
ICC Arbitration in Practice
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The second revised edition of this eminently practical volume provides an article-by-article commentary of the current version of the ICC Rules of Arbitration in force as from 1 January 2012. Using clear and concise language, unencumbered by footnotes and illustrated by flow diagrams, the authors guide the reader through the various stages of ICC arbitration proceedings, from initiation to the final award. This thorough analysis is enhanced with other invaluable material, including:
- a digest of statistics relating to ICC arbitration for the years 2009 to 2013;
- references to selected national arbitration laws and to the UNCITRAL Model Law on International Commercial Arbitration;
- a bibliography, including useful web sites; and
- a separate chapter on ICC's other dispute resolution services, such as mediation, expert proceedings, dispute boards, DOCDEX and the pre-arbitral referee procedure.
Appendices provide the reader with the texts of ICC's various dispute resolution rules and other relevant documents.
The authors, all practicing lawyers, have all worked as counsel at the Secretariat of the ICC International Court of Arbitration. They have gone on to represent parties and act as arbitrators in many international proceedings. They also serve as mediators and party representatives in international mediations. They are also members of the ICC Commission on Arbitration and ADR and participated in the discussions leading to the 2012 ICC Rules of Arbitration.
Written from a practical perspective, this book remains an essential resource for company lawyers who wish to familiarize themselves with ICC arbitration, assess the pros and cons of entering into an arbitration clause referring to the ICC Rules, or obtain information and guidance on how to proceed in a given situation. Arbitration practitioners will find useful information on the practice of ICC arbitration, including various notes of the ICC Court Secretariat and reports of the ICC Commission on Arbitration and ADR.
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Content
- Intro
- Halftitle Page
- Title Page
- Copyright Page
- NOTICE
- CONTENTS
- FOREWORD
- PREFACE
- THE AUTHORS
- ABBREVIATIONS
- CHAPTER 1 INTRODUCTION
- A. ARBITRATION AS A PRIVATE METHOD OF SETTLING DISPUTES
- 1. Arbitration as an Alternative to Court Proceedings
- 2. Arbitration as an Alternative to Court Proceedings in International Legal Relations
- 3. Relation between Arbitration and Other Methods of Settling Private Disputes Out of Court
- B. LINKS BETWEEN ARBITRATION AND STATE COURTS
- C. 'AD HOC' ARBITRATION PROCEDURE
- 1. Initiation of the Arbitration and Constitution of the Arbitral Tribunal
- 2. Conduct of Arbitration Proceedings
- D. INSTITUTIONAL ARBITRATION
- E. ICC ARBITRATION
- CHAPTER 2 THE INTERNATIONAL CHAMBER OF COMMERCE AND ITS COURT OF ARBITRATION
- A. THE INTERNATIONAL CHAMBER OF COMMERCE AS AN INSTITUTION
- B. THE ICC DISPUTE RESOLUTION SERVICES
- C. THE HISTORICAL BACKGROUND OF THE RULES OF ARBITRATION
- D. THE ICC INTERNATIONAL COURT OF ARBITRATION AND ITS SECRETARIAT
- 1. The Structure of the ICC International Court of Arbitration
- 2. The Role of the ICC International Court of Arbitration
