ARBITRATING UNDER THE 2012 ICC RULES AN INTRODUCTORY USER’S GUIDEPDF电子书下载

Chapter 1 Introduction 1

Part Ⅰ Preliminary Matters 5

Chapter 2 Key Innovations under the 2012 ICC Rules 7

Ⅰ.Major Innovations 8

A.Procedure for Jurisdictional Objections 8

B.Multi-Party and Multi-Contract Arbitrations 10

C.Direct Appointment of Arbitrators 11

D.Speed and Cost-Effectiveness 12

E.Confidentiality 14

F.Emergency Arbitrator Provisions 15

G.New Technology 17

Ⅱ.Other Innovations 17

A.Only the ICC may Administer the ICC Rules 17

B.An Estimate of the Monetary Value of UnquantifiedClaims and Counterclaims must be Provided 18

C.Impartiality 19

D.Proof of Authority 19

E.Obligation to Comply with Tribunal's Orders 20

F.Remission by National Courts 20

G.Apportionment of Costs 21

H.Withdrawal of Claims 21

Chapter 3 Why Choose ICC Arbitration? 23

Ⅰ.Advantages of Arbitration 23

A.Neutrality 24

B.Enforceability 25

C.Flexibility 26

D.Choice of Adjudicator 26

E.Speedy Resolution 27

F.Confidentiality 27

Ⅱ.Disadvantages of Arbitration 28

Ⅲ.Reasons to Choose the ICC Rules 28

A.Ad hoc or Institutional Arbitration? 29

B.Which Institution? 29

Chapter 4 How to Draft an ICC Arbitration Clause 31

Ⅰ.The Golden Rule 31

Ⅱ.Four Fundamental Exceptions to the Golden Rule 32

A.Place of the Arbitration 32

B.Number of Arbitrators 33

C.Language of the Arbitration 34

D.Law Governing the Contract 35

Ⅲ.Optional Amendments to the Model Clause 36

A.Carving Out Specific Disputes 37

B.Emergency Arbitrator Provisions 37

C.Escalation Provisions 37

D.Choice of President 38

E.Translations 39

F.Confidentiality 39

G.Document Production 40

Ⅳ.Multi-Party/Multi-Contract Arbitration Clauses 41

Chapter 5 The Different Actors in an ICC Arbitration 43

Ⅰ.The ICC 43

Ⅱ.National Committees and Groups 44

Ⅲ.The Court 44

A.Membership of the Court 45

B.Decisions Taken by the Court 46

C.Plenary Sessions, Committee Sessions and Urgent Decisions by the President 47

D.No Reasons Given by the Court for its Decisions 48

Ⅳ.The Secretariat of the Court 49

Ⅴ.The Arbitral Tribunal 50

Ⅵ.The Secretary to the Arbitral Tribunal 51

Part Ⅱ Opening Moves 53

Chapter 6 Negotiation and Mediation 55

Ⅰ.Advantages of Reaching an Amicable Settlement 55

Ⅱ.Mediation 56

Ⅲ.Escalation Clauses 57

Ⅳ.Settlement during the Arbitration 58

Ⅴ.Costs Sanctions for Failing to Negotiate 60

Ⅵ.Drafting a Settlement Agreement 61

Chapter 7 Pre-arbitral Requests for Interim Measures 63

Ⅰ.National Courts 63

Ⅱ.Emergency Arbitrators 65

A.Scope of Application of Emergency Arbitrator Provisions 66

B.How to File an Application for Emergency Measures 67

C.Steps Taken by the ICC upon Receipt of an Application 68

D.Procedure before the Emergency Arbitrator 69

E.Emergency Arbitrator's Order 70

F.Costs of Emergency Arbitrator Proceedings 71

Ⅲ.Pre-Arbitral Referee Procedure 72

Chapter 8 Filing a Request for Arbitration 73

Ⅰ.How to Draft a Request for Arbitration 73

A.Introduction 75

B.The Parties 75

C.Statement of the Claimant's Case 76

D.The Claimant's Requests for Relief 78

E.Procedural Matters 79

1.The Arbitration Agreement 79

2.Law, Language and Place of the Arbitration 80

