COMPARISON BETWEEN ICC RULES 1998, ICC RULES 2012 AND ICC RULES 2017

Aspect of ICC Rules 1998 Article ICC Rules 2012 Article ICC Rules 2017 Article
Arbitration
Role of the The function of the ICC 1(1) The ICC Court administers Article 1(2) No changes made Article
ICC Court is to provide for resolution of disputes by arbitral 1(2)
International settlement by arbitration of tribunals in accordance with the
Court of international business ICC Rules. The Court is the only
Arbitration disputes in accordance with body authorized to administer
the ICC Rules. arbitrations under the ICC Rules.

By agreeing to arbitration under Article 6(2) Article

the ICC Rules, the parties accept 6(2)
that the ICC Court will
administer the arbitration

Written Notifications or Article Notifications or communications Article 3(2) No changes made Article 3
notification communications from the 3(2) from the Secretariat and the (2)
and Secretariat and the tribunal tribunal may be made by
communication may be made by delivery delivery against receipt,
against receipt, registered registered post, courier, email, or
post, courier, facsimile any other means of
transmission, telex, telecommunication that provides
telegram or any other means a record of sending
of telecommunication that
provides a record of
sending.

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Request for A Request for Arbitration Article A Request for Arbitration must Articles No changes made Article
Arbitration must be sent to the 4(1) and be sent to the Secretariat at any 4(1), 4(4) 4(1), 4(4)
Secretariat, together with 4(4) of the Internal Rules, together and and
the required number of with required number of copies Appendix II Appendi
copies and the advance and the filing fee required by (Internal x II
payment on administrative Appendix III (“Arbitration Costs Rules) (Internal
expenses required by and Fees”) Rules)
Appendix III (“Arbitration
Costs and Fees”). Article
Article 4(3) 4(3)
The Request must contain: the
full name, description, address
The Request must include: and other contact details of
the full name, description Article parties; the Claimant’s
and address of the parties; a 4(3) representatives; a description of
description of the dispute the dispute giving rise to the
giving rise to the claim; a claim and the basis on which the
statement of the relief claim is made; a statement of the
sought, including, to the relief sought together with the
extent possible, an amount of any quantified claim
indication of the amount and, to the extent possible, an
claimed; the relevant estimate of the monetary value of
agreements, in particular the any other claims; any relevant
arbitration agreement; all agreement and, in particular, the
relevant particulars arbitration agreement(s); where
regarding the number of claims are made under more than
arbitrators and their choice one arbitration agreement, an
and any nomination of an indication of the arbitration
arbitrator required under the agreement under which each
Rules; any comments about claim is made; all relevant

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 the place of arbitration, the particulars and observation or
applicable rules of law and proposals regarding number of
the language of the arbitrators and their choice and
arbitration any nomination of an arbitrator
required by the rules; all relevant
particulars and any observation
or proposals about place of
arbitration, applicable rules of
law and language of the
arbitration

Answer to the The Respondent must file Article The Respondent must submit an Article 5(1) No changes made Article
Request and an Answer within 30 days 5(1) Answer within 30 days of receipt 5(1)
Counterclaims from receipt of the Request. of the Request. The Answer must
The Answer must include contain the respondent’s full
the Respondent’s full name, name, description, address and
description and address; other contact details; name,
comments as to the nature address and other contact details
and circumstances of the of anyone representing them;
dispute giving rise to the comments as to the nature and
claim; the response to the circumstances of the dispute and
relief sought; comments the basis on which the claim is
about the number of made; the response to the relief
arbitrators and their choice sought; observations or proposals
in light of the Claimant’s regarding number of arbitrators
proposals and the rules, and and their choice and any
any nomination of an nomination of an arbitrator
arbitrator required by the required by the rules;
rules; any comments about

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 place of arbitration, Observations or proposals as to
applicable rules of law and the place of arbitration, the
language of arbitration. applicable rules of law and
language of the arbitration. The
respondent may submit other
documents or information with
the answer as it considers
appropriate

Counterclaims Any counterclaim must be Article Any counterclaim must be Article 5(5) No changes made Article
filed with the Answer and 5(5) submitted with the Answer and 5(5)
must provide a description must provide a description of the
of the dispute giving rise to dispute giving rise to the
the counterclaim and a counterclaim and the basis on
statement of the relief which the counterclaim is made;
sought, including to the a statement of the relief sought,
extent possible, an together with the amounts of any
indication of any amount quantified counterclaims and an
counterclaimed. estimate of the monetary value of
any other counterclaims; any
relevant agreements and in
particular the arbitration
agreement; where counterclaims
are made under more than one
arbitration agreement, an
indication of the arbitration
agreement under which each
counterclaim is made. The
respondent may submit other

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 documents or information with
its counterclaim as it considers
appropriate.

