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Copyright © International Chamber of Commerce (ICC). All rights reserved. ( Source of the document: ICC Digital Library )
References in the index are to chapter and paragraph numbers (e.g. 3-126: Chapter 3, paragraph 126).
A
Addendum
see Award
Additional party ............................................................................................. 3-126, 3-182, 3-289–3-321
claims by ................................................................................................................ 3-316–3-318
copies of documents for ......................................................................... 3-58
definitions ............................................................................................................. 3-46–3-47, 3-49
participation in constitution of arbitral tribunal ............... 3-467, 3-478–3-480
prima facie assessment of jurisdiction over ......................... 3-319–3-321
see also Request for Joinder
Administrative secretary ....................................................................... 3-1474
ADR
see Amicable dispute resolution
Advance on costs
see Costs
Amiable compositeur ................................................................................ 3-783–3-790, 3-855, 3-858, 4-7
Amicable dispute resolution (ADR) ............................................ 4-10
conduct ................................................................................................................... 4-66
confidentiality ................................................................................................... 4-18
consent to ............................................................................................................. 4-59
cost .............................................................................................................................. 4-17, 4-69–4-72
Request for ADR ............................................................................................. 4-55–4-57
settlement technique ................................................................................. 4-20–4-26
termination ........................................................................................................... 4-73
Amicus curiae .................................................................................................... 3-294–3-296
Amount in dispute ........................................................................................ 3-1348–3-1353
change in amount .......................................................................................... 3-895
costs scales .......................................................................................................... 3-1321–3-1322, 3-1354–3-1355, 3-1445,
3-1455, 3-1475
currency .................................................................................................................. 3-1353
factor in determining size of arbitral tribunal ..................... 3-440
notional amount .............................................................................................. 3-1445, 3-1476
partially quantified ....................................................................................... 3-1352, 3-1445
unquantified ........................................................................................................ 3-1350, 3-1445
Answer to Request for Arbitration .............................................. 2-3, 3-127–3-182
absence of ............................................................................................................ 3-201
amendment to .................................................................................................. 3-181
content ..................................................................................................................... 3-150–3-174
failure to submit .............................................................................................. 3-148, 3-201
submission ............................................................................................................ 3-131–3-149
timing ........................................................................................................................ 3-137–3-149
Answer to Request for Joinder ....................................................... 3-311–3-317
Applicable rules of law ............................................................................ 2-8, 3-744–3-782
choice-of-law clause ................................................................................... 3-750–3-751
content of the law .......................................................................................... 3-767–3-768
contractual terms .......................................................................................... 3-777, 3-782
determination by the arbitral tribunal ........................................ 3-753–3-758
domestic legal system .............................................................................. 3-747, 3-760–3-761
A continued
Applicable rules of law continued
law at place of arbitration
applicability .................................................................................................. 3-772
awards ................................................................................................................ 3-1155, 3-1186–3-1193, 3-1277–3-1278
confidentiality rules ............................................................................... 3-807
enforcement of orders ........................................................................ 3-825
interim relief .................................................................................................. 3-1037–3-1038
mandatory requirements ................................................................. 3-1182, 3-1210
recourse against award ..................................................................... 3-1253
standards of independence and impartiality ................ 3-560
time limits ........................................................................................................ 3-1231, 3-1269
mandatory law .................................................................................................. 3-771–3-776
non-national system of law .................................................................. 3-761, 3-763
scope ......................................................................................................................... 3-764
transnational commercial law ............................................................ 3-762
Arbitral tribunal
constitution .......................................................................................................... 2-9–2-15, 3-365–3-654
alternative procedures ....................................................................... 3-423
multiparty arbitration .......................................................................... 3-466–3-489
priority of party agreements ........................................................ 3-418
decisions on costs ......................................................................................... 3-1482–3-1496
orders
compliance .................................................................................................... 3-821–3-822
enforcement ................................................................................................. 3-823–3-825
president
allocation of fees ...................................................................................... 3-1462–3-1465
appointment ................................................................................................. 3-458, 3-465
nomination by co-arbitrators ....................................................... 3-458, 3-460–3-464
size ............................................................................................................................... 3-429–3-434
agreement by parties .......................................................................... 3-431–3-434
determination by Court ..................................................................... 3-438–3-440
suspension of work ...................................................................................... 3-1423
three-member tribunal ............................................................................. 3-442
alternative methods of constitution ....................................... 3-481–3-489
nomination of co-arbitrators ........................................................ 3-474–3-480
truncated tribunal .......................................................................................... 3-649–3-654
Arbitration agreement ............................................................................. 3-202–3-203
consolidation ...................................................................................................... 3-354–3-357
evidence of ........................................................................................................... 3-98–3-99, 3-172, 3-317, 3-335
constitution of arbitral tribunal ......................................................... 3-433, 3-461, 3-488
costs scales .......................................................................................................... 3-190
emergency arbitrator proceedings .............................................. 3-1097–3-1101
governing law .................................................................................................... 3-745
jurisdictional deficiency ........................................................................... 3-828
multiple arbitration agreements ...................................................... 3-100, 3-173, 3-240–3-256, 3-340–3-344
compatibility ................................................................................................ 3-243–3-247, 3-321
consolidation ............................................................................................... 3-353–3-357
non-signatories ................................................................................................ 3-233–3-235
operability ............................................................................................................. 3-424
parties ....................................................................................................................... 3-229
place of arbitration ....................................................................................... 3-678–3-683
prima facie assessment ............................................................................ 3-209–3-256
reference to ICC .............................................................................................. 3-222–3-227
separability .......................................................................................................... 3-281–3-286
signatories ............................................................................................................ 3-230–3-232
