880-4 Rules Of Arbitration - Mediation Rules - ICC
ARBITRATIONRULESIn force as from 1 March 2017MEDIATIONRULESIn force as from 1 January 2014
International Chamber of Commerce (ICC)33-43 avenue du Président Wilson75116 Paris, Francewww.iccwbo.orgCopyright 2011, 2013, 2016International Chamber of Commerce (ICC)All rights reservedICC holds all copyright and other intellectual propertyrights in this collective work. No part of this work may bereproduced, distributed, transmitted, translated or adaptedin any form or by any means except as permitted by lawwithout the written permission of ICC. Permission can berequested from ICC through copyright.drs@iccwbo.org.This publication exists in various languages. The Englishversion of the Rules is the original text. The latest editions ofall versions are available online at www.iccarbitration.org.ICC, the ICC logo, CCI, International Chamber of Commerce(including Spanish, French, Portuguese and Chinesetranslations), World Business Organization, InternationalCourt of Arbitration and ICC International Court ofArbitration (including Spanish, French, German, Arabicand Portuguese translations) are all trademarks of ICC,registered in several countries.Publication date: May 2019
FOREWORDARBITRATION RULESMEDIATION RULESThis booklet contains two discrete but complementarydispute resolution procedures offered by theInternational Chamber of Commerce (ICC). Arbitrationunder the ICC Arbitration Rules is a formal procedureleading to a binding decision from a neutral arbitraltribunal, susceptible to enforcement pursuant to bothdomestic arbitration laws and international treaties suchas the 1958 New York Convention. Mediation under theICC Mediation Rules is a flexible procedure aimed atachieving a negotiated settlement with the help of aneutral facilitator. The two sets of Rules are publishedtogether in this booklet in answer to the growing demandfor a holistic approach to dispute resolution techniques.Each set of Rules defines a structured, institutionalframework intended to ensure transparency, efficiencyand fairness in the dispute resolution process whileallowing parties to exercise their choice over manyaspects of procedure. Arbitration is administered by theInternational Court of Arbitration and mediation by theInternational Centre for ADR. These are the only bodiesempowered to administer proceedings under theirrespective Rules, thereby affording parties the benefit ofthe experience, expertise and professionalism of aleading international dispute resolution provider.Drafted by dispute resolution specialists and usersrepresenting a wide range of legal traditions, culturesand professions, these Rules provide a modernframework for the conduct of procedures and respond tothe needs of international trade today. At the same time,they remain faithful to the ethos and essential features ofICC dispute resolution and, in particular, its suitability foruse in any part of the world in proceedings conducted inany language and subject to any law.ArbitrationThe Arbitration Rules are those of 2012, as amended in2017. They are effective as of 1 March 2017.The most significant of the 2017 amendments is theintroduction of an expedited procedure providing for astreamlined arbitration with a reduced scale of fees. Thisprocedure is automatically applicable in cases where theamount in dispute does not exceed US 2 million, unless01
FOREWORDthe parties decide to opt out. It will apply only toarbitration agreements concluded after 1 March 2017.One of the important features of the ExpeditedProcedure Rules is that the ICC Court may appoint a solearbitrator, even if the arbitration agreement providesotherwise.The expedited procedure is also available on an opt-inbasis for higher-value cases, and will be an attractiveanswer to users’ concerns over time and cost.To further enhance the efficacy of ICC arbitrations, thetime limit for establishing Terms of Reference has beenreduced from two months to one month, and there areno Terms of Reference in the expedited procedure.Under the 2017 Rules, ICC arbitrations will become evenmore transparent, for the Court will now provide reasonsfor a wide range of important decisions, if requested byone of the parties. Article 11(4) has been amended to thateffect.MediationThe Mediation Rules, in force from 2014, reflect modernpractice and set clear parameters for the conduct ofproceedings, while recognizing and maintaining theneed for flexibility. Like the ADR Rules, which theyreplace, they can be used for conducting otherprocedures or combinations of