ICC Data Privacy Notice for ICC Dispute Resolution Proceedings

I. Purpose of this Privacy Notice

This privacy notice describes how the International Chamber of Commerce collects and processes personal data as data controller in the context of the dispute resolution services and activities, performed by the International Court of Arbitration (the “Court”) and its Secretariat, the ICC International Centre for ADR and its Standing Committee (hereafter “ICC,” “we”, “us”) under the ICC Arbitration Rules, ICC Mediation Rules, other rules and similar dispute resolution proceedings (“ICC Proceedings”).

ICC Proceedings may finally determine the rights and interests of persons (both individuals and companies), and those proceedings therefore must be undertaken fairly and impartially. While ICC is not the decision maker, ICC plays an important role in ensuring that justice is served in ICC Proceedings, and that the parties’ fundamental procedural rights are adequately safeguarded. An important part of this role, which is in the public’s interest, is to ensure that international arbitration, of which ICC Proceedings are an important part, remains a trusted means of deciding disputes. By providing transparent information about ICC Proceedings, parties, potential parties and the public are informed about how justice is rendered in ICC Proceedings, allowing those proceedings to be more efficient and the decisions improved.

The conduct of ICC Proceedings requires the processing of personal data relating to actual or potential arbitrators, mediators, expert determiners, dispute board members, and individuals with similar functions (“Neutrals”), administrative secretaries, members of the Court and of National Committees and Groups, as well as the parties, their legal representatives, witnesses, and all other individuals that may be identified or identifiable in any data that is processed by ICC in the context of actual or potential ICC Proceedings (collectively “Data Subjects”).

ICC acts as a controller of  personal data for some of its activities and services in the context of ICC Proceedings. You should also be aware that in the context of an ICC Proceeding, others may also act as data controllers, including, for example, the parties, their representatives, and the Neutrals. ICC is the responsible entity for the data processing activities that it undertakes as an institution as described in this Notice, but not for the activities undertaken by other data controllers in the context of ICC Proceedings and their activities are not the subject of this Notice.

Please note that where you provide any personal data relating to third parties with whom we have no direct relationship in the context of an ICC proceeding, it is your duty to provide them with adequate notice that their data is being processed by ICC and other data controllers for the purposes described in this Notice.

This Privacy Notice is not intended to override any other privacy related orders or notices that may be issued in the context of ICC Proceedings or that we may provide you in specific circumstances. This Notice applies to the conduct of ICC in ICC Proceedings only. The International Chamber of Commerce’s general privacy notice can be found here.

This Notice is effective as of the date indicated at the end of this Notice.  A link to this notice will be provided in communications during ICC Proceedings.  If we make material changes to this Privacy Notice, we will indicate this in the footer and update this Notice on our website with a changed date.

If you have any questions about this Notice, how we treat your personal data, or wish to exercise any of your data subject rights, you can contact us at the details found at the end of this Notice.

 

II. Categories of Personal Data Processed

Depending on the circumstances, we may receive the following information about you:

Neutrals, Members of the ICC Court, Members of the Standing Committee, Members of the National Committees and Groups

  • Your name, contact details, financial information (including banking details), personal identification information (including passport information) and other personal data submitted to us by you, a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings
  • Information about whether you are subject to economic sanctions or any other legal or regulatory impediment

Parties (including in-house counsel and recipient of a power in the company)

  • Your name, contact details, financial information (including banking details), personal identification information (including passport information) and other personal data submitted to us by you, a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings
  • Information about whether you or any related entity are subject to economic sanctions or any other legal or regulatory impediment

Legal Representatives (external counsel)

  • Your name, contact details, financial information (including banking details), personal identification information (including passport information) and other personal data submitted to us by you, a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings
  • Information about whether you are subject to economic sanctions or any other legal or regulatory impediment

Fact and Expert Witnesses

  • Your name, contact details, financial information (including banking details), personal identification information (including passport information) and other personal data submitted to us by you, a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings
  • Information about whether you are subject to economic sanctions or any other legal or regulatory impediment
  • Personal data you choose to include in your witness statement or expert report and any oral testimony you may give (which may be transcribed), as submitted to us in ICC Proceedings in which you provide oral or written evidence
  • Any other personal data submitted to us by you or a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings in which you provide oral or written evidence

Other Individuals (including Personal Data Contained in Submissions or Evidence)

  • Personal data of yours submitted to us by you or a party, a legal representative, a Neutral, an administrative secretary, a member of the ICC Court, a Member of a National Committee and Group or collected by us from third parties or publicly available resources, in connection with ICC Proceedings

 

III. Use of your personal information

Although ICC does not itself resolve disputes, ICC administers ICC Proceedings and is required to collect and process personal data when undertaking its responsibilities as an institution in line with the principal missions of ICC, which are in the public’s interest, namely (1) administering ICC Proceedings in accordance to the applicable rules and the parties’ legitimate interests in resolving the dispute between them, and the parties’ and ICC’s interests in ensuring that the arbitral process operates efficiently and expeditiously and that the rights of the parties are respected; and (2) providing the parties, potential parties and the public with transparent information about ICC Proceedings. Below we describe how and why we may use your personal data and the lawful basis on which we do so, keeping in mind the important role that ICC Proceedings play in the administration of justice.