split clauses ......................................................................................................... 3-228
standard clauses ............................................................................................. 5-5–5-12
version of the Rules ..................................................................................... 3-185–3-189
Arbitrator
appointment ....................................................................................................... 3-396–3-397, 3-435, 3-519–3-545
definition .......................................................................................................... 3-366
direct appointment ................................................................................ 3-537–3-545
relevant factors ......................................................................................... 3-494–3-512
timing .................................................................................................................. 3-399
Arbitrator continued
availability ............................................................................................................. 3-380–3-384, 3-500, 3-568
challenge ................................................................................................................ 3-554–3-592
admissibility .................................................................................................. 3-578–3-584
bases .................................................................................................................... 3-562–3-569
decision on ..................................................................................................... 3-590
definition .......................................................................................................... 3-368
dilatory challenge .................................................................................... 3-574–3-576
form ...................................................................................................................... 3-559–3-561
reasons for decision on ...................................................................... 3-411–3-415
submission ..................................................................................................... 3-558
timing .................................................................................................................. 3-578–3-584
co-arbitrator ....................................................................................................... 3-446–3-457
allocation of fees ...................................................................................... 3-1462–1465
appointment ................................................................................................. 3-457
nomination ..................................................................................................... 3-103, 3-142–3-144, 3-446–3-456, 3-474–3-480
confirmation ....................................................................................................... 3-366, 3-399, 3-492, 3-515–3-518
by Secretary General ........................................................................... 3-515–3-518
consequences of non-confirmation ....................................... 3-513–3-514
timing .................................................................................................................. 3-493
curriculum vitae ............................................................................................... 3-394
death .......................................................................................................................... 3-597
delay ........................................................................................................................... 3-616–3-620, 3-624, 3-1122–3-1126, 3-1455–3-1457
expenses ................................................................................................................. see Costs
expertise ................................................................................................................. 3-502
fees .............................................................................................................................. see Costs
language skills ................................................................................................... 3-506–3-510, 3-567, 3-732, 3-741
legal qualifications ........................................................................................ 3-504–3-505
limitation of liability ..................................................................................... 3-1530–3-1536
nationality ............................................................................................................. 3-495–3-497, 3-499, 3-508, 3-526, 3-543,
3-546–3-553
nomination ........................................................................................................... 3-395, 3-435, 3-492
see also co-arbitrator, sole arbitrator
number of .............................................................................................................. 2-7, 2-10–2-12, 3-429–3-434
proposal of definition .......................................................................................................... 3-366
by ICC National Committees and Groups ........................ 3-524–3-529
removal .................................................................................................................... 3-611
de facto cause ............................................................................................. 3-615
de jure cause ................................................................................................ 3-614
replacement ........................................................................................................ 3-593–3-644
arbitrator’s fees ......................................................................................... 3-610
at parties’ request ................................................................................... 3-606–3-308
on Court’s initiative ................................................................................ 3-611–3-631
repetition of prior proceedings .................................................. 3-645–3-648
transmission of case file .................................................................... 3-644
residence ................................................................................................................ 3-498–3-499
resignation ............................................................................................................ 3-598–3-604, 3-617
sole arbitrator .................................................................................................... 3-442–3-445
nomination ..................................................................................................... 3-443–3-445
Award
additional award ............................................................................................. 3-1277
approval .................................................................................................................. 3-1205
award by consent ........................................................................................... 3-1161–3-1180, 3-1191, 4-51
agreement on allocation of costs ............................................. 3-1171
content .............................................................................................................. 3-1175–3-1178
enforceability ............................................................................................... 3-1166
partial award by consent .................................................................. 3-1179
timing .................................................................................................................. 3-1168–3-1170
certified copy ..................................................................................................... 3-1238–3-1239
confidentiality ................................................................................................... 3-1236
Award continued
correction and interpretation ............................................................. 3-1256–3-1303
addendum ...................................................................................................... 3-1258, 3-1273, 3-1288, 3-1291–3-1303
application by a party ......................................................................... 3-1265–3-1270
correction on arbitral tribunal’s initiative .......................... 3-1256–3-1264
costs ..................................................................................................................... 3-1279–3-1287, 3-1478
decision ............................................................................................................. 3-1291–1303
date ............................................................................................................................. 3-1159–3-1160
decision by president alone ................................................................. 3-1142
definition ................................................................................................................ 3-50, 3-1185–3-1190
dissenting opinion ......................................................................................... 3-1132, 3-1143–3-1148, 3-1213–3-1233
draft award
cost details ..................................................................................................... 3-1483
date of submission ................................................................................. 3-1022
timeliness ........................................................................................................ 3-800, 3-1022–3-1023
see also scrutiny
drafting .................................................................................................................... 3-741, 3-851, 3-1022, 3-1138, 3-1196–3-1198
award by consent .................................................................................... 3-1174–3-1177
enforceability ..................................................................................................... 3-819
enforcement ....................................................................................................... 3-1221–3-1224
assistance with ........................................................................................... 3-1245–3-1248
governing law .............................................................................................. 3-745
final award ............................................................................................................ 3-1191
decisions on costs ................................................................................... 3-1485
time limit .......................................................................................................... 3-1107–3-1131
