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ICCRulesofArbitration
ICCRulesofArbitration
ICCRulesofArbitrationinseverallanguages
ICCRulesofArbitrationareusedworldwidetoresolvebusinessdisputesthrougharbitration.ThecurrentRulesareinforceasfrom1January2012.
TheydefineandregulatetheconductofcasessubmittedtotheInternationalCourtofArbitrationofICC.Inchoosingtofollowtheserules,partiesinvolvedininternational
businesstransactionsareassuredofaneutralframeworkfortheresolutionofcrossborderdisputes.
CommonlyknownastheICCRules,therulesofarbitrationgoverntheconductofICCarbitrationproceedingsfromstarttofinish.Theyregulatethefilingofclaims,the
constitutionofarbitraltribunals,theconductofproceedings,therenderingofdecisionsandthedeterminationofcosts.Whileofferingsecurityandpredictability,theICCRules
alsoaccommodateanypreferencespartiesindisputemighthavewithrespecttocertainaspectsoftheproceedings,suchasthechoiceofarbitrators,theplace,andthe
languageofarbitration.InallmattersthatarenotexpresslyprovidedforintheICCRules,theCourtandArbitralTribunalactinthespiritoftheRulesandmakeeveryeffortto
haveanenforceableAward.
SuchbalancebetweenflexibilityandcontrolhasledtothepopularityoftheICCRulesinthediverselegal,economic,culturalandlinguisticsettingsofsome180countries.
TheICCInternationalCourtofArbitrationistheonlybodyauthorizedtoadministerarbitrationsundertheRules.
Contents
IntroductoryProvisions
Article1 InternationalCourtofArbitration
Article2 Definitions
Article3 WrittenNotificationsorCommunicationsTimeLimits
CommencingtheArbitration
Article4 RequestforArbitration
Article5 AnswertotheRequestCounterclaims
Article6 EffectoftheArbitrationAgreement
MultipleParties,MultipleContractsandConsolidation
Article7 JoinderofAdditionalParties
Article8 ClaimsBetweenMultipleParties
Article9 MultipleContracts
Article10 ConsolidationofArbitrations
TheArbitralTribunal
Article11 GeneralProvisions
Article12 ConstitutionoftheArbitralTribunal
Article13 AppointmentandConfirmationoftheArbitrators
Article14 ChallengeofArbitrators
Article15 ReplacementofArbitrators
TheArbitralProceedings
Article16 TransmissionoftheFiletotheArbitralTribunal
Article17 ProofofAuthority
Article18 PlaceoftheArbitration
Article19 RulesGoverningtheProceedings
Article20 LanguageoftheArbitration
Article21 ApplicableRulesofLaw
Article22 ConductoftheArbitration
Article23 TermsofReference
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Article24 CaseManagementConferenceandProceduralTimetable
Article25 EstablishingtheFactsoftheCase
Article26 Hearings
Article27 ClosingoftheProceedingsandDateforSubmissionofDraftAwards
Article28 ConservatoryandInterimMeasures
Article29 EmergencyArbitrator
Awards
Article30 TimeLimitfortheFinalAward
Article31 MakingoftheAward
Article32 AwardbyConsent
Article33 ScrutinyoftheAwardbytheCourt
Article34 Notification,DepositandEnforceabilityoftheAward
Article35 CorrectionandInterpretationoftheAwardRemissionofAwards
Costs
Article36 AdvancetoCovertheCostsoftheArbitration
Article37 DecisionastotheCostsoftheArbitration
Miscellaneous
Article38 ModifiedTimeLimits
Article39 Waiver
Article40 LimitationofLiability
Article41 GeneralRule
AppendixIStatutesoftheInternationalCourtofArbitration
Article1 Function
Article2 CompositionoftheCourt
Article3 Appointment
Article4 PlenarySessionoftheCourt
Article5 Committees
Article6 Confidentiality
Article7 ModificationoftheRulesofArbitration
AppendixIIInternalRulesoftheInternationalCourtofArbitration
Article1 ConfidentialCharacteroftheWorkoftheInternationalCourtofArbitration
Article2 ParticipationofMembersoftheInternationalCourtofArbitrationinICCArbitration
Article3 RelationsbetweentheMembersoftheCourtandtheICCNationalCommitteesandGroups
Article4 CommitteeoftheCourt
Article5 CourtSecretariat
Article6 ScrutinyofArbitralAwards
AppendixIIIArbitrationCostsandFees
Article1 AdvanceonCosts
Article2 CostsandFees
Article3 ICCasAppointingAuthority
Article4 ScalesofAdministrativeExpensesandArbitratorsFees
AppendixIVCaseManagementTechniques
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AppendixVEmergencyArbitratorRules
Article1 ApplicationforEmergencyMeasures
Article2 AppointmentoftheEmergencyArbitratorTransmissionoftheFile
Article3 ChallengeofanEmergencyArbitrator
Article4 PlaceoftheEmergencyArbitratorProceedings
Article5 Proceedings
Article6 Order
Article7 CostsoftheEmergencyArbitratorProceedings
Article8 GeneralRule
Content
INTRODUCTORYPROVISIONS
Article1:InternationalCourtofArbitration
1)
TheInternationalCourtofArbitration(the"Court")oftheInternationalChamberofCommerce(the"ICC")istheindependentarbitrationbodyoftheICC.ThestatutesoftheCourt
aresetforthinAppendixI.
2)
TheCourtdoesnotitselfresolvedisputes.Itadministerstheresolutionofdisputesbyarbitraltribunals,inaccordancewiththeRulesofArbitrationoftheICC(the"Rules").The
CourtistheonlybodyauthorizedtoadministerarbitrationsundertheRules,includingthescrutinyandapprovalofawardsrenderedinaccordancewiththeRules.Itdrawsupits
owninternalrules,whicharesetforthinAppendixII(the"InternalRules").
3)
ThePresidentoftheCourt(the"President")or,inthePresident'sabsenceorotherwiseatthePresident'srequest,oneofitsVicePresidentsshallhavethepowertotakeurgent
decisionsonbehalfoftheCourt,providedthatanysuchdecisionisreportedtotheCourtatitsnextsession.
4)
AsprovidedforintheInternalRules,theCourtmaydelegatetooneormorecommitteescomposedofitsmembersthepowertotakecertaindecisions,providedthatanysuch
decisionisreportedtotheCourtatitsnextsession.
5)
TheCourtisassistedinitsworkbytheSecretariatoftheCourt(the"Secretariat")underthedirectionofitsSecretaryGeneral(the"SecretaryGeneral").
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Article2:Definitions
IntheRules:
(i)"arbitraltribunal"includesoneormorearbitrators
(ii)"claimant"includesoneormoreclaimants,"respondent"includesoneormorerespondents,and"additionalparty"includesoneormoreadditionalparties
(iii)"party"or"parties"includeclaimants,respondentsoradditionalparties
(iv)"claim"or"claims"includeanyclaimbyanypartyagainstanyotherparty
(v)"award"includes,interalia,aninterim,partialorfinalaward.
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Article3:WrittenNotificationsorCommunicationsTimeLimits
1)
Allpleadingsandotherwrittencommunicationssubmittedbyanyparty,aswellasalldocumentsannexedthereto,shallbesuppliedinanumberofcopiessufficienttoprovide
onecopyforeachparty,plusoneforeacharbitrator,andonefortheSecretariat.Acopyofanynotificationorcommunicationfromthearbitraltribunaltothepartiesshallbesent
totheSecretariat.
2)
AllnotificationsorcommunicationsfromtheSecretariatandthearbitraltribunalshallbemadetothelastaddressofthepartyoritsrepresentativeforwhomthesameare
intended,asnotifiedeitherbythepartyinquestionorbytheotherparty.Suchnotificationorcommunicationmaybemadebydeliveryagainstreceipt,registeredpost,courier,
email,oranyothermeansoftelecommunicationthatprovidesarecordofthesendingthereof.
3)
Anotificationorcommunicationshallbedeemedtohavebeenmadeonthedayitwasreceivedbythepartyitselforbyitsrepresentative,orwouldhavebeenreceivedifmade
inaccordancewithArticle3(2).
4)
PeriodsoftimespecifiedinorfixedundertheRulesshallstarttorunonthedayfollowingthedateanotificationorcommunicationisdeemedtohavebeenmadeinaccordance
withArticle3(3).Whenthedaynextfollowingsuchdateisanofficialholiday,oranonbusinessdayinthecountrywherethenotificationorcommunicationisdeemedtohave
beenmade,theperiodoftimeshallcommenceonthefirstfollowingbusinessday.Officialholidaysandnonbusinessdaysareincludedinthecalculationoftheperiodoftime.If
thelastdayoftherelevantperiodoftimegrantedisanofficialholidayoranonbusinessdayinthecountrywherethenotificationorcommunicationisdeemedtohavebeen
made,theperiodoftimeshallexpireattheendofthefirstfollowingbusinessday.
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COMMENCINGTHEARBITRATION
Article4:RequestforArbitration
1)
ApartywishingtohaverecoursetoarbitrationundertheRulesshallsubmititsRequestforArbitration(the"Request")totheSecretariatatanyoftheofficesspecifiedinthe
InternalRules.TheSecretariatshallnotifytheclaimantandrespondentofthereceiptoftheRequestandthedateofsuchreceipt.
2)
ThedateonwhichtheRequestisreceivedbytheSecretariatshall,forallpurposes,bedeemedtobethedateofthecommencementofthearbitration.
3)
TheRequestshallcontainthefollowinginformation:
a)thenameinfull,description,addressandothercontactdetailsofeachoftheparties
b)thenameinfull,addressandothercontactdetailsofanyperson(s)representingtheclaimantinthearbitration
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c)adescriptionofthenatureandcircumstancesofthedisputegivingrisetotheclaimsandofthebasisuponwhichtheclaimsaremade
d)astatementofthereliefsought,togetherwiththeamountsofanyquantifiedclaimsand,totheextentpossible,anestimateofthemonetaryvalueofanyotherclaims
e)anyrelevantagreementsand,inparticular,thearbitrationagreement(s)
f)whereclaimsaremadeundermorethanonearbitrationagreement,anindicationofthearbitrationagreementunderwhicheachclaimismade
g)allrelevantparticularsandanyobservationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceinaccordancewiththeprovisionsofArticles12and13,and
anynominationofanarbitratorrequiredtherebyand
h)allrelevantparticularsandanyobservationsorproposalsastotheplaceofthearbitration,theapplicablerulesoflawandthelanguageofthearbitration.
TheclaimantmaysubmitsuchotherdocumentsorinformationwiththeRequestasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.
4)
TogetherwiththeRequest,theclaimantshall:
a)submitthenumberofcopiesthereofrequiredbyArticle3(1)and
b)makepaymentofthefilingfeerequiredbyAppendixIII("ArbitrationCostsandFees")inforceonthedatetheRequestissubmitted.
Intheeventthattheclaimantfailstocomplywitheitheroftheserequirements,theSecretariatmayfixatimelimitwithinwhichtheclaimantmustcomply,failingwhichthefile
shallbeclosedwithoutprejudicetotheclaimant'srighttosubmitthesameclaimsatalaterdateinanotherRequest.
5)
TheSecretariatshalltransmitacopyoftheRequestandthedocumentsannexedtheretototherespondentforitsAnswertotheRequestoncetheSecretariathassufficient
copiesoftheRequestandtherequiredfilingfee.
