The Rules in English:
For the purpose of ease of comprehension of the Rules in multiple languages using our website translation widget, we provide draft versions of the Rules in the text below. However the rules provided in pdf format at the top of this page are the official definitive versions, with the Rules in English in pdf format taking precedence over all other versions or translations.
RULES OF ARBITRATION 2016
a) “Arbitration” means an arbitration under these Rules.
b) “Arbitration Agreement” means an agreement by the Parties to submit to arbitration all or certain disputes that have arisen or that may arise between them. An Arbitration Agreement may be in the form of an arbitration clause in a contract or in the form of a separate contract.
c) “Award” means a decision of an Emergency Arbitrator or a Tribunal that comply with the requirements of and restrictions on awards under these Rules.
d) “Centre” means the International Expedited Arbitration Centre or IEAC.
e) “Claimant” means the Party initiating an arbitration under these Rules.
f) “Party” means any legal person that is either a Claimant or a Respondent in an arbitration under these Rules and “Parties” means all of such persons involved in a particular arbitration.
g) “Respondent” means the party against which the Arbitration is initiated, as named in a Request for Arbitration under these Rules.
h) “Rules” means these rules as updated from time to time by the International Expedited Arbitration Centre and posted on its current website.
i) “Tribunal” or “Arbitration Tribunal” means the sole arbitrator or panel of more than one arbitrator as appointed under these Rules. All rights, duties and obligations of the Tribunal shall apply to the individual member(s) of the Tribunal, subject to the Tribunal’s actions and decisions.
2) SCOPE AND PARTY MODIFICATION OF RULES
a) Where Parties have an Arbitration Agreement providing for arbitration by the Centre or arbitration under these Rules, these Rules form part of that Arbitration Agreement and the dispute shall be settled in accordance with these Rules.
b) Applicable Law. These Rules shall govern the Arbitration, other than in respect of conflict with applicable law.
c) Amendment. The Centre may amend these Rules without notice.d) Version. The Rules in effect on the date of the commencement of an arbitration shall apply to that arbitration, unless the Parties have agreed upon another version of the Rules.
e) Usage of These Rules. The Parties may in writing create or modify an arbitration agreement between themselves to use these Rules under the administration of the Centre.
f) Modifications. To the extent that the Parties wish for the Arbitration procedure set out in these Rules to be varied, or to involve any of the Opt-In Procedures (s.42) set out in these Rules, the Parties shall promptly request this in writing to the Tribunal, if already constituted, and the Centre, if not. The Tribunal shall promptly forward such request to the Centre. The Centre, after reviewing request, shall promptly inform the Parties of any required revision of fees or deposits under these Rules. The Centre may, at its discretion, decide to discontinue its administration of the Arbitration in accordance with these Rules. Any such discontinuance shall not excuse any Party’s liabilities under these Rules.
3) LAWS APPLICABLE TO THE SUBSTANCE OF THE DISPUTE, THE ARBITRATION, AND THE ARBITRATION AGREEMENT
a) Substantive Law. The Tribunal shall decide the substance of the dispute in accordance with the law or rules of law chosen by the Parties. Any designation shall not refer to the conflicts of law provision of any jurisdiction unless expressly made. Failing a choice of law by the Parties, the Tribunal shall apply the law or rules of law that it determines to be appropriate. In all cases, the Tribunal may take into account the terms of any relevant contract and applicable trade usages. The Tribunal may only decide as amiable compositeur or ex aequo et bono if expressly authorised by the Arbitration Agreement.
b) Lex Arbitri. The law governing the Arbitration shall be the arbitration law of the place and seat of the Arbitration, unless (i) the Parties have expressly agreed on another law and (ii) such agreement is permitted by the law of the place and seat of the arbitration.
4) DEEMED CHOICES
a) Failing a choice by the Parties before the constitution of the Tribunal:i) Seat and place. The deemed seat and place of the Arbitration shall be Paris, France and the governing law of the arbitration agreement shall be the law of France.ii) Language. The language of the arbitration shall be English.iii) Number of Arbitrators. The number of arbitrators shall be one.iv) Procedural law. The procedural rules governing the arbitration shall be as set out in these rules.
