arbitrateAD arbitration procedure — from Request for Arbitration to award

arbitrateAD replaced the ADCCAC rules with a modern framework in February 2024, and the result is a procedure with a distinctly different centre of gravity from DIAC’s. The seat defaults to the ADGM, expedited proceedings run automatically up to AED 9,000,000, every award is scrutinised before it can be issued, and a manifestly hopeless claim can be dismissed within 30 days. This is the sequence from Request to award, with the article numbers.

Commencement — the Request

The claimant files a Request with the Case Management Office setting out the parties and their contact details, the nature and circumstances of the dispute, the relief claimed and its legal basis with an initial quantification, the arbitration agreement and the contract it sits in, the number of arbitrators and any nomination, comments on seat, applicable law and language, and proof of payment of the filing fee (Article 6(1)).

The commencement date is the date the Case Management Office receives the Request (Article 6(2)). What follows is the provision most worth knowing: if proof of payment does not accompany the Request, but the claimant pays and submits proof in the manner set out in Article 6(3), that payment does not affect the commencement date. DIAC takes the opposite approach, where the arbitration commences only on receipt of a complete Request including the fee. Where a limitation period is about to expire, the difference is not academic.

If the Request is substantially defective, the Office sets a period to remedy it, not exceeding 10 Business Days. Failure to remedy allows the Office to terminate the arbitration — but expressly without prejudice to the claimant’s right to re-commence (Article 6(3)).

Note that time under these Rules runs from the next Business Day after the day a notice is treated as received, and where the last day of a period falls on a public holiday or non-Business Day at the Seat, the period expires at the end of the first following Business Day (Article 5(4)).

The Answer and any counterclaim

The respondent files an Answer within 21 days of receipt of the Request, unless the Case Management Office extends on a reasoned request (Article 7(1)). It responds to the relief claimed, quantifies any counterclaim, comments on the number of arbitrators and nominates where required, and encloses proof of payment of any counterclaim filing fee.

Failure to file an Answer does not prevent the arbitration proceeding (Article 7(2)). A defective counterclaim, by contrast, has consequences: the Office sets a remedy period of up to 10 Business Days, and if the defect is not cured the counterclaim may be dismissed — without prejudice — and the arbitration proceeds on the claim alone (Article 7(3)).

Where a counterclaim is made, the claimant replies within a further 21 days (Article 7(4)).

Jurisdiction

Before the tribunal is constituted, a party may ask the Court to rule on whether the Centre has jurisdiction to administer the arbitration. The arbitration proceeds if the Court is prima facie satisfied; if not, the Request is dismissed, without prejudice to re-filing (Article 8(1)). That decision does not bind the tribunal on its own jurisdiction (Article 8(2)).

Once constituted, the tribunal decides any challenge to its jurisdiction (Article 8(3)), and has authority to rule on the existence and validity of the arbitration agreement notwithstanding any contention that the underlying contract is non-existent, void or unenforceable — the agreement being treated as separable (Article 8(4)).

The deadline: a jurisdictional challenge must be submitted no later than the Statement of Defence, or the Statement of Defence to Counterclaim, unless the tribunal permits it later (Article 8(5)). Having nominated or participated in nominating an arbitrator does not preclude a party from raising the challenge (Article 8(6)).

Multiple contracts, joinder and consolidation

Claims under more than one contract or arbitration agreement may proceed in a single arbitration if the Court so decides, having regard to whether the agreements are compatible, whether the relief arises out of the same transaction or series of transactions, and the efficiency of the proceedings (Article 10(2)).

A Request for Joinder must be filed no later than the time the Answer is filed, and the additional party answers within 14 days (Articles 11(2) and 11(3)). After the tribunal is constituted, joinder requires agreement or the tribunal’s consent, and an additional party joining at that stage is deemed to have waived its right to nominate (Articles 11(8) and 11(9)).