ICC Award Checklist .................................................................................... 3-661, 3-1195–3-1197, 3-1209
interim award ..................................................................................................... 3-1191
language ................................................................................................................. 3-1200
nationality ............................................................................................................. 3-675, 3-1157
originals ................................................................................................................... 3-1228, 3-1243
partial award ...................................................................................................... 3-1191
place ........................................................................................................................... 3-1155–3-1158
publication ............................................................................................................ 3-1236
majority decision ............................................................................................ 3-1132
reasons ..................................................................................................................... 3-1150–3-1152
remission ................................................................................................................ 3-1304–3-1314
revision ..................................................................................................................... 2-27, 3-1212, 3-1214
scrutiny .................................................................................................................... 2-26, 3-18, 3-739, 3-1181–3-1220
decision ............................................................................................................. 3-1205–3-1206
dissenting opinion ................................................................................... 3-1144–3-1146
informal ............................................................................................................. 3-755
process .............................................................................................................. 3-1198–3-1204
timeframe ........................................................................................................ 3-1217–3-1218
setting-aside ....................................................................................................... 3-819, 3-1222
waiver of recourse against award .................................................. 3-1252–3-1255
B
Bifurcation ........................................................................................................... 3-264, 3-923, 3-1127–3-1129
procedural timetable .................................................................................. 3-933, 3-1128
Bilateral investment treaties .............................................................. 3-779
C
Calderbank letter .......................................................................................... 3-1488
Case management
case management conference .......................................................... 2-20, 3-661, 3-712, 3-912–3-923, 3-934–3-939,
3-1007
case management techniques ........................................................... 2-20–2-21, 3-921–3-923
expeditious and cost-effective conduct .................................. 2-22, 3-795–3-797, 3-992
duty ....................................................................................................................... 3-175, 3-718, 3-990
procedural measures ........................................................................... 3-801–3-804
sanctions .......................................................................................................... 3-798–3-800
use of decisions on costs ................................................................. 3-1495
warnings to arbitrators ....................................................................... 3-624
Challenge
see Arbitrator
Choice of law ..................................................................................................... 3-759–3-763
transnational commercial law ............................................................ 3-761–3-762
Claim
cross-claim ........................................................................................................... 3-48, 3-279, 3-326, 3-1344
definition ................................................................................................................ 3-48
multiparty arbitration ................................................................................ 3-322–3-339
new claim ............................................................................................................... 2-19
prior to Terms of Reference ........................................................... 3-892
after Terms of Reference .................................................................. 3-893–3-911
quantified .............................................................................................................. 3-844
reintroduction of ............................................................................................. 3-276
set of claims ........................................................................................................ 3-1397–3-1398
unquantified ........................................................................................................ 3-844
Closing of proceedings ........................................................................... 2-23–2-24, 3-712, 3-1018, 3-1024–3-1027
Commencement of arbitration ........................................................ 3-123–3-124, 3-310
Communications ............................................................................................ 3-51–3-74
date ............................................................................................................................. 3-69–3-74
hard copies .......................................................................................................... 3-57–3-59
Competence-competence ................................................................... 3-259
Conciliation ......................................................................................................... 1-1, 4-23
Confidentiality
parties’ agreements on ............................................................................ 3-810
orders ........................................................................................................................ 3-805–3-809
Conflict of interest ....................................................................................... 3-390, 3-403
IBA Guidelines on Conflicts of Interest in
International Arbitration .........................................................................3-372, 3-374
Conflict of laws ................................................................................................ 3-756–3-757
Conservatory and interim measures .......................................... 3-1032–3-1050
enforcement ....................................................................................................... 3-1044–3-1045
ex parte interim relief ................................................................................. 3-1040
form: award or order ................................................................................... 3-1041
ordered by arbitral tribunal .................................................................. 3-1032–3-1045
ordered by judicial authorities .......................................................... 3-1046–3-1050
security for costs ............................................................................................ 3-1036
types of measures ......................................................................................... 3-1036
see also Emergency arbitrator
Consolidation .................................................................................................... 2-7, 3-347–3-364
case reference number ............................................................................. 3-362
Court decisions ................................................................................................ 3-18
Court discretion .............................................................................................. 3-358
request ..................................................................................................................... 3-351
requirements ...................................................................................................... 3-351–3-357
GENERAL INDEX 495
C continued
Contact information
additional party ............................................................................................... 3-315
case information sheet ............................................................................. 3-661
claimant ................................................................................................................... 3-93
inaccurate .............................................................................................................. 3-117
party representatives ................................................................................. 3-66, 3-155, 3-315, 3-830, 3-840
respondent ........................................................................................................... 3-154
Secretariat ............................................................................................................ 3-109, 3-133
verification in Terms of Reference ................................................. 3-842
Costs
advance on costs ........................................................................................... 2-7, 3-1317, 3-1320, 3-1325, 3-1340–3-1367
additional advance on costs ......................................................... 3-1281
allocation of .................................................................................................. 3-1320, 3-1383, 3-1391–3-1400
awards ordering payment of ........................................................ 3-1412
calculation of ............................................................................................... 3-1347–3-1355
failure to pay ................................................................................................ 3-1325, 3-1362–3-1365, 3-1386, 3-1416–3-1433
global advance on costs ................................................................... 3-1368
multiparty arbitrations ....................................................................... 3-1380–3-1400
multiple advances on costs ............................................................ 3-1388–3-1390
payment ............................................................................................................ 3-657, 3-1233, 3-1356–3-1366
payment by bank guarantee ......................................................... 3-1360–3-1361
