COMMISSION ON LEADING DISPUTE

A RBITRATION RESOLUTION
A ND ADR WORLDWIDE

MEDIATION
GUIDANCE
NOTES

I IN TER N A TI
I
■
■ TM CH AM BER
O F COMME
International C h a m b e r o f C o m m e rce (IC C )
3 3 -4 3 avenu e du P re sid en t W ilson
75116 Paris, F ra n ce
w w w .ic c w b o .o rg
T h e v ie w s a n d re c o m m e n d a tio n s c o n t a in e d in th is
p u b lic a tio n o rig in a te fro m a T a s k F o rc e c re a te d w ith in the
IC C C o m m is s io n on A rb it ra tio n an d A D R . T h e y sh o u ld n o t
be th o u g h t to re p r e s e n t v ie w s a n d r e c o m m e n d a t io n s o f the
IC C In te rn a tio n a l C e n tre fo r A D R o r th e IC C In te rn a tio n a l
C o u r t o f A rb it ra tio n , n o r a re th e y in a n y w a y b in d in g on
e ith e r b o d y.

C o p y rig h t © 2013
In te rn a tio n a l C h a m b e r o f C o m m e rc e ( I C C )

A ll rig h ts re s e rv e d

IC C h o ld s all c o p y rig h t a n d o th e r in te lle c tu a l p ro p e rt y

rig h ts in th is c o lle c tiv e w o rk . N o p a rt o f th is w o rk m a y be
r e p r o d u c e d , d is tr ib u t e d , tr a n s m it te d , tra n s la te d o r a d a p te d
in a n y fo rm o r b y a n y m e a n s e x c e p t a s p e rm itte d b y law
w ith o u t th e w ritte n p e rm is s io n o f IC C . P e r m is s io n c a n be
re q u e s te d fro m IC C th ro u g h c o p y r ig h t.d r s @ ic c w b o .o r g .

IC C , th e IC C lo g o , C C I, In te rn a tio n a l C h a m b e r o f C o m m e rc e
(in c lu d in g S p a n is h , F r e n c h , P o rt u g u e s e an d C h in e s e
tr a n s la tio n s ), W o rld B u s in e s s O rg a n iz a t io n , In te rn a tio n a l
C o u r t o f A rb it ra tio n a n d IC C In te rn a tio n a l C o u r t o f
A rb it ra tio n (in c lu d in g S p a n is h , F re n c h , G e rm a n , A ra b ic
a n d P o rt u g u e s e tr a n s la t io n s ) a re all tr a d e m a rk s o f IC C ,
re g is te re d in s e v e ra l c o u n trie s .

D e sig n e d b y F u rth e r™
fu rt h e rc re a tiv e .c o .u k

P rin te d in F ra n c e in N o v e m b e r 2013 by
Im p rim e rie P o r t R o y a l, T ra p p e s (7 8 )

D e p o t le g a l n o v e m b re 2013
FOREWORD

MEDIATION
GUIDANCE NOTES
This b o o k le t is a p ra ctica l co m p an ion to the IC C
M ediation R u les. Its p u rp o s e is to o ffe r g u id a n ce on
issu e s that d e s e rv e atten tion when ch o o sin g a n d
organizing m ediations. H elp fu l inform ation will b e fo u n d
on the m any ad m inistra tive a n d p ro c e d u ra l q u e stio n s
w hich a p a rty m ay wish to c o n s id e r when p re p a rin g
m ediation p r o c e e d in g s on its ow n o r in d isc u ssio n s with
the o th e r p a r ty a n d the m ediator. M ed ia tio n s m ay b e
c o n d u c te d in various w ays d e p e n d in g on the
b a c k g ro u n d s o f the p a rtie s, th eir a d v iso rs a n d the
m e d ia to r a n d the na tu re o f the d isp ute. In k e e p in g with
the s p irit o f m ediation, the M ediation G u id a n ce N o te s do
n o t d icta te so lu tio n s, b u t e n co u ra g e p a rtie s to w o rk ou t
the b e s t a rra n g em en ts fo r th eir p a rtic u la r ca se in ligh t o f
co m m o n m ediatio n p r a c tic e s a n d the flexib ility o ffe re d
b y the IC C M ediation R ules.

A lth o u g h a sta n d -a lo n e p ro c e d u re , m ediatio n can also

b e c o m b in e d with o th e r d isp u te resolution p r o c e d u r e s as
p a rt o f a tie re d d isp u te resolution p r o c e s s . Increasingly,
m ediation is c o n sid e re d a s a u se fu l a n d even an
in d isp e n sa b le firs t s te p in situ a tio n s w h ere p a rtie s are
keen on rea ch in g a so lu tio n that u p h o ld s th eir m utual
b u sin e s s o r co n tra ctu a l in terests. It can also b e u se d o n ce
arbitration h a s c o m m e n c e d i f p a rtie s wish to s e e k a
se ttle m e n t. F o r th ese rea so n s, the M ediation G u idan ce
N o te s also a d d re ss the relationship b e tw e e n m ediation
a n d arbitration.

The M ediation G u idan ce N o te s re su lt from w o rk a n d

co n su lta tio n s c o n d u c te d within the IC C C om m ission on
A rb itra tio n a n d A D R , w h ose m e m b e rs are d isp u te
resolution p ra ctitio n e rs a n d sp e c ia lists from s o m e n in e ty
co u n trie s w orldw ide. The ra n g e o f legal a n d cultural
traditio n s re p re se n te d within the C om m ission allow s it to
tra n sce n d lo ca l d iffe re n c e s a n d cre a te p r o d u c ts that
o ffe r a b a sis fo r international u n d ersta n d in g b e tw e e n
co n tra ctin g p a rtie s a n d d isp u te resolution p ro fe ssio n a ls.