On consolidation, the Court may revoke prior appointments, in which case nomination starts again and the timing runs from receipt of the Court’s decision (Article 12(6)). Acts, orders and awards made before the revocation remain valid (Article 12(7)).

Constituting the tribunal

The constitution proceeds regardless of any deficiency in the Answer (Article 13(1)). The parties may agree the number of arbitrators, provided the total is uneven (Article 13(2)). Absent agreement, a sole arbitrator is appointed unless the Court, after hearing the parties, considers three appropriate having regard to complexity, amount in dispute and other circumstances (Article 13(4)).

For a sole arbitrator, the parties have 14 days from receipt of the Answer to nominate jointly; failing that, the Court appoints (Article 13(5)). For three arbitrators, the claimant nominates in the Request and the respondent in the Answer, and the Court appoints the President unless the arbitration agreement provides otherwise (Article 13(6)). Where the Court has decided on three, each side nominates within 14 days (Article 13(7)).

All nominations are subject to appointment by the Court, which will inform the nominating party and hear it before refusing (Article 14(1)). Where the parties are of different nationalities, the sole arbitrator or President shall not share a party’s nationality unless all expressly agree (Article 13(9)).

Where there are multiple claimants or respondents, each side nominates jointly; a party refusing to participate is deemed to have waived its right, without prejudice to a later challenge (Article 13(10)). Where the parties have not agreed which of them are claimants and which respondents, the Court appoints all arbitrators including the President, disregarding any nomination (Article 13(11)).

The file goes to the tribunal once constituted, provided the advance on costs has been deposited (Article 18(1)).

Independence, challenge and replacement

Every arbitrator must be independent and impartial at all times and signs a statement of acceptance, availability, impartiality and independence disclosing anything that could give rise to justifiable doubts (Articles 15(1) and 15(2)).

Pre-constitution contact with a prospective arbitrator is permitted to assess qualifications, availability and impartiality and to discuss the choice of President — but nothing else ex parte. After constitution, no ex parte communication with the tribunal is permitted at all (Article 15(3)).

A challenge must be in writing, specify the grounds, and be submitted within 14 days of receipt of the notice of appointment or of the date the grounds became known (Article 16(2)). It carries a fee, and failure to pay it is treated as withdrawal of the challenge — a procedural trap with no cure. The Court may suspend the arbitration pending resolution and takes comments within 14 days (Article 16(3)).

If the parties agree to the challenge, or the arbitrator withdraws voluntarily, the arbitrator is removed with no implication that the grounds were valid (Article 16(4)). Otherwise the Court decides admissibility and merits and gives a summary of its reasons (Article 16(5)).

A replacement is nominated or appointed by the original method (Article 17(2)). The tribunal decides whether and to what extent earlier proceedings are repeated (Article 17(3)), but any interim or partial award already issued stands, and hearings relating solely to it are not repeated (Article 17(4)).

Seat, language and applicable law

Failing agreement on the Seat or on the place of arbitration, the Seat is the ADGM unless the Court decides otherwise after hearing the parties (Article 22(2)). This mirrors DIAC’s DIFC default and has the same consequence: a silent clause produces a common-law curial regime, with the ADGM Court supervising, rather than the onshore Abu Dhabi courts. Hearings may be held anywhere without changing the Seat, and the award is deemed made at the Seat (Article 22(3)).

The Case Management Office fixes the initial language; after constitution the tribunal decides (Article 23(1)). On the merits, the tribunal applies the law agreed by the parties, failing which the law it determines to be appropriate (Article 21(1)), taking account of the contract and relevant trade usages (Article 21(2)). It may act as amiable compositeur or decide ex aequo et bono only on express written agreement (Article 21(3)).

Terms of Reference and the case management conference

Terms of Reference are optional here — the tribunal decides, on its own volition or on application, whether it is appropriate to issue them (Article 24(1)). Under the ICC Rules they were mandatory until the 2026 Rules removed them altogether in favour of an initial case management conference, so arbitrateAD’s optional Terms of Reference now sit between the old ICC practice and the new one. Where they are issued they are signed by the parties and the tribunal, and if a party refuses to sign, the Office submits them to the Court for approval (Articles 24(3) and 24(4)).

