ICCrules

年-ICC-rules————————————————————————————————作者：————————————————————————————————日期：ICCRulesofArbitrationareusedworldwidetoresolvebusinessdisputesthrougharbitration.ThecurrentRulesareinforceasfrom1January2012.TheydefineandregulatetheconductofcasessubmittedtotheInternationalCourtofArbitrationofICC.Inchoosingtofollowtheserules,partiesinvolvedininternationalbusinesstransactionsareassuredofaneutralframeworkfortheresolutionofcross-borderdisputes.CommonlyknownastheICCRules,therulesofarbitrationgoverntheconductofICCarbitrationproceedingsfromstarttofinish.Theyregulatethefilingofclaims,theconstitutionofarbitraltribunals,theconductofproceedings,therenderingofdecisionsandthedeterminationofcosts.Whileofferingsecurityandpredictability,theICCRulesalsoaccommodateanypreferencespartiesindisputemighthavewithrespecttocertainaspectsoftheproceedings,suchasthechoiceofarbitrators,theplace,andthelanguageofarbitration.InallmattersthatarenotexpresslyprovidedforintheICCRules,theCourtandArbitralTribunalactinthespiritoftheRulesandmakeeveryefforttohaveanenforceableAward.SuchbalancebetweenflexibilityandcontrolhasledtothepopularityoftheICCRulesinthediverselegal,economic,culturalandlinguisticsettingsofsome180countries.TheICCInternationalCourtofArbitrationistheonlybodyauthorizedtoadministerarbitrationsundertheRules.ContentsIntroductoryProvisionsHYPERLINK""\l"article_1"Article1InternationalCourtofArbitrationHYPERLINK""\l"article_2"Article2DefinitionsHYPERLINK""\l"article_3"Article3WrittenNotificationsorCommunications;TimeLimitsCommencingtheArbitrationHYPERLINK""\l"article_4"Article4RequestforArbitrationHYPERLINK""\l"article_5"Article5AnswertotheRequest;CounterclaimsHYPERLINK""\l"article_6"Article6EffectoftheArbitrationAgreementMultipleParties,MultipleContractsandConsolidationHYPERLINK""\l"article_7"Article7JoinderofAdditionalPartiesHYPERLINK""\l"article_8"Article8ClaimsBetweenMultiplePartiesHYPERLINK""\l"article_9"Article9MultipleContractsHYPERLINK""\l"article_10"Article10ConsolidationofArbitrationsTheArbitralTribunalHYPERLINK""\l"article_11"Article11GeneralProvisionsHYPERLINK""\l"article_12"Article12ConstitutionoftheArbitralTribunalHYPERLINK""\l"article_13"Article13AppointmentandConfirmationoftheArbitratorsHYPERLINK""\l"article_14"Article14ChallengeofArbitratorsHYPERLINK""\l"article_15"Article15ReplacementofArbitratorsTheArbitralProceedingsHYPERLINK""\l"article_16"Article16TransmissionofthetheArbitralTribunalHYPERLINK""\l"article_17"Article17ProofofAuthorityHYPERLINK""\l"article_18"Article18PlaceoftheArbitrationHYPERLINK""\l"article_19"Article19RulesGoverningtheProceedingsHYPERLINK""\l"article_20"Article20LanguageoftheArbitrationHYPERLINK""\l"article_21"Article21ApplicableRulesofLawHYPERLINK""\l"article_22"Article22ConductoftheArbitrationHYPERLINK""\l"article_23"Article23TermsofReferenceHYPERLINK""\l"article_24"Article24CaseManagementConferenceandProceduralTimetableHYPERLINK""\l"article_25"Article25EstablishingtheFactsoftheCaseHYPERLINK""\l"article_26"Article26HearingsHYPERLINK""\l"article_27"Article27ClosingoftheProceedingsandDateforSubmissionofDraftAwardsHYPERLINK""\l"article_28"Article28ConservatoryandInterimMeasuresHYPERLINK""\l"article_29"Article29EmergencyArbitratorAwardsHYPERLINK""\l"article_30"Article30TimeLimitfortheFinalAwardHYPERLINK""\l"article_31"Article31MakingoftheAwardHYPERLINK""\l"article_32"Article32AwardbyConsentHYPERLINK""\l"article_33"Article33ScrutinyoftheAwardbytheCourtHYPERLINK""\l"article_34"Article34Notification,DepositandEnforceabilityoftheAwardHYPERLINK""\l"article_35"Article35CorrectionandInterpretationoftheAward;RemissionofAwardsCostsHYPERLINK""\l"article_36"Article36AdvancetoCovertheCostsoftheArbitrationHYPERLINK""\l"article_37"Article37DecisionastotheCostsoftheArbitrationMiscellaneousHYPERLINK""\l"article_38"Article38ModifiedTimeLimitsHYPERLINK""\l"article_39"Article39WaiverHYPERLINK""\l"article_40"Article40LimitationofLiabilityHYPERLINK""\l"article_41"Article41GeneralRuleAppendixI–StatutesoftheInternationalCourtofArbitrationHYPERLINK""\l"article_a1"Article1FunctionHYPERLINK""\l"article_a2"Article2CompositionoftheCourtHYPERLINK""\l"article_a3"Article3AppointmentHYPERLINK""\l"article_a4"Article4PlenarySessionoftheCourtHYPERLINK""\l"article_a5"Article5CommitteesHYPERLINK""\l"article_a6"Article6ConfidentialityHYPERLINK""\l"article_a7"Article7ModificationoftheRulesofArbitrationAppendixII–InternalRulesoftheInternationalCourtofArbitrationHYPERLINK""\l"article_b1"Article1ConfidentialCharacteroftheWorkoftheInternationalCourtofArbitrationHYPERLINK""\l"article_b2"Article2ParticipationofMembersoftheInternationalCourtofArbitrationinICCArbitrationHYPERLINK""\l"article_b3"Article3RelationsbetweentheMembersoftheCourtandtheICCNationalCommitteesandGroupsHYPERLINK""\l"article_b4"Article4CommitteeoftheCourtHYPERLINK""\l"article_b5"Article5CourtSecretariatHYPERLINK""\l"article_b6"Article6ScrutinyofArbitralAwardsAppendixIII–ArbitrationCostsandFeesHYPERLINK""\l"article_c1"Article1AdvanceonCostsHYPERLINK""\l"article_c2"Article2CostsandFeesHYPERLINK""\l"article_c3"Article3ICCasAppointingAuthorityHYPERLINK""\l"article_c4"Article4ScalesofAdministrativeExpensesandArbitrator’sFeesAppendixIV–CaseManagementTechniquesAppendixV–EmergencyArbitratorRulesHYPERLINK""\l"article_d1"Article1ApplicationforEmergencyMeasuresHYPERLINK""\l"article_d2"Article2AppointmentoftheEmergencyArbitrator;TransmissionoftheFileHYPERLINK""\l"article_d3"Article3ChallengeofanEmergencyArbitratorHYPERLINK""\l"article_d4"Article4PlaceoftheEmergencyArbitratorProceedingsHYPERLINK""\l"article_d5"Article5ProceedingsHYPERLINK""\l"article_d6"Article6OrderHYPERLINK""\l"article_d7"Article7CostsoftheEmergencyArbitratorProceedingsHYPERLINK""\l"article_d8"Article8GeneralRuleContentINTRODUCTORYPROVISIONSArticle1:InternationalCourtofArbitration1)TheInternationalCourtofArbitration(the“Court”)oftheInternationalChamberofCommerce(the“ICC”)istheindependentarbitrationbodyoftheICC.ThestatutesoftheCourtaresetforthinAppendixI.2)TheCourtdoesnotitselfresolvedisputes.Itadministerstheresolutionofdisputesbyarbitraltribunals,inaccordancewiththeRulesofArbitrationoftheICC(the“Rules”).TheCourtistheonlybodyauthorizedtoadministerarbitrationsundertheRules,includingthescrutinyandapprovalofawardsrenderedinaccordancewiththeRules.Itdrawsupitsowninternalrules,whicharesetforthinAppendixII(the“InternalRules”).3)ThePresidentoftheCourt(the“President”)or,inthePresident’sabsenceorotherwiseatthePresident’srequest,oneofitsVice-PresidentsshallhavethepowertotakeurgentdecisionsonbehalfoftheCourt,providedthatanysuchdecisionisreportedtotheCourtatitsnextsession.4)AsprovidedforintheInternalRules,theCourtmaydelegatetooneormorecommitteescomposedofitsmembersthepowertotakecertaindecisions,providedthatanysuchdecisionisreportedtotheCourtatitsnextsession.5)TheCourtisassistedinitsworkbytheSecretariatoftheCourt(the“Secretariat”)underthedirectionofitsSecretaryGeneral(the“SecretaryGeneral”).HYPERLINK""\l"top"[Returntotop]Article2:DefinitionsIntheRules:(i)“arbitraltribunal”includesoneormorearbitrators;(ii)“claimant”includesoneormoreclaimants,“respondent”includesoneormorerespondents,and“additionalparty”includesoneormoreadditionalparties;(iii)“party”or“parties”includeclaimants,respondentsoradditionalparties;(iv)“claim”or“claims”includeanyclaimbyanypartyagainstanyotherparty;(v)“award”includes,interalia,aninterim,partialorfinalaward.HYPERLINK""\l"top"[Returntotop]Article3:WrittenNotificationsorCommunications;TimeLimits1)Allpleadingsandotherwrittencommunicationssubmittedbyanyparty,aswellasalldocumentsannexedthereto,shallbesuppliedinanumberofcopiessufficienttoprovideonecopyforeachparty,plusoneforeacharbitrator,andonefortheSecretariat.AcopyofanynotificationorcommunicationfromthearbitraltribunaltothepartiesshallbesenttotheSecretariat.2)AllnotificationsorcommunicationsfromtheSecretariatandthearbitraltribunalshallbemadetothelastaddressofthepartyoritsrepresentativeforwhomthesameareintended,asnotifiedeitherbythepartyinquestionorbytheotherparty.Suchnotificationorcommunicationmaybemadebydeliveryagainstreceipt,registeredpost,courier,email,oranyothermeansoftelecommunicationthatprovidesarecordofthesendingthereof.3)Anotificationorcommunicationshallbedeemedtohavebeenmadeonthedayitwasreceivedbythepartyitselforbyitsrepresentative,orwouldhavebeenreceivedifmadeinaccordancewithArticle3(2).4)PeriodsoftimespecifiedinorfixedundertheRulesshallstarttorunonthedayfollowingthedateanotificationorcommunicationisdeemedtohavebeenmadeinaccordancewithArticle3(3).Whenthedaynextfollowingsuchdateisanofficialholiday,oranon-businessdayinthecountrywherethenotificationorcommunicationisdeemedtohavebeenmade,theperiodoftimeshallcommenceonthefirstfollowingbusinessday.Officialholidaysandnon-businessdaysareincludedinthecalculationoftheperiodoftime.Ifthelastdayoftherelevantperiodoftimegrantedisanofficialholidayoranon-businessdayinthecountrywherethenotificationorcommunicationisdeemedtohavebeenmade,theperiodoftimeshallexpireattheendofthefirstfollowingbusinessday.HYPERLINK""\l"top"[Returntotop]COMMENCINGTHEARBITRATIONArticle4:RequestforArbitration1)ApartywishingtohaverecoursetoarbitrationundertheRulesshallsubmititsRequestforArbitration(the“Request”)totheSecretariatatanyoftheofficesspecifiedintheInternalRules.TheSecretariatshallnotifytheclaimantandrespondentofthereceiptoftheRequestandthedateofsuchreceipt.2)ThedateonwhichtheRequestisreceivedbytheSecretariatshall,forallpurposes,bedeemedtobethedateofthecommencementofthearbitration.3)TheRequestshallcontainthefollowinginformation:a)thenameinfull,description,addressandothercontactdetailsofeachoftheparties;b)thenameinfull,addressandothercontactdetailsofanyperson(s)representingtheclaimantinthearbitration;c)adescriptionofthenatureandcircumstancesofthedisputegivingrisetotheclaimsandofthebasisuponwhichtheclaimsaremade;d)astatementofthereliefsought,togetherwiththeamountsofanyquantifiedclaimsand,totheextentpossible,anestimateofthemonetaryvalueofanyotherclaims;e)anyrelevantagreementsand,inparticular,thearbitrationagreement(s);f)whereclaimsaremadeundermorethanonearbitrationagreement,anindicationofthearbitrationagreementunderwhicheachclaimismade;g)allrelevantparticularsandanyobservationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceinaccordancewiththeprovisionsofArticles12and13,andanynominationofanarbitratorrequiredthereby;andh)allrelevantparticularsandanyobservationsorproposalsastotheplaceofthearbitration,theapplicablerulesoflawandthelanguageofthearbitration.TheclaimantmaysubmitsuchotherdocumentsorinformationwiththeRequestasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.4)TogetherwiththeRequest,theclaimantshall:a)submitthenumberofcopiesthereofrequiredbyArticle3(1);andb)makepaymentofthefilingfeerequiredbyAppendixIII(“ArbitrationCostsandFees”)inforceonthedatetheRequestissubmitted.Intheeventthattheclaimantfailstocomplywitheitheroftheserequirements,theSecretariatmayfixatimelimitwithinwhichtheclaimantmustcomply,failingwhichthebeclosedwithoutprejudicetotheclaimant’srighttosubmitthesameclaimsatalaterdateinanotherRequest.5)TheSecretariatshalltransmitacopyoftheRequestandthedocumentsannexedtheretototherespondentforitsAnswertotheRequestoncetheSecretariathassufficientcopiesoftheRequestandtherequiredfilingfee.HYPERLINK""\l"top"[Returntotop]Article5:AnswertotheRequest;Counterclaims1)Within30daysfromthereceiptoftheRequestfromtheSecretariat,therespondentshallsubmitanAnswer(the“Answer”)whichshallcontainthefollowinginformation:a)itsnameinfull,description,addressandothercontactdetails;b)thenameinfull,addressandothercontactdetailsofanyperson(s)representingtherespondentinthearbitration;c)itscommentsastothenatureandcircumstancesofthedisputegivingrisetotheclaimsandthebasisuponwhichtheclaimsaremade;d)itsresponsetothereliefsought;e)anyobservationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceinlightoftheclaimant’sproposalsandinaccordancewiththeprovisionsofArticles12and13,andanynominationofanarbitratorrequiredthereby;andf)anyobservationsorproposalsastotheplaceofthearbitration,theapplicablerulesoflawandthelanguageofthearbitration.TherespondentmaysubmitsuchotherdocumentsorinformationwiththeAnswerasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.2)TheSecretariatmaygranttherespondentanextensionofthetimeforsubmittingtheAnswer,providedtheapplicationforsuchanextensioncontainstherespondent’sobservationsorproposalsconcerningthenumberofarbitratorsandtheirchoiceand,whererequiredbyArticles12and13,thenominationofanarbitrator.Iftherespondentfailstodoso,theCourtshallproceedinaccordancewiththeRules.3)TheAnswershallbesubmittedtotheSecretariatinthenumberofcopiesspecifiedbyArticle3(1).4)TheSecretariatshallcommunicatetheAnswerandthedocumentsannexedtheretotoallotherparties.5)AnycounterclaimsmadebytherespondentshallbesubmittedwiththeAnswerandshallprovide:a)adescriptionofthenatureandcircumstancesofthedisputegivingrisetothecounterclaimsandofthebasisuponwhichthecounterclaimsaremade;b)astatementofthereliefsoughttogetherwiththeamountsofanyquantifiedcounterclaimsand,totheextentpossible,anestimateofthemonetaryvalueofanyothercounterclaims;c)anyrelevantagreementsand,inparticular,thearbitrationagreement(s);andd)wherecounterclaimsaremadeundermorethanonearbitrationagreement,anindicationofthearbitrationagreementunderwhicheachcounterclaimismade.Therespondentmaysubmitsuchotherdocumentsorinformationwiththecounterclaimsasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.6)Theclaimantshallsubmitareplytoanycounterclaimwithin30daysfromthedateofreceiptofthecounterclaimscommunicatedbytheSecretariat.Priortothetransmissionofthethearbitraltribunal,theSecretariatmaygranttheclaimantanextensionoftimeforsubmittingthereply.HYPERLINK""\l"top"[Returntotop]Article6:EffectoftheArbitrationAgreement1)WherethepartieshaveagreedtosubmittoarbitrationundertheRules,theyshallbedeemedtohavesubmittedipsofactototheRulesineffectonthedateofcommencementofthearbitration,unlesstheyhaveagreedtosubmittotheRulesineffectonthedateoftheirarbitrationagreement.2)ByagreeingtoarbitrationundertheRules,thepartieshaveacceptedthatthearbitrationshallbeadministeredbytheCourt.3)IfanypartyagainstwhichaclaimhasbeenmadedoesnotsubmitanAnswer,orraisesoneormorepleasconcerningtheexistence,validityorscopeofthearbitrationagreementorconcerningwhetheralloftheclaimsmadeinthearbitrationmaybedeterminedtogetherinasinglearbitration,thearbitrationshallproceedandanyquestionofjurisdictionorofwhethertheclaimsmaybedeterminedtogetherinthatarbitrationshallbedecideddirectlybythearbitraltribunal,unlesstheSecretaryGeneralrefersthemattertotheCourtforitsdecisionpursuanttoArticle6(4).4)InallcasesreferredtotheCourtunderArticle6(3),theCourtshalldecidewhetherandtowhatextentthearbitrationshallproceed.ThearbitrationshallproceedifandtotheextentthattheCourtisprimafaciesatisfiedthatanarbitrationagreementundertheRulesmayexist.Inparticular:(i)wheretherearemorethantwopartiestothearbitration,thearbitrationshallproceedbetweenthoseoftheparties,includinganyadditionalpartiesjoinedpursuanttoArticle7,withrespecttowhichtheCourtisprimafaciesatisfiedthatanarbitrationagreementundertheRulesthatbindsthemallmayexist;and(ii)whereclaimspursuanttoArticle9aremadeundermorethanonearbitrationagreement,thearbitrationshallproceedastothoseclaimswithrespecttowhichtheCourtisprimafaciesatisfied(a)thatthearbitrationagreementsunderwhichthoseclaimsaremademaybecompatible,and(b)thatallpartiestothearbitrationmayhaveagreedthatthoseclaimscanbedeterminedtogetherinasinglearbitration.TheCourt’sdecisionpursuanttoArticle6(4)iswithoutprejudicetotheadmissibilityormeritsofanyparty’spleaorpleas.5)InallmattersdecidedbytheCourtunderArticle6(4),anydecisionastothejurisdictionofthearbitraltribunal,exceptastopartiesorclaimswithrespecttowhichtheCourtdecidesthatthearbitrationcannotproceed,shallthenbetakenbythearbitraltribunalitself.6)WherethepartiesarenotifiedoftheCourt’sdecisionpursuanttoArticle6(4)thatthearbitrationcannotproceedinrespectofsomeorallofthem,anypartyretainstherighttoaskanycourthavingjurisdictionwhetherornot,andinrespectofwhichofthem,thereisabindingarbitrationagreement.7)WheretheCourthasdecidedpursuanttoArticle6(4)thatthearbitrationcannotproceedinrespectofanyoftheclaims,suchdecisionshallnotpreventapartyfromreintroducingthesameclaimatalaterdateinotherproceedings.8)Ifanyofthepartiesrefusesorfailstotakepartinthearbitrationoranystagethereof,thearbitrationshallproceednotwithstandingsuchrefusalorfailure.9)Unlessotherwiseagreed,thearbitraltribunalshallnotceasetohavejurisdictionbyreasonofanyallegationthatthecontractisnon-existentornullandvoid,providedthatthearbitraltribunalupholdsthevalidityofthearbitrationagreement.Thearbitraltribunalshallcontinuetohavejurisdictiontodeterminetheparties’respectiverightsandtodecidetheirclaimsandpleaseventhoughthecontractitselfmaybenon-existentornullandvoid.HYPERLINK""\l"top"[Returntotop]MULTIPLEPARTIES,MULTIPLECONTRACTSANDCONSOLIDATIONArticle7:JoinderofAdditionalParties1)Apartywishingtojoinanadditionalpartytothearbitrationshallsubmititsrequestforarbitrationagainsttheadditionalparty(the“RequestforJoinder”)totheSecretariat.ThedateonwhichtheRequestforJoinderisreceivedbytheSecretariatshall,forallpurposes,bedeemedtobethedateofthecommencementofarbitrationagainsttheadditionalparty.AnysuchjoindershallbesubjecttotheprovisionsofArticles6(3)–6(7)and9.Noadditionalpartymaybejoinedaftertheconfirmationorappointmentofanyarbitrator,unlessallparties,includingtheadditionalparty,otherwiseagree.TheSecretariatmayfixatimelimitforthesubmissionofaRequestforJoinder.2)TheRequestforJoindershallcontainthefollowinginformation:a)thecasereferenceoftheexistingarbitration;b)thenameinfull,description,addressandothercontactdetailsofeachoftheparties,includingtheadditionalparty;andc)theinformationspecifiedinArticle4(3)subparagraphsc),d),e)andf).ThepartyfilingtheRequestforJoindermaysubmittherewithsuchotherdocumentsorinformationasitconsidersappropriateorasmaycontributetotheefficientresolutionofthedispute.3)TheprovisionsofArticles4(4)and4(5)shallapply,mutatismutandis,totheRequestforJoinder.4)TheadditionalpartyshallsubmitanAnswerinaccordance,mutatismutandis,withtheprovisionsofArticles5(1)–5(4).TheadditionalpartymaymakeclaimsagainstanyotherpartyinaccordancewiththeprovisionsofArticle8.HYPERLINK""\l"top"[Returntotop]Article8:ClaimsBetweenMultipleParties1)Inanarbitrationwithmultipleparties,claimsmaybemadebyanypartyagainstanyotherparty,subjecttotheprovisionsofArticles6(3)–6(7)and9andprovidedthatnonewclaimsmaybemadeaftertheTermsofReferencearesignedorapprovedbytheCourtwithouttheauthorizationofthearbitraltribunalpursuanttoArticle23(4).2)AnypartymakingaclaimpursuanttoArticle8(1)shallprovidetheinformationspecifiedinArticle4(3)subparagraphsc),d),e)andf).3)BeforetheSecretariattransmitsthethearbitraltribunalinaccordancewithArticle16,thefollowingprovisionsshallapply,mutatismutandis,toanyclaimmade:Article4(4)subparagrapha);Article4(5);Article5(1)exceptforsubparagraphsa),b),e)andf);Article5(2);Article5(3)andArticle5(4).Thereafter,thearbitraltribunalshalldeterminetheprocedureformakingaclaim.HYPERLINK""\l"top"[Returntotop]Article9:MultipleContractsSubjecttotheprovisionsofArticles6(3)–6(7)and23(4),claimsarisingoutoforinconnectionwithmorethanonecontractmaybemadeinasinglearbitration,irrespectiveofwhethersuchclaimsaremadeunderoneormorethanonearbitrationagreementundertheRules.HYPERLINK""\l"top"\o"[Returntotop]"[Returntotop]Article10:ConsolidationofArbitrationsTheCourtmay,attherequestofaparty,consolidatetwoormorearbitrationspendingundertheRulesintoasinglearbitration,where:a)thepartieshaveagreedtoconsolidation;orb)alloftheclaimsinthearbitrationsaremadeunderthesamearbitrationagr