ICC App ICC Appointment Rules (2018)
ICC App
ICC Appointment Rules (2018)
(1) Under the UNCITRAL Rules, the Court may provide one or more of the following services, as requested:
a) appoint a sole arbitrator pursuant to Articles 7(2) or 8 of the UNCITRAL Rules;
b) appoint one or more arbitrators pursuant to Article 9(2) of the UNCITRAL Rules, if several arbitrators are to be appointed;
c) appoint the presiding arbitrator pursuant to Article 9(3) of the UNCITRAL Rules;
d) constitute the arbitral tribunal pursuant to Article 10(3) of the UNCITRAL Rules;
e) decide on a challenge of an arbitrator pursuant to Article 13(4) of the UNCITRAL Rules;
f) appoint a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
g) decide whether to authorise the other arbitrators to proceed without appointing a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
h) review the arbitral tribunal’s proposal on fees and expenses, and if necessary make the necessary adjustments thereto, pursuant to Article 41(2) and (3) of the UNCITRAL Rules;
i) review the arbitral tribunal’s determination of its fees and expenses pursuant to Article 41(4)(b) of the UNCITRAL Rules;
j) provide the arbitral tribunal, on a consultative basis, with any comments on the appropriate amounts of any deposits or supplementary deposits pursuant to Article 43(3) of the UNCITRAL Rules;
k) perform any other services on which the parties may have agreed, including administrative services as described in Article 8 of the Rules;
l) act as repository of published information under the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration by agreement of the parties pursuant to Article 1(2)(a) thereof; and
m) publish on its website or otherwise make available to the public information or documents related to the parties’ arbitration when subject to transparency rules or regulations.
(2) When appointing a sole or presiding (third) arbitrator pursuant to Articles 7(2) and 9(3) of the UNCITRAL Rules, the Court shall follow the list-procedure set forth in Article 8(2) of the UNCITRAL Rules, unless all parties agree that the list-procedure should not be used or the Court determines in its discretion that the use of the list-procedure is not appropriate.
(3) When following the list-procedure, the Court shall prepare a list of at least three candidates, which shall be communicated to the parties by the Secretariat. Within 15 days of receiving this list, each party may return the list to the Secretariat after deleting the name or names to which it objects and numbering the remaining names on the list in the order of its preference. After expiration of the aforementioned 15-day time limit, the Court shall appoint the sole or presiding arbitrator from among the names approved on the list returned to the Secretariat and in accordance with the order of preference indicated by the parties. If for any reason the appointment cannot be made according to this procedure, the Court may exercise its discretion in appointing the sole or presiding arbitrator.
(4) In accordance with Article 6(7) of the UNCITRAL Rules, when making the appointment the Court shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties.
(5) When appointing an arbitrator pursuant to Article 9(2) of the UNCITRAL Rules, the Court may exercise its discretion in making the appointment.
(6) In the event of any failure to constitute the arbitral tribunal under Article 10 of the UNCITRAL Rules, the Court shall, at the request of any party, constitute the arbitral tribunal, and may revoke any appointment already made and appoint or reappoint each of the arbitrators and designate one of them as the presiding arbitrator.
(7) The Court will take decisions on challenges submitted by any party under Article 13(4) of the UNCITRAL Rules after the Secretariat has afforded an opportunity for the arbitrator concerned, the other party or parties, and any other members of the arbitral tribunal to comment in writing within a suitable period of time. Such comments shall be communicated to the parties and the arbitrators before being submitted to the Court.
(8) At the request of any party and after the Secretariat has afforded an opportunity for the parties and members of the arbitral tribunal to comment in writing within a suitable period of time, the Court may decide, pursuant to Article 14(2) of the UNCITRAL Rules, to either (i) appoint a substitute arbitrator, or (ii) after the closure of the hearings, authorise the other arbitrators to proceed with the arbitration and make any decision or award. When appointing a substitute arbitrator under Article 14(2) of the UNCITRAL Rules, the Court shall follow the procedure set forth therein.
(9) Pursuant to Article 41(3) of the UNCITRAL Rules, within 15 days after being informed by the arbitral tribunal as to how the arbitral tribunal proposes to determine its fees and expenses, including the rates it intends to apply, any party may refer that proposal to the Court. If the Court finds that the proposal of the arbitral tribunal is inconsistent with Article 41(1) of the UNCITRAL Rules, the Court shall make any necessary adjustments thereto within 45 days of receiving such referral. The Court’s determination shall be binding upon the arbitral tribunal.
(10) Pursuant to Article 41(4)(b) of the UNCITRAL Rules, within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer such determination to the Court for review. If the Court finds that the arbitral tribunal’s determination is inconsistent with the arbitral tribunal’s proposal (and any adjustments thereto) under Article 41(3) of the UNCITRAL Rules or is otherwise manifestly excessive, the Court shall, within 45 days of receiving such referral, make any adjustments to the arbitral tribunal’s determination that are necessary to satisfy the criteria in Article 41(1) of the UNCITRAL Rules. Any adjustments made by the Court shall be binding upon the arbitral tribunal.
(11) At the request of any party and pursuant to Article 43(3) of the UNCITRAL Rules, the Court may, on a consultative basis, provide the arbitral tribunal with any comments it deems appropriate concerning the amount of any deposits or supplementary deposits to be made under Article 43 of the UNCITRAL Rules.
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