payment by substitution ................................................................... 3-1325, 3-1360, 3-1407–3-1411
readjustment of ......................................................................................... 3-1320, 3-1235, 3-1325, 3-1367, 3-1401–3-1406
reimbursement of excess ................................................................. 3-1449, 3-1505
separate advances on costs .......................................................... 3-1368–3-1378
set-off ................................................................................................................. 3-1434–3-1437
timing .................................................................................................................. 3-1344–3-1345
advance payments ........................................................................................ 3-1317
allocation of ......................................................................................................... 3-1383, 3-1391–3-1400, 3-1487–3-1488
arbitral tribunal’s decisions on costs ........................................... 3-1482–3-1496
allocation of costs ................................................................................... 2-29, 3-1487–3-1488
during arbitration .................................................................................... 3-1494–3-1495
parties’ legal costs .................................................................................. 3-1489–3-1493
scope of ............................................................................................................ 3-1483
special procedures to determine costs .............................. 3-1488
timing .................................................................................................................. 3-1485
upon termination of proceedings ............................................ 3-1506
arbitrators’ fees ................................................................................................ 3-1316, 3-1354, 3-1450–3-1469
advances on fees ..................................................................................... 3-1466–3-1467
allocation within three-member tribunals ....................... 3-1462–3-1465
hourly rates .................................................................................................... 3-1460–3-1461
use to encourage efficient conductof proceedings ...........................................................................................3-1455
payment ............................................................................................................ 2-30, 3-1468
time of fixing ................................................................................................ 3-1452
VAT ........................................................................................................................ 3-1469
arbitrators’ expenses .................................................................................. 3-1470–3-1474
cost calculator .................................................................................................. 3-1355
costs of the arbitration
items covered .............................................................................................. 3-1442
predictability ............................................................................................... 3-1323
recorded in award ................................................................................... 2-29, 3-1175, 3-1191
total amount ................................................................................................. 3-1470
costs scales .......................................................................................................... 3-1321–3-1322, 3-1445–3-1447
advance on costs ..................................................................................... 3-1320, 3-1347, 3-1354
applicable version ................................................................................... 3-190, 3-1447
arbitrators’ fees ......................................................................................... 3-1316, 3-1321, 3-1354, 3-1443, 3-1455
currency ............................................................................................................ 3-1353, 3-1448
derogations from ..................................................................................... 3-1322, 3-1461, 3-1463
ICC administrative expenses ......................................................... 3-1316, 3-1321, 3-1354, 3-1443, 3-1475–3-1476
multiple advances on costs ............................................................ 3-1390
partially quantified amount in dispute ................................ 3-1352
separate advances on costs .......................................................... 3-1368, 3-1372
currency .................................................................................................................. 3-1336, 3-1353, 3-1448, 3-1473
filing fee .................................................................................................................. 2-2, 2-5, 3-86, 3-120, 3-298, 3-1317–3-1319
Costs continued
fixed by Court .................................................................................................... 2-29, 3-1443–3-1481
arbitrators’ expenses ............................................................................ 3-1470–3-1474
arbitrators’ fees ......................................................................................... 3-1450–3-1465
ICC administrative expenses ......................................................... 3-1475–3-1480
upon termination of proceedings ............................................ 3-1500–3-1504
ICC administrative expenses ............................................................... 3-1316, 3-1354, 3-1475–3-1481
abeyance fee ................................................................................................ 3-1479
VAT ........................................................................................................................ 3-1481
legal and other costs .................................................................................. 3-1489–3-1493
provisional advance ..................................................................................... 2-4, 3-1317–3-1319, 3-1325, 3-1326–3-1339
calculation ...................................................................................................... 3-1332–3-1335
failure to pay ................................................................................................ 3-1338
payment ............................................................................................................ 3-1337
readjustment ................................................................................................ 3-1339
upon deemed withdrawal ...................................................................... 3-1433
upon early termination ............................................................................. 2-29, 3-1180, 3-1497–3-1506
use to encourage efficiency ................................................................ 3-1455, 3-1488, 3-1495–3-1496
Counterclaims ................................................................................................... 3-167–3-175
Court .......................................................................................................................... 3-1–3-6, 3-13–3-19
Bureau ...................................................................................................................... 3-16
committee sessions ..................................................................................... 3-32–3-34, 3-590
decision making .............................................................................................. 3-25–3-28, 3-37–3-44
finality of decisions ................................................................................ 3-406–3-408
reasons for decisions ........................................................................... 3-37–3-38, 3-409–3-415
reconsideration of decisions ......................................................... 3-39
direct appointment of arbitrators .................................................. 3-531, 3-537–3-545
exclusive administration of the Rules ......................................... 3-192–3-195
functions ................................................................................................................ 3-2, 3-17–3-19
Internal Rules ..................................................................................................... 3-13
languages .............................................................................................................. 3-739
members ................................................................................................................ 3-14
plenary sessions .............................................................................................. 3-29–3-31, 3-590
rapporteur ............................................................................................................. 3-30, 3-44
Statutes ................................................................................................................... 3-3, 3-13
Vice-Presidents ............................................................................................... 3-16
see also President of the Court
D
Deliberations ..................................................................................................... 3-1136–3-1140
location .................................................................................................................... 3-704–3-708
Deputy Secretary General .................................................................... 3-23
certified copies of awards ............................................................... 3-1238
confirmation of arbitrators ............................................................. 3-515
fixing of provisional advance ........................................................ 3-1328
participation in direct appointment of arbitrators ... 3-545
Disclosure ............................................................................................................. 3-369, 3-376–3-389, 3-572
future conficts of interest ...................................................................... 3-403
incomplete ............................................................................................................ 3-393
ongoing ................................................................................................................... 3-400–3-403
Dispute boards ................................................................................................ 4-36–4-39
Dissenting opinion
DOCDEX (Documentary Instruments Dispute
Resolution Expertise) ................................................................................4-40–4-42