procedures that aresimilarly aimed at an amicable settlement of the dispute,such as conciliation or neutral evaluation.Parties wishing to have recourse to ICC arbitration,mediation, or both, are encouraged to include anappropriate dispute resolution clause in theiragreements. For this purpose, each set of Rules isfollowed by model clauses, together with guidance ontheir use and how they may be adjusted to particularneeds and circumstances. The recommended clausesinclude multi-tiered clauses providing for a combinationof techniques as well as clauses contemplating a singletechnique.Both the Rules and the model clauses are available foruse by parties, whether or not members of the ICC. Forthe convenience of users, they have been translated intoseveral languages and can be downloaded from the ICCwebsite.02ICC Publication 880-4 ENG
TABLE OF CONTENTSARBITRATION RULES07Introductory Provisions08Article 1Article 2Article 3International Court of Arbitration08Definitions09Written Notifications or Communications;Time Limits09Commencing the Arbitration11Article 4Article 5Article 6111214Request for ArbitrationAnswer to the Request; CounterclaimsEffect of the Arbitration AgreementMultiple Parties, Multiple Contractsand Consolidation17Article 7Article 8Article 9Article 1017181819Joinder of Additional PartiesClaims Between Multiple PartiesMultiple ContractsConsolidation of ArbitrationsThe Arbitral Tribunal20Article 11 General ProvisionsArticle 12 Constitution of the Arbitral TribunalArticle 13 Appointment and Confirmation ofthe ArbitratorsArticle 14 Challenge of ArbitratorsArticle 15 Replacement of Arbitrators2021The Arbitral Proceedings26Article 16 Transmission of the File tothe Arbitral TribunalArticle 17 Proof of AuthorityArticle 18 Place of the ArbitrationArticle 19 Rules Governing the ProceedingsArticle 20 Language of the ArbitrationArticle 21 Applicable Rules of LawArticle 22 Conduct of the ArbitrationArticle 23 Terms of ReferenceArticle 24 Case Management Conference andProcedural TimetableArticle 25 Establishing the Facts of the CaseArticle 26 HearingsArticle 27 Closing of the Proceedings and Datefor Submission of Draft AwardsArticle 28 Conservatory and Interim Measures2324252626262627272728293031323203
TABLE OF CONTENTSArticle 29 Emergency ArbitratorArticle 30 Expedited Procedure3335Awards36Article 31Article 32Article 33Article 34Article 35Time Limit for the Final AwardMaking of the AwardAward by ConsentScrutiny of the Award by the CourtNotification, Deposit andEnforceability of the AwardArticle 36 Correction and Interpretation ofthe Award; Remission of Awards36363637Costs393738Article 37 Advance to Cover the Costs ofthe Arbitration39Article 38 Decision as to the Costs of the Arbitration 40Miscellaneous42Article 39Article 40Article 41Article 4242424242Modified Time LimitsWaiverLimitation of LiabilityGeneral RuleAppendix I – Statutes of the InternationalCourt of Arbitration43Article 1Article 2Article 3Article 4Article 5Article 6Article 743434344444445FunctionComposition of the CourtAppointmentPlenary Session of the CourtCommitteesConfidentialityModification of the Rules of ArbitrationAppendix II – Internal Rules of the InternationalCourt of ArbitrationArticle 1Article 2Article 304Confidential Character of the Work ofthe International Court of ArbitrationParticipation of Members of theInternational Court of Arbitration inICC ArbitrationRelations Between the Membersof the Court and the ICC NationalCommittees and GroupsICC Publication 880-4 ENG46464748
Article 4Article 5Article 6Committee of the CourtCourt SecretariatScrutiny of Arbitral Awards484950Appendix III – Arbitration Costs and Fees51Article 1Article 2Article 35153Advance on CostsCosts and FeesScales of Administrative Expensesand Arbitrator’s Fees55Appendix IV – Case Management Techniques62Appendix V – Emergency Arbitrator Rules64Article 1Article 264Article 3Article 4Article 5Article 6Article 7Article 8Application for Emergency MeasuresAppointment of the EmergencyArbitrator; Transmission of the FileChallenge of an Emergency ArbitratorPlace of the Emergency ArbitratorProceedingsProceedingsOrderCosts of the Emergency ArbitratorProceedingsGeneral RuleAppendix VI – Expedited Procedure RulesArticle 1Article 2Article 3Article 4Article 5Application of the Expedited ProcedureRulesConstitution of the Arbitral TribunalProceedingsAwardGeneral RuleARBITRATION CLAUSES666767686869707171717273737505
