ICDPASO Commercial Arbitration Rules Interpretation Series:Article 19 "Statement of Claim"

I. Introduction

The Statement of Claim is a fundamental legal document through which the Claimant articulates its core claims, serving as the basis for defining the parties' core disputes and the scope of the arbitral proceedings. Clear and standardized rules for the Statement of Claim are crucial for ensuring the orderly progress of arbitral proceedings, balancing the rights and obligations of the parties, and enhancing the efficiency of dispute resolution. Article 19 of the International Commercial Dispute Prevention and Settlement Organization (ICDPASO) "Commercial Arbitration Rules" establishes a logically rigorous, pragmatic, and efficient regulatory system concerning the "Statement of Claim." It not only specifies the requirements for submission, service, and core content of the Statement of Claim but also grants the Claimant flexibility in its choices while mandating the obligation to submit accompanying documents. This provision closely links with aspects such as the initiation of arbitral proceedings, evidence review, and determination of the scope of the hearing, providing international commercial parties with clear and operable guidance for document preparation, playing a significant role in ensuring procedural fairness and reducing procedural disputes.

II. Rule Text

Article 19 Statement of Claim

(1) The Claimant shall, within the time limit determined by the Arbitral Tribunal, deliver the Statement of Claim in writing to all members of the Arbitral Tribunal and the Respondent.

The Claimant may elect to treat the Notice of Arbitration referred to in Article 4 of these Rules as the Statement of Claim, provided that such Notice of Arbitration meets the requirements set forth in paragraphs (2) to (3) of this Article.

(2) The Statement of Claim shall include the following:

1. The names and effective contact details of all parties and their representatives (if any);

2. A statement of facts supporting the claim;

3. The matters in dispute;

4. The legal grounds and arguments supporting the claim;

5. The relief or damages sought.

(3) The Statement of Claim shall be accompanied by all documents and evidence relied upon by the Claimant, as well as evidence of the Claimant's legal standing.

III. Article Analysis

(A) Paragraph (1)

1. Analysis of Core Features

This paragraph specifies the requirements for submitting and serving the Statement of Claim, as well as the rules for its flexible application.

(1) Standardization of Submission and Service. It requires the Claimant to submit the document in "writing" and serve it comprehensively "to all members of the Arbitral Tribunal and the Respondent," ensuring that both the Arbitral Tribunal and the Respondent are fully aware of the Claimant's claims and basis, guaranteeing procedural transparency and equal participation rights; simultaneously, it imposes a "time limit determined by the Arbitral Tribunal" as a constraint, preventing procedural delays caused by the Claimant's procrastination, reflecting the requirement for procedural efficiency.

(2) Flexibility in Document Function. It allows the Claimant to "treat the Notice of Arbitration as the Statement of Claim," provided that such Notice meets the content and accompanying document requirements of paragraphs (2) and (3) of this Article. This design simplifies the procedural process, reduces the Claimant's document preparation costs, and is particularly suitable for simple cases where the disputed facts are clear and the claims are specific, aligning with the trend towards efficiency and convenience in international commercial arbitration.

(3) Coherence of Rule Linkage. It explicitly references the "Notice of Arbitration referred to in Article 4 of these Rules," achieving a seamless connection between the initiation of arbitral proceedings and the stage of specifying claims, avoiding fragmented application of rules and enhancing procedural coherence and predictability.

2. Comparative Law Perspective

The Singapore International Arbitration Centre (SIAC) Rules (Articles 6.4, 33.2) stipulate that the Claimant should submit the Statement of Claim after the constitution of the tribunal, within a time limit set by the tribunal; if the Claimant chooses to submit it together with the Notice of Arbitration, it can be advanced to the arbitration initiation stage.1

The Hong Kong International Arbitration Centre (HKIAC) Rules (Article 16) stipulate that unless the Statement of Claim is already contained in the Notice of Arbitration, or the Claimant elects to treat the Notice of Arbitration as the Statement of Claim, the Claimant shall, within a period of time fixed by the arbitral tribunal, deliver the Statement of Claim to all other parties and the tribunal.2

