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International Arbitration Centre
PART I – SCOPE OF APPLICATION AND INTERPRETATION Article 1 Scope of Application and Interpretation Article 2 Overriding Objective and Application Article 4 Request for Arbitration Article 6 Multiple Parties and Contracts Article 7 Jurisdiction of the Tribunal Article 8 Number and Appointment of Arbitrators Article 9 Qualifications of Arbitrators Article 10 Challenges to Arbitrators Article 11 Release and Replacement of Arbitrators Article 12 Conduct of Arbitral Proceedings Article 21 Tribunal-appointed Experts Article 22 Sanctions for Default and Waiver Article 23 Additional Powers of the Tribunal Article 25 Early Determination Article 26 Close of Proceedings Article 28 Correction of Awards and Additional Awards Article 30 Limitation of Liability Article 31 Expedited Procedure Article 32 Emergency Arbitrators Article 33 Overriding Objective and Application Article 34 Prior Agreements to Mediate Article 35 No Prior Agreement to Mediate Article 36 Appointment of a Mediator Article 37 Position Statements Article 39 Conduct of the Mediation Article 40 Conclusion of the Mediation Article 43 Court or Arbitral Proceedings Article 44 Confidentiality and Privacy Article 45 Limitation of Liability PART I – SCOPE OF APPLICATION AND INTERPRETATION
Article 1 Scope of Application and Interpretation1.1 The AIFC International Arbitration Centre is an independent legal entity in the Astana International Financial Centre established by Article 14 of the Constitutional Statute of the Republic of Kazakhstan «On the Astana International Financial Centre» no. 438-V ЗРК dated 7 December 2015 (as amended) and Regulation 48 of the AIFC Arbitration Regulations 2017.
Any pronoun in these Rules shall be understood to be gender-neutral and any singular noun shall be understood to include the plural as and when appropriate. 1.3 The AIAC administers the resolution of disputes under these Rules. 1.4 These Rules are made by the Chairman of the AIAC and shall come into force on 1 January 2018 and, unless otherwise agreed by the parties, shall apply to any arbitration or mediation which is commenced on or after that date.
Article 2 Overriding Objective and Application2.1 The overriding objective of this Part of these Rules is to obtain the fair resolution of disputes by an impartial tribunal without unnecessary delay or expense. 2.2 Where parties have agreed to refer any dispute to the AIAC or to arbitration under the AIAC Rules, the parties shall be deemed to have agreed that the arbitration shall be conducted pursuant to and administered by the AIAC in accordance with this Part of these Rules, or such amended rules as are in force at the date of the commencement of the arbitration or, if earlier, the filing of an application for the appointment of an Emergency Arbitrator. 2.3 Unless the parties otherwise agree, and subject to Article 27.11, the Registrar and the Tribunal shall keep the arbitration and any Award confidential. 2.4 Throughout the proceedings, the parties, the Chairman, the AIAC, the Registrar and the Tribunal shall act in accordance with the overriding objective and in the spirit of these Rules.
Article 3 Time and Notices3.1 Time periods specified in these Rules shall start to run on the day following the day when a notice or communication is received, unless the Registrar or the Tribunal specifically provide otherwise. 3.2 Unless the Registrar or Tribunal provide otherwise, or unless the parties agree otherwise and inform the Registrar and Tribunal (if applicable) in writing, any period of time is to be calculated in accordance with Alma-Ata Time (UTC+6). 3.3 If the last day of any such period is an official holiday or a non-business day at the place where the notice or communication is received, the period shall be extended until the first business day which follows. 3.4 Official holidays and non-business days occurring during the running of the period of time shall otherwise be included for the purposes of calculating the period. 3.5 Any notice or other communication required under these Rules shall be in writing (a ‘written communication’). 3.6 Any written communication may be delivered personally or transmitted by any method (including any electronic method) that provides a record of the written communication’s delivery. 3.7 Unless otherwise agreed by the parties:
(a) in person to the addressee or an authorised representative of the addressee; (b) to the addressee’s place of business, habitual residence or published mailing address (including a published email address); (c) to any address agreed by the parties; (d) in accordance with previous practice between the parties; or (e) if, after reasonable efforts, none of the above methods are possible, to the addressee’s last-known place of business or habitual residence;