01
FOREWORD

The IC C M ediation R u le s to which th ese M ediation

G u idan ce N o te s relate are p u b lish e d with the IC C
A rb itra tio n R u le s in h a rd c o p y (IC C P u blica tion 8 6 5 ,
available in se v e ra l la n g u a g es from the IC C ) a n d online
(at w w w .ic c w b o .o rg a n d in the IC C D isp u te R eso lu tio n
L ib ra ry at w w w .iccd rl.co m ). IC C m ed ia tio n s are o v e rse e n
b y the IC C International C en tre fo r A D R , w hich is the o n ly
b o d y e m p o w e re d to a d m in ister p ro c e e d in g s u n d e r the
IC C M ediation Ru les. The C en tre's e x p e rie n c e an d
e x p e rtise h e lp to en su re th at p ro c e e d in g s p r o g re s s
efficiently, transparently, fairly a n d are re s p e c tfu l o f the
p a rtie s' wishes.

02 ICC P u b lic at io n 8 7 0 - 0 E N G
TABLE OF CONTENTS

W H A T IS M E D IA T IO N ? 04

W H Y M E D IA T IO N ? 05

M E D IA T IO N S E S S IO N S 06

P R E P A R A T IO N F O R M E D IA T IO N S E S S IO N S 08

A tte n d e es 08
Procedural ag reem en ts - tim e and language 09
Logistical arran gem en ts 09
Inform ation and do cum en ts 09
Mediation ag reem en t 10
A p p licab le law 10

A U T H O R IT Y 10

C A S E S U M M A R IE S A N D D O C U M E N T S 11

R E L A T IO N S H IP B E T W E E N M E D IA T IO N A N D
A R B IT R A T IO N P R O C E E D IN G S 13

M IS C E L L A N E O U S 16

Co-m ediation 16
Independent exp e rt 16
Legal representation 16
C o sts 17
R eco m m en ded term s of settle m en t 17
Com bining m ediation w ith other
settle m en t p ro cedures 17

03
MEDIATION GUIDANCE NOTES

W H A T IS M E D IA T IO N ?

1 Fo r the p u rp o se of the ICC M ediation R ules

(th e "R u les"), m ediation is a fle xib le se ttle m e n t
techn iq u e, co n d u cte d p rivately and co n fid en tially, in
w h ich a m ed iato r a c ts as a neutral facilita to r to help
the p a rties try to arrive at a neg o tiated se ttle m e n t of
th eir dispute. T h e p a rties have control o ver both the
d ecisio n to se ttle and the term s of any se ttle m e n t
ag reem en t.

2 In th ese G u id a n ce N o tes,1 the term "m ediation"

refers to the entire p ro ceed in g s and the term
"m ediation sessio n" refers to one or m ore se ssio n s
during the p ro ceed in g s w h en the m ed iato r and the
p a rties m eet to g eth er.2 F u rth e r inform ation on
m ediation se ssio n s is se t out below , from p arag rap h
11 o n w ard s.
3 S in ce m ediation is flexible, the m ediation p ro ced u re
to be used can be ad apted to the n eeds of the parties,
including th eir cultural and legal b a ckg ro u n d s, and
the s p e c ific s of the dispu te. T h e m ann er in w h ich the
p ro ced u re is to be co n d u cte d will be the s u b je c t of
the d iscu ssio n provided for in A rtic le 7(1) of the
R u les. A s pro vid ed for in A rtic le 7 (3 ) of the R ules, in
estab lish in g and co n d u ctin g the m ediation, the
m ed iato r is guided by the w ish e s o f the p a rties and
trea ts them w ith fairn e ss and im partiality.

4 During the m ediation, the m ediato r m ay hold

m eetin g s or co n fe re n ce ca lls w ith all o f the p arties
p re se n t and m ay also hold se p a ra te m eetin gs or calls
w ith each of the p a rties alone.

1 T h e s e M e d ia tio n G u id a n c e N o te s p ro v id e g u id a n c e r e g a rd in g th e
p r o c e s s o f m e d ia tio n . T h e y d o n o t o f fe r g u id a n c e o n o t h e r
s e t t le m e n t p r o c e d u r e s t h a t p a r t ie s m a y a g r e e to u s e u n d e r th e
IC C M e d ia tio n R u le s .

2 In t e r n a t io n a lly , th e t e r m s " c o n c ilia t io n " a n d " m e d ia tio n " a re u s e d

s o m e t im e s to d e s c r ib e p r o c e s s e s t h a t a re s u b s t a n t iv e ly th e s a m e
a n d s o m e t im e s to d e s c r ib e p r o c e s s e s t h a t a re s im ila r b u t h a v e
s o m e d if f e r e n c e s . W h e r e t h e r e a re s u b s t a n t iv e d if f e r e n c e s , th e re
is no u n if o r m u n d e r s t a n d in g o f w h a t t h o s e d if f e r e n c e s a re .
M e d ia tio n a s re fe rre d to in th e IC C M e d ia tio n R u le s a n d t h e s e
M e d ia tio n G u id a n c e N o te s is a c o n c e p t s u f f ic ie n t ly b ro a d to
e n c o m p a s s b o th m e d ia tio n a n d c o n c ilia t io n .