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Article5:AnswertotheRequestCounterclaims
1)
Within30daysfromthereceiptoftheRequestfromtheSecretariat,therespondentshallsubmitanAnswer(the"Answer")whichshallcontainthefollowinginformation:
a)itsnameinfull,description,addressandothercontactdetails
b)thenameinfull,addressandothercontactdetailsofanyperson(s)representingtherespondentinthearbitration
c)itscommentsastothenatureandcircumstancesofthedisputegivingrisetotheclaimsandthebasisuponwhichtheclaimsaremade
d)itsresponsetothereliefsought
e)anyobservationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceinlightoftheclaimant'sproposalsandinaccordancewiththeprovisionsofArticles12
and13,andanynominationofanarbitratorrequiredtherebyand
f)anyobservationsorproposalsastotheplaceofthearbitration,theapplicablerulesoflawandthelanguageofthearbitration.
TherespondentmaysubmitsuchotherdocumentsorinformationwiththeAnswerasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.
2)
TheSecretariatmaygranttherespondentanextensionofthetimeforsubmittingtheAnswer,providedtheapplicationforsuchanextensioncontainstherespondent's
observationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceand,whererequiredbyArticles12and13,thenominationofanarbitrator.Iftherespondentfails
todoso,theCourtshallproceedinaccordancewiththeRules.
3)
TheAnswershallbesubmittedtotheSecretariatinthenumberofcopiesspecifiedbyArticle3(1).
4)
TheSecretariatshallcommunicatetheAnswerandthedocumentsannexedtheretotoallotherparties.
5)
AnycounterclaimsmadebytherespondentshallbesubmittedwiththeAnswerandshallprovide:
a)adescriptionofthenatureandcircumstancesofthedisputegivingrisetothecounterclaimsandofthebasisuponwhichthecounterclaimsaremade
b)astatementofthereliefsoughttogetherwiththeamountsofanyquantifiedcounterclaimsand,totheextentpossible,anestimateofthemonetaryvalueofanyother
counterclaimsc)anyrelevantagreementsand,inparticular,thearbitrationagreement(s)and
d)wherecounterclaimsaremadeundermorethanonearbitrationagreement,anindicationofthearbitrationagreementunderwhicheachcounterclaimismade.
Therespondentmaysubmitsuchotherdocumentsorinformationwiththecounterclaimsasitconsidersappropriateorasmaycontributetotheefficientresolutionofthe
dispute.
6)
Theclaimantshallsubmitareplytoanycounterclaimwithin30daysfromthedateofreceiptofthecounterclaimscommunicatedbytheSecretariat.Priortothetransmissionof
thefiletothearbitraltribunal,theSecretariatmaygranttheclaimantanextensionoftimeforsubmittingthereply.
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Article6:EffectoftheArbitrationAgreement
1)
WherethepartieshaveagreedtosubmittoarbitrationundertheRules,theyshallbedeemedtohavesubmittedipsofactototheRulesineffectonthedateofcommencement
ofthearbitration,unlesstheyhaveagreedtosubmittotheRulesineffectonthedateoftheirarbitrationagreement.
2)
ByagreeingtoarbitrationundertheRules,thepartieshaveacceptedthatthearbitrationshallbeadministeredbytheCourt.
3)
IfanypartyagainstwhichaclaimhasbeenmadedoesnotsubmitanAnswer,orraisesoneormorepleasconcerningtheexistence,validityorscopeofthearbitration
agreementorconcerningwhetheralloftheclaimsmadeinthearbitrationmaybedeterminedtogetherinasinglearbitration,thearbitrationshallproceedandanyquestionof
jurisdictionorofwhethertheclaimsmaybedeterminedtogetherinthatarbitrationshallbedecideddirectlybythearbitraltribunal,unlesstheSecretaryGeneralrefersthematter
totheCourtforitsdecisionpursuanttoArticle6(4).
4)
InallcasesreferredtotheCourtunderArticle6(3),theCourtshalldecidewhetherandtowhatextentthearbitrationshallproceed.Thearbitrationshallproceedifandtothe
extentthattheCourtisprimafaciesatisfiedthatanarbitrationagreementundertheRulesmayexist.Inparticular:
(i)wheretherearemorethantwopartiestothearbitration,thearbitrationshallproceedbetweenthoseoftheparties,includinganyadditionalpartiesjoinedpursuanttoArticle7,
withrespecttowhichtheCourtisprimafaciesatisfiedthatanarbitrationagreementundertheRulesthatbindsthemallmayexistand
(ii)whereclaimspursuanttoArticle9aremadeundermorethanonearbitrationagreement,thearbitrationshallproceedastothoseclaimswithrespecttowhichtheCourtis
primafaciesatisfied(a)thatthearbitrationagreementsunderwhichthoseclaimsaremademaybecompatible,and(b)thatallpartiestothearbitrationmayhaveagreedthat
thoseclaimscanbedeterminedtogetherinasinglearbitration.
TheCourt'sdecisionpursuanttoArticle6(4)iswithoutprejudicetotheadmissibilityormeritsofanyparty'spleaorpleas.
5)
InallmattersdecidedbytheCourtunderArticle6(4),anydecisionastothejurisdictionofthearbitraltribunal,exceptastopartiesorclaimswithrespecttowhichtheCourt
decidesthatthearbitrationcannotproceed,shallthenbetakenbythearbitraltribunalitself.
6)
WherethepartiesarenotifiedoftheCourt'sdecisionpursuanttoArticle6(4)thatthearbitrationcannotproceedinrespectofsomeorallofthem,anypartyretainstherightto
askanycourthavingjurisdictionwhetherornot,andinrespectofwhichofthem,thereisabindingarbitrationagreement.
7)
WheretheCourthasdecidedpursuanttoArticle6(4)thatthearbitrationcannotproceedinrespectofanyoftheclaims,suchdecisionshallnotpreventapartyfrom
reintroducingthesameclaimatalaterdateinotherproceedings.
8)
Ifanyofthepartiesrefusesorfailstotakepartinthearbitrationoranystagethereof,thearbitrationshallproceednotwithstandingsuchrefusalorfailure.
9)
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Unlessotherwiseagreed,thearbitraltribunalshallnotceasetohavejurisdictionbyreasonofanyallegationthatthecontractisnonexistentornullandvoid,providedthatthe
arbitraltribunalupholdsthevalidityofthearbitrationagreement.Thearbitraltribunalshallcontinuetohavejurisdictiontodeterminetheparties'respectiverightsandtodecide
theirclaimsandpleaseventhoughthecontractitselfmaybenonexistentornullandvoid.
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MULTIPLEPARTIES,MULTIPLECONTRACTSANDCONSOLIDATION
Article7:JoinderofAdditionalParties
1)
Apartywishingtojoinanadditionalpartytothearbitrationshallsubmititsrequestforarbitrationagainsttheadditionalparty(the"RequestforJoinder")totheSecretariat.The
dateonwhichtheRequestforJoinderisreceivedbytheSecretariatshall,forallpurposes,bedeemedtobethedateofthecommencementofarbitrationagainsttheadditional
party.AnysuchjoindershallbesubjecttotheprovisionsofArticles6(3)6(7)and9.Noadditionalpartymaybejoinedaftertheconfirmationorappointmentofanyarbitrator,
unlessallparties,includingtheadditionalparty,otherwiseagree.TheSecretariatmayfixatimelimitforthesubmissionofaRequestforJoinder.
2)
TheRequestforJoindershallcontainthefollowinginformation:
a)thecasereferenceoftheexistingarbitration
b)thenameinfull,description,addressandothercontactdetailsofeachoftheparties,includingtheadditionalpartyand
c)theinformationspecifiedinArticle4(3)subparagraphsc),d),e)andf).
ThepartyfilingtheRequestforJoindermaysubmittherewithsuchotherdocumentsorinformationasitconsidersappropriateorasmaycontributetotheefficientresolutionof
thedispute.
3)
TheprovisionsofArticles4(4)and4(5)shallapply,mutatismutandis,totheRequestforJoinder.
4)
TheadditionalpartyshallsubmitanAnswerinaccordance,mutatismutandis,withtheprovisionsofArticles5(1)5(4).Theadditionalpartymaymakeclaimsagainstanyother
partyinaccordancewiththeprovisionsofArticle8.
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Article8:ClaimsBetweenMultipleParties
1)
Inanarbitrationwithmultipleparties,claimsmaybemadebyanypartyagainstanyotherparty,subjecttotheprovisionsofArticles6(3)6(7)and9andprovidedthatnonew
claimsmaybemadeaftertheTermsofReferencearesignedorapprovedbytheCourtwithouttheauthorizationofthearbitraltribunalpursuanttoArticle23(4).
2)
AnypartymakingaclaimpursuanttoArticle8(1)shallprovidetheinformationspecifiedinArticle4(3)subparagraphsc),d),e)andf).
3)
BeforetheSecretariattransmitsthefiletothearbitraltribunalinaccordancewithArticle16,thefollowingprovisionsshallapply,mutatismutandis,toanyclaimmade:Article
4(4)subparagrapha)Article4(5)Article5(1)exceptforsubparagraphsa),b),e)andf)Article5(2)Article5(3)andArticle5(4).Thereafter,thearbitraltribunalshalldetermine
theprocedureformakingaclaim.
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Article9:MultipleContracts
SubjecttotheprovisionsofArticles6(3)6(7)and23(4),claimsarisingoutoforinconnectionwithmorethanonecontractmaybemadeinasinglearbitration,irrespectiveof
whethersuchclaimsaremadeunderoneormorethanonearbitrationagreementundertheRules.
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Article10:ConsolidationofArbitrations
TheCourtmay,attherequestofaparty,consolidatetwoormorearbitrationspendingundertheRulesintoasinglearbitration,where:
a)thepartieshaveagreedtoconsolidationor
b)alloftheclaimsinthearbitrationsaremadeunderthesamearbitrationagreementor
c)wheretheclaimsinthearbitrationsaremadeundermorethanonearbitrationagreement,thearbitrationsarebetweenthesameparties,thedisputesinthearbitrationsarisein
connectionwiththesamelegalrelationship,andtheCourtfindsthearbitrationagreementstobecompatible.
Indecidingwhethertoconsolidate,theCourtmaytakeintoaccountanycircumstancesitconsiderstoberelevant,includingwhetheroneormorearbitratorshavebeen
confirmedorappointedinmorethanoneofthearbitrationsand,ifso,whetherthesameordifferentpersonshavebeenconfirmedorappointed.
Whenarbitrationsareconsolidated,theyshallbeconsolidatedintothearbitrationthatcommencedfirst,unlessotherwiseagreedbyallparties.
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THEARBITRALTRIBUNAL
Article11:GeneralProvisions
1)
Everyarbitratormustbeandremainimpartialandindependentofthepartiesinvolvedinthearbitration.
2)
Beforeappointmentorconfirmation,aprospectivearbitratorshallsignastatementofacceptance,availability,impartialityandindependence.Theprospectivearbitratorshall
discloseinwritingtotheSecretariatanyfactsorcircumstanceswhichmightbeofsuchanatureastocallintoquestionthearbitrator'sindependenceintheeyesoftheparties,
aswellasanycircumstancesthatcouldgiverisetoreasonabledoubtsastothearbitrator'simpartiality.TheSecretariatshallprovidesuchinformationtothepartiesinwriting
andfixatimelimitforanycommentsfromthem.
3)
AnarbitratorshallimmediatelydiscloseinwritingtotheSecretariatandtothepartiesanyfactsorcircumstancesofasimilarnaturetothosereferredtoinArticle11(2)
concerningthearbitrator'simpartialityorindependencewhichmayariseduringthearbitration.
