Conference on Rules for Institutional Arbitration and Mediation

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Transmission of the File to the Tribunal

Art. 37:

The Center shall transmit the file to each arbitrator as soon as the arbitrator is appointed.

Art. 10:

Subject to the provisions of Article 9, the Secretariat shall transmit the file to the Arbitrator as soon as it has received the Defendant’s Answer to the Request for Arbitration, at the latest upon the expiry of the time limits fixed in Articles [4 and 5] above for the filing of these documents.

[ ] = ICC Revision 1995: It is proposed to delete the text in brackets.

There is no particular provision, but see:

Art. 3:

1. […] a respondent shall file a statement of defense in writing with […] the administrator for transmittal to the tribunal when appointed.

There is no particular provision.

But see Art. 4 on the communication through the Registrar.

There is obviously no provision, since no institution administers these proceedings.

There is obviously no particular provision.

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General Powers of the Tribunal

Art. 38:

(a) Subject to Article 3, the Tribunal may conduct the arbitration in such manner as it considers appropriate.

(b) In all cases, the Tribunal shall ensure that the parties are treated with equality and that each party is given a fair opportunity to present its case.

(c) The Tribunal shall ensure that the arbitral procedure takes place with due expedition. It may, at the request of a party or on its own motion, extend in exceptional cases a period of time fixed by these Rules, by itself or agreed to by the parties. In urgent cases, such an extension may be granted by the presiding arbitrator alone.

Art. 11:

The rules governing the proceedings before the arbitrator shall be those resulting from these Rues and, where these Rules are silent, any rules which the parties (or failing them, the arbitrator) may settle, and whether or not reference is thereby made to a municipal procedural law to be applied to the arbitration.

Art. 14:

The arbitrator shall proceed within as short a time limit as possible to establish the facts of the case […].

Art. 16:

1. Subject to these rules, the tribunal may conduct the arbitration in whatever manner it considers appropriate, provided that the parties are treated with equality and that each party has the right to be heard and is given a fair opportunity to present its case.

Art. 5:

1. The parties may agree on the arbitral procedure, and are encouraged to do so.

2. In the absence of procedural rules agreed by the parties or contained herein, the Tribunal shall have the widest discretion allowed under such law as may be applicable to ensure the just, expeditious, economical, and final determination of the dispute.

3. In the case of a three-member tribunal the Chairman may, after consulting the other arbitrators, make procedural rulings alone.

Art. 13:

Unless […], the Tribunal shall have the power […] to: 1.(e) extend or abbreviate any time-limits provided by these Rules or by its directions; […]

Art. 15:

1. Subject to these Rules, the arbitral tribunal may conduct the arbitration in such manner as it considers appropriate, provided that the parties are treated with equality and that at any stage of the proceedings each party is given a full opportunity of presenting his case.

3. All documents or information supplied to the arbitral tribunal by one party shall at the same time be communicated by that party to the other party.

Art. 18:

The parties shall be treated with equality and each party shall be given a full opportunity of presenting his case.

Art. 19:

(1) Subject to the provisions of this Law, the parties are free to agree on the procedure to be followed by the arbitral tribunal in conducting the proceedings.

(2) Failing such agreement, the tribunal may, subject to the provisions of this Law, conduct the arbitration in such manner as it considers appropriate. […]

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Place of Arbitration

Art. 39:

(a) Unless otherwise agreed by the parties, the place of arbitration shall be decided by the Center, taking into consideration any observations of the parties and the circumstances of the arbitration.

(b) The Tribunal may, after consultation with the parties, conduct hearings at any place that it considers appropriate. It may deliberate wherever it deems appropriate.

(c) The award shall be deemed to have been made at the place of arbitration.

Art. 12:

The place of arbitration shall be fixed by the Court, unless agreed upon by the parties.

[ICC revision 1995: It is proposed to add the following two sentences: In the event that exceptional circumstances make arbitration impossible at the place so fixed or agreed, the Court may fix another place after consulting the parties. After consultation of the parties, the arbitrator may decide to hold hearings at any other place].

Art. 15:

At the request of one of the parties or if necessary on his own initiative, the arbitrator, giving reasonable notice, shall summon the parties to appear before him on the day and at the place appointed by him and shall so inform the Secretariat of the Court.