04 ICC P u b lic at io n 8 7 0 - 0 E N G
5 In the co u rse of the m ediatio n, the p a rties can
e xch a n g e s e ttle m e n t p ro p o sals, w h ich m ay lead to a
n eg o tiated ag ree m en t. S u ch pro p o sals can be m ade
d ire c tly b etw een the p a rties or thro ugh the
m ediator.

6 S in ce control o ver the d ecisio n to se ttle and the

term s of any s e ttle m e n t ag ree m en t rem ain s w ith the
p a rties, the m ed iato r has no p o w er to im pose a
se ttle m e n t on the p arties.

W H Y M E D IA T IO N ?

7 M ediation tak e s sig n ifica n tly less tim e than

arb itratio n or litigation and in vo lves m uch low er
co sts.
8 T h e m ediation p ro ce ss en ab les the p a rties to reach
ag re e m e n t on so lu tio n s w h ich could not be a chieved
through an ad ju d icative p ro ce ss su ch as arb itratio n
or litigation and w h ich w ould not th ere fo re be
availab le through the rend ering o f an arb itral aw ard
or a co u rt d e cisio n . Fo r exam p le, the parties'
p referred solution to a co n tractu a l d ispu te m ay be to
re n e g o tiate the term s of the co n tra c t. The
renego tiatio n of a c o n tra c t is p o ssib le in m ediation,
w h e re a s th ere is unlikely to be any legal basis for
seekin g su ch relief in arb itratio n or litigation.

9 W h ilst the a d ju d icative p ro c e sse s fo cu s on the

p arties' legal rights, m ediation helps p a rties also to
take into co n sid e ratio n co m m ercial and other
in terests. This is an im p o rtan t d iffe re n ce b etw een
m ediation and arb itratio n or litigation. T h e m ediation
p ro ce ss can help p a rties a cq u ire a b etter
u n d e rstan d in g of each o th er's n eed s and in terests
so th at th ey can look for a solution w hich
ac co m m o d a te s th ese n eed s and in terests as far
as possible.

05
MEDIATION GUIDANCE NOTES

10 M ediation can be a p a rticu la rly useful tool w hen the

p a rties in d ispu te have an ongoing relatio nship (su ch
as a jo int v en tu re or long-term su p p ly co n tra ct).
M ediation is likely to be less d isru p tive to that
relatio nship than litigation or arb itratio n .

M E D IA T IO N S E S S IO N S

11 A t the co re o f m ost m ed iatio n s will be one or m ore

m ediation s e ssio n s w h ich are atten d ed by all p arties,
th eir a d vise rs (if any) and the m ediator. T h e num ber
of se ssio n s, th eir du ratio n and the p u rp o se of each
sessio n can be tailo red to the re q u ire m en ts o f the
ca se and the ap p ro ach favo u red by the m ediato r
and the p a rties. It is possible, even in large c a se s, for
th ere to be ju st one m ediation sessio n , w h ich m ay be
sch e d u le d to last a full day.

12 During m ediation se ssio n s, the m ed iato r m ay m eet

w ith the p a rties to g eth e r (a jo int m eetin g), or m eet
w ith one or m ore p a rties w ith o u t o th er p a rties being
p re se n t (a p rivate m eetin g). The m ix b e tw ee n joint
m eetin g s and p rivate m eetin gs will d epen d upon the
re q u ire m en ts o f the ca se and the ap p ro ach favo u red
by the m ediator, the p a rtie s and th eir a d vise rs. This is
so m eth in g that m ay form p a rt of the d iscussio n
b e tw ee n the m ediato r and the p a rties pro vid ed for
in A rtic le 7(1) o f the Rules.
13 T ypically, a private m eeting or d iscu ssio n b etw een
the m ediato r and a p a rty will be co n fid en tial. The
m ed iato r will ag ree that any new inform ation
d iscu sse d during that m eeting will not be disclo sed
by the m ed iato r to an y o th er p a rty w itho u t e xp re ss
p erm issio n . H ow ever, any p a rty m ay s p e c ific a lly ask
the m ed iato r to relay new info rm atio n to an o th er
p arty, and the m ed iato r m ay se e k p e rm issio n to
d isclo se inform ation w h e re su ch d isclo su re is likely
to a ssist the p a rties in resolving their dispute.

06 ICC P u b lic at io n 8 7 0 - 0 E N G
14 During all m eetin gs (b o th jo int and private) the
m ed iato r will se e k to cre ate an en viro nm en t
co n d u c iv e to c o n stru ctiv e neg o tiatio n s, but the
p u rp o se o f the m eetin g s m ay va ry . S o m e m ay be
used for the p a rties an d /o r their la w y e rs to m ake
p re se n tatio n s to each other. O th e rs m ay be used for
the m ed iato r to exp lo re the b ackg ro u nd to the
dispu te, id en tify the in terests and n eeds of each of
the p a rtie s for th eir m utual benefit, and co n sid e r any
alte rn ative o ptio n s for se ttle m e n t. L a te r in the
p ro ce ss, m eetin g s m ay be used for bargaining, with
o ffe rs and co u n ter-o ffe rs being e xch a n g ed either
d ire c tly or via the m ediator. If ag re e m e n t is reach ed ,
then the m eetin g s m ay be used to d ra ft3 and ag ree
upon the term s of a w ritten se ttle m e n t a g ree m en t.
15 In so m e c a se s, it m ay be ap p ro p ria te for th ere to be
m ore than one m ediation sessio n a few d a ys or
w e e k s ap art. It m ay be helpful for the p a rties to m eet
first to d iscu ss and m ake p re se n tatio n s to e ach other
regard ing the d ispu te and to m eet again, at a later
date, to n eg o tiate a resolution of the dispute. This
allo w s tim e b etw een the m eetin gs, w h ich m ay be
useful for d iffere n t reason s. F o r exam ple, it m ay be
used for the exch a n g e of fu rth e r inform ation or
d o cu m e n ts, for s p e c ific in vestig atio n to be ca rrie d
out, or for reflectio n or co n ferrin g w ith co lleag u es
and ad vise rs.
16 In o th er ca se s it m ay be ap p ro p ria te for a single
sessio n to last tw o or m ore co n se cu tiv e d ays. This
m ay be the ca se w h e re th ere are several p a rties to
the d ispu te and m ore tim e is n eeded for the m ediator
to m eet w ith each of them .
17 In each ca se , the p arties, th eir a d vise rs and the
m ed iato r should co n sid e r w h a t ty p e of m ediation
se ssio n s will be m o st useful in ach ievin g a su cce ssfu l
and e fficie n t reso lution of the dispute.