The tribunal holds an initial case management conference no later than 21 days after the file is transmitted (Article 25(1)). The agenda is set out at Article 25(3) and is unusually modern: the procedural timetable, interim measures and bifurcation, settlement and mediation windows, the structuring and phasing of the proceedings, document production, expert evidence including witness conferencing, and data protection and cyber security.

That conference matters more than it looks, because the nine-month deadline for the award runs from it.

The written stage

Statements of Claim, Defence and Defence to Counterclaim follow within the periods the tribunal sets, each stating the relevant facts, the legal basis and the relief sought (Articles 26 to 28). The tribunal decides what further submissions are required after hearing the parties (Article 29).

Whether new claims may be introduced depends on whether Terms of Reference were issued. Without them, the parties may amend or assert new claims unless the tribunal considers it inappropriate, weighing efficiency and prejudice (Article 30(1)). With them, no claim outside the limits of the Terms of Reference may be asserted unless the tribunal authorises it (Article 30(2)). Whether to ask for Terms of Reference is therefore also a decision about how tightly the case is fenced.

Evidence, witnesses and hearings

Each party bears the burden of proving the facts it relies on (Article 31(1)). The tribunal determines the applicable rules of evidence and rules on relevance, materiality and admissibility (Article 31(2)), and has broad powers under Article 31(3) to bifurcate, exclude cumulative or irrelevant evidence, appoint experts, and direct the parties to focus on the issues it considers relevant.

Witness and expert testimony may be given in the form of signed statements or reports (Article 32(2)). The tribunal may require a party to produce a witness for questioning, and any witness whose testimony a party seeks to rely on shall attend for examination unless the parties agree or the tribunal decides otherwise (Article 32(3)). A statement from a witness who will not attend is therefore exposed.

Unless the parties have expressly agreed in writing to a documents-only arbitration, the tribunal holds a hearing on a party’s request or where it considers it appropriate (Article 33(1)). Hearings are held in private (Article 33(5)).

One provision runs against the grain of most rules: if a party fails to attend without sufficient justification the tribunal may proceed, but shall not draw any inference from the non-attendance unless that party fails to show good cause or provide sufficient justification (Article 33(4)).

Preliminary measures

The tribunal may order preliminary measures on a party’s request, in the form of an order or an award as it considers appropriate, and may require the applicant to provide security (Articles 34(1) and 34(3)). It may reconsider, modify or vacate its own measure (Article 34(4)).

Applying to a court for preliminary measures — whether before or during the arbitration — is not incompatible with the arbitration agreement and is not a waiver of it (Article 34(2)). Where the objective is to attach an asset, arrest a vessel or bind a third party, the court application remains the only route.

The emergency arbitrator

A party needing urgent preliminary measures before the tribunal is constituted may apply for an emergency arbitrator, whether or not it has yet filed its Request (Article 35(1)). The application sets out the relief and the reasons, the facts, the arbitration agreement, and comments on seat, law and language (Article 35(3)), with a non-refundable fee (Article 35(4)).

If the Court is prima facie satisfied of jurisdiction, it endeavours to appoint the emergency arbitrator within one day of receipt of the application and proof of payment (Article 35(5)). A challenge must be made within two days of notification of the appointment (Article 35(7)). The seat of the emergency proceedings is the agreed Seat, failing which the ADGM (Article 35(6)).

The emergency arbitrator rules within 10 days of appointment, extendable on a reasoned request (Article 35(13)). The ruling may be an order or an award, with summary reasons, and is subject to approval as to form by the Registrar, who may refer it to the Court (Articles 35(11) and 35(13)).