Art. 13:

1. If the parties disagree as to the place of arbitration, the place of arbitration may initially be determined by the administrator, subject to the power of the tribunal to determine finally the place of arbitration within sixty days after its constitution. All such determinations shall be made having regard for the contentions of the parties and the circumstances of the arbitration.

2. The tribunal may hold conferences or hear witnesses or inspect property or documents at any place it deems appropriate. The parties shall be given sufficient written notice to enable them to be present at any such proceedings.

Art. 7:

1. The parties may choose the place of arbitration. Failing such a choice, the place of arbitration shall be London, unless the Tribunal determines in view of all the circumstances of the case that another place is more appropriate.

2. The Tribunal may hold hearings and meetings anywhere convenient, subject to the provisions of Article 10.2, and provided that the award shall be made at the place of arbitration.

Art. 16:

1. Unless the parties have agreed upon the place where the arbitration is to be held, such place shall be determined by the arbitral tribunal, having regard to the circumstances of the arbitration.

2. The arbitral tribunal may determine the locale of the arbitration within the country agreed upon by the parties. It may hear witnesses and hold meetings for consultation among its members at any place it deems appropriate, having regard to the circumstances of the arbitration.

3. The arbitral tribunal may meet at any place it deems appropriate for the inspection of goods, other property or documents. The parties shall be given sufficient notice to enable them to be present at such inspection.

4. The award shall be made at the place of arbitration.

Art. 20:

(1) The parties are free to agree on the place of arbitration. Failing such agreement, the place of arbitration shall be determined by the arbitral tribunal having regard to the circumstances of the case, including the convenience of the parties.

(2) Notwithstanding the provisions of paragraph (1) of this article, the arbitral tribunal may, unless otherwise agreed by the parties, meet at any place it considers appropriate for consultation among its members, for hearing witnesses, experts or the parties, or for inspection of goods, other property or documents.

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Language of Arbitration

Art. 40:

(a) Unless otherwise agreed by the parties, the language of the arbitration shall be the language of the Arbitration Agreement, subject to the power of the Tribunal to determine otherwise, having regard to any observations of the parties and the circumstances of the arbitration.

(b) The Tribunal may order that any documents submitted in languages other than the language of arbitration be accompanied by a translation in whole or in part into the language of arbitration.

Art. 15:

3. The arbitrator shall determine the language or languages of the arbitration, due regard being paid to all the relevant circumstances and in particular to the language of the contract.

Art. 14:

If the parties have not agreed otherwise, the language(s) of the arbitration shall be that of the documents containing the arbitration agreement, subject to the power of the tribunal to determine otherwise based upon the contentions of the parties and the circumstances of the arbitration. The tribunal may order that any documents delivered in another language shall be accompanied by a translation into such language or languages.

Art. 8:

1. The language(s) of the arbitration shall be that of the document(s) containing the arbitration agreement, unless the parties have agreed otherwise.

2. If a document is drawn up in a language other than the language(s) of the arbitration, and no translation of such document is submitted by the party producing the document, the Tribunal, or if the Tribunal has not been appointed the Court, may order that party to submit a translation in a form to be determined by the Tribunal or the Court.

Art. 17:

1. Subject to an agreement by the parties, the arbitral tribunal shall, promptly after its appointment, determine the language or languages to be used in the proceedings. This determination shall apply to the statement of claim, the statement of defence, and any further written statements and, if oral hearings take place, to the language or languages to be used in such hearings.

2. The arbitral tribunal may order that any documents annexed to the statement of claim or statement of defence, and any supplementary documents or exhibits submitted in the course of the proceedings, delivered in their original language, shall be accompanied by a translation into the language or languages agreed upon by the parties or determined by the arbitral tribunal.

Art. 22:

(1) The parties are free to agree on the languages to be used in the arbitral proceedings. Failing such agreement, the arbitral tribunal shall determine the language or languages to b used in the proceedings. This agreement or determination, unless otherwise specified therein, shall apply to any written statement by a party, any hearing and any award, decision or other communication by the arbitral tribunal.

(2) The arbitral tribunal may order that any documentary evidence shall be accompanied by a translation into the language or languages agreed upon by the parties or determined by the arbitral tribunal.

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Statement of Claim

Art. 41:

(a) Unless the Statement of Claim accompanied the Request for Arbitration, the Claimant shall, within 30 days after receipt of notification from the Center of the establishment of the Tribunal, communicate its Statement of Claim, to the Respondent and to the Tribunal.