3 W h e r e le g a l a d v is e r s a re p r e s e n t , it is c o m m o n fo r th o s e a d v is e r s
to t a k e p r im a r y r e s p o n s ib ilit y fo r th e d r a ft in g o f th e s e t t le m e n t
a g r e e m e n t , s e e k in g in p u t fr o m t h e ir c lie n t s a s a p p r o p r ia t e . T h e
m e d ia t o r w ill c o n t in u e to f a c ilit a t e d is c u s s io n s re g a rd in g th e
d ra ft, as n e c e s s a ry .

07
MEDIATION GUIDANCE NOTES

18 If no ag re e m e n t is reach ed at the end of the

m ediation se ssio n (s), the m ed iato r may, w ith the
ag ree m en t of the p a rties, co n tin u e to w o rk with
them o ver the follow ing d ays or w e e k s to a ssist them
w ith their co ntinuing n eg o tiatio n s. This fu rth er
assista n ce m ay b e p ro vid ed in any w a y th at is
co n ven ien t and p ra ctica l, for exam p le through
follow up telep h o n e d iscu ssio n s, em ails,
v id e o co n fe re n ce s or m eetings.

P R E P A R A T IO N F O R M E D IA T IO N S E S S IO N S

19 Pre p aratio n for an y m ediation sessio n is a

resp o n sib ility sh ared b y the p arties, th eir a d vise rs
and the m ediator. To this end, A rticle 7(1) requires
the p a rties and the m ediato r to d iscu ss the m anner
in w h ich the m ediation is to b e co n d u c te d . The
m ed iato r m ay fu rth e r a ssist the p a rties w ith their
p rep aratio n thro ugh telep h o n e d iscu ssio n s an d /o r
m eetin g s prio r to the m ediation sessio n.

2 0 In a d va n ce of an y m ediation sessio n , the follow ing

m a tte rs m ay need to be ad d re ssed :

A tte n d e e s
20.1 H ave all the p a rties w h o need to be involved in
the n eg otiation o f a resolution o f the dispute
ag reed to atten d the s essio n ? If not, should other
p a rties be invited to p a rticip ate?

2 0 .2 W h ich in d ividu als will atten d the m ediation

sessio n on b eh alf of each p a rty ? In this regard,
se e p a rag ra p h s 21-23 belo w on the im p o rtan ce
of se ttle m e n t au th o rity.
2 0 .3 W ill the p a rtie s be rep resen ted by legal or other
a d vise rs at the sessio n (see also p arag ra p h 38
b elo w )?

08 ICC P u b lic at io n 8 7 0 - 0 E N G
2 0 .4 W ill any e x p e rts retained on b eh alf of the p arties
atten d the sessio n and if so, w h a t role will they
have?
2 0 .5 D o es e v e ryo n e w ho is atten d in g the sessio n
u n d e rstan d the nature of the m ediation p ro cess
and the p u rp o se o f the sessio n ?

P ro c e d u ra l a g re e m e n ts - tim e a n d la n g u a g e
2 0 .6 Is the period for co n d u ctin g the m ediation
(b e fo re re co u rse to arb itratio n or litigatio n)
lim ited by the relevant ag re e m e n t to refer the
d isp u te to m ediation un der the R u le s? If so, w hat
is the tim e limit and is it a p p ro p ria te to extend it
by ag ree m en t b e tw ee n the p arties?
2 0 .7 Is th ere an ag ree m en t as to w h at lan gu age or
la n g u ag e s will be used at the m ediation se ssio n ?4

L o g is tic a l a rra n g e m e n ts
2 0 .8 H ave the date, ven u e, s ta rt and finish tim e and
o th er ad m in istrative a rra n g e m e n ts for the
sessio n been ag ree d ?
2 0 .9 D o es the v en u e se le cte d have the n e c e ssa ry
facilities? Ideally, each p a rty should have its own
room and an o th er room large enough to hold
jo int m eetin g s w ith all p a rties p resen t should also
be a vailab le.

In fo rm a tio n a n d d o c u m e n ts
20.10 How and w h en will the p a rties provid e each other
and the m ediato r w ith inform ation regarding
th eir re sp e ctiv e po sitio ns and in terests in relation
to the d ispu te and an y relevant d o cu m e n ts? In
this regard, se e p a rag rap h 26 belo w regarding
the im p o rtan ce of exchan g in g relevant
info rm atio n in good tim e before a m ediation
sessio n.

