INTERNATIONAL CHAMBER OF

COMMERCE

INTERNATIONAL COURT OF
ARBITRATION
 ALTERNATIVE DISPUTE RESOLUTIONS
ICC Arbitration Rules
ICC Mediation Rules
Introduction

 International Court of Arbitration is the independent

arbitration body of the International Chamber of
Commerce.
 ICA administers the resolution of disputes by arbitral
tribunal and does not itself resolve disputes.
 Its function is to ensure the application of the Rules of
Arbitration. And such other Rules.
Common ADR Technique
 Mediation - whereby a neutral helps the parties to settle
their differences through negotiation;

 Mini-trial - in which a panel comprising a neutral and a

manager from each party proposes a solution or gives an
opinion;

 Neutral evaluation of a point of law or fact- Common to

all these techniques is the fact that the decision reached
by or in collaboration with the neutral is not binding upon
the parties, unless they agree otherwise
Characteristics of ICC ADR
 1. proceedings are flexible and party-controlled

 2. proceedings under the Rules are intended to be rapid and

therefore relatively inexpensive.

 3. proceedings allow the parties to choose whichever settlement

technique is best suited to help them resolve their dispute.

 4. ICC ADR proceedings are confidential.

 5. the parties are free to agree in writing that they will comply
with a recommendation or decision of the Neutral, even though
it is itself unenforceable. In that case their agreement is binding
upon them in accordance with the law applicable to that
agreement.
ICC Arbitration Rules

The Arbitration Rules are those of 2012, as amended in

2017. They are effective as of 1 March 2017.
Request for Arbitration
 A party wishing to have recourse to arbitration under the
Rule shall submit its Request or Arbitration
 The on which the request is received shall be deemed to
be the date of the commencement of the arbitration.
 The request shall contain the following:
Name, description, address and other contact details of each of
the parties
Contact details of any person representing the claimant
Description of the nature and circumstances o the dispute
Statement of the relief sought, together with the amount of
qualified claims, to the extent possible an estimate of the
monetary value of other claims
Answer to the Request

 Within 30 days from the receipt of the request , the

respondent shall submit an Answer, which shall contain
the following:
Name, address and other contact details including
the contact details of any person representing the
respondent in the arbitration.
Comments as to the nature and circumstances of the
dispute
Response to the relief sought
Observation or proposal concerning the number of
arbitrators, place, applicable rules of law and
language of arbitration.
Effect of the Arbitration
Agreement

 Parties shall be deemed to have:

 submitted ipso facto to the Rules in effect on the date of

commencement of the arbitration, unless they have agreed to
submit to the Rules in effect on the date of their arbitration
agreement.

accepted that the arbitration shall be administered by the Court.

Multiple Parties, Multiple
Contracts and Consolidation
 Party wishing to join as additional party to the arbitration shall
submit a request for arbitration (The Request for Joinder).
 Arbitration with multiple parties, the claim may be made by
any party against any other party provided that no new claims
may be made after the Terms of Reference are signed and
approved by the Court
 Claims arising out of or in connection with more than one
contract may be made in a single arbitration irrespective
whether such claims are made under one or more than one
arbitration agreement.
 Two or more arbitration pending under the Rules can be
consolidated into a single arbitration.
Arbitral Tribunal
 Every arbitrator must be and remain impartial and
independent of the parties involved in the arbitration
 Prospective arbitrator shall disclose in writing any facts
or circumstances which might be of such nature to a call
into question of arbitrator’s independence in the eyes of
parties.
 The decision of the Court to the appointment,
confirmation, challenge or replacement of an arbitrator
shall be final.
Constitution of the Arbitral
Tribunal
 The dispute shall be decided by a sole arbitrator or by three
arbitrator.
 Where parties have not agreed upon the number of arbitrator
the court shall appoint a sole arbitrator unless required
otherwise to be three.
 Sole arbitrator maybe made by agreement of the parties. If
parties fail to nominate within 30 days from date of claimants
request for arbitration, the sole arbitrator shall be appointed
by the Court.
 Parties shall nominate in the Request and Answer,
respectively one arbitrator for confirmation. The third
arbitrator shall be appointed by the Court
Place of Arbitration
 The place of the arbitration shall be fixed by the court
unless agreed upon by the parties.
 The arbitral tribunal may deliberate at ay location it
considers appropriate.
Rules Governing the Proceedings

The proceedings before the arbitral tribunal shall be

governed by the Rules and, where the Rules are silent,
by any rules which the parties if none, the arbitral
tribunal may settle on, whether or not reference is
thereby made to the rules of procedure of a national law
to be applied to the arbitration.
Applicable Rules of Law
 The parties shall be free to agree upon the rules of law
to be applied by the arbitral tribunal to the merits of the
dispute. In the absence of any such agreement, the
arbitral tribunal shall apply the rules of law which it
determines to be appropriate.
 The arbitral tribunal shall take account of the provisions
of the contract, if any, between the parties and of any
relevant trade usages.
 The arbitral tribunal shall assume the powers of an
amiable compositeur or decide ex aequo et bono only if
the parties have agreed to give it such powers.
Award

 When the arbitral tribunal is composed of more than one

arbitrator, an award is made by a majority decision. If
there is no majority, the award shall be made by the
president of the arbitral tribunal alone.
 The award shall state the reasons upon which it is
based.
 The award shall be deemed to be made at the place of
the arbitration and on the date stated therein.
Time Limit for the Final Award