Dutco ......................................................................................................................... 3-472, 3-484
E
Emergency arbitrator proceedings ............................................. 3-1051–3-1106
application for Emergency Measures ......................................... 3-1056, 3-1058, 3-1059–3-1079
content .............................................................................................................. 3-1067–3-1078
form ...................................................................................................................... 3-1066
submission ..................................................................................................... 3-1062–3-1065
costs ........................................................................................................................... 3-1056
emergency arbitrator
appointment ................................................................................................. 3-1056, 3-1058
challenge ......................................................................................................... 3-1056
Emergency Arbitrator Provisions
applicability .................................................................................................. 3-1055, 3-1095–3-1103
definition .......................................................................................................... 3-1054
opt-out ............................................................................................................... 3-1055, 3-1101–3-1102
order ........................................................................................................................... 3-1056, 3-1058, 3-1080–3-1087
enforcement ................................................................................................. 3-1086
modification .................................................................................................. 3-1090–3-1091
place ........................................................................................................................... 3-1056
Evidence ................................................................................................................. 3-943
adverse inference .......................................................................................... 3-982
documentary evidence ............................................................................ 3-923, 3-947–3-951
electronic documents ................................................................................ 3-951
evidence in chief ............................................................................................. 3-965
factual evidence .............................................................................................. 3-946
IBA Rules on the Taking of Evidence in International Arbitration ...................................................................3-727, 3-945, 3-948, 3-976, 3-982
witness evidence ............................................................................................ 3-963–3-966
Ex aequo et bono ........................................................................................... 3-783, 3-855, 4-7
Experts .................................................................................................................... 3-967–3-976
additional evidence ...................................................................................... 3-977–3-982
costs ........................................................................................................................... 3-1316
engaged by arbitral tribunal ................................................................ 3-971
engaged by parties ...................................................................................... 3-970
terms of reference ......................................................................................... 3-974
see ICC International Centre for Expertise
Extension of time limits
Answer to Request for Arbitration ................................................ 3-139–3-143, 3-145–3-147
Answer to Request for Joinder ......................................................... 3-313
Request for Joinder ..................................................................................... 3-307
final award ............................................................................................................ 3-1114–3-1131
order of emergency arbitrator .......................................................... 3-1058
parties’ agreements on ............................................................................ 3-1514, 3-1516–3-1518
Terms of Reference ...................................................................................... 3-872–3-875
Request for Arbitration ............................................................................ 3-1063
F
Fast-track arbitration ................................................................................ 3-35, 3-464, 3-1511
Filing fee
G
General Counsel ............................................................................................. 3-23
Group
see ICC National Committees and Groups
Guide to National Rules of Procedure for Recognition and Enforcement of New York Convention Awards .....................................................................................3-1241, 3-1251
H
Hard copies ......................................................................................................... 3-52, 3-57–3-59
Answer ..................................................................................................................... 3-134
Answer to Request for Joinder ......................................................... 3-312
claims in multiparty arbitration ........................................................ 3-332
application for Emergency Measures ......................................... 3-1065
Request for ADR ............................................................................................. 4-57
Request for Arbitration ............................................................................ 3-86
requests under Expertise Rules ....................................................... 4-75
Request for Joinder ..................................................................................... 3-299
Hearings ................................................................................................................. 3-952–3-960
absence of a party ........................................................................................ 3-997–3-1002
attendance of representatives .......................................................... 3-1015–3-1017
attendance of third parties ................................................................... 3-1013–3-1014
due process ......................................................................................................... 3-1000
location .................................................................................................................... 3-693–3-703, 3-993–3-995
no hearing ............................................................................................................. 3-983–3-986
notice of .................................................................................................................. 3-996
planning a hearing ........................................................................................ 3-989
procedure .............................................................................................................. 3-1005–3-1012
rescheduling the hearing ........................................................................ 3-1000
telephone/video conference .............................................................. 3-701, 3-986
I
ICC (International Chamber of Commerce) ........................ 3-7
Executive Board .............................................................................................. 3-8
governance .......................................................................................................... 3-8–3-9
National Committees and Groups .................................................. 3-10–3-12, 3-521
composition and operation ............................................................ 3-534–3-536
proposal of arbitrators ....................................................................... 2-14, 3-12, 3-396, 3-521–3-530, 3-532–3-533
proposal of Court members .......................................................... 3-14
proposal of experts ............................................................................... 4-77
proposal of neutrals .............................................................................. 4-63
World Council .................................................................................................... 3-8
ICC Commission on Arbitration
Task Force on Arbitration Involving 
States or State Entities .............................................................................3-410, 3-539
see also Techniques for Controlling Time and Costs in Arbitration; Managing E-Document Production; Guide to National Rules of Procedure for Recognition and Enforcement of New York Convention Awards
ICC Hearing Centre ...................................................................................... 3-661, 3-703
ICC International Centre for ADR .................................................. 3-9, 3-923, 4-4
ICC International Centre for Expertise .................................... 3-968, 4-4
administration of expertise proceedings ................................ 4-33–4-34, 4-79–82
appointment of experts ........................................................................... 4-31, 4-76–4-78
costs ........................................................................................................................... 4-83–4-84
proposal of experts ...................................................................................... 4-30, 4-76–4-78
requests .................................................................................................................. 4-75
ICC International Court of Arbitration
see Court
ICC Rules of Arbitration
applicable version of the Rules ......................................................... 3-183–3-190, 3-859
flexibility ................................................................................................................. 2-1, 3-709, 3-723
fundamental features ................................................................................. 3-420
history ....................................................................................................................... 1-3
scope of application .................................................................................... 3-2
Impartiality arbitrator ................................................................................................................ 3-369–3-375, 3-391–3-392, 3-563–3-566, 3-817