 

A. Use of Personal Data in relation to ICC Proceedings

Depending on the circumstances in which we process your personal data, we may use your personal data in the following ways and on the legal bases described below:

Neutrals, Members of the ICC Court, Members of the Standing Committee, Members of the National Committees and Groups

  • To assess the availability and suitability of neutrals (including in response to specific challenges made by parties) to serve and to continue to act in ICC Proceedings, as necessary to further our and the parties’ legitimate interests in ensuring that only suitable candidates are appointed and that no conflicts of interest arise that could undermine the actual or perceived integrity of
  • To maintain a database of Neutrals as necessary to further our and parties’ legitimate interests in identifying, suitable Neutrals to serve in administering dispute resolution proceedings.
  • To remit funds to you or provide administrative information regarding your (potential) appointment or the conduct of proceedings, as necessary for the performance of our agreements with you and duties under them.
  • To facilitate the general conduct of proceedings, including to communicate with you, facilitate communications between arbitral participants and to fulfil other administrative tasks in relation to ICC Proceedings, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and ICC’s interests in ensuring that the arbitral process operates efficiently and expeditiously and that the rights of the parties are respected.
  • Where necessary to meet our legal obligations including tax and compliance obligations pursuant to relevant local and international laws and regulations on fraud, corruption and money laundering and international financial sanctions and restrictive measures, as well as any other applicable legal obligations that may apply (“Legal Compliance Obligations”).

Parties or Potential Parties (including in-house counsel and party representatives)

  • To provide services in relation to ICC Proceedings (including response to general inquiries and remittance of funds) and communicate with you in your capacity as a party or potential party to ICC Proceedings or an authorised representative of one, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and ICC’s interests in ensuring that ICC Proceedings operate efficiently and expeditiously and that the rights of the parties are respected.
  • Where we have entered into an agreement to provide services to you as an individual in connection with ICC Proceedings (for example, claims brought by individuals), we may process your personal data (only) as necessary to perform our obligations and duties under that agreement.
  • Where necessary to meet our Legal Compliance Obligations.

Legal Representatives

  • To provide services in relation to ICC Proceedings, to facilitate your representation of a party and communicate with you in your capacity as a legal representative of  a party, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and our legitimate interests in ensuring that ICC Proceedings operate efficiently and expeditiously, and that the rights of the parties are respected, including giving effect to the parties’ right to appoint legal representation.
  • Where necessary to meet our Legal Compliance Obligations.

Expert and Fact Witnesses

  • To facilitate your giving of evidence in ICC Proceedings and the examination of such evidence, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and our interests in ensuring that ICC Proceedings operate efficiently and expeditiously and that the rights of the parties are respected.
  • Where necessary to meet our Legal Compliance Obligations.

Other Individuals

  • As necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and our interests in ensuring that ICC Proceedings operate efficiently and expeditiously and that the rights of the parties are respected.
  • Where necessary to meet our Legal Compliance Obligations.

 

B. Transparency about ICC Procedures

In addition to the use of personal data during the arbitral procedure, ICC also makes certain information about ICC Procedures publicly available in the interest of providing the parties, potential parties, Neutrals, and the public with transparent information about the way that ICC cases are administered.

Awards

Starting in 2021, ICC will publish ICC awards and procedural orders online. In advance of publication, ICC provides parties with specific notice and an opportunity to object to publication or to agree to the modalities of publication, and unnecessary personal data will be anonymised or otherwise pseudonymised where necessary to protect the personal data. ICC processes this personal data based on legitimate interests of parties, potential parties, Neutrals and the public in accessing transparent information about ICC Procedures to assist them in their decision making, in pursuing their legitimate interests and parties’ fundamental procedural rights through arbitration and the rendering of high quality awards.

ICC also enters and stores awards, procedural orders, terms of reference, and decisions of the Court into a documentary database (the “database”). ICC staff uses the database to improve the quality of its decision making and to ensure the efficient operation of the proceedings and it may also be used by ICC and third-party researchers for scientific or historical research, including predictive trends in arbitration to the extent permitted by law, or statistical purposes.  This data is processed based on the legitimate interests of the parties, potential parties, Neutrals, and the public in consistent high-quality decision making and in academic research and writing about ICC Proceedings in order to improve the process to the benefit of all those who are impacted by ICC Proceedings.

Statistics about Parties, Legal Repesentatives and Neutrals

ICC uses personal data in order to produce and publish anonymised statistics about the parties, legal representatives and Neutrals in ICC Proceedings. ICC processes this personal data based on ICC legitimate interests in providing parties, potential parties, Neutrals, and the public transparent information to contribute to a better understanding of ICC Proceedings and to promote diversity in the appointment of Neutrals.