The International Chamber of Commerce (ICC) Arbitration Rules (Article 4) require the Claimant to submit a Request for Arbitration to the Secretariat, with no specific provisions regarding a Notice of Arbitration.3

The London Court of International Arbitration (LCIA) Rules (Article 1) require the Claimant to submit a Request for Arbitration electronically to the LCIA Registrar; if supplementation is needed, it may be permitted by the LCIA Court before the constitution of the arbitral tribunal.4

The Arbitration Institute of the Stockholm Chamber of Commerce (SCC) Rules (Articles 10, 22) require the Claimant to submit a Request for Arbitration and a Statement of Claim.5

The advantage of the ICDPASO provision lies in its flexible design allowing the "merger of the Notice of Arbitration and the Statement of Claim," which simplifies the process while ensuring procedural standardization, reducing the time and cost investment for parties. Simultaneously, by clearly specifying the service recipients and time limits, it avoids potential procedural confusion that flexible designs might cause, thus offering greater practical adaptability and efficiency advantages.

3. Jurisprudential Analysis

(1) Balancing Party Autonomy and Procedural Standardization. Allowing the Claimant to choose the option of combined document submission reflects the principle of party autonomy in selecting procedural documents, respecting the Claimant's strategic needs in the arbitral process. In practice, the Notice of Arbitration serves to initiate the arbitral proceedings. However, during this process, for various considerations, the Claimant may not wish the Respondent to know its final Statement of Claim before the substantive hearing by the Arbitral Tribunal. Therefore, the ICDPASO Rules, drawing on the practices of international peers, stipulate the process for clarifying claims after the constitution of the Arbitral Tribunal. However, this process is not mandatory; when the Claimant chooses to combine the submission of the Notice and the Statement of Claim, the Notice can be treated as the Statement of Claim. At the same time, requiring the combined document to comply with the prescribed content and accompanying document requirements prevents abuse of rights through procedural norms, achieving a balance between autonomy and regulation.

(2) Specific Application of the Principle of Procedural Efficiency. The combined document design reduces repetitive steps in document preparation, submission, and service, shortens the procedural cycle, lowers procedural costs for the parties and the arbitral institution, aligning with the core value objective of "efficient dispute resolution" in modern arbitration.

(3) Ensuring Equal Participation Rights. Requiring comprehensive service "to all members of the Arbitral Tribunal and the Respondent" ensures that the Respondent can promptly access the Claimant's claims and basis, reserving sufficient time for exercising subsequent rights such as defense and evidence submission. It also ensures the Arbitral Tribunal accurately grasps the scope of the hearing, reflecting the due process requirement for equal participation rights.

(B) Paragraph (2)

1. Analysis of Core Features

This paragraph specifies the core content of the Statement of Claim.

(1) Comprehensiveness and Logic of Content. It clearly stipulates five core elements in an enumerated manner, covering party information, factual basis, points of dispute, legal grounds, and relief sought, forming a complete logical chain of "Parties --- Facts --- Dispute --- Law --- Relief". This ensures the completeness and clarity of the Statement of Claim, avoiding ambiguity in the scope of the hearing due to missing content.

(2) Precise Definition of Disputes. Through the explicit requirement of "matters in dispute," it guides the Claimant to precisely summarize the core disputes, helping the Arbitral Tribunal quickly identify the hearing focus, reducing the adjudication of non-essential disputes, and enhancing procedural efficiency.

(3) Requirement for Certainty of Relief. It explicitly requires stating the "relief or damages sought," mandating the Claimant to specify the exact content of its claim. This serves not only as the basis for calculating arbitration costs but also as an important criterion for determining whether the Claimant's claims fall within the scope of the arbitration agreement or the law, enhancing the predictability of the procedural outcome.