(b) The Statement of Claim shall contain a comprehensive statement of the facts and legal arguments supporting the claim, including a statement of the relief sought.

(c) The Statement of Claim shall, to as large an extent as possible, be accompanied by the documentary evidence upon which the Claimant relies, together with a schedule of such documents. Where the documentary evidence is especially voluminous, the Claimant may add a reference to further documents it is prepared to submit.

There is no corresponding provision, but see Art. 3.

There is no particular provision.

Art. 6:

1. Subject to any procedural rules agreed by the parties or determined by the Tribunal under Article 5, the written stage of the proceedings shall be as set out in this Article.

2. Within 30 days of receipt of notification from the Court of the appointment of the Tribunal, the Claimant shall send to the Registrar a Statement of Case setting out in sufficient detail the facts and any contentions of law on which it relies, and the relief claimed.

Art. 18:

1. Unless the statement of claim was contained in the notice of arbitration, within a period of time to be determined by the arbitral tribunal, the claimant shall communicate his statement of claim in writing to the respondent and to each of the arbitrators. A copy of the contract, and of the arbitration agreement if not contained in the contract, shall be annexed thereto.

2. The statement of claim shall include the following particulars:

(a) The names and addresses of the parties;

(b) A statement of the facts supporting the claim;

(c) The points at issue;

(d) The relief or remedy sought.

The claimant may annex to his statement of claim all documents he deems relevant or may add a reference to the documents or other evidence he will submit.

Art. 23:

(1) Within the period of time agreed by the parties or determined by the arbitral tribunal, the claimant shall state the facts supporting his claim, the points at issue and the relief or remedy sought, and the respondent shall state his defence in respect of these particulars, unless the parties have otherwise agreed as to the required elements of such statements. The parties may submit with their statements all documents they consider to be relevant or may add a reference to the documents or other evidence they will submit.

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Statement of Defense

Art. 42:

(a) The Respondent shall, within 30 days after receipt of the Statement of Claim or within 30 days after receipt of notification from the Center of the establishment of the Tribunal, whichever occurs later, communicate its Statement of Defense to the Claimant and to the Tribunal.

(b) The Statement of Defense shall reply to the particulars of the Statement of Claim required pursuant to Article 41(b). The Statement of Defense shall be accompanied by the corresponding documentary evidence described in Article 41(c).

(c) Any counter-claim or set-off by the Respondent shall be made or asserted in the Statement of Defense or, in exceptional circumstances, at a later stage in the arbitral proceedings if so determined by the Tribunal. Any such counter-claim or set-off shall contain the same particulars as those specified in Arbitral 41(b) and (c).

Art. 4:

There is no corresponding provision, but see Art. 4.

Art. 5:

(1) If the Defendant wishes to make a counter-claim, he shall file the same with the Secretariat, at the same time as his Answer as provided for in Article 4.

(2) It shall be open to the Claimant to file a Reply with the Secretariat within 30 days from the date when the Counter-claim was communicated to him.

Art. 3:

1. Within forty-five days after the date of the commencement of the arbitration, a respondent shall file a statement of defense in writing with the claimant and any other parties, and with the administrator for transmittal to the tribunal when appointed.

2. At the time a respondent submits its statement of defense, a respondent may make counter-claims or asserts set-offs as to any claim covered by the agreement to arbitrate, as to which the claimant shall within forty-five days file a statement of defense.

3. A respondent shall respond to the administrator, the claimant and other parties within forty-five days as to any proposals the claimant may have made as to the number of arbitrators, the place of the arbitration or the language(s) of the arbitration, except to the extent that the parties have previously agreed as to these matters.

Art. 6:

3. Within 40 days of receipt of the Statement of Case, the Respondent shall send to the Registrar a Statement of Defence stating in sufficient detail, which of the facts and contentions of law in the Statement of Case it admits or denies, on what grounds, and on what other facts and contentions of law it relies. Any counterclaims shall be submitted with the Statement of Defence in the same manner as claims are set out in the Statement of Case.

Art. 19:

1. Within a period of time to be determined by the arbitral tribunal, the respondent shall communicate his statement of defence in writing to the claimant and to each of the arbitrators.

2. The statement of defence shall reply to the particulars (b), (c) and (d) of the statement of claim (article 18, para. 2). The respondent may annex to his statement the documents on which he relies for his defence or may add a reference to the documents or other evidence he will submit.