4 T o t h e e x t e n t t h a t a g r e e m e n t c a n n o t b e r e a c h e d on t h e p l a c e of
p h y s i c a l m e e t i n g s o r t h e l a n g u a g e to b e u s e d at t h o s e m e e t i n g s ,
A r t i c l e 4 of t h e R u l e s p r o v i d e s f o r t h e s e m a t t e r s to b e d e t e r m i n e d
b y t h e I C C In t e r n a t i o n a l C e n t r e f o r A D R o r t h e m e d i a t o r s o t h a t
th e m ediation can p ro ce e d .

09
MEDIATION GUIDANCE NOTES

M ed iatio n a g re e m e n t

20.11 Is it a p p ro p ria te for the m ediato r and the p a rties

to sign a m ediation ag ree m en t settin g out any
ag reed pro ced u ral m a tte rs not co vered by the
R u les (e.g. an ag ree m en t th at no binding
se ttle m e n t ag re e m e n t shall have been reach ed
b e tw ee n the p a rtie s unless and until the term s of
the ag ree m en t have been red u ced to w ritin g and
signed by au th o rized re p re se n ta tiv e s o f each
p a rty )? 5

A p p lic a b le law

20.12 D o e s the law of the p lace w h e re the m ediation

se ssio n s are taking place, or any other a p p licab le
law (e.g. the su b sta n tive law o f the m ediation
ag ree m en t or of the co u n try w h e re any
arb itratio n or litigation p ro ce e d in g s m ay take
place), co n tain any m a n d ato ry pro visio ns
regard ing the co n d u c t of the m ediatio n? F o r
exam p le, so m e co u n trie s m ay have rules
regard ing the q u a lificatio n s w h ich a m ediato r is
required to have.

A U T H O R IT Y

21 O ne of the a d va n ta g e s of m ediation is th at it e n ab les

p a rties to reach a binding ag re e m e n t w h ich reso lves
th eir dispu te. Ideally, su ch an ag re e m e n t is execu ted
at the co n clu sio n o f a m ediation sessio n, th ere b y
providing c e rta in ty to all p a rties th at a binding
ag ree m en t has been reach ed.

22 In o rder for a binding ag ree m en t to be exe cu ted at a

m ediation sessio n, it is g e n era lly n e c e s sa ry for
so m eo n e w ith a u th o rity to n eg o tiate and then to
sign su ch an ag re e m e n t to be p re se n t at the sessio n.

5 W h e r e t h e p a r t i e s a n d th e m e d i a t o r w i s h to e n t e r into a m e d i a t i o n
a g r e e m e n t , it is r e c o m m e n d e d t h a t a d r a f t of s u c h a g r e e m e n t be
s e n t t o t h e I C C In t e r n a t i o n a l C e n t r e f o r A D R , s o t h a t t h e C e n t r e
c a n e n s u r e t h a t t h e p r o v i s i o n s o f t h e p r o p o s e d a g r e e m e n t a re
c o n s i s t e n t w i t h t h e R u l e s a n d t h e C e n t r e ' s p r a c t i c e s in
ad m in isterin g th e p ro c e e d in g s.

10 IC C P u b lica tio n 8 7 0 - 0 EN G
23 A t all m ediation se ssio n s, and in p a rticu la r at any
sessio n at w h ich it is an ticip ate d that term s of
se ttle m e n t m ay be n eg o tiated , each p a rty should
th ere fo re ideally be rep resen ted by a lead neg o tiato r
w ith full and unqualified a u th o rity to se ttle the
dispute. If this is not possible, in a d va n ce of the
m ediation sessio n a p a rty should inform the
m ed iato r and the o th er p a rties (e ith e r d ire c tly or
through the m ed iato r) of any lim itation on au th o rity
to se ttle (e.g. w h e re an y se ttle m e n t will need to be
ratified by a board of d ire cto rs, a m inisterial
co m m ittee or an insurer). This will allo w the m ediato r
to d iscu ss w ith the p a rtie s in a d va n ce of the
m ediation sessio n how to ad d re ss the lim itation on
au th o rity in a w a y w h ich m inim izes an y ad ve rse
e ffe c t on the p ro sp e c ts o f a se ttle m e n t ag ree m en t
being co n clu d ed .

C A S E S U M M A R IE S A N D D O C U M E N T S

24 E a c h o f the p a rties n eed s to u n d e rstan d e v e ry other

p a rty 's v ie w s on the m a tte rs in d ispu te that are to
be d isc u sse d at a fo rth co m in g m ediation sessio n.
This en ab les each p a rty to u n d e rtake its own risk
an a lysis and co n sid e r po ssib le se ttle m e n t o ptio ns in
a d va n ce . To this end, it is co m m on for p a rties, prior
to the m ediation se ssio n , to exch a n g e sh o rt p ap ers
(so m e tim e s called position p a p ers, m ediation
sta te m e n ts or ca se su m m arie s) in w h ich th ey set out
the b ackg ro u nd to the dispute, the issues, the
n eg otiation h isto ry and th eir positions. T h e m ediato r
is also pro vid ed w ith th ese ca se su m m aries as a
so u rce of info rm atio n on the b ackg ro u n d to the
dispute.

11
MEDIATION GUIDANCE NOTES

25 O ne o f the a d va n ta g e s of m ediation is that it

g e n era lly do es not require num erous d o cu m e n ts to
be e xch a n g ed or su pplied to the m ediator. How ever,
in addition to the c a se su m m aries, it is im p o rtan t
that each p a rty re ceive s co p ies of any d o cu m en ts
w h ich an o th er p a rty co n sid e rs to be of im p o rtan ce
for the m ediatio n. S u ch d o cu m e n ts are co m m o n ly
p ro vid ed w ith the ca se su m m a rie s (a single lever
arch file of d o cu m en ts is often su fficie n t). A fte r
reading th o se c a se su m m aries, the m ed iato r may, in
the co u rse of d iscu ssio n s held w ith the p a rties in
a d va n ce o f the m ediation se ssio n , help the p arties
id en tify any additional inform ation or d o cu m en ts
that it m ight be helpful to exch a n g e.