The deadline that catches people: where the Request was not filed at the same time as the application, it must be filed within 30 days of the emergency arbitrator’s decision or that decision ceases to be binding (Articles 35(2) and 35(17)(iii)). The appointment is revoked once the tribunal is constituted (Article 35(16)), and the tribunal is not bound by anything the emergency arbitrator decided (Article 35(18)).

Expedited proceedings

Unless the parties have expressly agreed otherwise, expedited proceedings apply where the amount in controversy does not exceed AED 9,000,000, being the aggregate of all Claims and Counterclaims (Article 36(1)). That threshold is nine times DIAC’s, and it is the single most important number in these Rules for anyone drafting a clause: a AED 8m dispute that would run a conventional procedure at DIAC will, at arbitrateAD, be heard by a sole arbitrator on a four-month clock unless the contract says otherwise.

The expedited regime prevails over contrary provisions (Article 36(2)). Under it, the Request constitutes the Statement of Claim and the Answer the Statement of Defence; the case goes to a sole arbitrator; Article 11 (joinder), Article 12 (consolidation) and Article 24 (Terms of Reference) do not apply; the tribunal may decide on documents alone; and the final award is due within four months of the file being submitted, extendable by the Case Management Office on a reasoned request by no more than a further two months. Reasons are given in summary form.

The regime works in both directions. The tribunal may ask the Court to disapply it despite the threshold, but only in exceptional circumstances where due process and fairness require (Article 36(3)); and the parties or tribunal may ask the Court to apply it to a dispute above the threshold (Article 36(4)). The parties may also modify the expedited timetable by agreement, with a corresponding adjustment to fees (Article 36(5)).

Early dismissal

Article 45 has no counterpart in the DIAC Rules and is worth knowing before choosing an institution. The tribunal may order early dismissal, in whole or in part, of a claim, defence, counterclaim or reply that is manifestly without legal merit, or manifestly inadmissible or outside the tribunal’s jurisdiction (Article 45(1)).

The application states the facts and the legal basis (Article 45(2)). The decision — by order or award, with reasons — is due within 30 days of filing, extendable by the tribunal by no more than 15 days and further by the Case Management Office on a reasoned request (Article 45(3)). Against a claim that should never have been brought, that is a materially faster route than fighting to a final award.

Closure, time limit, scrutiny and the award

The tribunal declares the proceedings closed as soon as practicable after the hearing or the final submissions (Article 38(1)), and may re-open before any award on the merits (Article 38(2)).

The award on the merits is due within nine months from the date of the initial case management conference (Article 38(3)). The trigger is the conference, not transmission of the file — so the clock can be influenced by how quickly that conference is convened. The Court may extend on its own volition or on a reasoned request, and shall extend on the joint request of the parties (Article 38(4)).

Where there is more than one arbitrator the award is made by majority; absent a majority, the President makes it alone unless the parties agree otherwise (Article 39(1)).

Scrutiny is mandatory. The tribunal submits every award in draft to the Case Management Office for the Court to scrutinise and to fix its final fees, and for an award on the merits must do so not less than 20 days before the Article 38 deadline (Article 40(1)). The Court may suggest modifications to form and draw attention to points of substance, apparent clerical errors, inconsistencies or omissions (Article 40(2)). No award may be made without the Court’s prior approval (Article 40(3)).

Awards are in writing, final and binding, and give reasons unless made by consent or the parties agree otherwise (Articles 41(2) and 41(3)). Each member signs, and where the law requires it, signs each page; electronic signature is permitted (Article 41(4)). If an arbitrator fails to sign, the majority’s signatures suffice provided the reason is stated (Article 41(5)). Required contents are at Article 41(6), and the tribunal consults an Award Checklist provided by the Centre (Article 41(7)).

The award is delivered in digital form, which counts as an original, with physical copies on request (Article 41(9)). A dissent may be attached unless doing so would unduly delay issuance (Article 41(10)). By arbitrating under the Rules the parties waive rights of appeal or recourse so far as such waiver is valid (Article 41(12)).