 The time limit within which the arbitral tribunal must

render its final award is six months. Such time limit shall
start to run from the date of the last signature by the
arbitral tribunal or by the parties of the Terms of
Reference
 The Court may extend the time limit pursuant to a
reasoned request from the arbitral tribunal or on its own
initiative if it decides it is necessary to do so.
Correction and Interpretation of
the Award; Remission of Awards
 On its own initiative, the arbitral tribunal may correct a
clerical, computational or typographical error, or any
errors of similar nature contained in an award, provided
such correction is submitted for approval to the Court
within 30 days of the date of such award.
 A decision to correct or to interpret the award shall take
the form of an addendum and shall constitute part of
the award.
 Where a court remits an award to the arbitral tribunal,
the provisions on awards apply mutatis mutandis to any
addendum or award made pursuant to the terms of such
remission.
ICC Mediation Rules
Introduction

 These Rules can also be used for conducting other

procedures or in combination with other procedures,
such as conciliation or neutral evaluation.
Governing Body

 The Mediation Rules of the International Chamber of

Commerce are administered by the ICC International
Centre for ADR which is a separate administrative body
within the ICC
Requirement before
Mediation

 Where there is an agreement between the parties to

refer their dispute to the Rules, any party or parties
wishing to commence mediation pursuant to the Rules
shall file a written Request for Mediation (the “Request”)
with the Centre.

 The party or parties filing the Request shall

simultaneously send a copy of the Request to all other
parties, unless the Request has been filed jointly by all
parties.
Commencement where there
is an Agreement to Refer

 Where there is an agreement to refer to the Rules, the

date on which the Request is received by the Centre
shall, for all purposes, be deemed to be the date of the
commencement of the Proceedings.
Commencement Where there is
No Prior Agreement to Refer
 In the absence of an agreement of the parties to refer
their dispute to the Rules, any party that wishes to
propose referring the dispute to the Rules to another
party may do so by sending a written Request to the
Centre. Upon receipt of such Request, the Centre will
inform all other parties of the proposal and may assist
the parties in considering the proposal.
 Where the parties reach an agreement to refer their
dispute to the Rules, the Proceedings shall commence
on the date on which the Centre sends written
confirmation to the parties that such an agreement has
been reached.
Selection of the Mediator

 The parties may jointly nominate a mediator for

confirmation by the Centre.
 In the absence of a joint nomination of a Mediator by
the parties, the Centre shall, after consulting the parties,
either appoint a Mediator or propose a list of Mediators
to the parties. All of the parties may jointly nominate a
Mediator from the said list for confirmation by the
Centre, failing which the Centre shall appoint a
Mediator.
END
Pre-requisite

 Before ICC ADR proceedings can take place, the parties

must agree to submit their dispute to the Rules. Such
agreement can occur:

In a prior agreement of the parties to submit their

disputes to the Rules, either in their underlying
contract or in a later agreement; or

Through a Request for ADR submitted by one

party to ICC and accepted by the other party.
Introduction
Scope: Apply only to business dispute
Pre-requisites
Selection of Neutral
The success of ICC ADR proceedings depends in large part upon
the abilities of the Neutral.
The parties should seek to ensure that the Neutral:
• 1. has the professional capabilities and experience
needed to understand the various aspects of the dispute
between the parties;
• 2. has the human qualities needed to create an
atmosphere of trust between the parties and encourage
constructive discussions.
ADR Procedure
 Discussion:
 (i) to seek an agreement on the settlement technique to be used for the
resolution of the dispute; and
 (ii) to define the specific procedure to be followed.

 The ADR settlement techniques:

 1) mediation;
 2) neutral evaluation;
 3) mini-trial;
 4) any other settlement technique; or
 5) a combination of settlement techniques.

The above list is, by its very nature, neither limiting nor exhaustive. It is
important, however, that the parties have the same approach to the settlement
technique to be used.
Mediation

 is the settlement technique in which the Neutral acts as a facilitator

to help the parties try to arrive at a negotiated settlement of their
dispute.

 The Neutral is not requested to provide any opinion as to the merits

of the dispute.

 Neutral generally holds joint meetings with all of the parties present
and may also hold separate meetings, often called caucuses, with
each of the parties alone.

 Permit the Neutral to create an atmosphere appropriate for

negotiations, obtain useful information, identify the interests of each
party and help the parties find common ground for the resolution of
their dispute.
Neutral Evaluation

 Parties can ask the Neutral to provide a non-binding opinion or

evaluation concerning one or more matters, such as:

an issue of fact;

a technical issue of any kind;
an issue of law;
an issue concerning the application of the law to the facts;
an issue concerning the interpretation of a contractual
provision;
an issue concerning the modification of a contract.
Mini-trial

 Is the settlement technique in which a panel is constituted

comprising the Neutral, as a facilitator, and a manager of each of
the parties to the dispute.

 Each manager should in principle have the authority to bind the

party which selected him or her and should not have been
directly involved in the dispute.

 Each party presents its position to the panel in a concise and

brief manner, after which, depending upon the situation, the
panel seeks a solution acceptable to all of the parties or
expresses an opinion on the positions of each side.
Initiatory Discussion
 The parties should also seek to agree upon the most appropriate
procedure to be followed.
The specific procedure can include any of the following elements:

procedural calendar;
exchange of documents;
production of memoranda;
identification of persons taking part in the proceedings;
meetings between the parties and the Neutral;
other means to ensure the smooth execution of the procedure.