Challenges to Where there is a challenge Article Any challenges to the existence, Articles The title changes to Article 6
existence of to the existence, validity or 6(2) validity or scope of the 6(3) and “Effect of the Arbitration
arbitration scope of the arbitration arbitration agreement or 6(4) Agreement”
agreement agreement, the ICC Court concerning whether all the
may make a prima facie claims made in the arbitration
determination as to the may be determined together in a
existence of an ICC single arbitration will be decided
arbitration clause. directly by the arbitral tribunal,
unless the Secretary General
refers the matter for decision to
the ICC Court.

If the matter is referred to the Article 6(7)

ICC Court and it decides that the
arbitration cannot proceed in
respect of any of the claims, than
decision
Emergency No provision for A party that needs urgent interim Article 29 Article
arbitrator appointment of an or conservatory measures that 29
emergency arbitrator cannot await the constitution of
an arbitral tribunal may apply for
an emergency arbitrator to be
appointed, provided that the file
has not been transmitted to the
arbitral tribunal. The emergency
arbitrator provisions do not apply

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 if the arbitration agreement was
concluded before 1 January
2012, the parties have agreed to
opt-out of them, or the parties
have agreed to another pre-
arbitral procedure that provides
for interim measures.
Article 29.6 The emergency Arbitrator Article
The emergency arbitrator provisions shall not apply 29.6
provisions shall not apply if: if:
a. The arbitration
a. The arbitration agreement agreement under
under the rules was the Rules was
concluded before the date concluded before 1
on which the rules came January 2012
in force.

Joinder of No provision A party may request that an Article 7 No changes made Article 7
additional additional party be joined to the
parties arbitration by submitting a
Request for Joinder to the
Secretariat. The Request for
Joinder must be submitted before
the confirmation or appointment
of any arbitrator, unless all
parties (including the additional
party) agree otherwise.

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Claims No provision, except Article 10 In an arbitration with multiple Article 8 No changes made Article 8
between regarding nomination of parties, claims may be made by
multiple arbitrators where there are any party against any other party.
parties multiple parties.

Multiple No provision Claims arising out of or in Article 9 No changes made Article 9

contracts connection with more than one
contract may be made in a single
arbitration.

Consolidation Where a Request for Article The ICC Court may, if requested Article 10 No changes made Article
of arbitrations Arbitration is submitted in 4(6) by a party, consolidate two or 10
connection with a legal more arbitrations pending under
relationship in respect of the ICC Rules where: the parties
which an ICC arbitration have agreed; all the claims are
between the same parties is made under the same arbitration
already pending, the ICC agreement; or if made under
Court may, if requested by a more than one arbitration
party, consolidate the agreement, the arbitrations are
claims, provided Terms of between the same parties, the
Reference have not been dispute arise in connection with
signed or approved by the the same legal relationship and
ICC Court the Court finds the arbitration
agreements to be compatible.

Arbitrators’ Arbitrators must be and Article Arbitrators must be and remain Article No changes made Article
disclosure remain independent of the impartial and independent of the 11(1)

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obligations parties involved in the 7(1) parties involved in the 11(1)
arbitration. arbitration. Before appointment
or confirmation, a prospective
Before appointment or arbitrator must sign a statement Article
confirmation, a prospective of acceptance, availability, 11(2)
arbitrator must sign a impartiality and independence
statement of independence Article and disclose in writing any facts
and disclose in writing any 7(2) or circumstances which might
facts or circumstances call into question his
which might call into independence in the eyes of the
question his independence parties, as well as any
in the eyes of the parties. circumstances that could give
rise to reasonable doubts as to
his impartiality. The decisions of the Court
as to the appointment
The decisions of the Court as to confirmation, challenge,
the appointment confirmation, or replacement shall be
challenge, or replacement shall Article final. (The term “And the
be final and the reasons for such 11(4) reasons for such decisions
decisions communicated communicated” has been
removed)
Appointment Where the ICC Court has to Article 9 The ICC Court will normally Articles 13 Article
of arbitrators appoint an arbitrator, it will appoint arbitrators upon proposal 13
normally do so upon the of a National Committee or
proposal of a National Group of the ICC that it
Committee. However, if the considers to be appropriate.
circumstances demand, it However, it may appoint an
may choose the sole arbitrator directly in specified
arbitrator or the chairman of circumstances, including where
the tribunal from a country one or more of the parties is a