TABLE OF CONTENTSMEDIATION RULES79Article 1Article 2Introductory ProvisionsCommencement Where there isan Agreement to Refer to the RulesArticle 3 Commencement Where there is No PriorAgreement to Refer to the RulesArticle 4 Place and Language(s) of the MediationArticle 5 Selection of the MediatorArticle 6 Fees and CostsArticle 7 Conduct of the MediationArticle 8 Termination of the ProceedingsArticle 9 ConfidentialityArticle 10 General Provisions80Appendix – Fees and Costs90Article 1Article 2Article 3Article 4Article 5Article 6909091929293Filing FeeAdministrative ExpensesMediator’s Fees and ExpensesPrior ICC ArbitrationCurrency, VAT and ScopeICC as Appointing AuthorityMEDIATION CLAUSES06ICC Publication 880-4 ENG81828383858686878895
ARBITRATIONRULESRules of Arbitration of the InternationalChamber of CommerceIn force as from 1 March 2017
ICC ARBITRATION RULESINTRODUCTORY PROVISIONSARTICLE 1International Court of Arbitration1 The International Court of Arbitration (the “Court”)of the International Chamber of Commerce (the“ICC”) is the independent arbitration body of theICC. The statutes of the Court are set forth inAppendix I.2 The Court does not itself resolve disputes. Itadministers the resolution of disputes by arbitraltribunals, in accordance with the Rules of Arbitrationof the ICC (the “Rules”). The Court is the only bodyauthorized to administer arbitrations under theRules, including the scrutiny and approval ofawards rendered in accordance with the Rules.It draws up its own internal rules, which are setforth in Appendix II (the “Internal Rules”).3 The President of the Court (the “President”) or, in thePresident’s absence or otherwise at the President’srequest, one of its Vice-Presidents shall have thepower to take urgent decisions on behalf of theCourt, provided that any such decision is reported tothe Court at its next session.4 As provided for in the Internal Rules, the Court maydelegate to one or more committees composed ofits members the power to take certain decisions,provided that any such decision is reported to theCourt at its next session.5 The Court is assisted in its work by the Secretariat ofthe Court (the “Secretariat”) under the direction ofits Secretary General (the “Secretary General”).08ICC Publication 880-4 ENG
ARBITRATIONARTICLE 2DefinitionsIn the Rules:(i) “arbitral tribunal” includes one or more arbitrators;(ii) “claimant” includes one or more claimants,“respondent” includes one or more respondents,and “additional party” includes one or moreadditional parties;(iii) “party” or “parties” include claimants, respondentsor additional parties;(iv) “ claim” or “claims” include any claim by any partyagainst any other party;(v) “award” includes, inter alia, an interim, partial or finalaward.ARTICLE 3Written Notifications or Communications; Time Limits1 All pleadings and other written communicationssubmitted by any party, as well as all documentsannexed thereto, shall be supplied in a numberof copies sufficient to provide one copy for eachparty, plus one for each arbitrator, and one forthe Secretariat. A copy of any notification orcommunication from the arbitral tribunal to theparties shall be sent to the Secretariat.2 All notifications or communications from theSecretariat and the arbitral tribunal shall be made tothe last address of the party or its representative forwhom the same are intended, as notified either bythe party in question or by the other party. Suchnotification or communication may be made bydelivery against receipt, registered post, courier,email, or any other means of telecommunication thatprovides a record of the sending thereof.09
ICC ARBITRATION RULESINTRODUCTORY PROVISIONS3 A notification or communication shall be deemedto have been made on the day it was received bythe party itself or by its representative, or wouldhave been received if made in accordance withArticle 3(2).4 Periods of time specified in or fixed under the Rulesshall start to run on the day following the date anotification or communication is deemed to havebeen made in accordance with Article 3(3). Whenthe day next following such date is an official holiday,or a non-business day in the country where thenotification or communication is deemed to havebeen made, the period of time shall commence onthe first following business day. Official holidays andnon-business days are included in the calculation ofthe period of time. If the last day of the relevantperiod of time granted is an official holiday or a nonbusiness day in the country where the notification orcommunication is deemed to have been made, theperiod of time shall expire at the end of the firstfollowing business day.10ICC Publication 880-4 ENG
