Arbitration Rules Cheat Sheet: A Comprehensive Guide to Major Institutional Frameworks

Introduction to Arbitration Rules

Arbitration rules are the procedural frameworks that govern how arbitration proceedings are conducted. They establish the structure, timeline, and methodology of the arbitration process. Understanding the distinctions between major arbitration rules is essential for effective dispute resolution planning and strategy. These rules can significantly impact costs, duration, arbitrator selection, evidence handling, and the enforceability of awards across different jurisdictions.

Major Arbitration Institutions and Their Rules

International Chamber of Commerce (ICC)

Key Features:

• Highly structured process with significant institutional oversight
• Terms of Reference requirement formalizing issues
• Scrutiny of awards by ICC Court before issuance
• Emergency arbitrator provisions
• Expedited procedure for smaller claims

Timeline Highlights:

• Answer to Request: 30 days
• Terms of Reference: 30 days from file transmission
• Award scrutiny: Typically 3-4 weeks
• Standard timeframe: 6 months for final award (from Terms of Reference)

Cost Structure:

• Administrative fees based on amount in dispute
• Arbitrator fees calculated on ad valorem basis
• Advance on costs paid at commencement
• Separate fee for emergency arbitrator ($40,000)

American Arbitration Association (AAA) / International Centre for Dispute Resolution (ICDR)

Key Features:

• Separate domestic (AAA) and international (ICDR) rules
• List selection method for arbitrators
• More limited administrative involvement
• Optional early disposition of issues
• International Expedited Procedures for claims under $250,000

Timeline Highlights:

• Answer: 30 days after commencement
• Counterclaims: With Answer
• Arbitrator appointment: Within 60 days of commencement
• Award: 30 days after hearing closes

Cost Structure:

• Initial filing fees based on claim amount
• Final fees due before hearing
• Arbitrator compensation typically hourly
• Administrative fees with caps for larger cases

London Court of International Arbitration (LCIA)

Key Features:

• More “hands-off” administrative approach
• Greater arbitral tribunal discretion
• Default appointment by LCIA Court
• Strong emphasis on arbitrator independence
• Detailed provisions on legal representation conduct

Timeline Highlights:

• Response: 28 days from commencement
• Tribunal formation: 35 days (typical)
• Award: “As soon as reasonably possible”
• No fixed time limit for awards

Cost Structure:

• Registration fee (£1,950)
• Hourly rates for arbitrators
• Administrative charges hourly
• Deposits requested throughout proceedings

Singapore International Arbitration Centre (SIAC)

Key Features:

• Combination of common and civil law features
• Early dismissal procedure
• Expedited procedure available
• Emergency arbitrator provisions
• Consolidation and joinder rules

Timeline Highlights:

• Response: Within 14 days of notice
• Appointment of tribunal: 21 days for sole arbitrator
• Award: 45 days after proceedings close
• Expedited procedure: Award within 6 months of constitution

Cost Structure:

• Filing fee (S$2,000)
• Administration fees based on sum in dispute
• Arbitrator fees can be hourly or ad valorem
• Deposits requested throughout

Hong Kong International Arbitration Centre (HKIAC)

Key Features:

• Flexible approach to administration
• Expedited procedure for claims under HK$25 million
• Emergency arbitrator provisions
• Optional hourly or ad valorem fee structures
• Strong consolidation and joinder provisions

Timeline Highlights:

• Answer: 30 days from commencement
• Tribunal appointment: 30 days
• Award: No fixed deadline
• Expedited procedure: Award within 6 months

Cost Structure:

• Registration fee (HK$8,000)
• Choice between hourly rates or schedule
• Administration fees based on sum in dispute
• Deposits managed by HKIAC

United Nations Commission on International Trade Law (UNCITRAL)

Key Features:

• Rules for ad hoc arbitration (no administering institution)
• Flexibility for party agreement on procedures
• Appointment authority for deadlocked appointments
• Widely used in investment arbitration
• Compatible with institutional administration

Timeline Highlights:

• Response to notice: 30 days
• Arbitrator challenge: 15 days
• Award: No fixed deadline
• More flexible overall timeline

Cost Structure:

• No institutional fees (unless administered)
• Arbitrator fees subject to party-arbitrator agreement
• Typically advance deposits to arbitrators
• Costs determined and allocated in award

Comparative Analysis of Key Provisions

Arbitrator Selection Process

Interim Measures and Emergency Relief

Documentary Evidence and Disclosure/Discovery

Multi-party and Multi-contract Provisions

Step-by-Step Process Comparison

ICC Arbitration Process

1. Request for Arbitration filed with Secretariat
2. Answer and counterclaims within 30 days
3. Constitution of tribunal
4. Advance on costs payment
5. Terms of Reference preparation
6. Case management conference
7. Procedural timetable establishment
8. Written submissions exchange
9. Hearing
10. Award scrutiny by ICC Court
11. Final award notification