2. Comparative Law Perspective

SIAC Rules (Article 33) stipulate that pleadings shall include a statement of facts supporting the claim, the legal grounds or arguments supporting the claim, and the relief sought.6

HKIAC Rules (Article 8) require the Statement of Claim to include a statement of the facts supporting the claim, the matters in dispute, the legal arguments supporting the claim, and the relief or remedy sought.7

ICC Rules (Article 4) stipulate that the Request for Arbitration shall contain party information, the nature and circumstances of the dispute, the basis for the claim, the relief sought, the arbitration agreement, and comments regarding arbitrator nominations, place of arbitration, etc.8

LCIA Rules (Article 1) require the Request for Arbitration to contain party information, a statement of facts, legal grounds, relief sought, the arbitration agreement, arbitrator nominations, etc.9

SCC Rules (Article 10) stipulate that the Request for Arbitration shall include party information, a summary of the dispute, a preliminary statement of the claim, the arbitration agreement, legal grounds, evidence, arbitrator nominations, etc.10

The advantage of the ICDPASO provision lies in the clarity and comprehensiveness of its element division. By listing factual statements and legal grounds separately, it not only follows legal logic but also guides the parties to construct their Statement of Claim more systematically. The ICDPASO provision is instructive, helping to improve the quality of the Statement of Claim, thereby accelerating the hearing process.

3. Jurisprudential Analysis

(1) Defining the Jurisdiction of the Arbitral Tribunal and the Scope of the Hearing. By listing the "matters in dispute," this paragraph effectively assists the parties and the Arbitral Tribunal in defining the scope of the case. The Arbitral Tribunal uses this to determine whether the claims fall within the scope of the agreement, whether to entertain related counterclaims, and the specific steps of the hearing. This reflects the Arbitral Tribunal's dual function as a procedural manager and adjudicator, ensuring procedural legality and boundary clarity.

(2) Balancing Rights and Obligations of the Parties. Requiring the Claimant to specify the factual statement and legal grounds is not only a necessary obligation for the Claimant to exercise its right to claim but also provides clear direction for the Respondent to mount a targeted defense and submit evidence. This prevents the Respondent from being procedurally disadvantaged due to vague claims, reflecting the principle of reciprocity of parties' rights and obligations.

(C) Paragraph (3)

1. Analysis of Core Features

This paragraph specifies the obligation to submit accompanying documents with the Statement of Claim.

(1) Mandatory Link between Evidence and Allegations. It stipulates that the Statement of Claim "shall be accompanied by" all documents and evidence. This mandatory requirement tightly binds factual allegations with evidentiary support, aiming to prevent situations of "allegations without evidence" or "ambush evidence." It requires the Claimant to complete its evidentiary preparation when submitting the claim, ensuring the Arbitral Tribunal can adjudicate based on sufficient and valid evidentiary materials, reflecting the early implementation of the burden of proof principle.

(2) Preliminary Review and Prevention Mechanism for Legal Standing. It requires the submission of "evidence of the Claimant's legal standing." Although this paragraph does not specify the consequences of non-submission, this requirement effectively grants the arbitral institution or tribunal the right to conduct a formal review of the Claimant's standing (e.g., whether it is a proper party, existence of multiple arbitration agreements) at the case initiation stage. This helps weed out malicious or frivolous claims lacking basis, safeguarding the seriousness of the arbitration system.

(3) Procedural Completeness and Standardization of Document Management. By requiring the submission of "all" documents and evidence, the rule mandates the Claimant to submit core materials as completely as possible in one go or in concentrated batches, avoiding scattered submissions during the proceedings. This facilitates the Tribunal's filing and case management and enhances the standardization and efficiency of procedural management.

2. Comparative Law Perspective

SIAC Rules (Article 33) stipulate that all submissions shall be accompanied by copies of all supporting documents not previously submitted. The Tribunal may direct that written submissions be accompanied by copies of supporting witness statements and expert reports.11

HKIAC Rules (Article 16) stipulate that the Claimant shall annex to the Statement of Claim all documents on which it relies.12

ICC Rules (Article 4) stipulate that the Claimant may submit such other documents or information with the Request as it considers appropriate or as may contribute to the efficient resolution of the dispute.13

SCC Rules (Article 10) require the Claimant to submit evidentiary materials.14

The advantage of the ICDPASO provision lies in: clearly specifying the submission requirement with "all documents and evidence," ensuring the Arbitral Tribunal obtains a complete basis early in the proceedings, aiming to avoid procedural delays due to subsequent evidentiary supplements; and explicitly requiring the submission of evidence of legal standing, guaranteeing procedural legality, placing greater emphasis on completeness and efficiency at the initial stage of the procedure.

