2021 ICC Arbitration Rules

1. Introduction

The International Chamber of Commerce (ICC) released a revised set of arbitration rules in 2021. The new rules replace the 2016 edition and are designed to make ICC arbitration more efficient, transparent and costeffective while preserving the flexibility that parties expect from international arbitration.

This page provides a concise overview of the most important provisions, procedural innovations and practical implications for parties, counsel and arbitrators.

2. Scope and Application

Rule 1 confirms that the 2021 Rules apply to all arbitrations administered by the ICC unless the parties have expressly opted for an earlier version. The rules are intended for disputes arising out of commercial contracts, joint ventures, licensing, construction, finance and any crossborder matter where the parties have agreed to ICC arbitration.

Key points:

• They are default rules; parties may supplement or modify them by agreement.
• They apply to both ad hoc arbitrations under the ICCs expedited procedure and to fullscale arbitrations.
• They coexist with the ICC Arbitration Courts supervisory functions.

3. Commencement of Arbitration

3.1 Request for Arbitration

The claimant must file a Request for Arbitration (RFA) that includes:

• Parties details and contact information.
• A clear statement of the dispute and relief sought.
• Reference to the arbitration agreement.
• Any documents the claimant wishes to rely upon.

The RFA must be accompanied by the appropriate filing fee, calculated in accordance with the ICC Fee Schedule.

3.2 Response

The respondent has 30 days (extendable by agreement or by a ICC decision) to file a Statement of Defence, indicating its position, any counterclaims and the documents it intends to rely on.

4. Constitution of the Tribunal

4.1 Number of Arbitrators

Parties may agree on a sole arbitrator or a threemember tribunal. The default is a sole arbitrator unless the dispute value exceeds a threshold set by the ICC (currently 2million) or the parties have otherwise specified a threeperson panel.

4.2 Appointment Process

The ICC Court appoints the arbitrator(s) after consulting the parties. The new rules introduce a list of senior arbitrators that the ICC maintains, facilitating quicker appointments. Parties may also propose their own candidates, provided they meet the ICCs independence and competence criteria.

4.3 Challenges

Challenges to an arbitrators independence or impartiality must be made in writing within 15 days of the appointment (or later if the ICC grants an extension). The ICC Court decides on challenges, and its decision is final and binding.

5. Preliminary Procedures

5.1 Preliminary Meeting

A preliminary meeting (or conference call) is now mandatory in most cases. Its purposes are to:

• Agree on a procedural timetable.
• Identify any urgent interim measures.
• Discuss document production and confidentiality.

The meeting may be conducted virtually, reflecting the increased acceptance of remote hearings.

5.2 Procedural Order

Within 30 days of the preliminary meeting, the tribunal issues a Procedural Order outlining the timetable, documentexchange schedule, witness list and hearing format. Failure to comply with the order may result in sanctions, including cost penalties.

6. Disclosure and Document Production

The 2021 Rules place greater emphasis on early disclosure. Parties must identify the documents they intend to rely on and must make them available to the opposite side within the timeframe set by the Procedural Order. The tribunal may order further production if it deems necessary for the fair resolution of the dispute.

Key innovations:

• Proportionality test the tribunal balances the usefulness of the document against the burden of production.
• Electronic evidence submissions in electronic format are expressly permitted, provided they meet authenticity standards.
• Confidentiality safeguards parties may request protective orders to limit public disclosure of sensitive information.

7. Hearings

7.1 Format

The Rules promote flexibility: hearings may be held in person, via video conference, or a hybrid of both. The chosen format must be reflected in the Procedural Order.

7.2 Language

The language of the arbitration is determined by the parties agreement or, absent such agreement, by the tribunal. The Rules encourage the use of a single language to avoid translation costs, but parties may request a second language for written submissions.

7.3 Witness Examination

Witnesses can be examined in person or remotely. The tribunal may order written statements in lieu of oral testimony if it deems this appropriate.

8. Awards

8.1 Draft Award

The tribunal prepares a draft award and circulates it to the parties for comments. Parties have 15 days (extendable) to submit observations.

8.2 Final Award

The final award must be issued within 60 days of the hearing (or of the deadline for observations on the draft award). The award must be signed by the arbitrator(s) and delivered to the parties and the ICC Court.

8.3 Reasoned vs. Reasonless Awards

Parties may request a reasoned award. If no request is made, the tribunal may issue a concise (reasonless) award, saving time and cost.

9. Costs and Fees

The ICC Fee Schedule governs filing and administrative fees. Tribunal fees are calculated on a sliding scale based on the amount in dispute.

Cost allocation principles:

• The standard rule is costs follow the event the losing party pays the winners costs.
• The tribunal may order a different allocation if it finds the conduct of a party unreasonable.
• Provisional cost orders can be issued during the arbitration to address urgent payment issues.

10. Interim Measures

Either party may request interim relief from the tribunal at any stage. The tribunal may also grant emergency measures before the full tribunal is constituted, using an Emergency Arbitrator appointed by the ICC Court within 48 hours of the request.

11. Confidentiality

All pleadings, evidence and the award are confidential unless the parties agree otherwise or a court order requires disclosure. The Rules expressly protect the confidentiality of the arbitration process, reinforcing the ICCs position as a trusted venue for private dispute resolution.

12. Enforcement

ICCs awards are enforceable under the 1958 New York Convention. The 2021 Rules do not alter the substantive enforceability but simplify the procedural aspects that can affect enforcement, such as clear timelimits for filing an award and detailed cost orders.

13. Practical Tips for Practitioners

• Draft the Request Carefully: Include all required details and ensure the filing fee is correct.
• Set Realistic Timelines: Use the preliminary meeting to agree on a timetable that reflects the complexity of the case.
• Leverage Document Production Provisions: Request early production of key documents to avoid delays.
• Consider Emergency Arbitrator: For urgent matters, request temporary relief promptly.
• Plan for Costs: Budget for ICC fees, arbitrator fees and potential cost orders from the outset.

14. Conclusion

The 2021 ICC Arbitration Rules represent a significant step toward greater efficiency, transparency and costeffectiveness in international commercial arbitration. By clarifying procedural steps, encouraging early case management and introducing flexible hearing formats, the Rules help parties resolve disputes faster while preserving the high standards that have made ICC arbitration a global benchmark.