ARBITRATIONICC ARBITRATION RULESCOMMENCING THE ARBITRATIONARTICLE 4Request for Arbitration1 A party wishing to have recourse to arbitrationunder the Rules shall submit its Request forArbitration (the “Request”) to the Secretariat at anyof the offices specified in the Internal Rules. TheSecretariat shall notify the claimant and respondentof the receipt of the Request and the date of suchreceipt.2 The date on which the Request is received by theSecretariat shall, for all purposes, be deemed to bethe date of the commencement of the arbitration.3 The Request shall contain the following information:a) the name in full, description, address and othercontact details of each of the parties;b) the name in full, address and other contact detailsof any person(s) representing the claimant in thearbitration;c) a description of the nature and circumstances ofthe dispute giving rise to the claims and of thebasis upon which the claims are made;d) a statement of the relief sought, together with theamounts of any quantified claims and, to theextent possible, an estimate of the monetaryvalue of any other claims;e) any relevant agreements and, in particular, thearbitration agreement(s);f) where claims are made under more than onearbitration agreement, an indication of thearbitration agreement under which each claim ismade;g) all relevant particulars and any observations orproposals concerning the number of arbitratorsand their choice in accordance with theprovisions of Articles 12 and 13, and anynomination of an arbitrator required thereby; andh) all relevant particulars and any observations orproposals as to the place of the arbitration, theapplicable rules of law and the language of thearbitration.11
ICC ARBITRATION RULESCOMMENCING THE ARBITRATION The claimant may submit such other documents orinformation with the Request as it considersappropriate or as may contribute to the efficientresolution of the dispute.4 Together with the Request, the claimant shall:a) submit the number of copies thereof required byArticle 3(1); andb) make payment of the filing fee required byAppendix III (“Arbitration Costs and Fees”) inforce on the date the Request is submitted. In the event that the claimant fails to comply witheither of these requirements, the Secretariat may fixa time limit within which the claimant must comply,failing which the file shall be closed without prejudiceto the claimant’s right to submit the same claims at alater date in another Request.5 The Secretariat shall transmit a copy of the Requestand the documents annexed thereto to therespondent for its Answer to the Request once theSecretariat has sufficient copies of the Request andthe required filing fee.ARTICLE 5Answer to the Request; Counterclaims1 Within 30 days from the receipt of the Request fromthe Secretariat, the respondent shall submit anAnswer (the “Answer”) which shall contain thefollowing information:a) its name in full, description, address and othercontact details;b) the name in full, address and other contact detailsof any person(s) representing the respondent inthe arbitration;c) its comments as to the nature and circumstancesof the dispute giving rise to the claims and thebasis upon which the claims are made;d) its response to the relief sought;12ICC Publication 880-4 ENG
ARBITRATIONe) any observations or proposals concerning thenumber of arbitrators and their choice in light ofthe claimant’s proposals and in accordance withthe provisions of Articles 12 and 13, and anynomination of an arbitrator required thereby; andf) any observations or proposals as to the place ofthe arbitration, the applicable rules of law and thelanguage of the arbitration. The respondent may submit such other documentsor information with the Answer as it considersappropriate or as may contribute to the efficientresolution of the dispute.2 The Secretariat may grant the respondent anextension of the time for submitting the Answer,provided the application for such an extensioncontains the respondent’s observations or proposalsconcerning the number of arbitrators and theirchoice and, where required by Articles 12 and 13, thenomination of an arbitrator. If the respondent fails todo so, the Court shall proceed in accordance withthe Rules.3 The Answer shall be submitted to the Secretariat inthe number of copies specified by Article 3(1).4 The Secretariat shall communicate the Answer andthe documents annexed thereto to all other parties.5 Any counterclaims made by the respondent shall besubmitted with the Answer and shall provide:a) a description of the nature and circumstances ofthe dispute giving rise to the counterclaims andof the basis upon which the counterclaims aremade;b) a statement of the relief sought together with theamounts of any quantified counterclaims and, tothe extent possible, an estimate of the monetaryvalue of any other counterclaims;c) any relevant agreements and, in particular, thearbitration agreement(s); andd) where counterclaims are made under morethan one arbitration agreement, an indication ofthe arbitration agreement under which eachcounterclaim is made.13