emergency arbitrator ................................................................................. 3-1056, 3-1092
Independence
arbitrator ................................................................................................................ 3-369–3-375, 3-391–3-392, 3-562
emergency arbitrator ................................................................................. 3-1056
continued
Interest
claims for ............................................................................................................... 3-901, 3-1349
exclusion from amount in dispute .................................................. 3-1349
governing law .................................................................................................... 3-764
on awards .............................................................................................................. 3-1231
pre-award interest ........................................................................................ 3-1491
Interim relief
see Conservatory and interim measures
Investor-state disputes ............................................................................ 3-2
Iura novit curia ................................................................................................. 3-769
J
Joinder ..................................................................................................................... 2-5, 3-289–3-321
see Request for Joinder
Jurisdiction, ICC arbitral ........................................................................ 3-257–3-267
decision by arbitral tribunal ................................................................. 3-257–3-267
partial award ................................................................................................ 3-265, 3-1191, 3-1495
decision by state court ............................................................................. 3-268–3-273
jurisdictional objections .......................................................................... 2-7, 3-165–3-166, 3-197, 3-199–3-207
meaning .................................................................................................................. 3-196
over new claim .................................................................................................. 3-909
prima facie assessment by Court ................................................... 2-7, 3-209–3-256
identification of parties ...................................................................... 3-229–3-235
joinder ................................................................................................................ 3-292
multiple arbitration agreements ............................................... 3-240–3-249
multiple parties .......................................................................................... 3-236–3-239
multiple parties and multiple 
arbitration agreements ......................................................................3-253–3-256
possible decisions ................................................................................... 3-217, 3-239, 3-250–3-252
reference to arbitration ...................................................................... 3-221
reference to institution ....................................................................... 3-222–3-228
screening by Secretary General ...................................................... 3-196–3-208
L
Language
arbitrators’ language abilities ............................................................ 3-731
of testimony ........................................................................................................ 3-733, 3-743
of arbitration ....................................................................................................... 2-8, 3-728–3-743
default language ...................................................................................... 3-738
determination by arbitral tribunal ............................................ 3-734–3-738
multiple languages ................................................................................. 3-741–3-742
parties’ agreement on ......................................................................... 3-730
of award .................................................................................................................. 3-1200
of contract ............................................................................................................ 3-732
of Terms of Reference ............................................................................... 3-734, 3-837
used by Court and Secretariat .......................................................... 3-739
Lex arbitri .............................................................................................................. 3-674, 3-745
Lex mercatoria ................................................................................................. 3-761
Liability
insurance ................................................................................................................ 3-1536
limitation of .......................................................................................................... 3-1530–3-1536
M
Managing Counsel ........................................................................................ 3-23
Managing E-Document Production ............................................. 3-951
Mediation .............................................................................................................. 4-22
Meetings
deliberations ....................................................................................................... 3-705–3-707, 3-1138
emergency arbitrator proceedings .............................................. 3-1056
expenses ................................................................................................................. 3-1490
impossible or undesirable ...................................................................... 3-937
place of .................................................................................................................... 3-690, 3-696–3-700, 3-702
presence of parties ....................................................................................... 3-695
procedural timetable .................................................................................. 3-927
Mini-trial ................................................................................................................. 4-25
Model clauses .................................................................................................... 5-5–5-12
Multicontract arbitrations ..................................................................... 3-211, 3-216, 3-240, 3-340–3-346
Multiparty arbitrations ............................................................................. 3-216, 3-287–3-288, 3-289–3-339
claims ........................................................................................................................ 3-322–3-339
prima facie assessment ............................................................................ 3-236, 3-328
Multiple arbitration agreements .................................................... 3-240–3-256
Multi-tiered dispute resolution ........................................................ 4-47–4-48
N
National Committees
see ICC
Neutral
amicable dispute resolution (ADR)
selection ........................................................................................................... 4-60
skills ...................................................................................................................... 4-64
Neutral evaluation ........................................................................................ 4-24
New York Convention (United Nations Convention
on the Recognition and Enforcement of Foreign
Arbitral Awards) .............................................................................................3-1186, 3-1223–3-1224, 3-1251
award by consent ........................................................................................... 3-1166
compliance with awards .......................................................................... 3-1251
copies of awards ............................................................................................. 3-1238
country of place of arbitration party to .................................... 3-675, 3-686
interim measures ............................................................................................ 3-1041
notice of arbitration proceedings ................................................... 3-74
notification of awards ................................................................................ 3-1241
place of award .................................................................................................. 3-1155
procedural fairness ...................................................................................... 3-814, 3-819, 3-1511
Non-participating party
see Party
Notification ......................................................................................................... 3-24, 3-51–3-74
addenda and decisions ............................................................................ 3-1303
address .................................................................................................................... 3-66–3-67
Answer ..................................................................................................................... 2-3, 3-176
application for correction or interpretation of award....................................................................................................................3-1270
application for Emergency Measures ......................................... 3-1076
appointment of an arbitrator .............................................................. 3-580
approval of Terms of Reference ....................................................... 3-885
Article 6(3) decisions ................................................................................. 3-208
Article 6(4) decisions ................................................................................. 3-270
award ......................................................................................................................... 2-28, 3-1148, 3-1164, 3-1216, 3-1226–3-1236 3-1240–3-1241
N continued
Notification continued
challenge ................................................................................................................ 3-587
claims between multiple parties ...................................................... 3-336
decisions on challenges ........................................................................... 3-591
decisions on extending time limit for final award ........... 3-1131
decisions on extending time limit for Terms of Reference ........................................................................................................