- 3. How the ICC International Court of Arbitration Works
- 4. Avoiding Conflicts of Interest
- 5. The Composition of the Secretariat
- 6. The Tasks of the Secretariat
- 7. How the Secretariat Works
- CHAPTER 3 ARBITRAL PROCEEDINGS UNDER THE ICC RULES OF ARBITRATION OF 2012
- A. INTRODUCTORY PROVISIONS
- 1. Definitions (Art. 2)
- 2. Written Notifications or Communications
- Time Limits (Art. 3)
- B. COMMENCING THE ARBITRATION
- 1. The Request for Arbitration (Art. 4)
- 2. The Answer to the Request and Counterclaims (Art. 5)
- 3. The Effect of the Arbitration Agreement (Art. 6)
- C. MULTIPLE PARTIES, MULTIPLE CONTRACTS AND CONSOLIDATION
- 1. The Joinder of Additional Parties (Art. 7)
- 2. Claims between Multiple Parties (Art. 8)
- 3. Multiple Contracts (Art. 9)
- 4. Consolidation of Arbitrations (Art. 10)
- D. THE ARBITRAL TRIBUNAL
- 1. General Provisions (Art. 11)
- 2. The Constitution of the Arbitral Tribunal (Art. 12)
- 3. Appointment and Confirmation of Arbitrators (Art. 13)
- 4. Challenge of Arbitrators (Art. 14)
- 5. Replacement of Arbitrators (Art. 15)
- E. THE ARBITRAL PROCEEDINGS
- 1. Transmission of the File to the Arbitral Tribunal (Art. 16)
- 2. Proof of Authority (Art. 17)
- 3. Place of the Arbitration (Art. 18)
- 4. Rules Governing the Proceedings (Art. 19)
- 5. Language of the Arbitration (Art. 20)
- 6. Applicable Rules of Law (Art. 21)
- 7. Conduct of the Arbitration (Art. 22)
- 8. Terms of Reference (Art. 23)
- 9. Case Management Conference and Procedural Timetable (Art. 24)
- 10. Establishing the Facts of the Case (Art. 25)
- 11. Hearings (Art. 26)
- 12. Closing of the Proceedings and Date for Submission of Draft Awards (Art. 27)
- 13. Conservatory and Interim Measures (Art. 28)
- F. EMERGENCY ARBITRATOR PROCEEDINGS
- 1. General Remarks
- 2. Commencement of the Emergency Arbitrator Proceedings
- 3. Appointment of the Emergency Arbitrator (App. V - Art. 2)
- 4. Challenge of the Emergency Arbitrator (App. V - Art. 3)
- 5. Proceedings before the Emergency Arbitrator (Art. 29(1)
- App. V - Art. 4 and 5)
- 6. Order of the Emergency Arbitrator - Effect on the Arbitration Proceedings
- 7. Costs of the Emergency Arbitrator Proceedings (App. V - Art. 7)
- 8. General Rule (App. V - Art. 8)
- 9. An Application to a Judicial Authority does not Infringe the Emergency Arbitrator Provisions (Art. 29(7))
- 10. Limitation of Liability (Art. 40)
- G. ARBITRAL AWARDS
- 1. Time Limit for the Final Award (Art. 30)
- 2. Awards (Art. 31)
- 3. Award by Consent (Art. 32)
- 4. Scrutiny of Award by the Court (Art. 33)
- 5. Notification, Deposit, Enforceability of Awards (Art. 34)
- 6. Correction and Interpretation of Awards
- Remission of Awards (Art. 35)
- H. COSTS AND ADVANCES
- 1. Advance to Cover the Costs of the Arbitration (Art. 36)
- 2. Decision as to the Costs of the Arbitration (Art. 37)
- 3. Costs and Fees (Appendix III, Art. 2)
- I. MISCELLANEOUS PROVISIONS
- 1. Modified Time Limits (Art. 38)
- 2. Waiver (Art. 39)
- 3. Limitation of Liability (Art. 40)
- 4. General Rule Aimed at Filling Gaps (Art. 41)
- CHAPTER 4 THE STANDARD ICC ARBITRATION CLAUSE
- A. ARBITRATION CLAUSES IN GENERAL
- B. RULES OF LAW APPLICABLE TO THE ARBITRATION AGREEMENT
- C. QUESTIONS CONCERNING SPECIFIC SUPPLEMENTARY PROVISIONS IN THE ARBITRATION AGREEMENT
