ICC Dispute Resolution Services
ICC Arbitration –
An Overview
Kim Kit, Ow
Taipei
16 May 2011
ICC Dispute Resolution Services
Introduction to the ICC –
ICC Commissions,
Work of the ICC
2
ICC Dispute Resolution Services
ICC OVERVIEW
•
ICC Founded in 1919 by entrepreneurs (“Merchants of Peace”), ashes
of WW1 and is the world business organization, a representative body
that speaks with authority on behalf of enterprises from all sectors in
every part of the world.
•
The fundamental mission of ICC is to promote trade and investment
across frontiers and help business corporations meet the challenges
and opportunities of globalization. ICC has 3 main activities: rulessetting, arbitration and policy.
•
ICC has unrivalled authority in making rules that govern the conduct of
business across borders and are observed in countless transactions
every day and have become part of the fabric of international trade.
3
ICC Dispute Resolution Services
ICC OVERVIEW
There are several commissions of the ICC and ICC makes policy in: •
•
•
•
•
•
•
•
Anti-Corruption
Banking Technique & Practice
Competition
Customs & Trade Regulations
Economic Policy
Financial Services & Insurance
Marketing & Advertising
Trade & Investment Policy
Arbitration
Commercial Law & Practice
Corporate Responsibility
E-business, IT & Telecoms
Environment & Energy
Intellectual Property
Taxation
Transport & Logistics
4
ICC Dispute Resolution Services
ICC Arbitration and the
Structure of the ICC
International Court of
Arbitration
5
ICC Dispute Resolution Services
ICC Arbitration … in the beginning
• Realised importance of resolving international
commercial disputes
• ICC International Court of Arbitration was
established in 1923
• First ICC arbitration: 28 February 1921 (before ICC
Court established). USA Co. v French Co. Unlawful
use of trade mark/ breach of non-competition clause
6
ICC Dispute Resolution Services
Distinguishing Features
• Substantial experience
• Truly international character
• Rules have mechanisms to control the quality of the process, the
arbitrators and legality of the award
• Rules are inherently flexible and adaptable
• "Red" and "Green" Rules
• Role of the National Committees
7
ICC Dispute Resolution Services
Substantial Experience
•
•
•
•
Over 17,000 arbitration cases since 1923
Over 1,500 currently pending cases
State/Govt. entities: about 10% of parties
Growing number of “investment disputes”, BITs
Case values as at beginning of 2009:
• Total value of cases: US$ 99.4 Billion
• Average value: US$ 82.3 Million
• Several cases of more than US$ 1 Billion
• Small cases: 23.1% are less than US$ 1 Million
8
ICC Dispute Resolution Services
Truly International
ICC International Court of Arbitration
• Not a judicial Court; 125 volunteer members from 90 countries
• Sits weekly (committee sessions) and monthly (plenary sessions)
International Secretariat – permanent (salaried) staff
• Secretary General and Deputy Secretary General
• Staff of 70 members including 40 lawyers
• Some 25 different nationalities speaking some 24 different
languages
Paris: Seven teams of 3-4 lawyers (plus secretarial/admin staff)
Hong Kong: branch of the Secretariat for Asian cases, 3 lawyers
9
ICC Dispute Resolution Services
Structure of the ICC – the Secretariat
Secretary
General
Deputy
Secretary
General
Asian
Team (HK)
Latin
American
and
Carribean
Team
Commonwealth
Team
Swiss and
Italian
Team
General
Counsel
Eastern
European
Team
French,
African and
Middle
Eastern
Team
German
and
Austrian
Team
North
American
Team
10
ICC Dispute Resolution Services
ICC COURT & SECRETARIAT vs. TRIBUNAL
Court & Secretariat
•Does not settle disputes, rather
supervises the work of the Arbitral
Tribunal
•Basic procedural decisions
•Appointments, confirmations,
challenges, replacements of
arbitrators
•Control of time limits
•Scrutiny of Awards
•Case budget
Arbitral Tribunal
•Settlement of the dispute
•Management of the case in
consultation with the parties
•Rapidity and diligence
•Interim/Partial and Final Awards
11
ICC Dispute Resolution Services
ICC National Committees & ICC Groups
Role of the National Committee (“NC”) and Group:
•
•
•
•
•
NC / Group is an Affiliate of ICC that represents ICC. ICC Groups
comprise leading companies and business associations in their
territories.
NCs and Groups shape ICC policies and alert their governments to
international business concerns.
Over 92 NCs / Groups globally – In Taipei: CIECA
Appointment of arbitrators – ICC itself does not have a list of
arbitrators. NCs and Groups maintain their own list.
Promote ICC Dispute Resolution Services globally
12
ICC Dispute Resolution Services
Features of ICC Rules of
Arbitration and the Process of
ICC Arbitration
13
ICC Dispute Resolution Services
Features of ICC Arbitration Rules
•
Short, Simple and Flexible Rules
•
Quality Control by Court, with assistance from Secretariat:
•
Control of arbitrators
– Confirmation/ appointment/ challenge etc.