3.8 Except where these Rules provide otherwise, the Registrar may extend any time limit set out in these Rules.
Article 4 Request for Arbitration4.1 A party that wishes to commence an arbitration under these Rules (‘the Claimant’) against any other party or parties (‘Respondents’) must file with the Registrar a Request for Arbitration. 4.2 A Request for Arbitration must be filed with the Registrar in electronic format in accordance with any relevant Practice Direction. 4.3 A Request for Arbitration must contain:
(a) the seat of the arbitration; (b) the language of the arbitration; and (c) the number of arbitrators, their qualifications and identities;
4.4 Together with the Request for Arbitration, the Claimant must confirm that the applicable registration fee has been or is being paid to the Registry. 4.5 If the registration fee is not paid at the time the Claimant files its Request for Arbitration, the Registrar will set a time period within which the Claimant must pay the registration fee. If the registration fee is not paid within this time period, the Registrar will undertake no further action on the Request for Arbitration. 4.6 The Claimant shall at the same time as it files its Request for Arbitration send a copy of the Request for Arbitration and all accompanying documents to the Respondent(s) and shall notify the Registrar of the date on which this was done and the method of delivery. 4.7 Unless the parties agree otherwise, an arbitration is commenced on the date on which a Request for Arbitration substantially complying with Article 4.3 is received by the Registrar (‘the Commencement Date’) and the parties are deemed to so agree, for the purposes of the Arbitration Regulations, Article 31. The AIAC shall notify the parties of the Commencement Date.
Article 5 Answer
the Respondent shall file an Answer to the Request for Arbitration with the Registrar and send a copy to the Claimant. 5.2 The Answer should contain:
(a) the seat of the arbitration; (b) the language of the arbitration; and (c) the number of arbitrators, their qualifications and identities.
5.3 Failure by a Respondent to submit an Answer shall not prevent the arbitration from proceeding.
Article 6 Multiple Parties and Contracts Joinder6.1 Where more than two parties are bound by the arbitration agreement, one or more parties may request an arbitration in the same Request against one or more respondents (whether or not jointly represented), and references in these Rules and any relevant arbitration agreement to ‘Claimant’ and ‘Respondent’ shall be interpreted to include the plural as applicable. 6.2 A party to an arbitration may apply to join one or more additional parties to the arbitration as a Claimant or as a Respondent, if all parties, including the additional party, consent to the joinder of the additional party. 6.3 An application under Article 6.2 should be made to the Tribunal as soon as practicable after its constitution. 6.4 An application under Article 6.2 should:
(a) the names, addresses, telephone and fax numbers (if applicable) and email addresses of all the parties (including additional parties) and of their legal representatives; (b) a statement as to whether the additional party is sought to be joined as a Claimant or a Respondent; (c) a copy or citation of either: (і) the arbitration agreement to which the additional party is bound and which is sought to be invoked; or (ii) the consent of the additional party to joinder pursuant to Article 6.2; (d) a brief statement of the facts and legal basis supporting the application; and (e) a statement of any further relevant comments on procedural matters relating to the arbitration. 6.5 The Tribunal shall, after considering the views of all parties, including the additional party to be joined, and having regard to the overriding objective, decide whether to grant, in whole or in part, any application for joinder under this Article. 6.6 Where an application for joinder is granted under this Article, the date of receipt of the application for joinder by the Tribunal may be deemed to be the date of commencement of the arbitration in respect of the additional party. 6.7 Where an application for joinder is granted, the requisite filing fee under any applicable Practice Direction shall be payable for any additional claims or counterclaims. Multiple contracts6.8 Parties may make claims arising out of or in connection with more than one contract in a single arbitration. 6.9 Any party may object to all of the claims being made being determined in a single arbitration. Any such objection should be made to the Tribunal as soon as practicable. Consolidation6.10 At the request of a party the Tribunal may decide to consolidate a newly commenced arbitration with a pending arbitration, if:
6.11 In deciding whether to consolidate, the Tribunal shall consult with the parties and any constituted Arbitral Tribunal and shall have regard to:
6.12 Where the Tribunal decides to consolidate, any arbitrator already appointed may be released. Such release shall not affect the validity of any act done or order or Award made by the arbitrator before his appointment was revoked.
Article 7 Jurisdiction of the Tribunal7.1 The Tribunal has the power to rule on its own jurisdiction, including on any objections with respect to the existence, validity or scope of the arbitration agreement. 7.2 An arbitration agreement which forms part of a contract 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 necessarily entail the invalidity of the arbitration agreement, and the Tribunal shall not cease to have jurisdiction by reason of any allegation that the contract is non-existent or null and void. 7.3 Any objection that the Tribunal does not have jurisdiction shall be raised as soon as practicable and no later than in a Statement of Defence or in a Statement of Defence to a Counterclaim. 7.4 Any objection that the Tribunal is exceeding the scope of its jurisdiction shall be raised within 10 days after the matter alleged to be beyond the scope of the Tribunal’s jurisdiction arises during the arbitral proceedings. 7.5 The Tribunal may rule on an objection referred to in Articles 7.3 and 7.4 either as a preliminary question or in an Award on the merits.
