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The ICC Rules for the Appointment of Experts and Neutrals are in force as from 1 February 2015.

Where, prior to the date of the entry into force of the Rules, the parties have agreed to the appointment of an expert or a neutral pursuant to the ICC Rules for Expertise, they shall be deemed to have agreed to such appointment pursuant to the ICC Rules for the Appointment of Experts and Neutrals unless any of the parties objects thereto, in which case the ICC Rules for Expertise shall apply.

Preamble
Article 1Recourse to the Centre
Article 2Written Notifications or Communications
Article 3The Appointment
Article 4Costs for the Appointment
Article 5General Provisions
Appendix I – Statutes of the Standing Committee
Article 1Composition of the Standing Committee
Article 2Meetings
Article 3Function and Duties of the Standing Committee
Article 4Confidentiality
Appendix II – Costs
Article 1Filing Fee
Article 2Additional Fee for Appointment
Article 3Appointment of a Neutral to act as Mediator
Article 4Additional Costs for Objection and Replacement
Article 5Administrative Expenses
Article 6Currency, VAT and Scope

Content

Preamble

The ICC Rules for the Appointment of Experts and Neutrals (the “Rules”) are administered by the ICC International Centre for ADR (the “Centre”), which is a separate administrative body within the International Chamber of Commerce (the “ICC”). In administering the Rules, the Centre is assisted by a Standing Committee, the statutes of which are set forth in Appendix I.

The Centre will appoint an expert or a neutral pursuant to the Rules in situations where the parties have agreed to use the Centre as the appointing authority or where the Centre is otherwise satisfied that there is a sufficient basis for appointing an expert or a neutral. In such cases the appointment by the Centre shall be binding on the parties. An expert appointed under the Rules may be a physical person or a legal person, such as a company or a partnership. The Centre’s role is limited to the process of appointing the expert or neutral in question and the Centre does not administer any proceedings under the Rules.

There are various situations in which the parties may agree to have an expert appointed by the Centre. Experts from a broad range of specializations may be appointed. Such specializations include accounting, finance, engineering, information technology, construction, energy and law. The parties may agree to appoint an expert to give a contractually binding expert determination or to give non-binding advice. This can be in either a contentious or non-contentious context.

There are also various situations in which the parties may agree to have a neutral appointed by the Centre. An appointed neutral may serve as a mediator or dispute board member or may assist them with the resolution of a dispute in any similar procedure that is not administered by the ICC.

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Article 1 – Recourse to the Centre

  1. Any request for the appointment of an expert or a neutral (the “Request for Appointment”) shall be submitted to the Centre. Any Request for Appointment shall be processed by the Centre only when it is based upon an agreement between the parties for the appointment of an expert or a neutral by the Centre or when the Centre is otherwise satisfied that there is a sufficient basis for appointing an expert or a neutral.
  2. The Request for Appointment shall include:
    1. the names, addresses, telephone numbers, email addresses and any other contact details of:
      1. each person filing the Request for Appointment and any other person involved in the relevant proceedings, including any other parties to the agreement for the appointment of an expert or a neutral; and
      2. any person representing each person filing the Request for Appointment;
    2. if applicable, the name and contact details of any person or entity relevant for checking potential conflicts of interest of the expert or neutral;
    3. when the Request for Appointment is for an expert:
      1. a description of the field of activity of the expert to be appointed;
      2. any desired attributes of the expert, including but not limited to education, qualifications, language skills and professional experience;
      3. any undesired attributes of the expert and a description of any matters that would disqualify a potential expert;
      4. a detailed description of the work to be carried out by the expert, including whether an expert report or site visits will be required;
      5. the desired time frame for completing such work;
      6. any agreement as to the language(s) to be used by the expert or, in the absence thereof, any proposal as to such language(s);
      7. any agreement as to the location of any physical meetings or, in the absence thereof, any proposal as to such location; and
      8. a copy of any agreement for the appointment of an expert by the Centre and/or of any other elements which form the basis of the Request for Appointment;
    4. when the Request for Appointment is for a neutral:
      1. a description of the dispute resolution or other procedure for which a neutral’s assistance is sought;
      2. a description of the dispute, if any;
      3. any desired attributes of the neutral, including but not limited to education, qualifications, language skills and professional experience;
      4. any undesired attributes of the neutral and a description of any matters which would disqualify a potential neutral;
      5. the desired time frame for conducting and completing the procedure;
      6. any agreement as to the language(s) to be used by the neutral or, in the absence thereof, any proposal as to such language(s);
      7. any agreement as to the location of any physical meetings or, in the absence thereof, any proposal as to such location; and
      8. a copy of any agreement for the appointment of a neutral by the Centre and/or of any other elements which form the basis of the Request for Appointment.
  3. The Centre shall inform the other party or parties in writing of the Request for Appointment once the Centre has sufficient copies of the Request for Appointment and has received the filing fee required under Article 4.
  4. When the Request for Appointment is not made jointly by all of the parties, and/or when the parties do not agree on the attributes of the expert or the neutral, and/or when the parties do not agree on the expert’s work or the neutral’s role, the Centre shall send a copy of the Request for Appointment to the other party or parties, who may make observations within a time limit fixed by the Centre. Observations received shall be communicated by the Centre to the other party or parties for comments within a time limit fixed by the Centre.
  5. The Centre shall proceed with the Request for Appointment as it sees fit and will inform the parties of how it will proceed.