5) EMERGENCY ARBITRATOR
a) Notice. A Party in need of emergency relief prior to the constitution of the Tribunal may notify the Centre and all other Parties in writing of the relief sought and the basis for an Award of such relief (“Emergency Notice”.) This Emergency Notice shall include an explanation of why such relief is needed on an expedited basis. Such Emergency Notice may be given by facsimile, emailed pdf form, courier, or personal delivery. The Emergency Notice must include a statement certifying that all other Parties have been notified or an explanation of the efforts made to notify any Parties not notified.
b) Appointment and Challenge. The Centre shall promptly appoint an arbitrator (“Emergency Arbitrator”) to rule on the request set out in the Emergency Notice. The Emergency Arbitrator shall promptly disclose any circumstance that may, on the basis disclosed in the application, affect the Arbitrator’s ability to be impartial or independent. Any Party’s challenge to the appointment of the Emergency Arbitrator shall be made within 72 hours of the nomination of, or such disclosure by, the Emergency Arbitrator. The Centre shall promptly review and decide any such challenge. The Centre’s decision, provided without reasons, will be final.
c) Schedule. Within three business days of the later of, the Centre’s appointment, or decision on any challenge, the Emergency Arbitrator shall establish a schedule for the consideration of the request for emergency relief. The schedule shall provide a reasonable opportunity for all Parties to be heard taking into account the nature of the relief sought. The Emergency Arbitrator has the authority to rule on his or her own jurisdiction and shall resolve any disputes with respect to the request for emergency relief.
d) Adequate Security. The Emergency Arbitrator may, at his/her discretion, require the party requesting relief to post adequate security.
e) Award with Reasons. The Emergency Award shall be with reasons in response to the requests set out in the Emergency Notice.
f) Modifications. Any request to the Emergency Arbitrator to modify the Emergency Award must be based on changed circumstances. After the Tribunal is constituted, a modification request must be sent to the Tribunal. The Tribunal shall not be restricted by the requirement for changed circumstances.
g) Recourse to Courts. While an Emergency Arbitrator’s mandate continues, a Party may apply to a state court or other legal authority, providing the Emergency Arbitrator, the Centre and all other Parties prompt notice of such application.
h) Lapse of Mandate. The Emergency Arbitrator shall cease to act if
i) the Centre terminates or revokes his/her appointment upon a successful challenge,
ii) the Tribunal is constituted,
iii) an Emergency Award is issued pursuant to these Rules,
iv) the Arbitration is terminated pursuant to these Rules.
6) EXCHANGE AND DELIVERY OF DOCUMENTS
a) Electronic Form. All provision of documents under these Rules shall, i) be in electronic form,
ii) be deemed equivalent to hard copy documentation and, iii) be accompanied by a covering letter listing the documents provided and bearing the name, address and telephone number of the submitting party. If a Party cannot verifiably be communicated with by any electronic means of communication, or for other good cause, for the purposes of these Rules, a Party or the Arbitration Tribunal may communicate by post, courier, or hand-delivery using hard copy, upon the specific approval or request of the Centre.
b) Additional Verification. The Centre or Tribunal may, at either’s absolute discretion, on either’s own initiative or on a Party’s request for demonstrated good cause, request hard copy originals or appropriate evidence of the veracity of the documents or their contents.
c) Non-Communication. Any Party who ignores or attempts to refuse receipt of documents by the Centre or the Tribunal may be deemed by the Centre or the Tribunal to have received such documents 48 hours after attempted transmission or delivery.
d) Address. A Party may be communicated to, by other Parties, the Centre, or the Tribunal, using an address: i) given by it or designated by it for communication about the Arbitration Agreement, ii) that has been regularly used in the Parties’ previous dealings.
e) Last Known Information. In the absence of a change of address notified by a Party, that Party’s last known contact information shall be deemed valid for any communication under these Rules.
7) PERIODS OF TIME
a) Date of Receipt. For the purpose of determining compliance with any time-limit, a written communication shall be treated as having been received by a party on the day it is delivered or, in the case of electronic means, on the day it is transmitted in the sender’s time-zone.
b) Business Days and Holidays. All time periods shall commence the day after a communication or notification is deemed to have been received. All time periods shall start and end on a business day.
i) Any period that starts on a non-business day in the jurisdiction of a party that is obliged or restricted by that period shall only start on the next business day in the jurisdiction of that party.
ii) Any period that ends on a non-business day of a receiving party shall be extended until the end of the next business day in the jurisdiction of the receiving party.
c) Variance of Periods by Centre. Subject to any order of the Tribunal under these Rules, the Centre may also abridge or extend any period of time under the Arbitration Agreement or other agreement of the Parties (even if the period of time has expired), on its own initiative or on a Party’s request, including if provision of documents under these Rules does not occur because of:
i) an error in the transmission of the document on account of the Centre’s filing systems or procedures;
ii) a served party that was unknown to the sending party;
iii) a Party being erroneously excluded from the service list; or
iv) other technical problems experienced by the Arbitration Tribunal or the Centre.