- 1. The Requirement to Attempt Mediation First and Other Prior Conditions
- 2. Arbitral Tribunals Composed of Two or an Even Number of Members
- 3. Nomination of Arbitrators by Third Parties
- 4. Possibility of Derogating from Certain Provisions of the ICC Rules
- 5. Items Worth Including in an Arbitration Agreement
- CHAPTER 5 OVERVIEW OF THE TIME LIMITS LAID DOWN IN THE ICC RULES OF ARBITRATION
- 1. Article 3(4) of the Rules: How Time Limits are Calculated
- 2. Article 4(2) of the Rules: Start of the Arbitral Proceedings
- 3. Article 4(4) of the Rules: Prerequisites for Filing a Valid Request for Arbitration
- 4. Article 5(1) and (2) of the Rules: Filing of an Answer to the Request for Arbitration
- 5. Article 5(6) of the Rules: Claimant's Reply to a Counterclaim
- 6. Article 11(2) of the Rules: Qualified Statement of Independence from an Arbitrator
- 7. Article 12(2) of the Rules: Nomination of Co-Arbitrators after the Court has Decided in Favour of a Three-Member Tribunal
- 8. Article 12(4) of the Rules: Nomination of Co-Arbitrators where the Parties Agree on a Three-Member Tribunal
- 9. Article 12(5) of the Rules: Nomination of the Person who will act as President of a Three-Member Tribunal
- 10. Article 12(3) of the Rules: Nomination of a Sole Arbitrator
- 11. Article 13(3) of the Rules: Appointment of a Co-Arbitrator upon the Proposal of a National Committee or Group when a Party Fails to make the Necessary Nomination
- 12. Article 14(2) of the Rules: Challenges of Arbitrators by Parties
- 13. Article 15(3) of the Rules: Replacement of Arbitrators by the Court
- 14. Article 23(2) of the Rules: Terms of Reference
- 15. Article 24(1) of the Rules: Case Management Conference
- 16. Article 24(2) of the Rules: Procedural Timetable
- 17. Article 27 of the Rules: Closing of the Proceedings
- 18. Article 27 of the Rules: Announcement of the Submission of the Draft Award to the Court
- 19. Article 30 of the Rules: The Award
- 20. Article 35 of the Rules: Correction of an Award
- 21. Article 35 of the Rules: Interpretation of an Award
- 22. Article 35(4) of the Rules: Remission of an Award
- 23. Article 36(1) of the Rules: Payment of the Provisional Advance on Costs
- 24. Article 36(6) of the Rules: Payment of the Advance on Costs
- 25. Article 38 of the Rules: Modification of Time Limits by the Parties
- 26. Article 39 of the Rules: Waiver
- 27. Article 1(8) of Appendix II to the Rules: Return of Documents at the End of the Arbitration
- CHAPTER 6 OTHER METHODS OF DISPUTE RESOLUTION UNDER ICC RULES
- A. GENERAL REMARKS
- B. ICC RULES FOR A PRE-ARBITRAL REFEREE PROCEDURE
- 1. Suggested ICC Pre-Arbitral Referee Clause
- 2. Characteristics
- 3. Powers of the Referee
- 4. Costs
- C. ICC MEDIATION RULES
- 1. Mediation / Amicable Dispute Resolution
- 2. Suggested ICC Mediation Clauses
- 3. Commencement of Mediation Proceedings
- 4. Mediator
- 5. Conduct of Mediation Proceedings
- 6. Termination of Mediation Proceedings
- 7. Confidentiality
- 8. Limitation of Liability
- 9. Costs
- 10. Prior ICC Arbitration
- 11. Value Added Tax (VAT)
- 12. ICC as Appointing Authority
- D. ICC EXPERT RULES
- 1. Proposal of Experts
- 2. Appointment of Experts
- 3. Administration of Expert Proceedings