ICC ARBITRATION RULESCOMMENCING THE ARBITRATION The respondent may submit such other documentsor information with the counterclaims as it considersappropriate or as may contribute to the efficientresolution of the dispute.6 The claimant shall submit a reply to any counterclaimwithin 30 days from the date of receipt of thecounterclaims communicated by the Secretariat.Prior to the transmission of the file to the arbitraltribunal, the Secretariat may grant the claimant anextension of time for submitting the reply.ARTICLE 6Effect of the Arbitration Agreement1 Where the parties have agreed to submit toarbitration under the Rules, they shall be deemed tohave submitted ipso facto to the Rules in effect onthe date of commencement of the arbitration, unlessthey have agreed to submit to the Rules in effect onthe date of their arbitration agreement.2 By agreeing to arbitration under the Rules, theparties have accepted that the arbitration shall beadministered by the Court.3 If any party against which a claim has been madedoes not submit an Answer, or if any party raises oneor more pleas concerning the existence, validity orscope of the arbitration agreem
International Chamber of Commerce (ICC). Arbitration under the ICC Arbitration Rules is a formal procedure leading to a binding decision from a neutral arbitral tribunal, susceptible to enforcement pursuant to both domestic arbitration laws and international treaties such as the 1958 New York Convention. Mediation under the
Law and Recent Developments in India International Commercial Arbitration Contents 1.INTRODUCTION 01 2. INDIAN ARBITRATION REGIME 03 I. History of Arbitration in India 03 II. Background to the Arbitration and Conciliation Act, 1996 03 III. Scheme of the Act 03 IV. Arbitration and Conciliation (Amendment) Act, 2015 04 V. Arbitration and .
2016 and shall apply to any International Commercial Arbitration, which is commenced on or after that date. The Indian Council of Arbitration recommends to all parties, desirous of making reference to arbitration by the Indian Council of Arbitration, the use of the following arbitration clause in writing in their contracts:
contract; Describe the meaning and enforcement of the term "arbitration agreement" under the Model Law. 1.1 Definition. Arbitration agreement, arbitration clause and submission agreement In general, the arbitration agreement provides the basis for arbitration. It is defined as an agreement to submit present or future disputes to arbitration.
arbitration by the courts in domestic disputes is not uncommon4. However, this feature attracts many parties to choose arbitration. Also, it is important to note that, once the arbitration is commenced, parties cannot quit from the proceedings. 2.1 The Development of Arbitration in the UAE
THE ICCA REPORTS NO. 9 2021 with the assistance of the Permanent Court of Arbitration Peace Palace, The Hague www.arbitration-icca.org INTERNATIONAL COUNCIL FOR COMMERCIAL ARBITRATION REPORT OF THE ASIL-ICCA JOINT TASK FORCE ON ISSUE CONFLICTS IN INVESTOR-STATE ARBITRATION THE ICCA REPORTS NO. 3 17 March 2016 with the assistance of the
arbitration as alternative dispute resolution methods and its application in the Kuwaiti construction industry. He focuses on Kuwaiti arbitration law, the current rules under this law and recommends a real arbitration system for the state of Kuwait. It als
for use in all construction cases administered by the AAA under the Construction Industry Arbitration Rules or Commercial Arbitration Rules (Rules). It is incumbent on the arbitrators and parties to understand that these best practices are not intended to replace the Rules, and to the extent possible, re
The “Agile Software Development Manifesto” was developed in February 2001, by representatives from many of the fledgling “agile” processes such as Scrum, DSDM, and XP. The manifesto is a set of 4 values and 12 principles that describe “What is meant by Agile". THE AGILE VALUES 1. Individuals and interactions over processes and tools 2. Working software over comprehensive .