Publishing Names of Neutrals

After providing Neutrals with specific notice, ICC publishes the names of Neutrals in ICC Proceedings on the ICC’s principle website. ICC processes this personal data based on the legitimate interests of parties, potential parties, Neutrals and the public in accessing transparent information about ICC Procedures to assist them in their decision making and in pursuing their legitimate interests and parties’ fundamental procedural rights through arbitration.

 Evaluation Forms

At the end of the proceedings, parties, their representatives, and Neutrals are invited to complete evaluation forms. ICC processes this personal data based on ICC’s interests in improving the functioning of ICC procedures and on the legitimate interests of the parties, potential parties and the public in ensuring that ICC Proceedings operate efficiently and expeditiously.

 

IV. Recipients of Personal Data

Depending on the circumstances in which we handle your personal data, we may share it with the following people, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them, and the parties’ and ICC’s interests in ensuring that ICC Proceedings operate efficiently and expeditiously and that the rights of the parties are respected, or as otherwise set forth below:

  • ICC Court members and Standing Committee members to further the administration of cases and to render decisions where required
  • Persons attached to National Committees and Groups for the purpose of proposing Neutrals
  • Other participants to the proceedings where you are involved, for example professional transcribers or other service providers
  • Service providers such as our third-party data hosting providers located in Europe, or providers who may assist ICC in the publication of awards and other projects
  • With third parties including our professional advisors, auditors, tax authorities, sanctions regulators and related banking institutions, data protection regulators (including in the context of data breaches), police and other law enforcement agencies, where necessary to comply with our Legal Compliance Obligations, or where it is otherwise in our or a party’s legitimate interests to do so
  • Banks for the purpose of making payments, as necessary to comply with our agreements or where it is otherwise in our or a party’s legitimate interests to do so
  • Insurers and insurance companies, re-insurers and insurers brokers, as necessary to pursue the ICC’s legitimate interest in taking the appropriate coverage and pursuing a claim.

 

V. Transfer of Personal Data to Third Countries

As an international institution, ICC may be required to transfer and process personal data outside of the European Union (EU) or of the European Economic Area (EEA) to/in countries which may have different data protection laws in place.

This means that we may transfer your personal data outside the EU and EEA in connection with the administration of ICC Proceedings in which you are involved, or as may otherwise become necessary in the course of our operations.

If the recipient is not based in a jurisdiction providing an adequate level of protection for personal data as determined by the European Commission, we make transfers of personal data outside the EU and the EEA pursuant to the European Commission approved Standard Contractual Clauses when we transfer personal data to offices of the Secretariat of the Court.

In other circumstances,  we make such transfers in accordance with our legal obligations, for example where necessary to establish, exercise or defend legal claims or where there is another lawful basis to do so.

 

VI. Retention of Data

Your personal data will be stored as long as necessary to fulfil the purposes for which the data is collected and to satisfy any legal, accounting or reporting requirements.

Awards, the Terms of Reference, procedural orders, decisions of the Court, and pertinent correspondence of the Secretariat will be archived in accordance with Article 1 (7) Appendix II of ICC Rules of Arbitration.

Personal data necessary to carry out conflict checks and to assist parties in recognition and enforcement proceedings and actions related thereto is stored as long as necessary to fulfil these purposes.

Evaluation forms are stored for six years.

Personal data related to payments is stored for 10 years. Thereafter, it will be securely deleted, unless ICC is obligated to retain it for the purposes of any legal proceedings or to comply with any legal obligations.

 

VII. Data Subjects Rights

Depending on the circumstances and if the request does not impinge on the rights of others, you have a number of rights concerning the personal data that we process about you. Not all these rights apply in every case, and they are the following:

  • To be informed about the collection and use of your personal data;
  • To access your personal data;
  • To correct or complete your personal data;
  • To have your personal data erased where there is no basis for ICC to continue to use or retain it, unless the processing is necessary to pursue a legal claim or defense;
  • To request that your personal data is used only for restricted purposes, unless the processing is necessary to pursue a legal claim or defence;
  • To object to your personal data being processed if the lawful basis for processing it is either in ICC’s or a third party’s legitimate interest;
  • To withdraw your consent if consent is the lawful basis for the processing;
  • To require certain of your personal data to be transferred where the personal data was collected directly from the data subject; or
  • To submit a complaint with the relevant data protection authority in your jurisdiction (e.g., CNIL in France).

 

VIII. Contact Details

If you have any questions about this notice, how we treat your personal data, or wish to exercise any of your data subject rights, you may contact us or our Data Protection Officer, as follows:

International Chamber of Commerce

33-43 avenue du President Wilson

75116 Paris

Tel +33 1 49 53 28 28

Represented by John W.H Denton AO, ICC Secretary General

Email icc@iccwbo.org

 

Data Protection Officer

33-43 avenue du President Wilson

75116 Paris

Tel + 33 1 49 53 29 05

dataprotection@iccwbo.org

 

Please note that if you are an employee of, nominated or engaged by, or otherwise affiliated with a party to an ICC proceeding, we would suggest for  you to contact that party first about your concerns before contacting ICC regarding the processing of your personal data in the context of  ICC Procedures.

 

Date: 22 October 2020

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