Article 8 Number and Appointment of Arbitrators8.1 The parties may agree on the number of arbitrators provided the number of arbitrators is one or three. 8.2 Where the parties have not agreed a number of arbitrators, there shall be a sole arbitrator, unless the complexity of the claim calls for three arbitrators. 8.3 The parties may agree on a procedure for the appointment of the Tribunal, including an application to the Chairman of the AIAC. 8.4 Where the parties have not agreed on a procedure for the appointment of the Tribunal, or where the parties have not followed such a procedure within any relevant time limit (either agreed or set by the AIAC Chairman), the Tribunal shall be appointed as follows:
8.5 In appointing any arbitrator, the AIAC Chairman shall have due regard to any qualifications required of the arbitrator agreed by the parties and to the overriding objective. 8.6 The AIAC shall establish a list of experienced international arbitrators («the AIAC Panel») from which the parties and the AIAC Chairman may make appointments.
Article 9 Independence of Arbitrators 9.1 Every arbitrator must be and remain independent and impartial. 9.2 Before being appointed, a prospective arbitrator shall disclose to the party proposing to appoint them any circumstances of which they are aware that may give rise to justifiable doubts as to their independence or impartiality. 9.3 Once appointed, an arbitrator must submit to the Registrar a signed statement of acceptance, independence, impartiality and availability disclosing any circumstances of which they are aware that may give rise to justifiable doubts as to their independence or impartiality. The Registrar shall send a copy of the statement to the parties and any other arbitrators. 9.4 Any appointed arbitrator shall immediately inform the Registrar, the parties, and any other members of the Tribunal of any circumstances which arise or of which he or she becomes aware during the course of the arbitration that may give rise to justifiable doubts as to his independence or impartiality.
Article 10 Challenges to Arbitrators10.1 Subject to the provisions of this Article, a party may challenge any arbitrator if circumstances exist that give rise to justifiable doubts as to that arbitrator’s impartiality or independence or if the arbitrator does not possess the required qualifications agreed by the parties. 10.2 A party may challenge an arbitrator it has appointed, or in whose appointment it has participated, only for reasons it becomes aware of after the appointment was made. 10.3 A party wishing to challenge an arbitrator shall submit a written statement to the Tribunal stating the reasons for the challenge within 14 days from the date the circumstances giving rise to the challenge became known to the party. The party wishing to challenge must at the same time send a copy of its written statement to all other parties. Failure to challenge an arbitrator within 14 days of becoming aware of the relevant circumstances constitutes a waiver of the party’s right to make the challenge. 10.4 Any other party may make written representations to the Tribunal in respect of a challenge. Any such written representations must be sent to all other parties and be made within 14 days of receipt of the challenging party’s written statement. 10.5 If all other parties agree to the challenge, the arbitrator shall resign. 10.6 In all other cases, the Tribunal shall take a decision on the challenge having regard to the overriding objective. 10.7 Any decision of the Tribunal rejecting a challenge shall be without prejudice to any right a party may have to apply within seven days to the AIFC Court under the Arbitration Regulations, Article 22(3).
Article 11 Release and Replacement of Arbitrators11.1 An arbitrator is released from the terms of his or her appointment and ceases to be a member of the Tribunal when:
11.3 Whenever an arbitrator has been replaced, the newly constituted Tribunal shall decide the extent to which proceedings are to be repeated having regard to the overriding objective.
Article 12 Conduct of Arbitral Proceedings
the Registrar will refer the case to the Tribunal. 12.2 The Tribunal shall conduct the arbitration in such manner as it considers appropriate, subject to the Arbitration Regulations and these Rules and any agreement of the parties. 12.3 The Tribunal shall conduct the arbitration in accordance with the overriding objective and shall ensure that each party has an equal and reasonable opportunity to present its case. 12.4 As soon as practicable after the constitution of the Tribunal, the Tribunal shall convene a case management conference with the parties, in person or by any other suitable means, to establish, organise and schedule the procedures that will be most appropriate and efficient for the case. 12.5 The Tribunal may convene further case management conferences and issue revised timetables as it deems appropriate. 12.6 The Tribunal shall send a copy of the timetable and any subsequent modifications of it to the parties and to the Registrar. 12.7 Unless otherwise agreed by the parties, the Chairman of the Tribunal may make procedural rulings alone, subject to revision by the Tribunal. 12.8 All statements, documents or other information supplied to the Tribunal by a party shall simultaneously be communicated to all other parties.