4)
ThedecisionsoftheCourtastotheappointment,confirmation,challengeorreplacementofanarbitratorshallbefinal,andthereasonsforsuchdecisionsshallnotbe
communicated.
5)
Byacceptingtoserve,arbitratorsundertaketocarryouttheirresponsibilitiesinaccordancewiththeRules.
6)
Insofarasthepartieshavenotprovidedotherwise,thearbitraltribunalshallbeconstitutedinaccordancewiththeprovisionsofArticles12and13.
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Article12:ConstitutionoftheArbitralTribunal
NumberofArbitrators
1)
Thedisputesshallbedecidedbyasolearbitratororbythreearbitrators.
2)
Wherethepartieshavenotagreeduponthenumberofarbitrators,theCourtshallappointasolearbitrator,savewhereitappearstotheCourtthatthedisputeissuchasto
warranttheappointmentofthreearbitrators.Insuchcase,theclaimantshallnominateanarbitratorwithinaperiodof15daysfromthereceiptofthenotificationofthedecision
oftheCourt,andtherespondentshallnominateanarbitratorwithinaperiodof15daysfromthereceiptofthenotificationofthenominationmadebytheclaimant.Ifapartyfails
tonominateanarbitrator,theappointmentshallbemadebytheCourt.
SoleArbitrator
3)
Wherethepartieshaveagreedthatthedisputeshallberesolvedbyasolearbitrator,theymay,byagreement,nominatethesolearbitratorforconfirmation.Ifthepartiesfailto
nominateasolearbitratorwithin30daysfromthedatewhentheclaimant'sRequestforArbitrationhasbeenreceivedbytheotherparty,orwithinsuchadditionaltimeasmaybe
allowedbytheSecretariat,thesolearbitratorshallbeappointedbytheCourt.
ThreeArbitrators
4)
Wherethepartieshaveagreedthatthedisputeshallberesolvedbythreearbitrators,eachpartyshallnominateintheRequestandtheAnswer,respectively,onearbitratorfor
confirmation.Ifapartyfailstonominateanarbitrator,theappointmentshallbemadebytheCourt.
5)
Wherethedisputeistobereferredtothreearbitrators,thethirdarbitrator,whowillactaspresidentofthearbitraltribunal,shallbeappointedbytheCourt,unlesstheparties
haveagreeduponanotherprocedureforsuchappointment,inwhichcasethenominationwillbesubjecttoconfirmationpursuanttoArticle13.Shouldsuchprocedurenotresult
inanominationwithin30daysfromtheconfirmationorappointmentofthecoarbitratorsoranyothertimelimitagreedbythepartiesorfixedbytheCourt,thethirdarbitrator
shallbeappointedbytheCourt.
6)
Wheretherearemultipleclaimantsormultiplerespondents,andwherethedisputeistobereferredtothreearbitrators,themultipleclaimants,jointly,andthemultiple
respondents,jointly,shallnominateanarbitratorforconfirmationpursuanttoArticle13.
7)
Whereanadditionalpartyhasbeenjoined,andwherethedisputeistobereferredtothreearbitrators,theadditionalpartymay,jointlywiththeclaimant(s)orwiththe
respondent(s),nominateanarbitratorforconfirmationpursuanttoArticle13.
8)
IntheabsenceofajointnominationpursuanttoArticles12(6)or12(7)andwhereallpartiesareunabletoagreetoamethodfortheconstitutionofthearbitraltribunal,theCourt
mayappointeachmemberofthearbitraltribunalandshalldesignateoneofthemtoactaspresident.Insuchcase,theCourtshallbeatlibertytochooseanypersonitregards
assuitabletoactasarbitrator,applyingArticle13whenitconsidersthisappropriate.
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Article13:AppointmentandConfirmationoftheArbitrators
1)
Inconfirmingorappointingarbitrators,theCourtshallconsidertheprospectivearbitrator'snationality,residenceandotherrelationshipswiththecountriesofwhichthepartiesor
theotherarbitratorsarenationalsandtheprospectivearbitrator'savailabilityandabilitytoconductthearbitrationinaccordancewiththeRules.Thesameshallapplywherethe
SecretaryGeneralconfirmsarbitratorspursuanttoArticle13(2).
2)
TheSecretaryGeneralmayconfirmascoarbitrators,solearbitratorsandpresidentsofarbitraltribunalspersonsnominatedbythepartiesorpursuanttotheirparticular
agreements,providedthatthestatementtheyhavesubmittedcontainsnoqualificationregardingimpartialityorindependenceorthataqualifiedstatementregardingimpartiality
orindependencehasnotgivenrisetoobjections.SuchconfirmationshallbereportedtotheCourtatitsnextsession.IftheSecretaryGeneralconsidersthatacoarbitrator,
solearbitratororpresidentofanarbitraltribunalshouldnotbeconfirmed,themattershallbesubmittedtotheCourt.
3)
WheretheCourtistoappointanarbitrator,itshallmaketheappointmentuponproposalofaNationalCommitteeorGroupoftheICCthatitconsiderstobeappropriate.Ifthe
Courtdoesnotaccepttheproposalmade,oriftheNationalCommitteeorGroupfailstomaketheproposalrequestedwithinthetimelimitfixedbytheCourt,theCourtmay
repeatitsrequest,requestaproposalfromanotherNationalCommitteeorGroupthatitconsiderstobeappropriate,orappointdirectlyanypersonwhomitregardsassuitable.
4)
TheCourtmayalsoappointdirectlytoactasarbitratoranypersonwhomitregardsassuitablewhere:
a)oneormoreofthepartiesisastateorclaimstobeastateentityor
b)theCourtconsidersthatitwouldbeappropriatetoappointanarbitratorfromacountryorterritorywherethereisnoNationalCommitteeorGroupor
c)thePresidentcertifiestotheCourtthatcircumstancesexistwhich,inthePresident'sopinion,makeadirectappointmentnecessaryandappropriate.
5)
Thesolearbitratororthepresidentofthearbitraltribunalshallbeofanationalityotherthanthoseoftheparties.However,insuitablecircumstancesandprovidedthatnoneof
thepartiesobjectswithinthetimelimitfixedbytheCourt,thesolearbitratororthepresidentofthearbitraltribunalmaybechosenfromacountryofwhichanyofthepartiesisa
national.
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Article14:ChallengeofArbitrators
1)
Achallengeofanarbitrator,whetherforanallegedlackofimpartialityorindependence,orotherwise,shallbemadebythesubmissiontotheSecretariatofawrittenstatement
specifyingthefactsandcircumstancesonwhichthechallengeisbased.
2)
Forachallengetobeadmissible,itmustbesubmittedbyapartyeitherwithin30daysfromreceiptbythatpartyofthenotificationoftheappointmentorconfirmationofthe
arbitrator,orwithin30daysfromthedatewhenthepartymakingthechallengewasinformedofthefactsandcircumstancesonwhichthechallengeisbasedifsuchdateis
subsequenttothereceiptofsuchnotification.
3)
TheCourtshalldecideontheadmissibilityand,atthesametime,ifnecessary,onthemeritsofachallengeaftertheSecretariathasaffordedanopportunityforthearbitrator
concerned,theotherpartyorpartiesandanyothermembersofthearbitraltribunaltocommentinwritingwithinasuitableperiodoftime.Suchcommentsshallbe
communicatedtothepartiesandtothearbitrators.
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Article15:ReplacementofArbitrators
1)
Anarbitratorshallbereplacedupondeath,uponacceptancebytheCourtofthearbitrator'sresignation,uponacceptancebytheCourtofachallenge,oruponacceptancebythe
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Courtofarequestofalltheparties.
2)
AnarbitratorshallalsobereplacedontheCourt'sowninitiativewhenitdecidesthatthearbitratorispreventeddejureordefactofromfulfillingthearbitrator'sfunctions,orthat
thearbitratorisnotfulfillingthosefunctionsinaccordancewiththeRulesorwithintheprescribedtimelimits.
3)
When,onthebasisofinformationthathascometoitsattention,theCourtconsidersapplyingArticle15(2),itshalldecideonthematterafterthearbitratorconcerned,the
partiesandanyothermembersofthearbitraltribunalhavehadanopportunitytocommentinwritingwithinasuitableperiodoftime.Suchcommentsshallbecommunicatedto
thepartiesandtothearbitrators.
4)
Whenanarbitratoristobereplaced,theCourthasdiscretiontodecidewhetherornottofollowtheoriginalnominatingprocess.Oncereconstituted,andafterhavinginvitedthe
partiestocomment,thearbitraltribunalshalldetermineifandtowhatextentpriorproceedingsshallberepeatedbeforethereconstitutedarbitraltribunal.
5)
Subsequenttotheclosingoftheproceedings,insteadofreplacinganarbitratorwhohasdiedorbeenremovedbytheCourtpursuanttoArticles15(1)or15(2),theCourtmay
decide,whenitconsidersitappropriate,thattheremainingarbitratorsshallcontinuethearbitration.Inmakingsuchdetermination,theCourtshalltakeintoaccounttheviewsof
theremainingarbitratorsandofthepartiesandsuchothermattersthatitconsidersappropriateinthecircumstances.
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THEARBITRALPROCEEDINGS
Article16:TransmissionoftheFiletotheArbitralTribunal
TheSecretariatshalltransmitthefiletothearbitraltribunalassoonasithasbeenconstituted,providedtheadvanceoncostsrequestedbytheSecretariatatthisstagehas
beenpaid.
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Article17:ProofofAuthority
Atanytimeafterthecommencementofthearbitration,thearbitraltribunalortheSecretariatmayrequireproofoftheauthorityofanypartyrepresentatives.
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Article18:PlaceoftheArbitration
1)
TheplaceofthearbitrationshallbefixedbytheCourt,unlessagreeduponbytheparties.
2)
Thearbitraltribunalmay,afterconsultationwiththeparties,conducthearingsandmeetingsatanylocationitconsidersappropriate,unlessotherwiseagreedbytheparties.
3)
Thearbitraltribunalmaydeliberateatanylocationitconsidersappropriate.
[Returntotop]
Article19:RulesGoverningtheProceedings
TheproceedingsbeforethearbitraltribunalshallbegovernedbytheRulesand,wheretheRulesaresilent,byanyruleswhichthepartiesor,failingthem,thearbitraltribunal
maysettleon,whetherornotreferenceistherebymadetotherulesofprocedureofanationallawtobeappliedtothearbitration.
[Returntotop]
Article20:LanguageoftheArbitration
Intheabsenceofanagreementbytheparties,thearbitraltribunalshalldeterminethelanguageorlanguagesofthearbitration,dueregardbeinggiventoallrelevant
circumstances,includingthelanguageofthecontract.
[Returntotop]
Article21:ApplicableRulesofLaw
1)
Thepartiesshallbefreetoagreeupontherulesoflawtobeappliedbythearbitraltribunaltothemeritsofthedispute.Intheabsenceofanysuchagreement,thearbitral
tribunalshallapplytherulesoflawwhichitdeterminestobeappropriate.
2)
Thearbitraltribunalshalltakeaccountoftheprovisionsofthecontract,ifany,betweenthepartiesandofanyrelevanttradeusages.
3)
Thearbitraltribunalshallassumethepowersofanamiablecompositeurordecideexaequoetbonoonlyifthepartieshaveagreedtogiveitsuchpowers.
[Returntotop]
Article22:ConductoftheArbitration
1)
Thearbitraltribunalandthepartiesshallmakeeveryefforttoconductthearbitrationinanexpeditiousandcosteffectivemanner,havingregardtothecomplexityandvalueof
thedispute.