- 4. Suggested Clauses for ICC Administered Expert Proceedings
- E. ICC DOCDEX RULES
- 1. Conduct of DOCDEX Proceedings
- 2. DOCDEX Decision
- F. ICC RULES FOR DISPUTE BOARDS
- 1. Dispute Board Proceedings
- 2. Suggested Clauses for ICC Dispute Board Proceedings
- CHAPTER 7 STATISTICAL INFORMATION ON ICC ARBITRATION
- CHAPTER 8 BIBLIOGRAPHY ON ICC ARBITRATION
- A. ICC ARBITRAL AWARDS
- B. BOOKS ON ICC ARBITRATION
- C. DOSSIERS OF THE ICC INSTITUTE OF WORLD BUSINESS LAW
- D. WEB SITES CONTAINING Materials AND INFORMATION ON INTERNATIONAL ARBITRATION
- 1. Materials Referred to in this Book
- 2. Other Internet Resources
- APPENDIX 1 ICC RULES OF ARBITRATION (1 JANUARY 2012)
- APPENDIX 2 ICC ARBITRATOR STATEMENT OF ACCEPTANCE, AVAILABILITY, IMPARTIALITY AND INDEPENDENCE (2012 RULES)
- APPENDIX 3 MODEL CURRICULUM VITAE FOR ICC ARBITRATORS
- APPENDIX 4 SECRETARIAT'S NOTE TO PARTIES IN PROCEEDINGS UNDER THE 2012 ICC RULES OF ARBITRATION
- APPENDIX 5 SECRETARIAT'S NOTE ON ARTICLE 36(4) OF THE 2012 ICC RULES OF ARBITRATION
- APPENDIX 6 SECRETARIAT'S NOTE ON ICC EMERGENCY ARBITRATOR PROCEEDINGS (2012 RULES)
- APPENDIX 7 EMERGENCY ARBITRATOR'S STATEMENT OF ACCEPTANCE, AVAILABILITY, IMPARTIALITY AND INDEPENDENCE (2012 RULES)
- APPENDIX 8 SECRETARIAT'S ICC EMERGENCY ARBITRATOR ORDER CHECKLIST (2012 RULES)
- APPENDIX 9 SECRETARIAT'S NOTE TO THE ARBITRAL TRIBUNAL ON THE CONDUCT OF THE ARBITRATION (2012 RULES)
- APPENDIX 10 SECRETARIAT'S NOTE ON ADMINISTRATIVE ISSUES IN PROCEEDINGS UNDER THE 2012 ICC RULES OF ARBITRATION
- APPENDIX 11 SECRETARIAT'S ICC AWARD CHECKLIST (1998 AND 2012 RULES)
- APPENDIX 12 SECRETARIAT'S NOTE ON CORRECTION AND INTERPRETATION OF ARBITRAL AWARDS (1998 AND 2012 RULES)
- APPENDIX 13 SECRETARIAT'S CHECKLIST ON CORRECTION AND INTERPRETATION OF AWARDS (1998 AND 2012 RULES)
- APPENDIX 14 EFFECTIVE MANAGEMENT OF ARBITRATION: A GUIDE FOR IN-HOUSE COUNSEL AND OTHER PARTY REPRESENTATIVES (2014)
- APPENDIX 15 COMMISSION REPORT/SECOND EDITION - TECHNIQUES FOR CONTROLLING TIME AND COSTS IN ARBITRATION (2012)
- APPENDIX 16 COMMISSION REPORT - ARBITRATION INVOLVING STATES AND STATE ENTITIES UNDER THE ICC RULES OF ARBITRATION (2012)
- APPENDIX 17 COMMISSION REPORT - TECHNIQUES FOR MANAGING ELECTRONIC DOCUMENT PRODUCTION WHEN IT IS PERMITTED OR REQUIRED IN INTERNATIONAL ARBITRATION (2012)
- APPENDIX 18 COMMISSION REPORT - ISSUES FOR ARBITRATORS TO CONSIDER REGARDING EXPERTISE (2010)
- APPENDIX 19 ISSUES FOR EXPERTS ACTING UNDER THE ICC RULES FOR EXPERTISE OR THE ICC RULES OF ARBITRATION (2009)
- APPENDIX 20 RULES OF ICC AS APPOINTING AUTHORITY IN UNCITRAL OR OTHER AD HOC ARBITRATION PROCEEDINGS (1 JANUARY 2004)
- APPENDIX 21 ICC RULES FOR A PRE-ARBITRAL REFEREE PROCEDURE (1 JANUARY 1990)
- APPENDIX 22 PRE-ARBITRAL REFEREE'S STATEMENT OF ACCEPTANCE, AVAILABILITY AND INDEPENDENCE
- APPENDIX 23 ICC MEDIATION RULES (1 JANUARY 2014)
- APPENDIX 24 ICC MEDIATION CLAUSES (2014)
- APPENDIX 25 ICC EXPERT RULES (1 FEBRUARY 2015)
- APPENDIX 26 ICC EXPERT CLAUSES (2015)
- APPENDIX 27 ICC DOCDEX RULES (1 MAY 2015)
- APPENDIX 28 ICC DISPUTE BOARD RULES (1 OCTOBER 2015)
- APPENDIX 29 ICC DISPUTE BOARD CLAUSES (2015)
- INDEX AND TABLE OF FIGURES
- A. Alphabetical Index
- B. Table of Figures
- Back Cover
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