– Remove non-performing arbitrators (Art. 12(2) of Rules)
•
Regular Monitoring of proceedings (prevent delays)
•
Time control: Court closely monitors time; Terms of Reference; Procedural Timetable;
pressure re Awards
•
Full Cost control (Ad Valorem, transparency)
•
Award Scrutiny – all draft awards reviewed (Secretariat and ICC Court). Does not
interfere with merits
14
ICC Dispute Resolution Services
Scrutiny of ICC Awards – Art 27
• Deliberation: Arbitral Tribunal alone
• Submission of draft award to the Secretariat/ Court (Art 27)
• All awards reviewed by 5-6 arbitration lawyers:
Reviewed by Counsel handling the case
+ by Deputy Secretary General
+ sometimes by Secretary General or General Counsel
+ sometimes by a “rapporteur” Court member
+ by other Court members
• Potential problems are often discovered
– 2009: 415 awards rendered, 382 returned to Arbitral Tribunal with
comments
15
ICC Dispute Resolution Services
Benefits of Scrutiny
• Improves the quality and enhances the enforceability of
the award
• Compensates for the absence of appeal?
• Especially important with less experienced arbitrators
(eg, a banking industry expert who may not have much
experience of international arbitration law and practices)
16
ICC Dispute Resolution Services
ICC Arbitration – 2005 to 2010 Overview
17
ICC Dispute Resolution Services
2010 Statistics
In 2010:
•
•
•
•
•
•
•
793 Requests for Arbitration were filed with the ICC Court;
Those Requests concerned 2,145 parties from 140 countries and
independent territories;
In 10% of cases at least one of the parties was a State or parastatal
entity;
The place of arbitration was located in 53 countries throughout the
world;
Arbitrators of 73 nationalities were appointed or confirmed under the
ICC Rules;
The amount in dispute was under one million US dollars in 24.1% of
new cases;
478 awards were rendered.
18
ICC Dispute Resolution Services
Asia Pacific Snapshot
Year
Number (%) of Number (%) of
Asia-Pacific
Asia-Pacific seats
parties
in
ICC of arbitration
arbitrations
1980
22 (4.7%)
Zero
1990
111 (11.2%)
8 (3.2%)
2000
162 (11.6%)
13 (12.7%)
2010
255 (11.9%)
60 (10.1%)
19
ICC Dispute Resolution Services
Places of Arbitration in 2009
A total of 101 different cities in 53 countries were selected as places of arbitration in
2009.
Places of arbitration in brief: most commonly selected cities and countries
20
ICC Dispute Resolution Services
Asia Pacific Statistics in 2009
•
India was the most frequently represented country, followed by China, then South
Korea, Singapore, Japan and Malaysia.
* 33 from Mainland China (15 claimants, 18 respondents); 15 from
Hong Kong (7 claimants, 8 respondents); 1 from Macau (claimant)
21
ICC Dispute Resolution Services
Expansion of ICC in Asia Pacific in 2008 to 2009
Branch of the ICC Secretariat
in Hong Kong
ICC Regional Office, Asia
in Singapore
December 2008 - the ICC Secretariat December 2009 - the ICC created the ICC
established its first branch outside Paris in Regional Office, Asia in Singapore.
Hong Kong.
Parties can now file Requests for Arbitration to
the Secretariat’s office in Hong Kong, instead
of sending them to Paris. The Secretariat’s
exchanges with parties and arbitrators are
facilitated by real-time communication in a
common time zone.
Dedicated liaison office for the promotion
and business development aspects of the
ICC Dispute Resolution Services.
To contact the ICC Regional Office, Asia,
please email Ms Ow Kim Kit, Director ICC
Arbitration and ADR, Asia at
To contact the Secretariat’s Asia Office, email [email protected] or telephone 65 6225
Ms Khong Cheng-Yee, Director and Counsel 9081.
at [email protected] or telephone
852 3607 5600.
22
ICC Dispute Resolution Services
OTHER DISPUTE RESOLUTION SERVICES
Commonly known as the “GREEN RULES”, these rules are intended for
use by parties seeking to resolve disputes amicably, through expertise,
or with the existence of a dispute board.
ADR Rules
(2001)
Expertise
(2003)
Dispute Boards
(2004)
DOCDEX
(2002)
The ICC ADR Rules offer a
framework for settling
business disputes amicably
with the help of a third party
(Neutral). The Rules allow the
parties to choose from
various settlement techniques
(eg. mediation, negotiation,
neutral evaluation, mini-trial
etc…) in order to resolve the
dispute in an amicable
manner.
Expertise is for finding the
right person to make an
independent assessment in
technical, legal, financial and
other areas relevant to the
business operations.
The ICC International Centre
for Expertise may be called
upon for the proposal of an
expert, the appointment of an
expert or the administration
of expertise proceedings.
Independent standing bodies
designed to help resolve
disagreements and disputes
as and when they arise during
the performance of a
contract. The ICC has
established a set of
documents providing a
comprehensive and flexible
framework for establishing
and operating Dispute Boards
in a wide range of contracts in
different industries.
The International Centre for
Expertise also administers the
ICC Rules for Documentary
Instruments Dispute
Resolution Expertise
(DOCDEX), drawn up by the
ICC Banking Commission to
facilitate the rapid settlement
of disputes under the
applicable ICC Rules of UCP;
URR ; URC or URDG (the ICC
Financial Rules).
23
ICC Dispute Resolution Services
THANK YOU !
Kim Kit, Ow
Director, ICC Arbitration and ADR, Asia
32 Maxwell Road
#02-11 Maxwell Chambers
Singapore 069115
Email: [email protected]
Telephone: +65 6225 9081
24
Descargar

Diapositive 1