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Article 2 – Written Notifications or Communications

  1. All written communications submitted to the Centre by any party, as well as all documents annexed thereto, shall be supplied in a number of copies sufficient to provide one copy for the Centre and one copy for each party.
  2. All notifications or communications from the Centre shall be made to the last address of the party or its representative for whom the same are intended, as notified either by the party in question or by the other party. Such notification or communication may be made by delivery against receipt, registered post, courier, email or any other means of telecommunication that provides a record of the sending thereof.
  3. A notification or communication shall be deemed to have been made on the day it was received by the party itself or by its representative, or would have been received if made in accordance with the preceding paragraph.

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Article 3 – The Appointment

  1. Any appointment of an expert or a neutral by the Centre shall be made by the Centre either through an ICC National Committee or Group, or otherwise. The Centre’s role under the Rules ends upon the notification of the appointment, except as provided in Article 3(5) below.
  2. In confirming or appointing an expert or a neutral, the Centre shall consider the prospective expert’s or neutral’s nationality, residence, training and experience, and the prospective expert’s or neutral’s availability and ability to conduct the work to be carried out. The Centre shall make all reasonable efforts to appoint an expert or a neutral having the attributes, if any, which have been agreed upon by all of the parties. If, despite such efforts, the Centre is not able to identify an expert or a neutral having all of the attributes agreed upon by all of the parties, the Centre may ask the parties whether they wish the Centre to appoint more than one expert or neutral (who between them have the requested attributes), or whether the attributes agreed upon by the parties may be modified.
  3. Every expert or neutral must be and remain impartial and independent of the parties involved in the proceedings, if any, unless otherwise agreed in writing by such parties.
  4. Before an appointment, a prospective expert or neutral shall sign a statement of acceptance, availability, impartiality and independence. The prospective expert or neutral shall disclose in writing to the Centre any facts or circumstances which might be of such a nature as to call into question the expert’s or neutral’s independence in the eyes of the parties, as well as any circumstances that could give rise to reasonable doubts as to the expert’s or neutral’s impartiality. The Centre shall provide such information to the parties in writing and shall fix a time limit for any comments from them.
  5. If any party files a written objection with the Centre asserting that the expert or neutral does not have the necessary attributes, is not fulfilling the expert’s or neutral’s functions or is not independent or impartial, the Centre may replace the expert or neutral after having considered the observations of the expert or neutral and the other party or parties.
  6. Any information or documents given to the expert or the neutral by the Centre or any party in connection with the appointment shall be used by the expert or the neutral only for the purposes of the appointment and shall be treated by the expert or the neutral as confidential.

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Article 4 – Costs for the Appointment

  1. Each Request for Appointment must be accompanied by the non-refundable filing fee specified in Article 1 of Appendix II. No Request for Appointment shall be processed unless accompanied by the filing fee.
  2. When the Centre is requested to appoint more than one expert or more than one neutral, the non-refundable filing fee accompanying the Request for Appointment and to be paid by the requesting Person is the amount referred to in the preceding paragraph multiplied by the number of experts or neutrals requested.
  3. After taking into consideration the specificities of the case, the Centre may fix an additional fee, as specified in Article 2 of Appendix II, to be paid by the party or parties having filed the Request for Appointment.
  4. Each written objection pursuant to Article 3(5) of the Rules must be accompanied by the non-refundable amount specified in Article 1 of Appendix II. No objection shall be processed unless accompanied by the requisite payment.
  5. The Centre may cease acting if any requested additional fee or amount has not been paid.
  6. When the Centre is requested to appoint an expert who has already been proposed by the Centre under the ICC Rules for the Proposal of Experts and Neutrals in connection with the same matter, the Centre shall charge a maximum of one half of the non-refundable filing fee specified in Article 1 of Appendix II in addition to the amount already paid pursuant to the ICC Rules for the Proposal of Experts and Neutrals.