3.Constitution of the Arbitral Tribunal 80

4.Notices 81

5.Amount in Dispute 82

6.Submission and Notification of the Request for Arbitration 82

Ⅱ.Submitting the Request for Arbitration 82

Ⅲ.The First Steps by the ICC; Provisional Advance on Costs 83

Chapter 9 Responding to a Request for Arbitration 85

Ⅰ.Whether to Respond at All 85

Ⅱ.The Time-Limit for Filing the Answer 86

A.Extensions of the Time-Limit 87

B.The Consequences of Failing to File an Answer Within the Time-Limit 88

Ⅲ.How to Draft an Answer 89

A.Introduction 90

B.The Parties 90

C.Statement of Defence 90

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

E.Statement of Respondent's Cross-Claim against a Co-Respondent 93

F.Respondent's Requests for Relief 93

G.Procedural Matters 94

Ⅳ.Submitting the Answer 94

Ⅴ.The Reply 94

Chapter 10 Joinder of Additional Parties 97

Ⅰ.How to Draft and Submit a Request for Joinder 98

Ⅱ.How to Respond to a Request for Joinder 99

Ⅲ.Jurisdictional Issues 100

Part Ⅲ Initial Decisions by the Court 103

Chapter 11 Jurisdictional Objections 105

Ⅰ.The Principal Types of Jurisdictional Objections 105

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

A.Article 6(3) of the 2012 ICC Rules 106

B.Article 6(4) of the 2012 ICC Rules 107

Ⅲ.Jurisdictional Objections Before Arbitral Tribunals and National Courts 109

A.The Role of Arbitral Tribunals 109

B.The Role of National Courts 111

Chapter 12 Place of the Arbitration 113

Ⅰ.Significance of the Place of the Arbitration 113

A.Arbitration Law 114

B.Competent Courts 115

C.Hearings 117

D.Enforceability of the Award(s) 117

E.Selection of President/Sole Arbitrator 118

Ⅱ.Choice of the Place of the Arbitration by the ICC 119

Chapter 13 Consolidation of Arbitrations 121

Ⅰ.General Considerations 122

Ⅱ.The Three Alternative Conditions 123

A.Agreement between the Parties as to Consolidation 123

B.Claims Made under the Same Arbitration Agreement 124

C.Claims under Different Arbitration Agreements 124

Ⅲ.Practical Alternatives to Consolidation 125

Chapter 14 Constitution of the Arbitral Tribunal 127

Ⅰ.The Number of Arbitrators 128

Ⅱ.Sole Arbitrators 129

Ⅲ.Three-Member Arbitral Tribunals 130

A.Selection of Co-Arbitrators 130

B.Selection of the President 131

C.Multi-Party Cases 132

Ⅳ.Confirmation of Party-Nominated Arbitrators 132

Ⅴ.Appointment of Arbitrators 135

Chapter 15 Advance on Costs 137

Ⅰ.Calculation of the Advance on Costs 138

Ⅱ.Who Pays the Advance on Costs 139

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 Tribunal 143

Chapter 16 First Steps Taken by the Arbitral Tribunal 145

Ⅰ.Transfer of the File to the Arbitral Tribunal 145

Ⅱ.Decision on the Language of the Arbitration 146

Ⅲ.Drawing up the Terms of Reference 147

A.Names, Addresses and Rules on Notification 149

B.Procedure to Date 149

C.Arbitration Agreement, Place of the Arbitration, Language, Substantive Law, Procedural Rules and Confidentiality 150

D.Summary of each Party's Position and Relief Sought,List of Issues and Amount in Dispute 151

E.Execution 152

Ⅳ.Obtaining the Parties' Signature or the Court's Approval of the Terms of Reference 152