26 If c a se su m m arie s and d o cu m e n ts are exch a n g ed

su fficie n tly far in a d va n ce o f a m ediation sessio n,
each p a rty will have tim e to p ro p e rly d ig est the
inform ation and p rep are for the sessio n. This helps
avoid d ifficu lties arising during the m ediation
sessio n as a result of late d isclo su re o f inform ation
and a p a rty 's co n se q u e n t in ability (o r u nw illing ness)
to take su ch inform ation into acco u n t in the
neg o tiatio ns.
27 A p a rty m ay w ish to sh are info rm atio n in co n fid e n ce
w ith the m ed iato r in a d va n ce of the m ediatio n. This
inform ation may, for exam p le, relate to p a rticu la r
n eeds or in terests that the p a rty d o e s not w ish to
d isclo se to the other p a rty in a d va n ce of the
m ediation se ssio n . Su ch inform ation can be
p ro vid ed in co n fid e n ce to the m ed iato r eithe r orally
or in a co n fid en tial pap er w h ich is sen t to the
m ed iato r on the e x p re ss u n d e rstan d in g th at the
inform ation in the p a p er is not to be disclo se d by the
m ed iato r to an y o th er p arty. T h e m ed iato r m ay invite
all p a rties to pro vid e su ch co n fid en tial p a p e rs if the
m ed iato r c o n sid e rs this helpful to the p ro cess.

12 IC C P u b lica tio n 8 7 0 - 0 EN G
R E L A T IO N S H IP B E T W E E N M E D IA T IO N A N D
A R B IT R A T IO N P R O C E E D IN G S

28 M ediation under the R ules m ay take p lace either

before arb itratio n (o r litigation) p ro ceed in g s have
been co m m e n ce d , or in the co u rse o f those
p ro c e e d in g s.6

29 W h ere m ediation takes p lace in the co u rse of

arb itratio n p ro ceed in g s, it m ay be a p p ro p ria te for
the arb itratio n to be sta ye d to allo w tim e for
co n d u ctin g the m ediation (su ch a sta y or p ause in
the p ro ceed in g s is so m e tim e s referred to as a
m ediation w in d o w ). This e n a b le s the p a rties to fo cu s
on the m ediation w itho u t being d istra cte d by the
need to take ste p s in the arb itratio n and incurring
the co s ts o f tho se ste p s w hen a se ttle m e n t m ay be
im m inent. In o th er c a se s, the p a rties m ay p re fer to
co n d u c t the m ediation w ith o u t requiring a sta y or
p ause in the a rb itral p ro ceed in g s.

3 0 T h e su g g e stio n that m ediation be used during the

arb itratio n p ro ceed in g s m ay be m ade by one of
the p arties. W h e th e r or not it is helpful to build a
m ediation w in d o w into the tim e tab le for the
arb itratio n p ro ce e d in g s - and, if so, w h en that
w in d o w should o ccu r - is also a to p ic w h ich m ay be
d iscu sse d b e tw ee n the p a rties and the arbitral
tribunal at the first and su b se q u e n t ca se
m an ag em en t co n fe re n ce s pro vid ed for in A rtic le 24
o f the ICC A rb itra tio n Rules.

6 M e d i a t i o n c a n e v e n t a k e p l a c e a f t e r a r b i t r a t i o n o r lit ig a ti on
p r o c e e d i n g s h a v e c o n c l u d e d . F o r e x a m p l e , th i s m a y a r i s e a f t e r an
a w a r d h a s b ee n m a d e but prior to th e o u tc o m e of e n fo rc e m e n t
p r o c e e d i n g s or a c h a l l e n g e to t h e a w a r d b e f o r e a n a t i o n a l c o u r t ,
o r a f t e r a c o u r t j u d g m e n t h a s b e e n i s s u e d a n d p e n d i n g an a p p e a l
a g ain st th at ju d g m e n t.

13
MEDIATION GUIDANCE NOTES

31 W h ere m ediation takes p lace before arb itratio n (or

litigation) p ro ceed in g s have been co m m e n ce d , the
p a rties m ay ag ree th at the e xp iry of lim itation or
p re scrip tio n p erio d s during the m ediation p ro cess
shall not p reven t a p a rty from initiating arb itratio n or
litigation p ro ceed in g s in relation to the d isp u te.
A p p lica b le law m ay also co n tain p ro visio n s to this
effe ct, or m ay pro vid e that lim itation p erio ds will not
exp ire w h ilst m ediation p ro ceed in g s are pending.
32 T h e ICC p u blishes vario u s s ta n d ard cla u se s referring
to the ICC M ediation R u les.7 C la u se D cre a te s an
o bligation to refer a d isp u te to the ICC M ediation
R u les, follow ed by ICC arb itratio n if required. W hen
using C la u se D, p a rties m ay w ish to co n sid e r w h e th e r
th ey do or do not w a n t to have a c c e s s to the
ICC E m e rg e n c y A rb itra to r Pro visio n s during the
m ediation p ro cess. S ta n d a rd v ariatio n s to C lau se D
are provided in o rd e r to cla rify the p arties' ch o ice in
this re sp e ct.