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 where there is no National state or claims to be a state entity
Committee. If the ICC
Court has to appoint an
arbitrator on behalf of a Article The court. May also
party, it may choose any The court. May also appoint 13(4) appoint directly to act as Article
person it regards as suitable directly to act as arbitrator any arbitrator any person 13(4)
if it does not accept the person whom it regards as whom it regards as
National Committee’s suitable where: suitable where:
proposal, the National a. One or more of the parties
Committee does not make a One or more of the parties
is a state or claims to be a is a state or may be
proposal within the requisite state entity.
time limit, or the country of considered to be a state
which the party is a national entity
has no National Committee.

Challenge of A challenge of an arbitrator, Article A challenge of an arbitrator, Article 14.1 No changes made Article
arbitrators whether for an alleged lack 11(1) whether for an alleged lack of 14(1)
of independence or impartiality or independence, or
otherwise, must be made to otherwise, must be made to the
the Secretariat by written Secretariat by written submission
statement.

Proof of No provision At any time after that Article 17 No changes made Article
authority commencement of the 17
arbitration, the arbitral tribunal
or the secretariat may require
proof of the authority of any
party representatives.

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Efficient and No specific provisions. The arbitral tribunal and the Article 22 No changes made Article
cost- effective parties shall make every effort to (1) 22(1)
case conduct the arbitration in an
management expeditious and cost effective
manner.
To ensure effective case Article Article
management, the tribunal may, 22(2) and 22(2)
after consulting the parties, adopt Appendix and
such procedural measures as it IV Appendi
considers appropriate. x IV
To facilitate case management, Article
the tribunal must convene a case 24(1) Article
management conference with the 24(1)
parties when drawing up the
Terms of Reference or as soon as
possible after doing so.
This may be followed by further
case management or consultation Article Article
with the parties, to ensure 24(3) 24(3)
effective case management
throughout the arbitration.
It will be open to the tribunal to
request that the parties attend any Article
case management conference in Article 24(4)
person 24(4)
Confidentiality No express provision, Article The tribunal may, if request by a Article No changes made Article
except that the arbitral 20(7) party, make orders concerning 22(3) 22(3)
tribunal may take measures the confidentiality of the
for protecting trade secrets proceedings and may take
and confidential measures for protecting trade

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 information. secrets and confidentiality.

Closing the Once the tribunal has Article Once the tribunal has declared Article 27 No changes made Article
proceedings declared the proceedings 22(2) the proceedings closed, it will 27
closed, it must inform the inform the Secretariat and the
Secretariat of the parties of the date by which it
approximate date by which expects to submit its draft award
the draft award will be to the ICC court for approval
submitted to the ICC Court
for approval

Expdedited No Provisions By agreeing to arbitration Article

procedure under the Rules, the 30
parties agree that this
Article 3 and the
Expedited Procedure
Rules set forth in
Appendix VI (Collectively
the “Expedited Procedure
Provisions”) Shall take
precedence over any
contrary terms of the
arbitration agreement.
Advance to After receipt of the Request, the Article 36 After Receipt of the Article
Cover the Cost Secretary General may request Request, the Secretary 37
of the the claimant to pay a provisional General may request the
Arbitration advance in an amount intended claimant to pay a
to cover the costs of the provisional advance in an
arbitration until the Term of amount intended to cover
Reference have been drawn up. the costs of the arbitration.

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 Any provisional advance paid a. Until the Terms of
will be considered as a partial Reference have
payment by the claimant of any been drawn up; or
advance on costs fixed by the b. When the expedited
Court pursuant to this Article 36 procedure
provisions apply,
until the case
management
conference.
Any provisional advance
paid will be considered as
a partial payment by the
claimant of any advance
on costs fixed by the
Court pursuant to this
article 37.
Parties’ No specific provision. The tribunal is expressly Article No changes made Article
conduct as a authorized to take the parties' 37(5) 38(5)
factor in conduct into account when
deciding costs making decisions about costs,
including the extent to which
they have conducted the
arbitration expeditiously and
cost- effectively.

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