8) ADMINISTRATIVE /PREPARATORY CONFERENCE
a) Subject to applicable fees, upon a Party’s request, the Centre may, at its discretion, convene an administrative conference with the Parties and the Tribunal (if constituted) to discuss any procedural matter relating to the administration of the Arbitration.
b) Following the submission of the Statement of Defence, the Tribunal may, at its discretion, convene a preparatory conference with the Parties for the purpose of organising and scheduling the subsequent proceedings.
9) JURISDICTION AND AUTHORITY OF THE TRIBUNAL AND THE CENTRE
a) The Tribunal shall have the powers described below, upon the application of any party or upon its own initiative, but in either case only after giving the Parties a reasonable opportunity to state their views.
b) Jurisdiction. The Tribunal may rule on jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, or any contract of which the Arbitration Agreement forms part or to which it relates, and who are Parties to the Arbitration.
c) Latest plea on Jurisdiction. A plea as to a Tribunal’s jurisdiction over a claim or authority to act upon a matter shall be raised no later than in a Party’s response to a claim or counter-claim, or matter, respectively. The Tribunal may, at its absolute discretion, in either case, admit a later plea if it considers the delay justified.
d) Choice of Award. The Tribunal has the authority at its absolute discretion, to determine jurisdiction and arbitrability issues either as i) a preliminary matter, ii) in a partial award, iii) in an interim award, or iv) in a final award.
e) No Bar to Administration. A plea that the Tribunal lacks jurisdiction shall not preclude the Centre from administering the Arbitration.
f) Exclusivity. The Parties shall not apply to any state court or other legal authority for any order available from the Tribunal under these Rules.
g) Weight and Admissibility of Evidence. The Tribunal may determine the admissibility, relevance, materiality and weight of any evidence it obtains either on its own initiative or from one or more Parties. The Tribunal may decide whether or not to apply any strict rules of evidence (or any other rules) as to any material tendered by a party on any issue of fact or expert opinion, and to decide the time, manner and form in which such material should be exchanged between the parties and presented to the Tribunal.
h) Documentation and Information Requests. At any time during the Arbitration, in addition to any orders it may make in service of the Opt-In Procedures set out in these Rules, the Tribunal may, at its discretion, order a Party to produce such documents or other evidence as it considers necessary or appropriate and may order a Party to make available to the Tribunal or to an expert appointed by it, any property in its possession or control for inspection or testing which the Tribunal decides to be relevant.
i) Modification of claims and responses. The Tribunal shall have the power to allow a Party to supplement, modify or amend any claim, defence, cross-claim, defence to cross-claim and reply, including a Request, Response and any other written statement, submitted by such Party.j) Variance of Time Periods by Tribunal. The Tribunal, on a Party’s request or on its own initiative, shall have the power to abridge or extend (even where the period of time has expired) any period of time restricting a party, prescribed under the Arbitration Agreement, any other agreement of the parties, any order made by the Tribunal, or these Rules.
k) Independent Review. The Tribunal may, at its discretion and initiative, identify and ascertain relevant issues, facts, and law applicable to the Arbitration Agreement, the Arbitration and the merits of the Parties’ dispute.
l) Nature of Orders. The Tribunal shall have the power to order compliance with any legal obligation, payment of compensation for breach of any legal obligation and specific performance of any agreement.
m) Joinder. The Tribunal shall have the power to compel or allow, as applicable, subject to the approval of the Centre, one or more third parties to be joined in the Arbitration, taking into account all relevant and applicable circumstances on a Party’s request or on the third party’s request.
n) Cessation. The Tribunal shall have the power to order, upon the approval of the Centre, the discontinuance of the arbitration if it appears to the Tribunal that the arbitration has been abandoned by the parties or all claims and any cross-claims withdrawn by the parties, provided that, after fixing a reasonable period of time within which the parties shall be invited to agree or to object to such discontinuance, no Party has stated its written objection to the Tribunal to such discontinuance upon the expiry of such period of time.
o) Consolidation. If no tribunal has yet been formed by the Centre for more than one arbitration commenced under the same arbitration agreement between the same parties, the Centre may determine, after giving the Parties a reasonable opportunity to state their views, that two or more arbitrations, shall be consolidated to form one single arbitration subject to these Rules.
