ICC Arbitration Rules 2021

Introduction

The International Chamber of Commerce (ICC) Arbitration Rules 2021 are the latest set of procedural guidelines governing ICCadministered arbitrations. They replace the 2016 Rules and reflect evolving practice, technology, and the need for efficiency without compromising fairness. The Rules are used worldwide across commercial, investment, construction, and maritime disputes, offering parties a neutral framework endorsed by a respected international institution.

Scope and Application

The 2021 Rules apply when parties expressly incorporate them into their arbitration agreement or when the ICCInternational Court of Arbitration (the Court) is designated as the appointing authority. They govern the entire arbitral process, from the filing of the request to the issuance and correction of the award.

• Flexibility: Parties may modify or supplement the Rules by agreement, provided such modifications do not conflict with mandatory provisions of the ICC Rules or public policy.
• Currency: The Rules are automatically updated each year; the 2021 edition is effective for arbitrations commenced on or after 1January2021.
• Compatibility: They coexist with the ICC Arbitration Guidelines and the ICC Model Arbitration Clause, providing a comprehensive toolkit.

Initiation of Arbitration

The process begins with a written Request for Arbitration addressed to the ICC Secretariat. The 2021 Rules introduce clearer timelines and a simplified fee structure.

Parties may also submit a Joint Request if both agree on the composition of the tribunal and procedural timetable, expediting the start of the arbitration.

Arbitral Tribunal

Article7 of the 2021 Rules details the appointment of arbitrators. The Rules reinforce party autonomy while providing safeguards against conflicts of interest.

• Number of arbitrators: Parties may agree on one, three, or an odd number greater than three.
• Selection process: Each party appoints one arbitrator; the two partynominated arbitrators select the presiding arbitrator within 30days of receipt of the Request.
• Challenge procedure: A party may challenge an arbitrator for cause within 15days of receiving the arbitrators consent.
• Diversity and expertise: The ICC encourages the selection of arbitrators with relevant sector experience and promotes gender, geographic, and cultural diversity.

Procedural Rules and Timelines

The 2021 Rules place a stronger emphasis on case management and streamlined timelines.

• Case Management Conference (CMC): Must be held within 30days of the tribunals constitution, unless the parties agree otherwise.
• Procedural Timetable: The tribunal drafts a timetable outlining key dates for pleadings, evidence, hearings, and the award. Parties are expected to adhere to the schedule, and extensions require justification.
• Interim Measures: The tribunal may grant interim relief at any stage, and the Rules facilitate swift communication with courts for enforcement.
• Use of Technology: The Rules expressly permit virtual hearings, electronic filing, and secure digital communication platforms, reflecting postpandemic practice.

Evidence and Hearings

Articles1922 cover the handling of evidence. The 2021 edition clarifies the burden of proof, admissibility standards, and the role of expert witnesses.

• Document Production: Parties may request production of documents; the tribunal may order limited or extensive production based on relevance and proportionality.
• Witness Statements: Witnesses may submit written statements; oral testimony is reserved for hearings unless the tribunal orders otherwise.
• Expert Evidence: Parties may retain experts; the tribunal can appoint its own experts, particularly for technical matters.
• Confidentiality: The Rules reaffirm that all proceedings are confidential unless the parties consent to disclosure or a court orders otherwise.

Award, Correction and Enforcement

The final award is governed by Articles3336. The 2021 Rules introduce a simplified correction mechanism and a clear approach to finality.

• Form of the Award: Must be in writing, signed by all arbitrators, and include reasons (unless the parties agree to a summary award).
• Correction: Within 30days of receipt, a party may request correction of clerical, typographical, or computational errors. The tribunal must decide within 15days.
• Interpretation: Parties may seek interpretation of ambiguous provisions within 30days of the award.
• Appeal to the ICC Court: An appeal on procedural grounds is permissible only if the parties have expressly agreed to this option in their arbitration agreement.
• Enforcement: The award benefits from the New York Convention; the ICC provides assistance in obtaining recognition and enforcement in jurisdictions worldwide.

Key Updates in the 2021 Edition

While the ICC Rules evolve incrementally, the 2021 version incorporates several noteworthy changes:

• Expedited Arbitration: A new FastTrack procedure for claims under US$500,000, limiting the tribunal to a single arbitrator and a 90day timetable.
• Electronic Communication: Formal recognition of email and digital signatures for all procedural filings.
• Cost Transparency: Introduction of a detailed cost schedule and a costcapping option by mutual agreement.
• ThirdParty Funding Disclosure: Parties must disclose any thirdparty funding arrangements at the earliest stage.
• COVID19 Safeguards: Provisions for forcemajeure events, allowing tribunals to adapt timelines and hearing formats.