2)
Inordertoensureeffectivecasemanagement,thearbitraltribunal,afterconsultingtheparties,mayadoptsuchproceduralmeasuresasitconsidersappropriate,providedthat
theyarenotcontrarytoanyagreementoftheparties.
3)
Upontherequestofanyparty,thearbitraltribunalmaymakeordersconcerningtheconfidentialityofthearbitrationproceedingsorofanyothermattersinconnectionwiththe
arbitrationandmaytakemeasuresforprotectingtradesecretsandconfidentialinformation.
4)
Inallcases,thearbitraltribunalshallactfairlyandimpartiallyandensurethateachpartyhasareasonableopportunitytopresentitscase.
5)
Thepartiesundertaketocomplywithanyordermadebythearbitraltribunal.
[Returntotop]
Article23:TermsofReference
1)
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AssoonasithasreceivedthefilefromtheSecretariat,thearbitraltribunalshalldrawup,onthebasisofdocumentsorinthepresenceofthepartiesandinthelightoftheir
mostrecentsubmissions,adocumentdefiningitsTermsofReference.Thisdocumentshallincludethefollowingparticulars:
a)thenamesinfull,description,addressandothercontactdetailsofeachofthepartiesandofanyperson(s)representingapartyinthearbitration
b)theaddressestowhichnotificationsandcommunicationsarisinginthecourseofthearbitrationmaybemade
c)asummaryoftheparties'respectiveclaimsandofthereliefsoughtbyeachparty,togetherwiththeamountsofanyquantifiedclaimsand,totheextentpossible,anestimate
ofthemonetaryvalueofanyotherclaims
d)unlessthearbitraltribunalconsidersitinappropriate,alistofissuestobedetermined
e)thenamesinfull,addressandothercontactdetailsofeachofthearbitrators
f)theplaceofthearbitrationand
g)particularsoftheapplicableproceduralrulesand,ifsuchisthecase,referencetothepowerconferreduponthearbitraltribunaltoactasamiablecompositeurortodecideex
aequoetbono.
2)
TheTermsofReferenceshallbesignedbythepartiesandthearbitraltribunal.Withintwomonthsofthedateonwhichthefilehasbeentransmittedtoit,thearbitraltribunal
shalltransmittotheCourttheTermsofReferencesignedbyitandbytheparties.TheCourtmayextendthistimelimitpursuanttoareasonedrequestfromthearbitraltribunal
oronitsowninitiativeifitdecidesitisnecessarytodoso.
3)
IfanyofthepartiesrefusestotakepartinthedrawingupoftheTermsofReferenceortosignthesame,theyshallbesubmittedtotheCourtforapproval.WhentheTermsof
ReferencehavebeensignedinaccordancewithArticle23(2)orapprovedbytheCourt,thearbitrationshallproceed.
4)
AftertheTermsofReferencehavebeensignedorapprovedbytheCourt,nopartyshallmakenewclaimswhichfalloutsidethelimitsoftheTermsofReferenceunlessithas
beenauthorizedtodosobythearbitraltribunal,whichshallconsiderthenatureofsuchnewclaims,thestageofthearbitrationandotherrelevantcircumstances.
[Returntotop]
Article24:CaseManagementConferenceandProceduralTimetable
1)
WhendrawinguptheTermsofReferenceorassoonaspossiblethereafter,thearbitraltribunalshallconveneacasemanagementconferencetoconsultthepartieson
proceduralmeasuresthatmaybeadoptedpursuanttoArticle22(2).SuchmeasuresmayincludeoneormoreofthecasemanagementtechniquesdescribedinAppendixIV.
2)
Duringorfollowingsuchconference,thearbitraltribunalshallestablishtheproceduraltimetablethatitintendstofollowfortheconductofthearbitration.Theprocedural
timetableandanymodificationstheretoshallbecommunicatedtotheCourtandtheparties.
3)
Toensurecontinuedeffectivecasemanagement,thearbitraltribunal,afterconsultingthepartiesbymeansofafurthercasemanagementconferenceorotherwise,mayadopt
furtherproceduralmeasuresormodifytheproceduraltimetable.
4)
Casemanagementconferencesmaybeconductedthroughameetinginperson,byvideoconference,telephoneorsimilarmeansofcommunication.Intheabsenceofan
agreementoftheparties,thearbitraltribunalshalldeterminethemeansbywhichtheconferencewillbeconducted.Thearbitraltribunalmayrequestthepartiestosubmitcase
managementproposalsinadvanceofacasemanagementconferenceandmayrequesttheattendanceatanycasemanagementconferenceofthepartiesinpersonorthrough
aninternalrepresentative.
[Returntotop]
Article25:EstablishingtheFactsoftheCase
1)
Thearbitraltribunalshallproceedwithinasshortatimeaspossibletoestablishthefactsofthecasebyallappropriatemeans.
2)
Afterstudyingthewrittensubmissionsofthepartiesandalldocumentsreliedupon,thearbitraltribunalshallhearthepartiestogetherinpersonifanyofthemsorequestsor,
failingsucharequest,itmayofitsownmotiondecidetohearthem.
3)
Thearbitraltribunalmaydecidetohearwitnesses,expertsappointedbythepartiesoranyotherperson,inthepresenceoftheparties,orintheirabsenceprovidedtheyhave
beendulysummoned.
4)
Thearbitraltribunal,afterhavingconsultedtheparties,mayappointoneormoreexperts,definetheirtermsofreferenceandreceivetheirreports.Attherequestofaparty,the
partiesshallbegiventheopportunitytoquestionatahearinganysuchexpert.
5)
Atanytimeduringtheproceedings,thearbitraltribunalmaysummonanypartytoprovideadditionalevidence.
6)
Thearbitraltribunalmaydecidethecasesolelyonthedocumentssubmittedbythepartiesunlessanyofthepartiesrequestsahearing.
[Returntotop]
Article26:Hearings
1)
Whenahearingistobeheld,thearbitraltribunal,givingreasonablenotice,shallsummonthepartiestoappearbeforeitonthedayandattheplacefixedbyit.
2)
Ifanyoftheparties,althoughdulysummoned,failstoappearwithoutvalidexcuse,thearbitraltribunalshallhavethepowertoproceedwiththehearing.
3)
Thearbitraltribunalshallbeinfullchargeofthehearings,atwhichallthepartiesshallbeentitledtobepresent.Savewiththeapprovalofthearbitraltribunalandtheparties,
personsnotinvolvedintheproceedingsshallnotbeadmitted.
4)
Thepartiesmayappearinpersonorthroughdulyauthorizedrepresentatives.Inaddition,theymaybeassistedbyadvisers.
[Returntotop]
Article27:ClosingoftheProceedingsandDateforSubmissionofDraftAwards
Assoonaspossibleafterthelasthearingconcerningmatterstobedecidedinanawardorthefilingofthelastauthorizedsubmissionsconcerningsuchmatters,whicheveris
later,thearbitraltribunalshall:
a)declaretheproceedingsclosedwithrespecttothematterstobedecidedintheawardand
b)informtheSecretariatandthepartiesofthedatebywhichitexpectstosubmititsdraftawardtotheCourtforapprovalpursuanttoArticle33.
Aftertheproceedingsareclosed,nofurthersubmissionorargumentmaybemade,orevidenceproduced,withrespecttothematterstobedecidedintheaward,unless
requestedorauthorizedbythearbitraltribunal.
[Returntotop]
Article28:ConservatoryandInterimMeasures
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1)
Unlessthepartieshaveotherwiseagreed,assoonasthefilehasbeentransmittedtoit,thearbitraltribunalmay,attherequestofaparty,orderanyinterimorconservatory
measureitdeemsappropriate.Thearbitraltribunalmaymakethegrantingofanysuchmeasuresubjecttoappropriatesecuritybeingfurnishedbytherequestingparty.Any
suchmeasureshalltaketheformofanorder,givingreasons,orofanaward,asthearbitraltribunalconsidersappropriate.
2)
Beforethefileistransmittedtothearbitraltribunal,andinappropriatecircumstanceseventhereafter,thepartiesmayapplytoanycompetentjudicialauthorityforinterimor
conservatorymeasures.Theapplicationofapartytoajudicialauthorityforsuchmeasuresorfortheimplementationofanysuchmeasuresorderedbyanarbitraltribunalshall
notbedeemedtobeaninfringementorawaiverofthearbitrationagreementandshallnotaffecttherelevantpowersreservedtothearbitraltribunal.Anysuchapplicationand
anymeasurestakenbythejudicialauthoritymustbenotifiedwithoutdelaytotheSecretariat.TheSecretariatshallinformthearbitraltribunalthereof.
[Returntotop]
Article29:EmergencyArbitrator
1)
Apartythatneedsurgentinterimorconservatorymeasuresthatcannotawaittheconstitutionofanarbitraltribunal("EmergencyMeasures")maymakeanapplicationforsuch
measurespursuanttotheEmergencyArbitratorRulesinAppendixV.AnysuchapplicationshallbeacceptedonlyifitisreceivedbytheSecretariatpriortothetransmissionof
thefiletothearbitraltribunalpursuanttoArticle16andirrespectiveofwhetherthepartymakingtheapplicationhasalreadysubmitteditsRequestforArbitration.
2)
Theemergencyarbitrator'sdecisionshalltaketheformofanorder.Thepartiesundertaketocomplywithanyordermadebytheemergencyarbitrator.
3)
Theemergencyarbitrator'sordershallnotbindthearbitraltribunalwithrespecttoanyquestion,issueordisputedeterminedintheorder.Thearbitraltribunalmaymodify,
terminateorannultheorderoranymodificationtheretomadebytheemergencyarbitrator.
4)
Thearbitraltribunalshalldecideuponanyparty'srequestsorclaimsrelatedtotheemergencyarbitratorproceedings,includingthereallocationofthecostsofsuchproceedings
andanyclaimsarisingoutoforinconnectionwiththecomplianceornoncompliancewiththeorder.
5)
Articles29(1)29(4)andtheEmergencyArbitratorRulessetforthinAppendixV(collectivelythe"EmergencyArbitratorProvisions")shallapplyonlytopartiesthatareeither
signatoriesofthearbitrationagreementundertheRulesthatisrelieduponfortheapplicationorsuccessorstosuchsignatories.
6)
TheEmergencyArbitratorProvisionsshallnotapplyif:
a)thearbitrationagreementundertheRuleswasconcludedbeforethedateonwhichtheRulescameintoforce
b)thepartieshaveagreedtooptoutoftheEmergencyArbitratorProvisionsor
c)thepartieshaveagreedtoanotherprearbitralprocedurethatprovidesforthegrantingofconservatory,interimorsimilarmeasures.
7)
TheEmergencyArbitratorProvisionsarenotintendedtopreventanypartyfromseekingurgentinterimorconservatorymeasuresfromacompetentjudicialauthorityatanytime
priortomakinganapplicationforsuchmeasures,andinappropriatecircumstanceseventhereafter,pursuanttotheRules.Anyapplicationforsuchmeasuresfromacompetent
judicialauthorityshallnotbedeemedtobeaninfringementorawaiverofthearbitrationagreement.Anysuchapplicationandanymeasurestakenbythejudicialauthoritymust
benotifiedwithoutdelaytotheSecretariat.
[Returntotop]
AWARDS
Article30:TimeLimitfortheFinalAward
1)
Thetimelimitwithinwhichthearbitraltribunalmustrenderitsfinalawardissixmonths.Suchtimelimitshallstarttorunfromthedateofthelastsignaturebythearbitral
tribunalorbythepartiesoftheTermsofReferenceor,inthecaseofapplicationofArticle23(3),thedateofthenotificationtothearbitraltribunalbytheSecretariatofthe
approvaloftheTermsofReferencebytheCourt.TheCourtmayfixadifferenttimelimitbasedupontheproceduraltimetableestablishedpursuanttoArticle24(2).