33 A s pro vid ed for in A rticle 9 of the R u les, unless

o th e rw ise ag reed by the p a rties or required by
a p p licab le law, the m ediation (b u t not the fa c t th at it
is taking place, has taken p lace or will take p lace) is
private and co n fid en tial. C o n se q u en tly, as set out in
A rtic le 9 (2 ) of the R ules, d o cu m e n ts, sta te m e n ts or
co m m u n icatio n s w h ich are su b m itted by an o th er
p a rty or by the m ed iato r in or for the m ediation
p ro ceed in g s m ay not be p ro d uced as e v id e n ce in
any arb itratio n , litigation or sim ilar p ro ceed in g s,
unless th ey can be o btained in d ep e n d en tly by the
p a rty seekin g to p ro d u ce them in tho se p ro ceed in g s.
T h e sam e ap p lie s to v ie w s e xp re sse d , su g g e stio n s
m ade regarding settle m en t, or any ad m issio n s m ade
by an o th er p a rty in the m ediation.

7 T h e s t a n d a r d c l a u s e s c a n be f o u n d in I C C P u b l i c a t i o n 8 6 5
c o n tain in g th e IC C A rb itra tio n R u le s and the IC C M ediation Rules,
on t h e I C C w e b s i t e (w w w . i c c w b o . o r g ) a n d in t h e I C C D i s p u t e
R e s o l u t i o n L i b r a r y ( w w w . i c c d r l . c o m ).

14 IC C P u b lica tio n 8 7 0 - 0 EN G
3 4 In the co u rse o f an arb itratio n , the p a rties m ay ag ree
th at th ey w ould like a so le arb itrato r or a m e m b er of
a tribunal (u su ally the ch airm an ) to a ssist the p arties
in n eg otiating a se ttle m e n t o f th eir d isp u te by acting
as a m ediator. T h e p a rties m ay fu rth e r a g ree th at if
the m ediation do es not p ro d u ce a se ttle m e n t o f all
issu es in d ispu te in the arb itratio n , then the m ediato r
m ay return to the role o f arb itrato r and pro ceed to
m ake or p a rticip ate in the m aking of an aw ard in the
arb itratio n . This p ra ctice is quite com m on in so m e
ju risd ictio n s, but used rarely, if at all, in o th ers. In
th o se ju risd ictio n s w h e re it is rarely used, a com m on
co n ce rn is th at if, w h ile actin g as m ediator, an
arb itrato r m e ets in p rivate w ith one p a rty w itho u t
all o th er p a rties present, or o th e rw ise acq u ire s
inform ation in co n fid e n ce from one p a rty w h ich is
not sh ared w ith all o th er p arties, the rules of due
p ro ce ss will not have been re sp e cte d . A
co n se q u e n ce m ight be that the arb itrato r is
ch alle n g ed , th at a su b se q u e n t aw ard m ade by the
arb itrato r is su sce p tib le to being ch alle n g ed or that
its e n fo rce a b ility is im paired. B e c a u s e of the
potential risks in so m e ju risd ictio n s, A rtic le 1 0 (3 )
allo w s a m ediato r to a c t as an arb itrato r in the sam e
d ispu te only w hen all o f the p a rtie s have co n sen ted
th ereto in w ritin g. In any event, p a rties and their
a d vise rs m ay w ish to co n sid e r the pros and co n s
o f using an arb itrato r as m ediator, and the s te p s that
need to be taken to m inim ize the risk o f je o p ard izin g
the arb itral p ro ce ss and the e n fo rce ab ility of any
aw ard .

35 W h ere the p a rties ag ree term s o f se ttle m e n t

through m ediation p ro ce e d in g s co n d u cte d in the
co u rse o f arb itratio n p ro ceed in g s, th ey m ay be able
to reco rd the term s o f se ttle m e n t in a co n sen t aw ard
p u rsu an t to A rticle 32 o f the IC C A rb itra tio n Rules.
S u ch a co n se n t aw ard m ay be of a s sista n ce w here,
for exam p le, one or m ore p a rties w ish e s to be able
to en fo rce the se ttle m e n t ag re e m e n t as an
arb itral aw ard .

15
MEDIATION GUIDANCE NOTES

M IS C E L L A N E O U S

C o -m e d ia t io n
36 It m ay be ap p ro p ria te for tw o or m ore m ed iato rs to
be ap po in ted and to w o rk to g eth e r on the sam e
m atter. This is often referred to as co -m ediatio n .
C o -m ed iatio n m ay be used w h e re th ere are several
p a rties involved in the dispute, or w h ere the p arties
w ish to have the b en efit of m ed iato rs from differe n t
cultural b a ckg ro u n d s or w ith d iffere n t e x p e rtise and
e xp e rie n ce.

In d e p e n d e n t e x p ert
37 It m ay be ap p ro p riate, w ith the ag ree m en t o f the
p arties, for the m ed iato r to be assiste d by an
in d ep e n d en t e x p e rt w h o can a d vise the m ed iato r on
tech n ical issues w h ich it is im p o rtan t for the
m ed iato r to u n d e rstan d in assistin g the p a rties to
reso lve th eir d ispute.

L e g a l re p re se n ta tio n
38 In the R ules, th ere is no req u ire m en t or e xp e ctatio n
that p a rties will be rep resen ted by la w y e rs (eith er
in-house or e x te rn a l). H ow ever, it is co m m on,
p a rticu la rly in cro ss-b o rd e r disp u te s of the typ e that
are ty p ic a lly referred to m ediation un der the Rules,
for la w y e rs to a ssist p a rtie s in so m e or all p a rts of the
m ediation p ro cess.

