ICDR Rules; Articles 18.1-2, 19.1-4, 22 and 23 of the UNCITRAL Rules. 232
Amendments and new claims including counterclaims and set-offs: Article 22.1(a) of the LCIA Rules; Articles 4.6 and 19 of the ICC Rules; Article 4 of the ICDR Rules; and Article 20 of the UNCITRAL Rules. 235
Language of the arbitration: Article 17.1-4 of the LCIA Rules; Article 16 of the ICC Rules; Article 14 of the ICDR Rules; and Article 17.1-2 of the UNCITRAL Rules. 236
Seat and place of arbitration: Article 16.1-2 of the LCIA Rules; Article 14.1-3 of the ICC Rules; Article 13.1-2 of the ICDR Rules; and Article 16.1-4 of the UNCITRAL Rules. 237
Various other provisions relating to hearings:
Party representation: Article 18.1-2 of the LCIA Rules; Article 21.4 of the ICC Rules; Article 12 of the ICDR Rules; and Article 4 of the UNCITRAL Rules. 238
Oral hearings versus decisions on documents alone: Article 19.1-2 and 19.5 of the LCIA Rules; Articles 20.2-3, 20.6 and 21.1 of the ICC Rules; Article 20.1-3 of the ICDR Rules; and Articles 15.2 and 25.1-3 of the UNCITRAL Rules. 238
Burden of proof: Article 19.1 of the ICDR Rules and Article 24.1 of the UNCITRAL Rules. 240
Privacy and confidentiality and admission of witnesses: Articles 19.4 and 30.1-3 of the LCIA Rules; Article 21.3 of the ICC Rules; Articles 20.4, 27.4, 27.8 and 34 of the ICDR Rules; and Articles 25.4 and 32.5 of the UNCITRAL Rules. 240
Evidence: documents, witnesses and other evidence: Articles 20.1-7 and 22.1(e) and (f) of the LCIA Rules; Article 20.5 of the ICC Rules; Articles 19.2-3 and 20.4-6 of the ICDR Rules; and Articles 24.2-3 and 25.4-6 of the UNCITRAL Rules. 241
Experts: Article 21.1-3 of the LCIA Rules; Article 20.4 of the ICC Rules; Article 22.1-4 of the ICDR Rules; and Article 27.1-4 of the UNCITRAL Rules. 244
Applicable rules of law: Articles 16.3 and 22.3-4 of the LCIA Rules; Article 17.1-3 of the ICC Rules; Article 28.1-3 of the ICDR Rules; and Article 33.1-3 of the UNCITRAL Rules. 245
Page Consolidation and additional parties:
Article 22.1(h) of the LCIA Rules. 246
Additional powers of the tribunal: Articles 19.3 and 22.1(c), (d) and (g) of the LCIA Rules; and Article 20.7 of the ICC Rules. 247
Procedural issues: Article 14.3 of the LCIA Rules; Article 26.2 of the ICDR Rules; and Article 31.2 of the UNCITRAL Rules. 248
Default by parties: Article 15.8 of the LCIA Rules; Articles 6.3 and 21.2 of the ICC Rules; Article 23.1-3 of the ICDR Rules; and Article 28.1-3 of the UNCITRAL Rules. 248
Closure of proceedings: Article 22.1-2 of the ICC Rules; Article 24.1-3 of the ICDR Rules; and Article 29.1-2 of the UNCITRAL Rules. 249
Conservatory and interim measures and security for costs: Article 25.1(a)–(c) and 25.2-3 of the LCIA Rules; Article 23.1-2 of the ICC Rules; Article 21.1-4 of the ICDR Rules; and Article 26.1-3 of the UNCITRAL Rules. 250
Jursidiction: Article 23.1-4 of the LCIA Rules; Article 6.2 and 6.4 of the ICC Rules; Article 15.1-3 of the ICDR Rules; and Article 21.1-4 of the UNCITRAL Rules. 253
The award:
Form and effect of the award: Article 26.1 and 26.9 of the LCIA Rules; Articles 25.2-3 and 28.6 of the ICC Rules; Article 27.1-3 of the ICDR Rules; and Article 32.2-4 of the UNCITRAL Rules. 254
Arbitrator’s duties re awards: Articles 26.2 and 26.4-5 of the LCIA Rules. 255
Majority decisions: Article 26.3 of the LCIA Rules; Article 25.1 of the ICC Rules; Article 26.1 of the ICDR Rules; and Article 31.1 of the UNCITRAL Rules. 256
Separate and interim awards: Article 26.7 of the LCIA Rules; Article 27.7 of the ICDR Rules; and Article 32.1 of the UNCITRAL Rules. 256
Currency and interest: Article 26.6 of the LCIA Rules; and Article 28.4 of the ICDR Rules. 256
Settlement or other reasons for termination: Article 26.8 of the LCIA Rules; Article 26 of the ICC Rules; Article 29.1-2 of the ICDR Rules; and Article 34.1-3 of the UNCITRAL Rules. 257
Page Time limits for awards:
Article 24.1-2 of the ICC Rules. 258
Correction and interpretation of awards and additional awards: Article 27.1-3 of the LCIA Rules; Article 29.1-3 of the ICC Rules; Article 30.1-2 of the ICDR Rules; and Articles 35.1-2, 36.1-2 and 37.1-3 of the UNCITRAL Rules. 258
Scrutiny of awards: Article 27 of the ICC Rules. 260
Notification of the award: Article 26.5 of the LCIA Rules; Article 28.1-5 of the ICC Rules; Article 27.5-6 of the ICDR Rules; and Article 32.6-7 of the UNCITRAL Rules. 261
Deposits and advance costs: Article 24.1-4 of the LCIA Rules; Article 30.1-5 of the ICC Rules; Article 33.1-4 of the ICDR Rules; and Article 41.1-5 of the UNCITRAL Rules. 261
Arbitration and legal costs: Article 28.1-5 of the LCIA Rules; Article 31.1-3 of the ICC Rules; Article 31.1(a)–(e) of the ICDR Rules; and Articles 38(a)–(f) and 40.1-4 of the UNCITRAL Rules. 263
Exclusion of recourse to the courts: Articles 22.2, 23.4, 26.9 and 29.2 of the LCIA Rules; and Articles 6.2 and 28.6 of the ICC Rules. 266
Waiver of rules: Article 32.1 of the LCIA Rules; Article 33 of the ICC Rules; Article 25 of the ICDR Rules; and Article 30 of the UNCITRAL Rules. 267
Exclusion of liability: Article 31.1-2 of the LCIA Rules; Article 34 of the ICC Rules; and Article 35 of the ICDR Rules. 267
Punitive and exemplary damage: Article 28.5 of the ICDR Rules. 268