3. Jurisprudential Analysis

(1) Review Power of the Arbitral Institution/Tribunal and Jurisdictional Safeguard. By requiring the submission of proof of legal standing, the rule equips the institution with the ability to control the entry of cases. This concretizes the principle of "supporting arbitration," preventing unqualified applicants from entering the process and wasting resources, while also safeguarding the validity of the arbitration agreement.

(2) Clarification of the Parties' Burden of Proof. Requiring the Claimant to attach all evidence and documents when submitting the Statement of Claim is a direct manifestation of the principle "he who asserts must prove." It clarifies the Claimant's evidentiary obligations at the early stage of the proceedings, avoiding procedural disputes caused by ambiguity in the burden of proof, while providing a clear basis for the Respondent's challenge and submission of evidence, balancing the evidentiary burdens among the parties.

IV. Alignment and Adaptability with China's Newly Revised Arbitration Law

The newly revised "Arbitration Law of the People's Republic of China" (hereinafter referred to as the "New Arbitration Law") promulgated on September 12, 2025, strengthens requirements for the standardization, efficiency, and enforceability of arbitral proceedings. ICDPASO Article 19 highly aligns with the spirit and provisions of this law and demonstrates significant adaptability advantages in practice.

(A) Precise Response to the New Law's Requirements for Standardization of Arbitral Documents

The New Arbitration Law emphasizes the written principle and standardized operation of arbitral proceedings. ICDPASO Article 19's comprehensive provisions on the "written form," content requirements, and mandatory attachment of evidence for the Statement of Claim fully respond to the New Law's demand for enhanced standardization at all stages of the arbitral process. Particularly, the mandatory requirement for evidentiary materials in paragraph (3) reflects an emphasis on procedural rigor, contributing to the improved quality of arbitral documents and hearing efficiency.

(B) Deep Alignment with the New Law's Dual Pursuit of Procedural Efficiency and Flexibility

The New Arbitration Law aims to resolve disputes "fairly and promptly" as its legislative purpose, emphasizing the enhancement of procedural efficiency while ensuring fairness, and granting parties a certain degree of procedural flexibility.

The design of ICDPASO Article 19 aligns with this value pursuit. On one hand, allowing the Claimant to treat the Notice of Arbitration as the Statement of Claim simplifies the procedural flow, reduces repetitive steps in document preparation and submission, and lowers the time and cost investment for the parties, directly responding to the New Law's requirement for "prompt" dispute resolution. On the other hand, by specifying the content requirements and accompanying documents for the Statement of Claim, it ensures procedural standardization and fairness, preventing delays and disputes caused by irregular documents, highly consistent with the New Law's goal of "fairness."

(C) Close Connection with the New Law's Requirement to Balance Parties' Rights

The New Arbitration Law focuses on balancing the rights of all parties, protecting the Claimant's right to arbitrate while preventing the abuse of rights from harming the Respondent's legitimate interests. ICDPASO Article 19 ensures the relevant arbitral parties' right to information and preparation time for defense through provisions such as requiring service to "all members" and listing "the legal grounds and arguments." This guarantees equal standing of all parties during the substantive hearing, aligning with the New Law's core value pursuit of procedural fairness.

V. Conclusion

Through its three paragraphs, Article 19 of the ICDPASO "Commercial Arbitration Rules" establishes a complete regulatory system covering the submission, service, core content, and accompanying documents for the Statement of Claim. This provision establishes procedural norms through "written form" and "time limit constraints," ensures information symmetry and participation rights for co-arbitrators through service to "all members," and builds a complete framework for substantive claims and implements the burden of proof through the "five elements" and "attachment of evidence." This design not only conforms to the international commercial arbitration practice of requiring rigorous and structured statements of claim but also provides regulatory guidance on practical pain points such as verifying legal standing. In its alignment with China's New Arbitration Law, this provision precisely responds to the specific requirements and value pursuits of the New Law concerning the standardization of arbitral documents. Its unique advantages in international commercial arbitration practice provide international commercial parties with a clear, efficient, and fair solution for preparing the Statement of Claim, solidifying the institutional foundation of ICDPASO as an international dispute resolution platform.