Correction, additional awards and settlement

The tribunal may correct a clerical or computational error of its own volition within 14 days of transmission (Article 42(1)). A party may apply for correction or interpretation within 14 days of receipt; comments follow within 14 days, and the tribunal decides within 30 days after that period expires, extendable by a further 30 (Articles 42(2) and 42(3)). Any correction takes the form of an appendix forming an integral part of the award (Article 42(4)).

An additional award on a claim advanced but not adjudicated may be requested within 14 days of receipt of the award, on the same comment-and-decision timetable (Article 43).

On settlement the tribunal issues a termination order, or a consent award if the parties submit their terms and jointly request one. A consent award need not contain reasoning and has the same effect and binding force as any other award (Article 44(1)) — which is what makes it the right instrument where the settlement may need enforcing abroad.

Costs, the advance and the fee schedule

The costs of the arbitration comprise the tribunal’s fees, the administrative fee, and the expenses of the tribunal and the Centre (Article 50(1)). The Court finally determines them by reference to the Schedule of Fees, having regard to the extent to which the tribunal has acted in an efficient and expeditious manner (Articles 50(3) and 50(4)) — an unusual and pointed provision. The tribunal apportions the costs and the parties’ legal costs having regard to the outcome and to each party’s contribution to the efficiency and expeditiousness of the arbitration (Article 50(6)).

The advance on costs corresponds to the estimated total and includes a further amount equivalent to 5% of the tribunal’s fees for expenses (Article 51(2)). Each party pays half unless separate advances are determined (Article 51(3)).

Non-payment is dealt with bluntly. If a party fails to pay its share, the Office invites the other to pay instead; if payment is still not made, the Office dismisses the case in whole or in part, or the tribunal terminates it if the file has already been transmitted (Article 51(4)). The parties are jointly and severally liable to the Centre and the tribunal (Article 50(7)), and by paying the advance each party pledges its rights over the amount as continuing security (Article 52(2)).

The schedule itself (Annex 1) is stated in AED and is deterministic: for each band, a fixed base plus a percentage of the amount above the band threshold — a tribunal fee per arbitrator and a separate administrative fee, the latter capped at AED 300,000. The filing fee is AED 10,000 and an emergency arbitrator application carries a non-refundable minimum of AED 165,000. Our arbitration cost calculator implements this schedule and compares it against DIAC, SIAC and the LCIA.

Confidentiality, funding and waiver

Confidentiality is expressed more broadly here than in most rules. The discussions and deliberations of the tribunal, the Court and the Secretariat are confidential (Article 47(1)), and the parties, representatives, witnesses, experts, tribunal, secretary and the Centre must maintain the confidentiality of all aspects of the proceedings, including awards, orders, expert reports, witness statements, records, hearings and materials (Article 47(2)).

The permitted exceptions are narrow and the burden sits on the disclosing party to establish that disclosure was minimised and was agreed, required by law, or required to pursue or enforce a legal right or to challenge an award before a court (Article 47(3)). The tribunal can enforce the obligation and may award sanctions, damages or costs for breach (Article 47(4)).

Third-party funding must be disclosed as soon as reasonably possible — the existence and the identity of the funder — and a claimant already funded when it files must include that in the Request (Article 48).

Finally, waiver. A party that becomes aware of non-compliance with the Rules, an applicable procedural rule, an order of the tribunal or any requirement relating to the conduct of the arbitration or the constitution of the tribunal, and does not promptly object, is deemed to have waived its right to object (Article 37). Unlike DIAC’s fixed seven days, “promptly” is undefined — which makes it safer, not riskier, to object immediately and in writing.

Frequently asked questions

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• DIAC arbitration procedure — Request to award
• LCIA arbitration procedure — Request to award
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• SIAC arbitration procedure — Notice to award (2025 Rules)
• UNCITRAL expedited arbitration — notice to award
• arbitrateAD 2024 Rules — complete guide
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