3. In his statement of defence, or at a later stage in the arbitral proceedings if the arbitral tribunal decides that the delay was justified under the circumstances, the respondent may make a counter-claim arising out of the same contract or rely on a claim arising out of the same contract for the purpose of a set-off.

4. The provisions of article 18, paragraph 2, apply to a […].

Art. 23:

(1) Within the period of time agreed by the parties or determined by the arbitral tribunal, […] the respondent shall state his defence in respect of these particulars, unless the parties have otherwise agreed as to the required elements of such statements. The parties may submit with their statements all documents they consider to be relevant or may add a reference to the documents or other evidence they will submit.

compare further:

Art. 2(f):

Where a provision of this Law, other than in articles 25(a) and 32 (2)(a), refers to a claim, it also applies to a counter-claim, and where it refers to a defence, it also applies to a defence to such counter-claim.

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Further written Statements

Art. 43:

(a) In the event that a counter-claim or set-off has been made or asserted, the Claimant shall reply to the particulars thereof. Article 42(a) and (b) shall apply mutatis mutandis to such reply.

(b) The Tribunal may, in its discretion, allow or require further written statements.

There is no particular provision.

Art. 17:

The tribunal may decide whether any written statements, in addition to statements of claims and counterclaims and statements of defense, shall be required from the parties or may be presented by them, and shall fix the periods of time for submitting such statements.

Art. 6:

4. Within 40 days of receipt of the Statement of Defence, the Claimant may send to the Registrar a Statement of Reply which, where there are counterclaims, shall include a Defence to Counterclaims.

5. If the Statement of Reply contains a Defence to Counterclaims, the Respondent has a further 40 days to send to the Registrar a Statement of Reply regarding Counterclaims.

Art. 22:

The arbitral tribunal shall decide which further written statements, in addition to the statement of claim and the statement of defence, shall be required from the parties or may be presented by them and shall fix the periods of time for communicating such statements.

There is no particular provision.

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Amendments to Claims or Defense

Art. 44:

Subject to any contrary agreement by the parties, a party may amend or supplement its claim, counter-claim, defense or set-off during the course of the arbitral proceedings, unless the Tribunal considers it inappropriate to allow such amendment having regard to its nature or the delay in making it and to the provisions of Article 38 (b) and (c).

Art. 16:

The parties may make new claims or counter-claims before the arbitrator on condition that these remain within the limits fixed by the Terms of Reference provided for in Article 13 or that they are specified in a rider to that document, signed by the parties and communicated to the Court.

Art. 4:

During the arbitral proceedings, any party may amend or supplement its claim, counter-claim or defense, unless the tribunal considers it inappropriate to allow such amendment because of the party’s delay in making it or of prejudice to the other parties or any other circumstances. A claim or counter-claim may not be amended if the amendment would fall outside the scope of the agreement to arbitrate.

Art. 13:

1. Unless the parties at any time agree otherwise, and subject to any mandatory limitations of any applicable law, the Tribunal shall have the power, on the application of any party or of its own motion, but in either case only after giving the parties a proper opportunity to state their views, to:

(d) allow any party, upon such terms (as to costs and otherwise) as it shall determine, to amend claims or counterclaims; […].

Art. 20:

During the course of the arbitral proceedings either party may amend or supplement his claim or defence unless the arbitral tribunal considers it inappropriate to allow such amendment having regard to the delay in making it or prejudice to the other party or any other circumstances. However, a claim may not be amended in such a manner that the amended claim falls outside the scope of the arbitration clause or separate arbitration agreement.

Art. 23:

(2) Unless otherwise agreed by the parties, either party may amend or supplement his claim or defence during the course of the arbitral proceedings, unless the arbitral tribunal considers it inappropriate to allow such amendment having regard to the delay in making it.

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Communication between Parties and Tribunal

Art. 45:

Except as otherwise provided in these Rules or permitted by the Tribunal, no party or anyone acting on its behalf may have any ex parte communication with any arbitrator with respect to any matter of substance relating to the arbitration, it being understood that nothing in this paragraph shall prohibit ex parte communications which concern matters of a purely organizational nature, such as the physical facilities, place, date or time of the hearings.

There is no particular provision.

There is no particular provision.

There is no particular provision; see however Art. 4.