3-876
replacement of arbitrator ....................................................................... 3-628
Request for Arbitration ............................................................................ 2-3, 3-84, 3-115–3-117
Request for Joinder ..................................................................................... 2-5, 3-297, 3-308–3-309
O
Orders
by emergency arbitrator ......................................................................... 3-1085–3-1087
compliance with .............................................................................................. 3-801, 3-821–3-822, 3-1529
enforcement of ................................................................................................. 3-823–3-825
form ............................................................................................................................. 3-726
for interim payment ..................................................................................... 3-1036
for payment of advance on costs ................................................... 3-1414
for payment of costs of the arbitration ..................................... 3-1483, 3-1487
on confidentiality ........................................................................................... 3-805–3-809, 3-813
on language ......................................................................................................... 3-741
orders vs awards ............................................................................................. 3-50, 3-265–3-266, 3-1041, 3-1185–3-1190
procedural orders .......................................................................................... 3-726, 3-866, 3-1137
protective orders ............................................................................................ 3-811–3-813
P
Party
definition ................................................................................................................ 3-49
non-participation ........................................................................................... 3-278–3-280, 3-1528
case management conference .................................................... 3-920
emergency arbitrator proceedings ........................................ 3-1058
hearing ............................................................................................................... 3-997
jurisdiction ...................................................................................................... 3-262
Terms of Reference ................................................................................ 3-882
waiver of rights .......................................................................................... 3-1528
party agreements allocation of costs ................................................................................... 3-1399
constitution of the arbitral tribunal ........................................ 3-418–3-424, 3-434
language .......................................................................................................... 3-730
place of arbitration ................................................................................. 3-678
party representative attendance at case management conference .............. 3-917
scope of mandate .................................................................................... 3-669
state parties ........................................................................................................ 3-439, 3-539, 3-1167
see also Additional party, Contact information
Place of the arbitration ............................................................................ 2-7, 3-670–3-692
absence of agreement .............................................................................. 3-684–3-687
agreement on .................................................................................................... 3-678–3-683
change of ............................................................................................................... 3-690–3-692
city ............................................................................................................................... 3-676–3-677
confirmation of ................................................................................................. 3-688
provisional fixing of ...................................................................................... 3-689
reference to ......................................................................................................... 3-681
significance .......................................................................................................... 3-673–3-675
Power of attorney
see Proof of authority
President of the Court .............................................................................. 3-6, 3-8
appointing authority ................................................................................... 3-423
appointment of emergency arbitrator ....................................... 3-1056
certification for direct appointments ......................................... 3-543
committee president .................................................................................. 3-33
decision-making in emergency arbitrator
proceedings ........................................................................................................3-1056
election .................................................................................................................... 3-15
scrutiny of awards ......................................................................................... 3-1517
status ......................................................................................................................... 3-15
urgent decisions .............................................................................................. 3-35
warnings to arbitrators ............................................................................. 3-624
Prima facie assessment
see Jurisdiction
Procedural fairness ...................................................................................... 2-22, 3-814, 3-817–3-819
Procedural law ................................................................................................. 3-745
mandatory law .................................................................................................. 3-772
Procedural order
see Orders
Procedural rules
hierarchy ................................................................................................................. 3-711
mandatory rules of procedure .......................................................... 3-722
national rules of procedure .................................................................. 3-721
party agreements on .................................................................................. 3-715–3-720
timing .................................................................................................................. 3-716–3-717
procedural decisions by arbitral tribunal ................................ 3-724–3-726
Procedural timetable ................................................................................. 2-20, 3-661, 3-712, 3-724, 3-924–3-929, 3-1107
modification ........................................................................................................ 3-932
Proof of authority ......................................................................................... 3-663–3-669
R
Reopening of proceedings .................................................................. 3-1025, 3-1028–3-1029, 3-1307–3-1314
Reply to counterclaims ............................................................................ 3-179–3-180
Request for Arbitration ........................................................................... 2-2, 3-80–3-126
amendments to ................................................................................................ 3-125
content ..................................................................................................................... 3-90–3-106
copies ........................................................................................................................ 3-86
form ............................................................................................................................. 3-88
joint Requests ................................................................................................... 3-83
language ................................................................................................................. 3-89
notification ........................................................................................................... 3-115–3-117
receipt ....................................................................................................................... 3-108–3-110
submission ............................................................................................................ 2-2, 3-82–3-89
Request for Joinder .................................................................................... 2-5, 3-290–3-309
content ..................................................................................................................... 3-301
form ............................................................................................................................. 3-300
notification ........................................................................................................... 3-308–3-309
submission ............................................................................................................ 3-293–3-307
time limit ................................................................................................................. 3-304–3-307
Rules of law governing the merits
see Applicable law
GENERAL INDEX 503
S
Scrutiny
Seat
see Place of the arbitration
Secretariat ............................................................................................................ 3-20–3-24
case management team .......................................................................... 3-21, 3-113–3-114
Counsel .................................................................................................................... 3-21
attendance at Court sessions ...................................................... 3-41
review of awards ...................................................................................... 3-1199, 3-1214
submission of awards to Court ................................................... 3-1201–3-1202
functions ................................................................................................................ 3-24, 3-40–3-44
languages .............................................................................................................. 3-739–3-740
management ...................................................................................................... 3-23
advance on costs ..................................................................................... 3-1280
case assignment ....................................................................................... 3-113
notification of awards .......................................................................... 3-1230
replacement of arbitrators .............................................................. 3-626, 3-1125
scrutiny of awards ................................................................................... 3-1201–3-1202
Note to the Arbitral Tribunal on the Conduct
of the Arbitration ...........................................................................................3-1470–3-1471
Note on Correction and Interpretation of Arbitral Awards .........................................................................................3-1277
recommendations to Court .................................................................. 3-41
Secretary General ......................................................................................... 3-5, 3-9, 3-23–3-24
certified copies of awards ..................................................................... 3-1238
confirmation of arbitrators ................................................................... 3-515–3-518
jurisdictional screening (Article 6(3)) ........................................ 3-196–3-208
participation in direct appointment of arbitrators ......... 3-545
power to direct arbitral tribunal to suspend its work ....................................................................................................................3-1416–3-1430
power to fix provisional advance .................................................... 3-1328–3-1335
Security
for interim or conservatory measure .......................................... 3-1042
Settlement ........................................................................................................... 3-923, 3-1163, 4-50–4-51
costs ........................................................................................................................... 3-1180, 3-1497–3-1506
Split proceedings
see Bifurcaton
State courts
anti-arbitration injunction ...................................................................... 3-1431
conservatory and interim measures ............................................ 3-1039, 3-1046–3-1050, 3-1052, 3-1103, 3-1105–3-1106, 3-1491
constitution of arbitral tribunal ......................................................... 3-488
contestation of challenge decisions ............................................ 3-414
decision on arbitral jurisdiction ........................................................ 3-268–3-273
enforcement of awards ............................................................................ 3-74, 3-388, 3-1150, 3-1222–3-1224, 3-1537
enforcement of orders .............................................................................. 3-809, 3-1085–3-1086
place of arbitration ....................................................................................... 3-700
recognition of awards ................................................................................ 3-1150, 3-1222
recovery of costs ............................................................................................ 3-1488
remission of awards ..................................................................................... 3-1304, 3-1309–3-1314
setting aside/annulment of awards .............................................. 3-1222, 3-1253
supportive measures .................................................................................. 3-745
State entities
as parties ................................................................................................................ 3-439, 3-539
nationality ............................................................................................................. 3-553
see also ICC Commission on Arbitration
Statement of acceptance, availability, impartialityand independence .......................................................................................