2)
TheCourtmayextendthetimelimitpursuanttoareasonedrequestfromthearbitraltribunaloronitsowninitiativeifitdecidesitisnecessarytodoso.
[Returntotop]
Article31:MakingoftheAward
1)
Whenthearbitraltribunaliscomposedofmorethanonearbitrator,anawardismadebyamajoritydecision.Ifthereisnomajority,theawardshallbemadebythepresidentof
thearbitraltribunalalone.
2)
Theawardshallstatethereasonsuponwhichitisbased.
3)
Theawardshallbedeemedtobemadeattheplaceofthearbitrationandonthedatestatedtherein.
[Returntotop]
Article32:AwardbyConsent
IfthepartiesreachasettlementafterthefilehasbeentransmittedtothearbitraltribunalinaccordancewithArticle16,thesettlementshallberecordedintheformofanaward
madebyconsentoftheparties,ifsorequestedbythepartiesandifthearbitraltribunalagreestodoso.
[Returntotop]
Article33:ScrutinyoftheAwardbytheCourt
Beforesigninganyaward,thearbitraltribunalshallsubmititindraftformtotheCourt.TheCourtmaylaydownmodificationsastotheformoftheawardand,withoutaffecting
thearbitraltribunal'slibertyofdecision,mayalsodrawitsattentiontopointsofsubstance.Noawardshallberenderedbythearbitraltribunaluntilithasbeenapprovedbythe
Courtastoitsform.
[Returntotop]
Article34:Notification,DepositandEnforceabilityoftheAward
1)
Onceanawardhasbeenmade,theSecretariatshallnotifytothepartiesthetextsignedbythearbitraltribunal,providedalwaysthatthecostsofthearbitrationhavebeenfully
paidtotheICCbythepartiesorbyoneofthem.
2)
AdditionalcopiescertifiedtruebytheSecretaryGeneralshallbemadeavailableonrequestandatanytimetotheparties,buttonooneelse.
3)
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ByvirtueofthenotificationmadeinaccordancewithArticle34(1),thepartieswaiveanyotherformofnotificationordepositonthepartofthearbitraltribunal.
4)
AnoriginalofeachawardmadeinaccordancewiththeRulesshallbedepositedwiththeSecretariat.
5)
ThearbitraltribunalandtheSecretariatshallassistthepartiesincomplyingwithwhateverfurtherformalitiesmaybenecessary.
6)
Everyawardshallbebindingontheparties.BysubmittingthedisputetoarbitrationundertheRules,thepartiesundertaketocarryoutanyawardwithoutdelayandshallbe
deemedtohavewaivedtheirrighttoanyformofrecourseinsofarassuchwaivercanvalidlybemade.
[Returntotop]
Article35:CorrectionandInterpretationoftheAwardRemissionofAwards
1)
Onitsowninitiative,thearbitraltribunalmaycorrectaclerical,computationalortypographicalerror,oranyerrorsofsimilarnaturecontainedinanaward,providedsuch
correctionissubmittedforapprovaltotheCourtwithin30daysofthedateofsuchaward.
2)
AnyapplicationofapartyforthecorrectionofanerrorofthekindreferredtoinArticle35(1),orfortheinterpretationofanaward,mustbemadetotheSecretariatwithin30days
ofthereceiptoftheawardbysuchparty,inanumberofcopiesasstatedinArticle3(1).Aftertransmittaloftheapplicationtothearbitraltribunal,thelattershallgranttheother
partyashorttimelimit,normallynotexceeding30days,fromthereceiptoftheapplicationbythatparty,tosubmitanycommentsthereon.Thearbitraltribunalshallsubmitits
decisionontheapplicationindraftformtotheCourtnotlaterthan30daysfollowingtheexpirationofthetimelimitforthereceiptofanycommentsfromtheotherpartyorwithin
suchotherperiodastheCourtmaydecide.
3)
Adecisiontocorrectortointerprettheawardshalltaketheformofanaddendumandshallconstitutepartoftheaward.TheprovisionsofArticles31,33and34shallapply
mutatismutandis.
4)
Whereacourtremitsanawardtothearbitraltribunal,theprovisionsofArticles31,33,34andthisArticle35shallapplymutatismutandistoanyaddendumorawardmade
pursuanttothetermsofsuchremission.TheCourtmaytakeanystepsasmaybenecessarytoenablethearbitraltribunaltocomplywiththetermsofsuchremissionandmay
fixanadvancetocoveranyadditionalfeesandexpensesofthearbitraltribunalandanyadditionalICCadministrativeexpenses.
[Returntotop]
COSTS
Article36:AdvancetoCovertheCostsoftheArbitration
1)
AfterreceiptoftheRequest,theSecretaryGeneralmayrequesttheclaimanttopayaprovisionaladvanceinanamountintendedtocoverthecostsofthearbitrationuntilthe
TermsofReferencehavebeendrawnup.AnyprovisionaladvancepaidwillbeconsideredasapartialpaymentbytheclaimantofanyadvanceoncostsfixedbytheCourt
pursuanttothisArticle36.
2)
Assoonaspracticable,theCourtshallfixtheadvanceoncostsinanamountlikelytocoverthefeesandexpensesofthearbitratorsandtheICCadministrativeexpensesfor
theclaimswhichhavebeenreferredtoitbytheparties,unlessanyclaimsaremadeunderArticle7or8inwhichcaseArticle36(4)shallapply.Theadvanceoncostsfixedby
theCourtpursuanttothisArticle36(2)shallbepayableinequalsharesbytheclaimantandtherespondent.
3)
WherecounterclaimsaresubmittedbytherespondentunderArticle5orotherwise,theCourtmayfixseparateadvancesoncostsfortheclaimsandthecounterclaims.When
theCourthasfixedseparateadvancesoncosts,eachofthepartiesshallpaytheadvanceoncostscorrespondingtoitsclaims.
4)
WhereclaimsaremadeunderArticle7or8,theCourtshallfixoneormoreadvancesoncoststhatshallbepayablebythepartiesasdecidedbytheCourt.WheretheCourthas
previouslyfixedanyadvanceoncostspursuanttothisArticle36,anysuchadvanceshallbereplacedbytheadvance(s)fixedpursuanttothisArticle36(4),andtheamountof
anyadvancepreviouslypaidbyanypartywillbeconsideredasapartialpaymentbysuchpartyofitsshareoftheadvance(s)oncostsasfixedbytheCourtpursuanttothis
Article36(4).
5)
TheamountofanyadvanceoncostsfixedbytheCourtpursuanttothisArticle36maybesubjecttoreadjustmentatanytimeduringthearbitration.Inallcases,anypartyshall
befreetopayanyotherparty'sshareofanyadvanceoncostsshouldsuchotherpartyfailtopayitsshare.
6)
Whenarequestforanadvanceoncostshasnotbeencompliedwith,andafterconsultationwiththearbitraltribunal,theSecretaryGeneralmaydirectthearbitraltribunalto
suspenditsworkandsetatimelimit,whichmustbenotlessthan15days,ontheexpiryofwhichtherelevantclaimsshallbeconsideredaswithdrawn.Shouldthepartyin
questionwishtoobjecttothismeasure,itmustmakearequestwithintheaforementionedperiodforthemattertobedecidedbytheCourt.Suchpartyshallnotbeprevented,on
thegroundofsuchwithdrawal,fromreintroducingthesameclaimsatalaterdateinanotherproceeding.
7)
Ifoneofthepartiesclaimsarighttoasetoffwithregardtoanyclaim,suchsetoffshallbetakenintoaccountindeterminingtheadvancetocoverthecostsofthearbitrationin
thesamewayasaseparateclaiminsofarasitmayrequirethearbitraltribunaltoconsideradditionalmatters.
[Returntotop]
Article37:DecisionastotheCostsoftheArbitration
1)
ThecostsofthearbitrationshallincludethefeesandexpensesofthearbitratorsandtheICCadministrativeexpensesfixedbytheCourt,inaccordancewiththescaleinforce
atthetimeofthecommencementofthearbitration,aswellasthefeesandexpensesofanyexpertsappointedbythearbitraltribunalandthereasonablelegalandothercosts
incurredbythepartiesforthearbitration.
2)
TheCourtmayfixthefeesofthearbitratorsatafigurehigherorlowerthanthatwhichwouldresultfromtheapplicationoftherelevantscaleshouldthisbedeemednecessary
duetotheexceptionalcircumstancesofthecase.
3)
Atanytimeduringthearbitralproceedings,thearbitraltribunalmaymakedecisionsoncosts,otherthanthosetobefixedbytheCourt,andorderpayment.
4)
Thefinalawardshallfixthecostsofthearbitrationanddecidewhichofthepartiesshallbearthemorinwhatproportiontheyshallbebornebytheparties.
5)
Inmakingdecisionsastocosts,thearbitraltribunalmaytakeintoaccountsuchcircumstancesasitconsidersrelevant,includingtheextenttowhicheachpartyhasconducted
thearbitrationinanexpeditiousandcosteffectivemanner.
6)
Intheeventofthewithdrawalofallclaimsortheterminationofthearbitrationbeforetherenderingofafinalaward,theCourtshallfixthefeesandexpensesofthearbitrators
andtheICCadministrativeexpenses.Ifthepartieshavenotagreedupontheallocationofthecostsofthearbitrationorotherrelevantissueswithrespecttocosts,such
mattersshallbedecidedbythearbitraltribunal.Ifthearbitraltribunalhasnotbeenconstitutedatthetimeofsuchwithdrawalortermination,anypartymayrequesttheCourtto
proceedwiththeconstitutionofthearbitraltribunalinaccordancewiththeRulessothatthearbitraltribunalmaymakedecisionsastocosts.
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[Returntotop]
MISCELLANEOUS
Article38:ModifiedTimeLimits
1)
ThepartiesmayagreetoshortenthevarioustimelimitssetoutintheRules.Anysuchagreemententeredintosubsequenttotheconstitutionofanarbitraltribunalshallbecome
effectiveonlyupontheapprovalofthearbitraltribunal.
2)
TheCourt,onitsowninitiative,mayextendanytimelimitwhichhasbeenmodifiedpursuanttoArticle38(1)ifitdecidesthatitisnecessarytodosoinorderthatthearbitral
tribunalandtheCourtmayfulfiltheirresponsibilitiesinaccordancewiththeRules.
[Returntotop]
Article39:Waiver
ApartywhichproceedswiththearbitrationwithoutraisingitsobjectiontoafailuretocomplywithanyprovisionoftheRules,orofanyotherrulesapplicabletotheproceedings,
anydirectiongivenbythearbitraltribunal,oranyrequirementunderthearbitrationagreementrelatingtotheconstitutionofthearbitraltribunalortheconductoftheproceedings,
shallbedeemedtohavewaiveditsrighttoobject.
[Returntotop]
Article40:LimitationofLiability
Thearbitrators,anypersonappointedbythearbitraltribunal,theemergencyarbitrator,theCourtanditsmembers,theICCanditsemployees,andtheICCNationalCommittees
andGroupsandtheiremployeesandrepresentativesshallnotbeliabletoanypersonforanyactoromissioninconnectionwiththearbitration,excepttotheextentsuch
limitationofliabilityisprohibitedbyapplicablelaw.