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Article 5 – General Provisions

  1. An expert appointed under the Rules may be a physical person or a legal person, such as a company or a partnership. The term “expert” as used in the Rules applies mutatis mutandis to both physical and legal persons.
  2. Where, prior to the date of the entry into force of the Rules, the parties have agreed to the appointment of an expert or a neutral pursuant to the Rules for Expertise of the ICC, they shall be deemed to have agreed to such appointment pursuant to the ICC Rules for the Appointment of Experts and Neutrals, unless any of the parties objects thereto, in which case the Rules for Expertise of the ICC shall apply.
  3. The expert or neutral, the Centre, the ICC and its employees, and the ICC National Committees and Groups and their employees and representatives shall not be liable to any person for any act or omission in connection with the appointment of an expert or a neutral, except to the extent such limitation of liability is prohibited by applicable law.
  4. In all matters not expressly provided for in the Rules, the Centre shall act in the spirit of the Rules.

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Appendix I – Statutes of the Standing Committee

Article 1 – Composition of the Standing Committee

The Standing Committee is composed of a maximum of fifteen members (a president, three vice-presidents and up to eleven other members) appointed by the ICC for a three-year renewable term.

Article 2 – Meetings

A meeting of the Standing Committee shall be convened by its president whenever necessary.

Article 3 – Function and Duties of the Standing Committee

  1. The Standing Committee shall advise the Centre concerning all aspects of the services carried out by the Centre pursuant to the Rules, in order to help ensure the quality of those services. It shall assist the Centre in reviewing the attributes of the experts or neutrals to be appointed under the Rules.
  2. The Centre shall inform the members of the Standing Committee about all Requests for Appointment and ask the members for their advice.
  3. The president shall make the final decision on the appointment of the expert or neutral.
  4. The president will decide whether an objection is justified and shall decide on the manner in which a replacement will be made.
  5. In the absence of the president, or otherwise at the president’s request, one of the three vice-presidents shall be authorized by the Centre to fulfil the tasks of the president, including taking decisions pursuant to these statutes.

Article 4 – Confidentiality

The work of the Standing Committee and the Centre is of a confidential nature, which must be respected by everyone who participates in that work in whatever capacity.

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Appendix II – Costs

Article 1 – Filing Fee

Save as provided in Article 3 below, each Request for Appointment pursuant to the Rules must be accompanied by a filing fee of US$ 3,000 per expert or neutral to be appointed. The filing fee is non-refundable. No Request for Appointment shall be processed unless accompanied by the requisite payment.

Article 2 – Additional Fee for Appointment

  1. Depending on the specificities of the case, the Centre may request the payment of an additional fee from the party or parties having filed the Request for Appointment.
  2. When fixing the additional fee, the Centre shall take into account all circumstances of the case, including the requested attributes of the expert or neutral to be appointed, the specific nature of the case, including the amount of time needed by the Centre to identify suitable candidates, the time frame in which the Centre shall proceed with the appointment and any other relevant circumstances.
  3. The additional fee shall not exceed US$ 3,000 per expert or neutral to be appointed.

Article 3 – Appointment of a Neutral to act as Mediator

If the appointment of a neutral who shall act as a mediator is made at the joint request of all of the parties in ongoing proceedings pursuant to the ICC Rules of Arbitration, the appointment of the neutral shall be free of charge.

Article 4 – Additional Costs for Objection and Replacement

Each written objection to the appointment of an expert or a neutral by the Centre pursuant to Article 3(5) of the Rules shall be accompanied by a non-refundable amount of US$ 3,000. The amount is to be paid by the party or parties filing the objection. No objection shall be processed unless accompanied by the requisite payment.

Article 5 – Administrative Expenses

For additional services, the Centre may at its discretion fix ICC administrative expenses, which shall be commensurate with the services provided and shall normally not exceed a maximum amount of US$ 10,000.

Article 6 – Currency, VAT and Scope

  1. All amounts fixed by the Centre or pursuant to any Appendices to the Rules are payable in US dollars except where prohibited by law, in which case the ICC may apply a different scale and fee arrangement in another currency.
  2. Any ICC administrative expenses, including the filing fee and the additional fee, may be subject to value added tax (VAT) or charges of a similar nature at the prevailing rate.
  3. The above provisions on the costs of appointments of experts and neutrals shall be effective as of 1 February 2015 in respect of any Request for Appointment filed on or after such date under the present Rules and in respect of any request for the appointment of an expert filed on or after such date under the Rules for Expertise of the ICC.

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