2-15, 3-377, 3-381–3-384
amendment of ................................................................................................... 3-391
arbitrators nominated for confirmation .................................... 3-395, 3-399
arbitrators proposed for appointment ...................................... 3-396–3-397
circulation .............................................................................................................. 3-533
commitment to adhere to time limits ......................................... 3-417
future conflicts of interest ..................................................................... 3-403
qualified .................................................................................................................. 3-394
timing ........................................................................................................................ 3-493
unqualified ............................................................................................................ 3-394
Submissions
additional ............................................................................................................... 3-1030
last authorized .................................................................................................. 3-1021
oral ............................................................................................................................... 3-26, 3-561
post-hearing ....................................................................................................... 3-1120
unsolicited ............................................................................................................ 3-1031
T
Techniques for Controlling Time and Costs
in Arbitration ......................................................................................................3-803, 3-921, 3-923, 3-1009, 3-1107
Teleconference
Court sessions ................................................................................................... 3-29
deliberations ....................................................................................................... 3-1138
hearings .................................................................................................................. 3-701, 3-958, 3-986, 3-993
Terms of Reference ...................................................................................... 3-832–3-833
Terms of Reference ..................................................................................... 2-17–2-18, 3-661, 3-712, 3-826–3-889
amendments to ................................................................................................ 3-877–3-879
approval by the Court ............................................................................... 3-880–3-889
certified copies ................................................................................................ 3-1248
content ..................................................................................................................... 3-839–3-861
form ............................................................................................................................. 3-838
language ................................................................................................................. 3-734, 3-837
settlement ............................................................................................................. 3-1171
signature ................................................................................................................ 3-862–3-870
time limit ................................................................................................................. 3-871–3-876
Testimony
oral ............................................................................................................................... 3-743, 3-808, 3-966, 3-1011
translation/interpretation ...................................................................... 3-743
see also Evidence
Third-party intervention ........................................................................ 3-294
Time limits
amendment of ................................................................................................... 3-1507–3-1518
calculation of ...................................................................................................... 3-75–3-79
Answer to Request for Arbitration ................................................ 3-137–3-149
challenge ................................................................................................................ 3-578–3-584
comments on replacement of arbitrator ................................. 3-628
filing dissenting opinion .......................................................................... 3-1146
final award ............................................................................................................ 3-1107–3-1131
new claims ............................................................................................................ 3-892
nomination of arbitrator .......................................................................... 3-444, 3-456, 3-460, 3-1509
paying filing fee/providing copies of Request ................... 3-121
payment of advance on costs ............................................................ 3-657, 3-1357, 3-1366, 3-1424
requesting correction or interpretation of award ........... 3-1268–3-1270
submitting Request for Joinder ....................................................... 3-305
Terms of Reference ...................................................................................... 3-871–3-876, 3-1510
Trade secrets ..................................................................................................... 3-811
Trade usages ...................................................................................................... 3-780–3-782
Transmission of case file ........................................................................ 2-16, 3-655–3-662
to replacement arbitrator ...................................................................... 3-644
U
UNCITRAL (United Nations Commission on
International Trade Law) ........................................................................
3-761
Arbitration Rules ............................................................................................ 3-195, 3-227, 3-1142
Model Law on International Commercial Arbitration ..... 3-674, 3-1038, 3-1040, 3-1045, 3-1086, 3-1277, 3-1511, 3-1521, 3-1527
Notes on Organizing Arbitral Proceedings ........................... 3-923, 3-945, 3-976, 3-1010
V
Video conference
W
Waiver ...................................................................................................................... 3-1519–3-1529
procedural rights ............................................................................................ 3-1522
substantive rights .......................................................................................... 3-1529
Withdrawal .......................................................................................................... 3-1163, 3-1165
costs ........................................................................................................................... 3-1485, 3-1497–3-1506
deemed withdrawal for failure to pay advance
on costs ...................................................................................................................
3-1416–3-1433
settlement ............................................................................................................. 3-1168
Witnesses .............................................................................................................. 3-961–3-966
costs ........................................................................................................................... 3-794, 3-1490
cross-examination ......................................................................................... 3-966
expert witness ................................................................................................... 3-964
factual witness .................................................................................................. 3-963
language skills ................................................................................................... 3-733, 3-736, 3-741, 3-743
procedure for questioning witnesses ......................................... 3-1006–3-1011