Article 13 Statements of Case13.1 Unless the Tribunal directs otherwise, the parties shall file statements of case in accordance with this Article. 13.2 All statements of case required to be filed in accordance with this Article must be sent to the Tribunal, Registry, and all other parties. 13.3 The Claimant shall, within such period of time as is ordered by the Tribunal, file a Statement of Claim that shall contain:
13.4 The Respondent shall, within such period of time as is ordered by the Tribunal, file a Statement of Defence that shall contain:
(a) a statement of the facts on which the Respondent relies in defence to the Claimant’s claim; and (b) a statement of any legal principles on which the Defendant relies in defence to the Claimant’s claim. 13.5 If a Respondent’s defence to a claim includes a defence by way of counterclaim, the Respondent’s Statement of Defence must include a Statement of Counterclaim that shall contain:
13.6 Where a Respondent files a Statement of Counterclaim, the party against whom the counterclaim is made shall file, within such period of time as is ordered by the Tribunal, a Statement of Defence to Counterclaim containing the relevant matters set out in the subparagraphs of Article 13.4. 13.7 The Tribunal may order the parties to submit further Statements of Case at any time. 13.8 At any time prior to the close of proceedings in accordance with Article 26 a party may submit an amended or supplemented Statement of Case so long as the party’s amended case falls within the relevant arbitration agreement. The Tribunal may refuse to accept an amendment or supplement to a Statement of Case if it would be contrary to the overriding objective to do so. 13.9 If a Claimant fails to file a Statement of Claim within the relevant period of time, the Tribunal may dismiss the Claimant’s claim and, if no other claims or counterclaims remain, terminate the arbitration. 13.10 If a Respondent fails to file a Statement of Defence within the relevant period of time, the Tribunal may proceed with the arbitration and make an award.
Article 14 Evidence14.1 Within such period of time as is ordered by the Tribunal, the parties shall submit to the Tribunal and to the other parties the evidence on which they rely. 14.2 The Tribunal may order any party to produce to the Arbitral Tribunal and to other parties documents or copies of documents in their possession, custody or power which the Arbitral Tribunal decides to be relevant. 14.3 The Tribunal shall determine the relevance, materiality and admissibility of all evidence. The Tribunal is not required to apply the rules of evidence of any applicable law in making such determination.
Article 15 Seat15.1 If the parties do not agree the seat of the arbitration, the seat shall be the AIFC. 15.2 The Tribunal may conduct hearings at any place it considers appropriate, including by video conference. The location of such hearings will not alter the seat of the arbitration determined in accordance with Article 15.1. Article 16 Language16.1 If the parties do not agree the language of the arbitration, the Tribunal will determine the language of the arbitration having regard to the circumstances of the case and the overriding objective. 16.2 If a party submits a document written in a language other than the language of the arbitration, the Tribunal, or if the Tribunal has not been constituted, the Registrar, may order that party to submit a translation in a form to be determined by the Tribunal.
Article 17 Representatives17.1 Any party may be represented in an arbitration by legal practitioners or any other person duly authorised by the party. 17.2 The Registrar or the Tribunal may require proof of authority of any person to represent a party. 17.3 After the constitution of the Tribunal, any change by a party to its representation must be notified to all other parties, the Tribunal and the Registrar.
Article 18 Applicable Law18.1 The Tribunal shall decide the merits of the dispute on the basis of the law in the arbitration agreement. In the absence of such agreement, the Tribunal shall apply the law that it considers most appropriate with regard to the circumstances of the case and the overriding objective. 18.2 Any designation by the parties of the law of a given state shall be deemed to refer to the substantive law of that state, not to its conflict of laws rules.
Article 19 Hearings19.1 Unless the parties have agreed to dispense with oral hearings the Tribunal shall hold a hearing for the presentation of evidence and for oral submissions on the merits of the dispute, including on any issue as to jurisdiction. 19.2 The Tribunal shall, after consultation with the parties, set the date, time and place of any meeting or hearing and shall give the parties reasonable notice. 19.3 If any party fails to appear at a meeting or hearing without showing sufficient cause for such failure, the Tribunal may proceed with the arbitration and may make an Award based on the submissions and evidence before it. 19.4 Unless otherwise agreed by the parties, all meetings and hearings shall be in private, and any recordings, transcripts, or documents used in relation to the arbitral proceedings shall remain confidential subject only to Article 27.11.