Ⅴ.Convening a Case-Management Conference 153

Ⅵ.Adopting Procedural Measures: Procedural Timetables and Procedural Rules 153

Chapter 17 Interim Measures Applications 157

Ⅰ.Applications to National Courts for Interim Measures 158

Ⅱ.Applications to Arbitral Tribunals for Interim Measures 159

A.Procedure Before Arbitral Tribunals 160

B.Principles Applied by Arbitral Tribunals 160

C.Form of the Interim Measures 161

Chapter 18 Written Submissions, Exhibits, Witness Statements and Expert Reports 163

Ⅰ.Written Submissions 164

Ⅱ.Documentary Exhibits 167

Ⅲ.Legal Exhibits 169

Ⅳ.Witness Statements 170

Ⅴ.Expert Reports 172

Chapter 19 Document Requests 173

Ⅰ.The Power to Order Document Production 173

Ⅱ.Exercise of the Power to Order Document Production 174

A.How to Draft a Request to Produce 176

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 Control 179

B.How to Respond to a Request to Produce 179

Chapter 20 The Evidentiary Hearing 181

Ⅰ.Whether to Have an Evidentiary Heating 181

Ⅲ.Preparation for the Evidentiary Hearing 182

A.Case-Management Conference 182

B.Pre-Hearing Conference Call 183

C.Preparation of Witnesses 184

D.Preparation for Other Aspects of the Evidentiary Hearing 186

Ⅲ.Conduct of Evidentiary Hearings 186

A.Place and Format of Hearings 187

B.Documentary Exhibits 188

C.Division of Time between Parties 188

D.Introduction and Opening Statements 189

E.Questioning of Witnesses 190

F.Oral Closing Submissions and/or Closing Remarksby Arbitral Tribunal 191

Chapter 21 Post-Hearing Submissions 193

Ⅰ.Whether to Have Oral Argument or Post-Hearing Briefs 193

Ⅱ.Oral Argument 194

Ⅲ.Post-Hearing Briefs 195

Ⅳ.Costs Submissions 196

ChapterChallenges to and Replacement of Arbitrators 199

Ⅰ.Challenges of Arbitrators 200

A.Procedure for Challenging Arbitrators 200

B.Principles Applied by the Court 201

C.Statistics Relating to Challenges 203

Ⅱ.Replacement of Arbitrators 203

A.Circumstances in Which the Court May Replace an Arbitrator 204

B.Procedure for Replacement of an Arbitrator 204

Part Ⅴ The Award 207

Chapter 23 Making the Award 209

Ⅰ.Time-Limit for Final Award 209

Ⅱ.Closing of the Proceedings 210

Ⅲ.Drafting of the Award 211

Ⅳ.Scrutiny of the Draft Award by the Court 212

Ⅴ.Notification of the Award 213

Chapter 24 Correcting and Clarifying the Award 215

Ⅰ.Correction of Errors 216

Ⅱ.Interpretation 216

Ⅲ.Related Issues 217

Chapter 25 Annulment Proceedings 219

Ⅰ.Applying to Annul an Award versus Objecting to its Enforcement 219

Ⅱ.Grounds for Annulling an Award 220

Ⅲ.Procedure for Applying to Annul an Award 221

Ⅳ.Effects of Annulment 222

Chapter 26 Enforcing the Award: the New York Convention 223

Ⅰ.Introduction 223

Ⅱ.Conditions for Application of the New York Convention 225

Ⅲ.Grounds for Refusing Enforcement under the New York Convention 226

Ⅳ.Conclusion 229

Annex 1 2012 ICC Arbitration Rules 231

Annex 2 Model Request for Arbitration 277

Annex 3 Model Answer 283

Annex 4 Model Request for Joinder 289

Annex 5 Model Terms of Reference 295

Annex 6 Model Procedural Order No.1 307

Annex 7 Model Document Request 315

Glossary 319

Bibliography 337

Index 351