16 IC C P u b lica tio n 8 7 0 - 0 EN G
Costs
39 A rtic le 6 (6 ) of the R ules p ro vid es that, unless agreed
o th e rw ise in w riting by the p arties, all d ep o sits
req u ested and co s ts fixed in re sp e ct of the m ediation
p ro ce e d in g s shall be borne by the p a rties in equal
sh are s. A rticle 6 (7 ) pro vid es that a p a rty 's other
exp e n d itu re shall rem ain the resp o n sib ility of that
p arty, unless o th e rw ise ag reed by the p a rties. T h e re
m ay be in sta n ce s w h e re the p a rties ag ree to v a ry
th ese d e fau lt pro visio ns. F o r exam p le, in a d va n ce of
the m ediation, one p a rty m ay ag ree in any event
to bear all co sts of the m ediation p ro ce ss in order
to en co u rag e a co u n te rp a rty to p articip ate.
A ltern a tively, the p a rties m ay ag ree that, in the event
th at the d ispu te is not settle d through the m ediation,
the co s ts of the m ediation should be allo cated
b e tw ee n the p a rtie s by the arb itral tribunal or co u rt
in any su b se q u e n t arb itratio n or litigation. T h e co sts
o f the m ediation m ay also be allo cate d d iffere n tly
under the term s o f an y se ttle m e n t ag ree m en t
arrived at through the m ediation.

R e c o m m e n d e d te rm s of se ttle m e n t
4 0 W ith o u t im posing term s of se ttle m e n t on the
p a rties, the m ed iato r may, if req u ested by all p arties,
re co m m e n d term s o f se ttle m e n t for their
co n sid e ratio n .

C o m b in in g m e d ia tio n w ith o th e r se ttle m e n t

p ro c e d u re s
41 T h e p a rtie s and the m ediato r m ay ag ree that in
ce rtain c irc u m sta n c e s (e.g. w h e re a se ttle m e n t
ag re e m e n t has not been arrived at afte r a ce rtain
period o f tim e) the p a rties m ay jo intly re q u est the
m ed iato r to p ro vid e a non-binding evalu atio n of the
m erits of the d isp u te in o rd e r to a ssist them in
reaching a neg o tiated se ttle m e n t ag reem en t.

17
18 ICC P u b licatio n 8 7 0 - 0 E N G
ICC COMMISSION ON ARBITRATION AND ADR

The IC C C o m m issio n on A rb itra tio n a n d A D R is the IC C 's

ru le-m a kin g a n d re se a rch b o d y fo r d isp u te resolu tion
s e r v ic e s a n d c o n stitu te s a uniqu e th ink ta nk on
internationa l d isp u te resolution. The C o m m issio n d ra fts
a n d re v ise s the va rio u s IC C ru le s fo r d isp u te resolution,
in clu d in g arbitration, m ediation, e x p e r ts a n d e x p e rtise ,
a n d d isp u te b o a rd s. It also p r o d u c e s re p o rts a n d
g u id e lin e s on legal, p ro c e d u ra l a n d p ra ctica l a s p e c ts o f
d isp u te resolution. In its re se a rch ca p a city, it p r o p o s e s
n e w p o lic ie s a im e d a t en su rin g e ffic ie n t a n d co st-
e ffe c tiv e d isp u te resolu tion , a n d p r o v id e s u se fu l
re s o u rc e s fo r the c o n d u c t o f d isp u te resolution. The
C o m m issio n 's p r o d u c ts are p u b lis h e d reg u la rly online, in
the IC C Interna tiona l C o u rt o f A rb itra tio n Bulletin a n d as
individu al b o o k le ts.
The C om m issio n b rin g s to g e th e r e x p e r ts in the fie ld o f
internationa l d isp u te reso lu tio n fro m all o v e r the g lo b e
a n d fro m n u m e ro u s ju risd ic tio n s. It cu rre n tly h a s o v e r
6 0 0 m e m b e rs fro m s o m e n in e ty co u n tries. The
C o m m issio n h o ld s tw o p le n a ry s e s s io n s each year,
a t w hich p r o p o s e d ru le s a n d o th e r p r o d u c ts are
d isc u s se d , d e b a te d a n d v o te d upon. B e tw e e n th ese
se s sio n s, the C o m m issio n 's w o rk is o fte n c a rrie d o u t in
sm a lle r ta sk fo rce s.
The C om m issio n a im s to:

• P ro m o te on a w o rld w id e sc a le the s e ttle m e n t o f

internationa l d isp u te s b y m ea n s o f arbitration,
m ediation, e x p e rtise , d isp u te b o a rd s a n d o th e r fo rm s
o f d isp u te resolution.
• P ro v id e g u id a n ce on a ra n g e o f to p ic s o f cu rre n t
re le v a n ce to the w o rld o f internationa l d isp u te
resolu tion , with a vie w to im p ro vin g d isp u te
reso lu tio n s e rv ic e s. •

• C rea te a link a m o n g a rb itra to rs, c o u n se l a n d u se rs to

en a ble IC C d isp u te resolu tion to re s p o n d e ffe c tiv e ly
to u se rs' n e e d s.

19
20 ICC P u b licatio n 8 7 0 - 0 E N G
IC C C o m m is s io n on A rb it r a t io n a n d A D R
w w w .icc w b o .o rg /p o licy /a rb itra tio n
arb itratio n .co m m issio n @ iccw b o .o rg
T +33 (0)1 4 9 53 3 0 43
F +33 (0)1 4 9 53 57 19

IC C Pu b licatio n 8 7 0 - 0 EN G
ISBN 9 7 8 -9 2 -8 4 2 -0 2 2 4 -9