[Returntotop]
Article41:GeneralRule
InallmattersnotexpresslyprovidedforintheRules,theCourtandthearbitraltribunalshallactinthespiritoftheRulesandshallmakeeveryefforttomakesurethattheaward
isenforceableatlaw.
APPENDIXI:STATUTESOFTHEINTERNATIONALCOURTOFARBITRATION
Article1:Function
1)
ThefunctionoftheInternationalCourtofArbitrationoftheInternationalChamberofCommerce(the"Court")istoensuretheapplicationoftheRulesofArbitrationofthe
InternationalChamberofCommerce,andithasallthenecessarypowersforthatpurpose.
2)
Asanautonomousbody,itcarriesoutthesefunctionsincompleteindependencefromtheICCanditsorgans.
3)
ItsmembersareindependentfromtheICCNationalCommitteesandGroups.
[Returntotop]
Article2:CompositionoftheCourt
TheCourtshallconsistofaPresident,VicePresidents,andmembersandalternatemembers(collectivelydesignatedasmembers).InitsworkitisassistedbyitsSecretariat
(SecretariatoftheCourt).
[Returntotop]
Article3:Appointment
1)
ThePresidentiselectedbytheICCWorldCouncilupontherecommendationoftheExecutiveBoardoftheICC.
2)
TheICCWorldCouncilappointstheVicePresidentsoftheCourtfromamongthemembersoftheCourtorotherwise.
3)
ItsmembersareappointedbytheICCWorldCouncilontheproposalofNationalCommitteesorGroups,onememberforeachNationalCommitteeorGroup.
4)
OntheproposalofthePresidentoftheCourt,theWorldCouncilmayappointalternatemembers.
5)
Thetermofofficeofallmembers,including,forthepurposesofthisparagraph,thePresidentandVicePresidents,isthreeyears.Ifamemberisnolongerinapositionto
exercisethemember'sfunctions,asuccessorisappointedbytheWorldCouncilfortheremainderoftheterm.UpontherecommendationoftheExecutiveBoard,thedurationof
thetermofofficeofanymembermaybeextendedbeyondthreeyearsiftheWorldCouncilsodecides.
[Returntotop]
Article4:PlenarySessionoftheCourt
ThePlenarySessionsoftheCourtarepresidedoverbythePresidentor,inthePresident'sabsence,byoneoftheVicePresidentsdesignatedbythePresident.The
deliberationsshallbevalidwhenatleastsixmembersarepresent.Decisionsaretakenbyamajorityvote,thePresidentorVicePresident,asthecasemaybe,havinga
castingvoteintheeventofatie.
[Returntotop]
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Article5:Committees
TheCourtmaysetuponeormoreCommitteesandestablishthefunctionsandorganizationofsuchCommittees.
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Article6:Confidentiality
TheworkoftheCourtisofaconfidentialnaturewhichmustberespectedbyeveryonewhoparticipatesinthatworkinwhatevercapacity.TheCourtlaysdowntherules
regardingthepersonswhocanattendthemeetingsoftheCourtanditsCommitteesandwhoareentitledtohaveaccesstomaterialsrelatedtotheworkoftheCourtandits
Secretariat.
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Article7:ModificationoftheRulesofArbitration
AnyproposaloftheCourtforamodificationoftheRulesislaidbeforetheCommissiononArbitrationandADRbeforesubmissiontotheExecutiveBoardoftheICCfor
approval,provided,however,thattheCourt,inordertotakeaccountofdevelopmentsininformationtechnology,mayproposetomodifyorsupplementtheprovisionsofArticle3
oftheRulesoranyrelatedprovisionsintheRuleswithoutlayinganysuchproposalbeforetheCommission.
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APPENDIXII:INTERNALRULESOFTHEINTERNATIONALCOURTOFARBITRATION
Article1:ConfidentialCharacteroftheWorkoftheInternationalCourtofArbitration
1)
ForthepurposesofthisAppendix,membersoftheCourtincludethePresidentandVicePresidentsoftheCourt.
2)
ThesessionsoftheCourt,whetherplenaryorthoseofaCommitteeoftheCourt,areopenonlytoitsmembersandtotheSecretariat.
3)
However,inexceptionalcircumstances,thePresidentoftheCourtmayinviteotherpersonstoattend.Suchpersonsmustrespecttheconfidentialnatureoftheworkofthe
Court.
4)
ThedocumentssubmittedtotheCourt,ordrawnupbyitortheSecretariatinthecourseoftheCourt'sproceedings,arecommunicatedonlytothemembersoftheCourtandto
theSecretariatandtopersonsauthorizedbythePresidenttoattendCourtsessions.
5)
ThePresidentortheSecretaryGeneraloftheCourtmayauthorizeresearchersundertakingworkofanacademicnaturetoacquaintthemselveswithawardsandother
documentsofgeneralinterest,withtheexceptionofmemoranda,notes,statementsanddocumentsremittedbythepartieswithintheframeworkofarbitrationproceedings.
6)
Suchauthorizationshallnotbegivenunlessthebeneficiaryhasundertakentorespecttheconfidentialcharacterofthedocumentsmadeavailableandtorefrainfrompublishing
anythingbaseduponinformationcontainedthereinwithouthavingpreviouslysubmittedthetextforapprovaltotheSecretaryGeneraloftheCourt.
7)
TheSecretariatwillineachcasesubmittedtoarbitrationundertheRulesretaininthearchivesoftheCourtallawards,TermsofReferenceanddecisionsoftheCourt,aswell
ascopiesofthepertinentcorrespondenceoftheSecretariat.
8)
Anydocuments,communicationsorcorrespondencesubmittedbythepartiesorthearbitratorsmaybedestroyedunlessapartyoranarbitratorrequestsinwritingwithina
periodfixedbytheSecretariatthereturnofsuchdocuments,communicationsorcorrespondence.Allrelatedcostsandexpensesforthereturnofthosedocumentsshallbepaid
bysuchpartyorarbitrator.
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Article2:ParticipationofMembersoftheInternationalCourtofArbitrationinICCArbitration
1)
ThePresidentandthemembersoftheSecretariatoftheCourtmaynotactasarbitratorsorascounselincasessubmittedtoICCarbitration.
2)
TheCourtshallnotappointVicePresidentsormembersoftheCourtasarbitrators.Theymay,however,beproposedforsuchdutiesbyoneormoreoftheparties,orpursuant
toanyotherprocedureagreeduponbytheparties,subjecttoconfirmation.
3)
WhenthePresident,aVicePresidentoramemberoftheCourtoroftheSecretariatisinvolvedinanycapacitywhatsoeverinproceedingspendingbeforetheCourt,such
personmustinformtheSecretaryGeneraloftheCourtuponbecomingawareofsuchinvolvement.
4)
SuchpersonmustbeabsentfromtheCourtsessionwheneverthematterisconsideredbytheCourtandshallnotparticipateinthediscussionsorinthedecisionsoftheCourt.
5)
Suchpersonwillnotreceiveanymaterialdocumentationorinformationpertainingtosuchproceedings.
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Article3:RelationsbetweentheMembersoftheCourtandtheICCNationalCommitteesandGroups
1)
Byvirtueoftheircapacity,themembersoftheCourtareindependentoftheICCNationalCommitteesandGroupswhichproposedthemforappointmentbytheICCWorld
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Council.
2)
Furthermore,theymustregardasconfidential,visvisthesaidNationalCommitteesandGroups,anyinformationconcerningindividualcaseswithwhichtheyhavebecome
acquaintedintheircapacityasmembersoftheCourt,exceptwhentheyhavebeenrequestedbythePresidentoftheCourt,byaVicePresidentoftheCourtauthorizedbythe
PresidentoftheCourt,orbytheCourt'sSecretaryGeneraltocommunicatespecificinformationtotheirrespectiveNationalCommitteesorGroups.
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Article4:CommitteeoftheCourt
1)
InaccordancewiththeprovisionsofArticle1(4)oftheRulesandArticle5ofitsstatutes(AppendixI),theCourtherebyestablishesaCommitteeoftheCourt.
2)
ThemembersoftheCommitteeconsistofapresidentandatleasttwoothermembers.ThePresidentoftheCourtactsasthepresidentoftheCommittee.InthePresident's
absenceorotherwiseatthePresident'srequest,aVicePresidentoftheCourtor,inexceptionalcircumstances,anothermemberoftheCourtmayactaspresidentofthe
Committee.
3)
TheothertwomembersoftheCommitteeareappointedbytheCourtfromamongtheVicePresidentsortheothermembersoftheCourt.AteachPlenarySessiontheCourt
appointsthememberswhoaretoattendthemeetingsoftheCommitteetobeheldbeforethenextPlenarySession.
4)
TheCommitteemeetswhenconvenedbyitspresident.Twomembersconstituteaquorum.
5)
(a)TheCourtshalldeterminethedecisionsthatmaybetakenbytheCommittee.
(b)ThedecisionsoftheCommitteearetakenunanimously.
(c)WhentheCommitteecannotreachadecisionordeemsitpreferabletoabstain,ittransfersthecasetothenextPlenarySession,makinganysuggestionsitdeems
appropriate.
(d)TheCommittee'sdecisionsarebroughttothenoticeoftheCourtatitsnextPlenarySession.
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Article5:CourtSecretariat
1)
IntheSecretaryGeneral'sabsenceorotherwiseattheSecretaryGeneral'srequest,theDeputySecretaryGeneraland/ortheGeneralCounselshallhavetheauthoritytorefer
matterstotheCourt,confirmarbitrators,certifytruecopiesofawardsandrequestthepaymentofaprovisionaladvance,respectivelyprovidedforinArticles6(3),13(2),34(2)
and36(1)oftheRules.
2)
TheSecretariatmay,withtheapprovaloftheCourt,issuenotesandotherdocumentsfortheinformationofthepartiesandthearbitrators,orasnecessaryfortheproper
conductofthearbitralproceedings.
3)
OfficesoftheSecretariatmaybeestablishedoutsidetheheadquartersoftheICC.TheSecretariatshallkeepalistofofficesdesignatedbytheSecretaryGeneral.Requestsfor
ArbitrationmaybesubmittedtotheSecretariatatanyofitsoffices,andtheSecretariat'sfunctionsundertheRulesmaybecarriedoutfromanyofitsoffices,asinstructedby
theSecretaryGeneral,DeputySecretaryGeneralorGeneralCounsel.
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Article6:ScrutinyofArbitralAwards
WhentheCourtscrutinizesdraftawardsinaccordancewithArticle33oftheRules,itconsiders,totheextentpracticable,therequirementsofmandatorylawattheplaceofthe
arbitration.
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APPENDIXIII:ARBITRATIONCOSTSANDFEES
Article1:AdvanceonCosts
1)
EachrequesttocommenceanarbitrationpursuanttotheRulesmustbeaccompaniedbyafilingfeeofUS$3,000.Suchpaymentisnonrefundableandshallbecreditedtothe
claimant'sportionoftheadvanceoncosts.
2)
TheprovisionaladvancefixedbytheSecretaryGeneralaccordingtoArticle36(1)oftheRulesshallnormallynotexceedtheamountobtainedbyaddingtogethertheICC
administrativeexpenses,theminimumofthefees(assetoutinthescalehereinafter)basedupontheamountoftheclaimandtheexpectedreimbursableexpensesofthe
arbitraltribunalincurredwithrespecttothedraftingoftheTermsofReference.Ifsuchamountisnotquantified,theprovisionaladvanceshallbefixedatthediscretionofthe
SecretaryGeneral.PaymentbytheclaimantshallbecreditedtoitsshareoftheadvanceoncostsfixedbytheCourt.
