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Chapter 1 Introduction1

Part Ⅰ Preliminary Matters5

Chapter 2 Key Innovations under the 2012 ICC Rules7

Ⅰ.Major Innovations8

A.Procedure for Jurisdictional Objections8

B.Multi-Party and Multi-Contract Arbitrations10

C.Direct Appointment of Arbitrators11

D.Speed and Cost-Effectiveness12

E.Confidentiality14

F.Emergency Arbitrator Provisions15

G.New Technology17

Ⅱ.Other Innovations17

A.Only the ICC may Administer the ICC Rules17

B.An Estimate of the Monetary Value of UnquantifiedClaims and Counterclaims must be Provided18

C.Impartiality19

D.Proof of Authority19

E.Obligation to Comply with Tribunal's Orders20

F.Remission by National Courts20

G.Apportionment of Costs21

H.Withdrawal of Claims21

Chapter 3 Why Choose ICC Arbitration?23

Ⅰ.Advantages of Arbitration23

A.Neutrality24

B.Enforceability25

C.Flexibility26

D.Choice of Adjudicator26

E.Speedy Resolution27

F.Confidentiality27

Ⅱ.Disadvantages of Arbitration28

Ⅲ.Reasons to Choose the ICC Rules28

A.Ad hoc or Institutional Arbitration?29

B.Which Institution?29

Chapter 4 How to Draft an ICC Arbitration Clause31

Ⅰ.The Golden Rule31

Ⅱ.Four Fundamental Exceptions to the Golden Rule32

A.Place of the Arbitration32

B.Number of Arbitrators33

C.Language of the Arbitration34

D.Law Governing the Contract35

Ⅲ.Optional Amendments to the Model Clause36

A.Carving Out Specific Disputes37

B.Emergency Arbitrator Provisions37

C.Escalation Provisions37

D.Choice of President38

E.Translations39

F.Confidentiality39

G.Document Production40

Ⅳ.Multi-Party/Multi-Contract Arbitration Clauses41

Chapter 5 The Different Actors in an ICC Arbitration43

Ⅰ.The ICC43

Ⅱ.National Committees and Groups44

Ⅲ.The Court44

A.Membership of the Court45

B.Decisions Taken by the Court46

C.Plenary Sessions, Committee Sessions and Urgent Decisions by the President47

D.No Reasons Given by the Court for its Decisions48

Ⅳ.The Secretariat of the Court49

Ⅴ.The Arbitral Tribunal50

Ⅵ.The Secretary to the Arbitral Tribunal51

Part Ⅱ Opening Moves53

Chapter 6 Negotiation and Mediation55

Ⅰ.Advantages of Reaching an Amicable Settlement55

Ⅱ.Mediation56

Ⅲ.Escalation Clauses57

Ⅳ.Settlement during the Arbitration58

Ⅴ.Costs Sanctions for Failing to Negotiate60

Ⅵ.Drafting a Settlement Agreement61

Chapter 7 Pre-arbitral Requests for Interim Measures63

Ⅰ.National Courts63

Ⅱ.Emergency Arbitrators65

A.Scope of Application of Emergency Arbitrator Provisions66

B.How to File an Application for Emergency Measures67

C.Steps Taken by the ICC upon Receipt of an Application68

D.Procedure before the Emergency Arbitrator69

E.Emergency Arbitrator's Order70

F.Costs of Emergency Arbitrator Proceedings71

Ⅲ.Pre-Arbitral Referee Procedure72

Chapter 8 Filing a Request for Arbitration73

Ⅰ.How to Draft a Request for Arbitration73

A.Introduction75

B.The Parties75

C.Statement of the Claimant's Case76

D.The Claimant's Requests for Relief78

E.Procedural Matters79

1.The Arbitration Agreement79

2.Law, Language and Place of the Arbitration80

3.Constitution of the Arbitral Tribunal80

4.Notices81

5.Amount in Dispute82

6.Submission and Notification of the Request for Arbitration82

Ⅱ.Submitting the Request for Arbitration82

Ⅲ.The First Steps by the ICC; Provisional Advance on Costs83

Chapter 9 Responding to a Request for Arbitration85

Ⅰ.Whether to Respond at All85

Ⅱ.The Time-Limit for Filing the Answer86

A.Extensions of the Time-Limit87

B.The Consequences of Failing to File an Answer Within the Time-Limit88

Ⅲ.How to Draft an Answer89

A.Introduction90

B.The Parties90

C.Statement of Defence90

D.Statement of Respondent's Counterclaim(s)92

E.Statement of Respondent's Cross-Claim against a Co-Respondent93

F.Respondent's Requests for Relief93

G.Procedural Matters94

Ⅳ.Submitting the Answer94

Ⅴ.The Reply94

Chapter 10 Joinder of Additional Parties97

Ⅰ.How to Draft and Submit a Request for Joinder98

Ⅱ.How to Respond to a Request for Joinder99

Ⅲ.Jurisdictional Issues100

Part Ⅲ Initial Decisions by the Court103

Chapter 11 Jurisdictional Objections105

Ⅰ.The Principal Types of Jurisdictional Objections105

Ⅱ.When and How Does the Court Decide on JurisdictionalObjections?106

A.Article 6(3) of the 2012 ICC Rules106

B.Article 6(4) of the 2012 ICC Rules107

Ⅲ.Jurisdictional Objections Before Arbitral Tribunals and National Courts109

A.The Role of Arbitral Tribunals109

B.The Role of National Courts111

Chapter 12 Place of the Arbitration113

Ⅰ.Significance of the Place of the Arbitration113

A.Arbitration Law114

B.Competent Courts115

C.Hearings117

D.Enforceability of the Award(s)117

E.Selection of President/Sole Arbitrator118