Article 20 Witnesses20.1 The Tribunal may require the parties to give notice of the identity of witnesses, including expert witnesses, whom the parties intend to produce at any hearing, the subject matter of their testimony and its relevance to the dispute. 20.2 The Tribunal may allow, refuse or limit the appearance of witnesses to give oral evidence at any hearing. 20.3 Any witness who gives oral evidence at a hearing may be questioned by each of the parties, their representatives and the Tribunal in such manner as the Tribunal may determine. 20.4 The Tribunal may direct the testimony of witnesses to be presented in written form, either as signed statements or sworn affidavits or in any other form. 20.5 Subject to Article 20.2, any party may request that such a witness should attend for oral examination. If the witness fails to attend for oral examination, the Tribunal may place such weight on the written evidence as it thinks fit, having regard to the circumstances of the case and the overriding objective.
Article 21 Tribunal-appointed Experts21.1 The Tribunal may, after consulting the parties and with regard to the circumstances of the case and the overriding objective, appoint one or more experts to provide an opinion to the Tribunal on any expert issue set out by the Tribunal in writing. 21.2 The Tribunal may require any party to provide any relevant information or make available any relevant documents, goods or property to an expert appointed under Article 21.1. 21.3 The Tribunal will, upon receipt of a report from an expert appointed under Article 21.1, provide a copy to all parties.
Article 22 Sanctions for Default and Waiver22.1 If a party fails to comply with any provision of, or requirement under, this part of these Rules or any procedural order given by the Tribunal, the Tribunal may draw such inferences as it considers appropriate. 22.2 A party who, during the arbitration, fails to object without delay to any failure to comply with the arbitration agreement, these Rules or any other rules applicable to the proceedings, or any procedural order given by the Tribunal, shall be deemed to have waived the right to object to such failure.
Article 23 Additional Powers of the Tribunal23.1 Unless otherwise agreed by the parties, in addition to the powers specified in these Rules, and except as prohibited by the mandatory rules of law applicable to the arbitration, the Tribunal shall have the power to:
Article 24 Interim Relief24.1 The Tribunal may, at the request of a party, issue an order or an Award granting an injunction or any other interim relief it deems appropriate. 24.2 The Tribunal may order the party requesting interim relief to provide appropriate security by way of deposit or bank guarantee or in any other manner and upon such terms as the Tribunal thinks fit in connection with the relief sought. 24.3 A party that wishes to seek emergency interim relief prior to the constitution of the Tribunal may apply for such relief pursuant to the procedures set forth in Article 32. 24.4 A party in whose favour an interim order or Award has been granted may, with the written permission of the Tribunal, request from the AIFC Court of First Instance an order enforcing the Tribunal’s order or Award or any part thereof. Any request for permission or enforcement made under this Article must be simultaneously copied to all other parties.
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Содержание PART I – SCOPE OF APPLICATION AND INTERPRETATIONArticle 1 Scope of Application and InterpretationPART II – ARBITRATIONArticle 2 Overriding Objective and ApplicationArticle 3 Time and NoticesArticle 4 Request for ArbitrationArticle 5 AnswerArticle 6 Multiple Parties and ContractsArticle 7 Jurisdiction of the TribunalArticle 8 Number and Appointment of ArbitratorsArticle 9 Qualifications of ArbitratorsArticle 10 Challenges to ArbitratorsArticle 11 Release and Replacement of ArbitratorsArticle 12 Conduct of Arbitral ProceedingsArticle 13 Statements of CaseArticle 14 EvidenceArticle 15 SeatArticle 16 LanguageArticle 17 RepresentativesArticle 18 Applicable LawArticle 19 HearingsArticle 20 WitnessesArticle 21 Tribunal-appointed ExpertsArticle 22 Sanctions for Default and WaiverArticle 23 Additional Powers of the TribunalArticle 24 Interim ReliefArticle 25 Early DeterminationArticle 26 Close of ProceedingsArticle 27 AwardsArticle 28 Correction of Awards and Additional AwardsArticle 29 CostsArticle 30 Limitation of LiabilityArticle 31 Expedited ProcedureArticle 32 Emergency ArbitratorsPART III – MEDIATIONArticle 33 Overriding Objective and ApplicationArticle 34 Prior Agreements to MediateArticle 35 No Prior Agreement to MediateArticle 36 Appointment of a MediatorArticle 37 Position StatementsArticle 38 Mediation BundlesArticle 39 Conduct of the MediationArticle 40 Conclusion of the MediationArticle 41 SettlementArticle 42 CostsArticle 43 Court or Arbitral ProceedingsArticle 44 Confidentiality and PrivacyArticle 45 Limitation of Liability |