AAA/ICDR Arbitration Process

1. Notice of Arbitration filed
2. Answer within 30 days
3. Arbitrator list provided to parties
4. Arbitrator selection through ranking
5. Preliminary hearing with procedural order
6. Exchange of information
7. Pre-hearing submissions
8. Hearing
9. Post-hearing briefs (optional)
10. Award within 30 days of hearing closure

LCIA Arbitration Process

1. Request for Arbitration filed
2. Response within 28 days
3. Tribunal appointment by LCIA Court
4. Initial deposit payment
5. First procedural conference
6. Statement of Case within 28 days of tribunal constitution
7. Statement of Defense within 28 days
8. Further written submissions as ordered
9. Hearing
10. Award after deliberation

Common Challenges and Solutions

Challenges in ICC Arbitration

Challenges in AAA/ICDR Arbitration

Challenges in LCIA Arbitration

Best Practices for Arbitration Rules Selection

Pre-Dispute Considerations

• Industry alignment: Choose rules familiar to your sector
• Geographical factors: Consider seat and enforcement jurisdictions
• Complexity preparation: Select rules with mechanisms for your dispute type
• Cost structure analysis: Align with expected dispute value
• Timeline requirements: Assess need for expedited procedures
• Administrative involvement: Determine desired level of institutional oversight
• Multi-party potential: Evaluate joinder and consolidation provisions
• Emergency relief: Consider availability of urgent measures
• Confidentiality requirements: Review protection of sensitive information

Drafting the Arbitration Clause

• Specify institution and applicable rules version
• Identify seat of arbitration
• Determine number of arbitrators
• Establish language of proceedings
• Address any special procedural requirements
• Consider expedited procedure applicability
• Specify law governing substantive issues
• Set any time limitations precisely
• Include document disclosure scope if critical

Strategic Considerations by Rule Set

When to Choose ICC Rules

Favorable conditions:

• Complex, high-value disputes
• Multi-jurisdictional parties
• Need for structured process
• Concern about enforceability
• Desire for institutional scrutiny

Less suitable for:

• Small, simple disputes
• Cost-sensitive parties
• Need for quick resolution
• Parties wanting procedural flexibility

When to Choose AAA/ICDR Rules

Favorable conditions:

• U.S.-connected disputes
• Desire for list selection method
• Need for specialized industry rules
• Parties familiar with American practice
• Mid-range disputes

Less suitable for:

• Highly international disputes with no U.S. connection
• Parties wanting strong institutional scrutiny
• Complex multi-party situations
• Civil law practitioners

When to Choose LCIA Rules

Favorable conditions:

• English law disputes
• Preference for English-style procedures
• Concern about arbitrator independence
• Financial sector disputes
• Desire for London-based proceedings

Less suitable for:

• Disputes requiring strong administrative guidance
• Parties unfamiliar with English procedures
• Cost-sensitive smaller disputes
• Cases needing strong consolidation mechanisms

When to Choose SIAC/HKIAC Rules

Favorable conditions:

• Asian-connected disputes
• Need for efficient case management
• Interest in early dismissal options
• Multi-contract commercial relationships
• Emerging market parties

Less suitable for:

• Western parties with no Asian connection
• Parties uncomfortable with tribunal-driven procedures
• Investment treaty disputes
• Cases requiring specialized rules

When to Choose UNCITRAL Rules

Favorable conditions:

• Ad hoc arbitration preference
• Investment treaty disputes
• State party involvement
• Need for flexible procedures
• Cost sensitivity

Less suitable for:

• Inexperienced parties
• Need for institutional support
• Complex multi-party cases
• Emergency relief requirements

Resources for Further Learning

Official Rule Sources

• ICC Arbitration Rules
• AAA Commercial Arbitration Rules
• ICDR International Arbitration Rules
• LCIA Arbitration Rules
• SIAC Arbitration Rules
• HKIAC Administered Arbitration Rules
• UNCITRAL Arbitration Rules

Recommended Reading

• “A Guide to the ICDR International Arbitration Rules” by Martin F. Gusy and James M. Hosking
• “A Guide to the LCIA Arbitration Rules” by Peter Turner and Reza Mohtashami
• “A Guide to the SIAC Arbitration Rules” by Mark Mangan, Lucy Reed, and John Choong
• “A Guide to the UNCITRAL Arbitration Rules” by David D. Caron and Lee M. Caplan
• “Arbitration Rules: A Commentary” by Tobias Zuberbühler, Christoph Müller, and Philipp Habegger

Training Resources

• Chartered Institute of Arbitrators (CIArb) courses
• ICC Institute of World Business Law training
• International Council for Commercial Arbitration (ICCA) resources
• Institution-specific webinars and workshops
• Annual arbitration conferences (ICCA Congress, IBA Arbitration Days)

This cheatsheet provides a high-level comparison of major arbitration rules. When applying these rules to specific disputes, always refer to the current version of the relevant rules and consider consulting with arbitration specialists familiar with the chosen institution.