Ⅱ.Choice of the Place of the Arbitration by the ICC119

Chapter 13 Consolidation of Arbitrations121

Ⅰ.General Considerations122

Ⅱ.The Three Alternative Conditions123

A.Agreement between the Parties as to Consolidation123

B.Claims Made under the Same Arbitration Agreement124

C.Claims under Different Arbitration Agreements124

Ⅲ.Practical Alternatives to Consolidation125

Chapter 14 Constitution of the Arbitral Tribunal127

Ⅰ.The Number of Arbitrators128

Ⅱ.Sole Arbitrators129

Ⅲ.Three-Member Arbitral Tribunals130

A.Selection of Co-Arbitrators130

B.Selection of the President131

C.Multi-Party Cases132

Ⅳ.Confirmation of Party-Nominated Arbitrators132

Ⅴ.Appointment of Arbitrators135

Chapter 15 Advance on Costs137

Ⅰ.Calculation of the Advance on Costs138

Ⅱ.Who Pays the Advance on Costs139

Ⅲ.What Happens if the Advance on Costs is not Paid?139

Ⅳ.What Happens to the Advance on Costs where Claims are Withdrawn?142

Part Ⅳ Procedure Before the Arbitral Tribunal143

Chapter 16 First Steps Taken by the Arbitral Tribunal145

Ⅰ.Transfer of the File to the Arbitral Tribunal145

Ⅱ.Decision on the Language of the Arbitration146

Ⅲ.Drawing up the Terms of Reference147

A.Names, Addresses and Rules on Notification149

B.Procedure to Date149

C.Arbitration Agreement, Place of the Arbitration, Language, Substantive Law, Procedural Rules and Confidentiality150

D.Summary of each Party's Position and Relief Sought,List of Issues and Amount in Dispute151

E.Execution152

Ⅳ.Obtaining the Parties' Signature or the Court's Approval of the Terms of Reference152

Ⅴ.Convening a Case-Management Conference153

Ⅵ.Adopting Procedural Measures: Procedural Timetables and Procedural Rules153

Chapter 17 Interim Measures Applications157

Ⅰ.Applications to National Courts for Interim Measures158

Ⅱ.Applications to Arbitral Tribunals for Interim Measures159

A.Procedure Before Arbitral Tribunals160

B.Principles Applied by Arbitral Tribunals160

C.Form of the Interim Measures161

Chapter 18 Written Submissions, Exhibits, Witness Statements and Expert Reports163

Ⅰ.Written Submissions164

Ⅱ.Documentary Exhibits167

Ⅲ.Legal Exhibits169

Ⅳ.Witness Statements170

Ⅴ.Expert Reports172

Chapter 19 Document Requests173

Ⅰ.The Power to Order Document Production173

Ⅱ.Exercise of the Power to Order Document Production174

A.How to Draft a Request to Produce176

1.Column One: Description of the Requested Document(s)177

2.Column Two: Relevance of the Requested Document(s)178

3.Column Three: Possession, Custody or Control179

B.How to Respond to a Request to Produce179

Chapter 20 The Evidentiary Hearing181

Ⅰ.Whether to Have an Evidentiary Heating181

Ⅲ.Preparation for the Evidentiary Hearing182

A.Case-Management Conference182

B.Pre-Hearing Conference Call183

C.Preparation of Witnesses184

D.Preparation for Other Aspects of the Evidentiary Hearing186

Ⅲ.Conduct of Evidentiary Hearings186

A.Place and Format of Hearings187

B.Documentary Exhibits188

C.Division of Time between Parties188

D.Introduction and Opening Statements189

E.Questioning of Witnesses190

F.Oral Closing Submissions and/or Closing Remarksby Arbitral Tribunal191

Chapter 21 Post-Hearing Submissions193

Ⅰ.Whether to Have Oral Argument or Post-Hearing Briefs193

Ⅱ.Oral Argument194

Ⅲ.Post-Hearing Briefs195

Ⅳ.Costs Submissions196

ChapterChallenges to and Replacement of Arbitrators199

Ⅰ.Challenges of Arbitrators200

A.Procedure for Challenging Arbitrators200

B.Principles Applied by the Court201

C.Statistics Relating to Challenges203

Ⅱ.Replacement of Arbitrators203

A.Circumstances in Which the Court May Replace an Arbitrator204

B.Procedure for Replacement of an Arbitrator204

Part Ⅴ The Award207

Chapter 23 Making the Award209

Ⅰ.Time-Limit for Final Award209

Ⅱ.Closing of the Proceedings210

Ⅲ.Drafting of the Award211

Ⅳ.Scrutiny of the Draft Award by the Court212

Ⅴ.Notification of the Award213

Chapter 24 Correcting and Clarifying the Award215

Ⅰ.Correction of Errors216

Ⅱ.Interpretation216

Ⅲ.Related Issues217

Chapter 25 Annulment Proceedings219

Ⅰ.Applying to Annul an Award versus Objecting to its Enforcement219

Ⅱ.Grounds for Annulling an Award220

Ⅲ.Procedure for Applying to Annul an Award221

Ⅳ.Effects of Annulment222

Chapter 26 Enforcing the Award: the New York Convention223

Ⅰ.Introduction223

Ⅱ.Conditions for Application of the New York Convention225

Ⅲ.Grounds for Refusing Enforcement under the New York Convention226

Ⅳ.Conclusion229

Annex 1 2012 ICC Arbitration Rules231

Annex 2 Model Request for Arbitration277

Annex 3 Model Answer283

Annex 4 Model Request for Joinder289

Annex 5 Model Terms of Reference295

Annex 6 Model Procedural Order No.1307

Annex 7 Model Document Request315

Glossary319

Bibliography337

Index351