3)
Ingeneral,aftertheTermsofReferencehavebeensignedorapprovedbytheCourtandtheproceduraltimetablehasbeenestablished,thearbitraltribunalshall,inaccordance
withArticle36(6)oftheRules,proceedonlywithrespecttothoseclaimsorcounterclaimsinregardtowhichthewholeoftheadvanceoncostshasbeenpaid.
4)
TheadvanceoncostsfixedbytheCourtaccordingtoArticles36(2)or36(4)oftheRulescomprisesthefeesofthearbitratororarbitrators(hereinafterreferredtoas"arbitrator"),
anyarbitrationrelatedexpensesofthearbitratorandtheICCadministrativeexpenses.
5)
Eachpartyshallpayitsshareofthetotaladvanceoncostsincash.However,ifaparty'sshareoftheadvanceoncostsisgreaterthanUS$500,000(the"ThresholdAmount"),
suchpartymaypostabankguaranteeforanyamountabovetheThresholdAmount.TheCourtmaymodifytheThresholdAmountatanytimeatitsdiscretion.
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6)
TheCourtmayauthorizethepaymentofadvancesoncosts,oranyparty's
sharethereof,ininstalments,subjecttosuchconditionsastheCourtthinksfit,
includingthepaymentofadditionalICCadministrativeexpenses.
7)
ApartythathasalreadypaidinfullitsshareoftheadvanceoncostsfixedbytheCourtmay,inaccordancewithArticle36(5)oftheRules,paytheunpaidportionofthe
advanceowedbythedefaultingpartybypostingabankguarantee.
8)
WhentheCourthasfixedseparateadvancesoncostspursuanttoArticle36(3)oftheRules,theSecretariatshallinviteeachpartytopaytheamountoftheadvance
correspondingtoitsrespectiveclaim(s).
9)
When,asaresultofthefixingofseparateadvancesoncosts,theseparateadvancefixedfortheclaimofeitherpartyexceedsonehalfofsuchglobaladvanceaswas
previouslyfixed(inrespectofthesameclaimsandcounterclaimsthatarethesubjectofseparateadvances),abankguaranteemaybepostedtocoveranysuchexcess
amount.Intheeventthattheamountoftheseparateadvanceissubsequentlyincreased,atleastonehalfoftheincreaseshallbepaidincash.
10)
TheSecretariatshallestablishthetermsgoverningallbankguaranteeswhichthepartiesmaypostpursuanttotheaboveprovisions.
11)
AsprovidedinArticle36(5)oftheRules,theadvanceoncostsmaybesubjecttoreadjustmentatanytimeduringthearbitration,inparticulartotakeintoaccountfluctuationsin
theamountindispute,changesintheamountoftheestimatedexpensesofthearbitrator,ortheevolvingdifficultyorcomplexityofarbitrationproceedings.
12)
Beforeanyexpertiseorderedbythearbitraltribunalcanbecommenced,theparties,oroneofthem,shallpayanadvanceoncostsfixedbythearbitraltribunalsufficientto
covertheexpectedfeesandexpensesoftheexpertasdeterminedbythearbitraltribunal.Thearbitraltribunalshallberesponsibleforensuringthepaymentbythepartiesof
suchfeesandexpenses.
13)
Theamountspaidasadvancesoncostsdonotyieldinterestforthepartiesorthearbitrator.
[Returntotop]
Article2:CostsandFees
1)
SubjecttoArticle37(2)oftheRules,theCourtshallfixthefeesofthearbitratorinaccordancewiththescalehereinaftersetoutor,wheretheamountindisputeisnotstated,at
itsdiscretion.
2)
Insettingthearbitrator'sfees,theCourtshalltakeintoconsiderationthediligenceandefficiencyofthearbitrator,thetimespent,therapidityoftheproceedings,thecomplexity
ofthedisputeandthetimelinessofthesubmissionofthedraftaward,soastoarriveatafigurewithinthelimitsspecifiedor,inexceptionalcircumstances(Article37(2)ofthe
Rules),atafigurehigherorlowerthanthoselimits.
3)
Whenacaseissubmittedtomorethanonearbitrator,theCourt,atitsdiscretion,shallhavetherighttoincreasethetotalfeesuptoamaximumwhichshallnormallynot
exceedthreetimesthefeesofonearbitrator.
4)
Thearbitrator'sfeesandexpensesshallbefixedexclusivelybytheCourtasrequiredbytheRules.Separatefeearrangementsbetweenthepartiesandthearbitratorare
contrarytotheRules.
5)
TheCourtshallfixtheICCadministrativeexpensesofeacharbitrationinaccordancewiththescalehereinaftersetoutor,wheretheamountindisputeisnotstated,atits
discretion.Wherethepartieshaveagreeduponadditionalservices,orinexceptionalcircumstances,theCourtmayfixtheICCadministrativeexpensesatalowerorhigher
figurethanthatwhichwouldresultfromtheapplicationofsuchscale,providedthatsuchexpensesshallnormallynotexceedthemaximumamountofthescale.
6)
Atanytimeduringthearbitration,theCourtmayfixaspayableaportionoftheICCadministrativeexpensescorrespondingtoservicesthathavealreadybeenperformedbythe
CourtandtheSecretariat.
7)
TheCourtmayrequirethepaymentofadministrativeexpensesinadditiontothoseprovidedinthescaleofadministrativeexpensesasaconditionforholdinganarbitrationin
abeyanceattherequestofthepartiesorofoneofthemwiththeacquiescenceoftheother.
8)
Ifanarbitrationterminatesbeforetherenderingofafinalaward,theCourtshallfixthefeesandexpensesofthearbitratorsandtheICCadministrativeexpensesatitsdiscretion,
takingintoaccountthestageattainedbythearbitralproceedingsandanyotherrelevantcircumstances.
9)
AnyamountpaidbythepartiesasanadvanceoncostsexceedingthecostsofthearbitrationfixedbytheCourtshallbereimbursedtothepartieshavingregardtotheamounts
paid.
10)
InthecaseofanapplicationunderArticle35(2)oftheRulesorofaremissionpursuanttoArticle35(4)oftheRules,theCourtmayfixanadvancetocoveradditionalfeesand
expensesofthearbitraltribunalandadditionalICCadministrativeexpensesandmaymakethetransmissionofsuchapplicationtothearbitraltribunalsubjecttothepriorcash
paymentinfulltotheICCofsuchadvance.TheCourtshallfixatitsdiscretionthecostsoftheprocedurefollowinganapplicationoraremission,whichshallincludeany
possiblefeesofthearbitratorandICCadministrativeexpenses,whenapprovingthedecisionofthearbitraltribunal.
11)
TheSecretariatmayrequirethepaymentofadministrativeexpensesinadditiontothoseprovidedinthescaleofadministrativeexpensesforanyexpensesarisinginrelationto
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arequestpursuanttoArticle34(5)oftheRules.
12)
WhenanarbitrationisprecededbyproceedingsundertheICCMediationRules,onehalfoftheICCadministrativeexpensespaidforsuchproceedingsshallbecreditedtothe
ICCadministrativeexpensesofthearbitration.
13)
Amountspaidtothearbitratordonotincludeanypossiblevalueaddedtax(VAT)orothertaxesorchargesandimpostsapplicabletothearbitrator'sfees.Partieshaveadutyto
payanysuchtaxesorchargeshowever,therecoveryofanysuchchargesortaxesisamattersolelybetweenthearbitratorandtheparties.
14)
AnyICCadministrativeexpensesmaybesubjecttovalueaddedtax(VAT)orchargesofasimilarnatureattheprevailingrate.
[Returntotop]
Article3:ICCasAppointingAuthority
AnyrequestreceivedforanauthorityoftheICCtoactasappointingauthoritywillbetreatedinaccordancewiththeRulesofICCasAppointingAuthorityinUNCITRALorOther
AdHocArbitrationProceedingsandshallbeaccompaniedbyanonrefundablefilingfeeofUS$3,000.Norequestshallbeprocessedunlessaccompaniedbythesaidfilingfee.
Foradditionalservices,ICCmayatitsdiscretionfixICCadministrativeexpenses,whichshallbecommensuratewiththeservicesprovidedandshallnormallynotexceedthe
maximumamountofUS$10,000.
[Returntotop]
Article4:ScalesofAdministrativeExpensesandArbitrator'sFees
1)
TheScalesofAdministrativeExpensesandArbitrator'sFeessetforthbelowshallbeeffectiveasof1January2012inrespectofallarbitrationscommencedonoraftersuch
date,irrespectiveoftheversionoftheRulesapplyingtosucharbitrations.
2)
TocalculatetheICCadministrativeexpensesandthearbitrator'sfees,theamountscalculatedforeachsuccessivetrancheoftheamountindisputemustbeaddedtogether,
exceptthatwheretheamountindisputeisoverUS$500million,aflatamountofUS$113,215shallconstitutetheentiretyoftheICCadministrativeexpenses.
3)
AllamountsfixedbytheCourtorpursuanttoanyoftheappendicestotheRulesarepayableinUS$exceptwhereprohibitedbylaw,inwhichcasetheICCmayapplyadifferent
scaleandfeearrangementinanothercurrency.
APPENDIXIV:CASEMANAGEMENTTECHNIQUES
Thefollowingareexamplesofcasemanagementtechniquesthatcanbeusedbythearbitraltribunalandthepartiesforcontrollingtimeandcost.Appropriatecontroloftimeand
costisimportantinallcases.Incasesoflowcomplexityandlowvalue,itisparticularlyimportanttoensurethattimeandcostsareproportionatetowhatisatstakeinthe
dispute.
a)Bifurcatingtheproceedingsorrenderingoneormorepartialawardsonkeyissues,whendoingsomaygenuinelybeexpectedtoresultinamoreefficientresolutionofthe
case.
b)Identifyingissuesthatcanberesolvedbyagreementbetweenthepartiesortheirexperts.
c)Identifyingissuestobedecidedsolelyonthebasisofdocumentsratherthanthroughoralevidenceorlegalargumentatahearing.
d)Productionofdocumentaryevidence:
(i)requiringthepartiestoproducewiththeirsubmissionsthedocumentsonwhichtheyrely
(ii)avoidingrequestsfordocumentproductionwhenappropriateinordertocontroltimeandcost
(iii)inthosecaseswhererequestsfordocumentproductionareconsideredappropriate,limitingsuchrequeststodocumentsorcategoriesofdocumentsthatarerelevantand
materialtotheoutcomeofthecase
(iv)establishingreasonabletimelimitsfortheproductionofdocuments
(v)usingascheduleofdocumentproductiontofacilitatetheresolutionofissuesinrelationtotheproductionofdocuments.
e)Limitingthelengthandscopeofwrittensubmissionsandwrittenandoralwitnessevidence(bothfactwitnessesandexperts)soastoavoidrepetitionandmaintainafocuson
keyissues.
f)UsingtelephoneorvideoconferencingforproceduralandotherhearingswhereattendanceinpersonisnotessentialanduseofITthatenablesonlinecommunicationamong
theparties,thearbitraltribunalandtheSecretariatoftheCourt.
g)Organizingaprehearingconferencewiththearbitraltribunalatwhicharrangementsforahearingcanbediscussedandagreedandthearbitraltribunalcanindicatetothe
partiesissuesonwhichitwouldlikethepartiestofocusatthehearing.
h)Settlementofdisputes:
(i)informingthepartiesthattheyarefreetosettleallorpartofthedisputeeitherbynegotiationorthroughanyformofamicabledisputeresolutionmethodssuchas,for
example,mediationundertheICCMediationRules
(ii)whereagreedbetweenthepartiesandthearbitraltribunal,thearbitraltribunalmaytakestepstofacilitatesettlementofthedispute,providedthateveryeffortismadeto
ensurethatanysubsequentawardisenforceableatlaw.
