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International Arbitration Centre
Article 1 Scope of Application and Interpretation
1.1 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.
‘AIAC’ means the AIFC International Arbitration Centre; ‘AIFC’ means the Astana International Financial Centre;
‘Award’ includes a partial, interim or final award and an award of an Emergency Arbitrator;
‘Chairman’ means the Chairman of the AIAC;
‘Practice Direction’ means a Practice Direction issued by the Chairman under Article 54(2) of the Arbitration Regulations to supplement, regulate and implement these Rules;
‘Registrar’ means the Registrar of the AIAC and includes any Deputy Registrar;
‘Registry’ has the meaning and functions provided by Article 52 of the Regulations;
‘Arbitration Regulations’ means the AIFC Arbitration Regulations 2017;
‘Rules’ means these AIFC International Arbitration Centre Arbitration and Mediation Rules issued by the Chairman under Article 54(1) of the Arbitration Regulations; and
‘Tribunal’ includes a sole arbitrator or all the arbitrators where more than one arbitrator is appointed.
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.
1.4 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 Application
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.
3.1 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.
any written communication is deemed to have been received if it is delivered:
(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;
any written communication is deemed to have been received on the day it is delivered in accordance with this Article.
the names, addresses, telephone and fax numbers (if applicable) and email addresses of all the parties and of their legal representatives;
a short summary of the dispute;
a short statement of the relief sought by the Claimant, including a statement of the estimated monetary value of the claim;
a copy or citation of the arbitration agreement sought to be invoked;
a statement of any proposed procedural matters relating to the arbitration, which may include:
(a) the seat of the arbitration;
(b) the language of the arbitration; and
(c) the number of arbitrators, their qualifications and identities;
the name, address, telephone number and email address of any arbitrator appointed or proposed by the Claimant;
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
28 days of receipt of the Request of Arbitration; or
such other period as the parties agree or the Registrar directs;
the Respondent shall file an Answer to the Request for Arbitration with the Registrar and send a copy to the Claimant.
any objections concerning the existence, validity or applicability of the arbitration agreement;
an admission or denial of the relief sought in the Request for Arbitration;
a preliminary statement of any counterclaims or defences by way of set- off, including a statement of the estimated monetary value of such counterclaims or set-offs;
where any counterclaims or set-offs are made under a different agreement to that containing the arbitration agreement, a description of each agreement and any arbitration agreement under which each counterclaim or set-off is made;
a statement of any comments on procedural matters relating to the arbitration, which may include:
(a) the seat of the arbitration;
(b) the language of the arbitration; and
(c) the number of arbitrators, their qualifications and identities.
the name, address, telephone number and email address of any arbitrator appointed or proposed by the Respondent.
6.1 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.
be in writing;
be sent to all other parties and the additional party (if applicable); be made as soon as possible; and
(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.
the parties agree to consolidate;
all the claims are made under the same arbitration agreement; or
where the claims are made under more than one arbitration agreement, the relief sought arises out of the same transaction or series of transactions and the Registrar considers the arbitration agreements to be compatible.
the stage of the pending arbitration;
the efficiency and expeditiousness of the proceedings; and
any other relevant circumstances.
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.
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.
7.4 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.
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:
Where the Tribunal is to consist of a sole arbitrator, the Registrar will ask the parties jointly to appoint a sole arbitrator within 10 days for appointment. If the parties fail jointly to appoint a sole arbitrator, the AIAC Chairman will appoint a sole arbitrator;
Where the Tribunal is to consist of more than one arbitrator and there are two parties to the arbitration, each party shall appoint an equal number of arbitrators within 10 days of the AIAC Chairman’s request for such appointment. The AIAC Chairman will appoint the Chairman of the Tribunal. If a party fails to appoint an arbitrator within the said 10 days the AIAC Chairman shall appoint an arbitrator on that party’s behalf;
Where the Tribunal is to consist of more than one arbitrator and there are more than two parties to the arbitration, the Claimants jointly and the Respondents jointly shall appoint an equal number of arbitrators within 10 days of the AIAC Chairman’s request for such appointment. The AIAC Chairman will appoint the Chairman of the Tribunal. If the Claimants or the Defendants fail jointly to nominate an arbitrator within the said 10 days, the AIAC Chairman shall appoint the whole Tribunal;
If the parties are not all of the same nationality, the sole arbitrator or the Chairman of the Tribunal shall be of a different nationality to that of any of the parties, unless the parties agree otherwise.