There is no particular provision.

There is no particular provision.

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Interim Measures of Protection; Security for Claims and Costs

Art. 46:

(a) At the request of a party, the Tribunal may issue any provisional orders or take other interim measures it deems necessary, including injunctions and measures for the conservation of goods which form part of the subject-matter in dispute, such as an order for their deposit with a third person or for the sale of perishable goods. The Tribunal may make the granting of such measures subject to appropriate security being furnished by the requesting party.

(b) At the request of a party, the Tribunal may, if it considers it to be required by exceptional circumstances, order the other party to provide security, in a form to be determined by the Tribunal, for the claim or counter-claim, as well as for costs referred to in Article 72.

(c) Measures and orders contemplated under this Article may take the form of an interim award.

(d) A request addressed by a party to a judicial authority for interim measures or for security for the claim or counter-claim, or for the implementation of any such measures or orders granted by the Tribunal, shall not be deemed incompatible with the Arbitration Agreement, or deemed to be a waiver of that Agreement.

Art. 8:

(5) Before the file is transmitted to the arbitrator, and in exceptional circumstances even thereafter, the parties shall be at liberty to apply to any competent judicial authority for interim or conservatory measures, and they shall not by so doing be held to infringe the agreement to arbitrate or to affect the relevant powers reserved to the arbitrator.

Any such application and any measures taken by the judicial authority must be notified without delay to the Secretariat or the Court of Arbitration. The Secretariat shall inform the arbitrator thereof.

[ICC Revision 1995: It is proposed to add the following Sub-Section: (6) Upon receipt of the file and at the request of a party, the arbitrator may order any interim or conservatory measure].

Art. 22:

1. At the request of any party, the tribunal may take whatever interim measures it deems necessary in respect of the subject-matter of the dispute, including measures for the conservation of the goods which are the subject-matter in dispute, such as ordering their deposit with a third person or the sale of perishable goods.

2. Such interim measures may be taken in the form of an interim award and the tribunal may require security for the costs of such measures.

3. A request for interim measures addressed by a party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

Art. 13:

1. Unless the parties at any time agree otherwise, and subject to any mandatory limitations of any applicable law, the Tribunal shall have the power, on the application of any party or of its own motion, but in either case only after giving the parties a proper opportunity to state their views, to:

(h) order the preservation, storage, sale or other disposal of any property or thing under the control of any party; […].

Art. 15:

2. The Tribunal shall have the power to order any party to provide security for the legal or other costs of any other party by way of deposit or bank guarantee or in any other manner the Tribunal thinks fit.

3. By agreeing to arbitration under these Rules the parties shall be taken to have agreed to apply only to the Tribunal, and not to any court of law or other judicial authority, for an order under Art. 15.1, or for an order for security for costs under Article 15.2.

4. Without prejudice to the right of any party to apply to a competent court for preaward conservatory measures (except those referred to in Article 15.1 and 15.2), the Tribunal shall also have the power to order any party to provide security for all or part of any amount in dispute in the arbitration.

5. In the event that orders under paragraphs 1, 2, and 4 of this Article are not complied with, the Tribunal may disregard claims or counterclaims by the noncomplying party, although it may proceed to determine claims or counterclaims by complying parties.

Art. 26:

1. At the request of either party, the arbitral tribunal may take any interim measures it deems necessary in respect of the subject-matter of the dispute, including measures for the conservation of the goods forming the subject-matter in dispute, such as ordering their deposit with a third person or the sale of perishable goods.

2. Such interim measures may be established in the form of an interim award. The arbitral tribunal shall be entitled to require security for the costs of such measures.

3. A request for interim measures addressed by any party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement.

Art. 17:

Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, order any party to take such interim measures of protection as the arbitral tribunal may consider necessary in respect of the subject-matter of the dispute. The arbitral tribunal may require any party to provide appropriate security in connection with such measure.

Art. 9:

It is not incompatible with an arbitration agreement for a party to request, before or during arbitral proceedings, from a court an interim measure of protection and for a court to grant such measure.

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Preparatory Conference

Art. 47:

The Tribunal may, in general following the submission of the Statement of Defense, conduct a preparatory conference with the parties for the purpose of organizing and scheduling the subsequent proceedings.

There is no particular provision.

There is no particular provision.

There is no particular provision.

There is no particular provision.

There is no particular provision.