AdditionaltechniquesaredescribedintheICCpublicationentitledControllingTimeandCostsinArbitration.
[Returntotop]
APPENDIXV:EMERGENCYARBITRATORRULES
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Article1:ApplicationforEmergencyMeasures
1)
ApartywishingtohaverecoursetoanemergencyarbitratorpursuanttoArticle29oftheRulesofArbitrationoftheICC(theRules)shallsubmititsApplicationforEmergency
Measures(theApplication)totheSecretariatatanyoftheofficesspecifiedintheInternalRulesoftheCourtinAppendixIItotheRules.
2)
TheApplicationshallbesuppliedinanumberofcopiessufficienttoprovideonecopyforeachparty,plusonefortheemergencyarbitrator,andonefortheSecretariat.
3)
TheApplicationshallcontainthefollowinginformation:
a)thenameinfull,description,addressandothercontactdetailsofeachoftheparties
b)thenameinfull,addressandothercontactdetailsofanyperson(s)representingtheapplicant
c)adescriptionofthecircumstancesgivingrisetotheApplicationandoftheunderlyingdisputereferredortobereferredtoarbitration
d)astatementoftheEmergencyMeasuressought
e)thereasonswhytheapplicantneedsurgentinterimorconservatorymeasuresthatcannotawaittheconstitutionofanarbitraltribunal
f)anyrelevantagreementsand,inparticular,thearbitrationagreement
g)anyagreementastotheplaceofthearbitration,theapplicablerulesoflaworthelanguageofthearbitration
h)proofofpaymentoftheamountreferredtoinArticle7(1)ofthisAppendixand
i)anyRequestforArbitrationandanyothersubmissionsinconnectionwiththeunderlyingdispute,whichhavebeenfiledwiththeSecretariatbyanyofthepartiestothe
emergencyarbitratorproceedingspriortothemakingoftheApplication.
TheApplicationmaycontainsuchotherdocumentsorinformationastheapplicantconsidersappropriateorasmaycontributetotheefficientexaminationoftheApplication.
4)
TheApplicationshallbedrawnupinthelanguageofthearbitrationifagreeduponbythepartiesor,intheabsenceofanysuchagreement,inthelanguageofthearbitration
agreement.
5)
IfandtotheextentthatthePresidentoftheCourt(thePresident)considers,onthebasisoftheinformationcontainedintheApplication,thattheEmergencyArbitrator
ProvisionsapplywithreferencetoArticle29(5)andArticle29(6)oftheRules,theSecretariatshalltransmitacopyoftheApplicationandthedocumentsannexedtheretotothe
respondingparty.IfandtotheextentthatthePresidentconsidersotherwise,theSecretariatshallinformthepartiesthattheemergencyarbitratorproceedingsshallnottake
placewithrespecttosomeorallofthepartiesandshalltransmitacopyoftheApplicationtothemforinformation.
6)
ThePresidentshallterminatetheemergencyarbitratorproceedingsifaRequestforArbitrationhasnotbeenreceivedbytheSecretariatfromtheapplicantwithin10daysofthe
SecretariatsreceiptoftheApplication,unlesstheemergencyarbitratordeterminesthatalongerperiodoftimeisnecessary.
[Returntotop]
Article2:AppointmentoftheEmergencyArbitratorTransmissionoftheFile
1)
ThePresidentshallappointanemergencyarbitratorwithinasshortatimeaspossible,normallywithintwodaysfromtheSecretariatsreceiptoftheApplication.
2)
NoemergencyarbitratorshallbeappointedafterthefilehasbeentransmittedtothearbitraltribunalpursuanttoArticle16oftheRules.Anemergencyarbitratorappointedprior
theretoshallretainthepowertomakeanorderwithinthetimelimitpermittedbyArticle6(4)ofthisAppendix.
3)
Oncetheemergencyarbitratorhasbeenappointed,theSecretariatshallsonotifythepartiesandshalltransmitthefiletotheemergencyarbitrator.Thereafter,allwritten
communicationsfromthepartiesshallbesubmitteddirectlytotheemergencyarbitratorwithacopytotheotherpartyandtheSecretariat.Acopyofanywrittencommunications
fromtheemergencyarbitratortothepartiesshallbesubmittedtotheSecretariat.
4)
Everyemergencyarbitratorshallbeandremainimpartialandindependentofthepartiesinvolvedinthedispute.
5)
Beforebeingappointed,aprospectiveemergencyarbitratorshallsignastatementofacceptance,availability,impartialityandindependence.TheSecretariatshallprovidea
copyofsuchstatementtotheparties.
6)
AnemergencyarbitratorshallnotactasanarbitratorinanyarbitrationrelatingtothedisputethatgaverisetotheApplication.
[Returntotop]
Article3:ChallengeofanEmergencyArbitrator
1)
Achallengeagainsttheemergencyarbitratormustbemadewithinthreedaysfromreceiptbythepartymakingthechallengeofthenotificationoftheappointmentorfromthe
datewhenthatpartywasinformedofthefactsandcircumstancesonwhichthechallengeisbasedifsuchdateissubsequenttothereceiptofsuchnotification.
2)
ThechallengeshallbedecidedbytheCourtaftertheSecretariathasaffordedanopportunityfortheemergencyarbitratorandtheotherpartyorpartiestoprovidecommentsin
writingwithinasuitableperiodoftime.
[Returntotop]
Article4:PlaceoftheEmergencyArbitratorProceedings
1)
Ifthepartieshaveagreedupontheplaceofthearbitration,suchplaceshallbetheplaceoftheemergencyarbitratorproceedings.Intheabsenceofsuchagreement,the
Presidentshallfixtheplaceoftheemergencyarbitratorproceedings,withoutprejudicetothedeterminationoftheplaceofthearbitrationpursuanttoArticle18(1)oftheRules.
2)
Anymeetingswiththeemergencyarbitratormaybeconductedthroughameetinginpersonatanylocationtheemergencyarbitratorconsidersappropriateorbyvideo
conference,telephoneorsimilarmeansofcommunication.
[Returntotop]
Article5:Proceedings
1)
Theemergencyarbitratorshallestablishaproceduraltimetablefortheemergencyarbitratorproceedingswithinasshortatimeaspossible,normallywithintwodaysfromthe
transmissionofthefiletotheemergencyarbitratorpursuanttoArticle2(3)ofthisAppendix.
2)
Theemergencyarbitratorshallconducttheproceedingsinthemannerwhichtheemergencyarbitratorconsiderstobeappropriate,takingintoaccountthenatureandthe
urgencyoftheApplication.Inallcases,theemergencyarbitratorshallactfairlyandimpartiallyandensurethateachpartyhasareasonableopportunitytopresentitscase.
[Returntotop]
Article6:Order
1)
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PursuanttoArticle29(2)oftheRules,theemergencyarbitratorsdecisionshalltaketheformofanorder(theOrder).
2)
IntheOrder,theemergencyarbitratorshalldeterminewhethertheApplicationisadmissiblepursuanttoArticle29(1)oftheRulesandwhethertheemergencyarbitratorhas
jurisdictiontoorderEmergencyMeasures.
3)
TheOrdershallbemadeinwritingandshallstatethereasonsuponwhichitisbased.Itshallbedatedandsignedbytheemergencyarbitrator.
4)
TheOrdershallbemadenolaterthan15daysfromthedateonwhichthefilewastransmittedtotheemergencyarbitratorpursuanttoArticle2(3)ofthisAppendix.The
PresidentmayextendthetimelimitpursuanttoareasonedrequestfromtheemergencyarbitratororonthePresidentsowninitiativeifthePresidentdecidesitisnecessaryto
doso.
5)
WithinthetimelimitestablishedpursuanttoArticle6(4)ofthisAppendix,theemergencyarbitratorshallsendtheOrdertotheparties,withacopytotheSecretariat,byanyof
themeansofcommunicationpermittedbyArticle3(2)oftheRulesthattheemergencyarbitratorconsiderswillensurepromptreceipt.
6)
TheOrdershallceasetobebindingonthepartiesupon:
a)thePresidentsterminationoftheemergencyarbitratorproceedingspursuanttoArticle1(6)ofthisAppendix
b)theacceptancebytheCourtofachallengeagainsttheemergencyarbitratorpursuanttoArticle3ofthisAppendix
c)thearbitraltribunal'sfinalaward,unlessthearbitraltribunalexpresslydecidesotherwiseor
d)thewithdrawalofallclaimsortheterminationofthearbitrationbeforetherenderingofafinalaward.
7
TheemergencyarbitratormaymaketheOrdersubjecttosuchconditionsastheemergencyarbitratorthinksfit,includingrequiringtheprovisionofappropriatesecurity.
8)
UponareasonedrequestbyapartymadepriortothetransmissionofthefiletothearbitraltribunalpursuanttoArticle16oftheRules,theemergencyarbitratormaymodify,
terminateorannultheOrder.
[Returntotop]
Article7:CostsoftheEmergencyArbitratorProceedings
1)
TheapplicantmustpayanamountofUS$40,000,consistingofUS$10,000forICCadministrativeexpensesandUS$30,000fortheemergencyarbitratorsfeesandexpenses.
NotwithstandingArticle1(5)ofthisAppendix,theApplicationshallnotbenotifieduntilthepaymentofUS$40,000isreceivedbytheSecretariat.
2)
ThePresidentmay,atanytimeduringtheemergencyarbitratorproceedings,decidetoincreasetheemergencyarbitratorsfeesortheICCadministrativeexpensestakinginto
account,interalia,thenatureofthecaseandthenatureandamountofworkperformedbytheemergencyarbitrator,theCourt,thePresidentandtheSecretariat.Iftheparty
whichsubmittedtheApplicationfailstopaytheincreasedcostswithinthetimelimitfixedbytheSecretariat,theApplicationshallbeconsideredaswithdrawn.
3)
Theemergencyarbitrator'sOrdershallfixthecostsoftheemergencyarbitratorproceedingsanddecidewhichofthepartiesshallbearthemorinwhatproportiontheyshallbe
bornebytheparties.
4)
ThecostsoftheemergencyarbitratorproceedingsincludetheICCadministrativeexpenses,theemergencyarbitratorsfeesandexpensesandthereasonablelegalandother
costsincurredbythepartiesfortheemergencyarbitratorproceedings.
5)
IntheeventthattheemergencyarbitratorproceedingsdonottakeplacepursuanttoArticle1(5)ofthisAppendixorareotherwiseterminatedpriortothemakingofanOrder,the
Presidentshalldeterminetheamounttobereimbursedtotheapplicant,ifany.AnamountofUS$5,000forICCadministrativeexpensesisnonrefundableinallcases.
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Article8:GeneralRule
1)
ThePresidentshallhavethepowertodecide,atthePresidentsdiscretion,allmattersrelatingtotheadministrationoftheemergencyarbitratorproceedingsnotexpressly
providedforinthisAppendix.
2)
InthePresidentsabsenceorotherwiseatthePresidentsrequest,anyoftheVicePresidentsoftheCourtshallhavethepowertotakedecisionsonbehalfofthePresident.
3)
InallmattersconcerningemergencyarbitratorproceedingsnotexpresslyprovidedforinthisAppendix,theCourt,thePresidentandtheemergencyarbitratorshallactinthe
spiritoftheRulesandthisAppendix.
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CopyrightICC2016
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