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.
10.1 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.
10.3 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.
10.7 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).
an arbitrator delivers a notice of resignation to the Registrar (whether pursuant to Article 10.5 or otherwise);
the Tribunal determines to release an arbitrator upon a successful challenge pursuant to Article 10.6;
the AIFC Court upholds a challenge under the Arbitration Regulations, Article 22(3); or
the arbitrator is otherwise unable or fails to perform his or her functions as an arbitrator.
an arbitrator appointed by a party or parties ceases to be a member of the Tribunal pursuant to Article 11.1, that party or those parties shall appoint a replacement arbitrator in accordance with Article 8; and
an arbitrator appointed by the AIAC Chairman ceases to be a member of the Tribunal pursuant to Article 11.1, the AIAC Chairman will appoint a replacement arbitrator in accordance with Article 8.
the Tribunal has been appointed; and
any deposit in respect of costs required by the Registrar or by applicable Practice Direction has been paid;
the Registrar will refer the case to the Tribunal.
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.
a statement of the facts on which the Claimant relies in support of its claim;
a statement of the legal principles on which the Claimant relies in support of its claim; and
a statement of the relief sought by the Claimant, and where such relief is an amount of money, the quantum of such claim.
any objections concerning the existence, validity, or applicability of the arbitration agreement or any other challenge to the Tribunal’s jurisdiction to try the claim;
a statement whether, and to what extent, the Respondent admits or denies the Claimant’s claim; and
where the Respondent denies all or part of the Claimant’s claim:
(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.
a statement of the facts on which the Respondent relies in support of its counterclaim;
a statement of the legal principles on which the Respondent relies in support of its counterclaim; and
a statement of the relief sought by the Respondent, and where such relief is an amount of money, the quantum of such claim.
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.
13.8 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.
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.
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.
16.1 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.
18.1 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.
19.1 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.
19.3 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.
20.1 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.
20.5 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.
21.1 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.
make written comments in respect of an expert’s report to the Tribunal made under this Article; and
examine such expert either by way of written questions or at a hearing as ordered by the Tribunal.
22.1 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.
23.1 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:
order the correction or rectification of any contract, subject to the law governing such contract;
extend or abbreviate any time limits prescribed under these Rules or by its procedural orders;
conduct such enquiries as may appear to the Tribunal to be necessary or expedient;
order the parties to make any property or item in their possession or control available for inspection;
order the preservation, storage, sale or disposal of any property or item which is or forms part of the subject matter of the dispute;
order any party to produce to the Tribunal and to the other parties for inspection, and to supply copies of, any document in their possession or control which the Tribunal considers relevant to the case;
issue an order or Award for the reimbursement of any unpaid deposits towards the costs of the arbitration;
direct any party or person to give evidence by affidavit or in any other form;
direct any party to take or refrain from taking actions to ensure that any Award which may be made in the arbitration is not rendered ineffectual by the dissipation of assets by a party or otherwise;
order any party to provide security for legal or other costs by way of deposit or bank guarantee or in any other manner and upon such terms as the Tribunal thinks fit;
order any party to provide security for all or part of any amount in dispute in the arbitration by way of deposit or bank guarantee or in any other manner and upon such terms as the Tribunal thinks fit;
proceed with the arbitration notwithstanding the failure or refusal of any party to comply with these Rules or with the Tribunal’s orders or directions or any partial Award or to attend any meeting or hearing, and to impose such sanctions as the Tribunal deems appropriate in relation to such failure or refusal;
decide, where appropriate, any issue not expressly or impliedly raised in the submissions of a party provided such issue has been clearly brought to the notice of the other party and that other party has been given adequate opportunity to respond; and
determine any claim of legal or other privilege.
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.
24.4 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.
24.5 Unless the Tribunal at any time directs otherwise, the party making a request to the AIFC Court of First Instance under Article Article 24 shall be entitled to recover in the arbitration any legal costs and AIFC Court of First Instance fees reasonably incurred.
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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