10) ESTABLISHMENT OF THE TRIBUNAL
a) Ability of the Centre to Proceed. The formation of the Tribunal by the Centre shall not be impeded by any controversy between the parties relating to the sufficiency of the Request or the Response. The Centre may also proceed with the arbitration notwithstanding that the Request is incomplete or the Response is missing, late or incomplete.
b) Time Period. The Centre shall appoint the Tribunal promptly after receipt by the Centre of the Response or, if no Response is received, after 14 days from the date of the Commencement Letter (or such other lesser or greater period to be determined by the Centre.)
c) Exclusive Power. The Centre alone is empowered to appoint arbitrators for an arbitration under these rules (albeit taking into account any written agreement by the Parties).
d) Number of Arbitrators. Subject to the fees and charges set out in these Rules, and the Centre’s power to set the number set out below, before constitution of the Tribunal, the Parties may unanimously, in writing, specify the number of arbitrators in a Tribunal. Tribunals shall only consist of odd numbers of arbitrators.
e) Large or Complex Dispute. In the event of the amount in dispute between the Parties being above either 100,000 EUR or USD, or the Centre deems the dispute sufficiently complex, the Parties agree that the Tribunal shall consist of a minimum of three arbitrators.
f) President of the Tribunal. In the event of the requirement of a tribunal of more than one Arbitrator, the Centre shall appoint one of the arbitrator appointed under these Rules as presiding over the Tribunal (the “President”). The appointment of a President shall not be impugned by the challenge of the appointment of any other arbitrator but may be challenged in his/her standing as an arbitrator. In the event that for any reason the appointment of, or continued service of, the President is not possible under these Rules, the Centre shall, at its discretion, appoint a replacement President subject to the requirements of impartiality and independence set out in these Rules. The President, with the approval of the majority of the tribunal, may make all procedural orders alone.
g) Secretarial Support. Subject to applicable fees under these Rules, upon an unanimous request by the Parties’, and upon the Centre’s approval, the Tribunal may appoint a Secretary to the tribunal for the purpose of providing administrative support to the Arbitration.
11) ARBITRATOR SELECTION, DISCLOSURE, REPLACEMENT
a) For the purpose of the mechanism of choice of arbitrators described in these Rules, the Centre shall choose arbitrators taking into account the factors described below.
b) Pre-existing Agreement. If the Arbitration Agreement specifies another mechanism for choosing arbitrators other than as set out in this section 11, The Centre may, at its discretion, subject to requirements on nomination of arbitrators in these rules, deem this to be a valid modification request under section 2(f) “Modifications”.
c) Arbitrator Candidate List. The Centre shall send each of the Parties a list of at least six (6) arbitrator candidates in the case of a requirement for a sole arbitrator and twelve (12) arbitrator candidates in the case of a requirement for more than one arbitrator. The list shall provide information relating to the background and experience of each Arbitrator candidate. The candidates listed shall be arranged in three bands of fees. In each band of fees, for the purposes of furthering transparency and impartiality, one candidate spot shall be picked from the arbitrator rolls of the IEAC on a rotating basis, and one or two candidates, depending on the size of the Tribunal, shall be chosen by the Centre taking into account the subject matter of the dispute, the place of arbitration, applicable law, transactions between the parties, the nature and circumstances of the dispute, its monetary amount or value, the location of the Parties, the number of Parties, potential for conflict of interest, and the languages and nationalities of the Parties. Arbitrator may communicate to the Centre at any time which band of fees they wish to be included in for any lists that the Centre will send out in future. The mechanism of calculation of fees in each band is more particularly described in the Schedule of Fees and any additional information about procedures relating to Arbitrator Appointment shall be as set out in schedules to these Rules that may be issued from time to time.
d) Population of the Tribunal. The Centre may replace any or all names on the list of arbitrator candidates for reasonable cause at any time before the Parties have submitted their choices. Within ten (10) business days of receiving the list of candidates, each party shall provide a ranked list of arbitrator candidates in order of preference. The arbitrator candidate(s) with the highest composite ranking shall be appointed to the Tribunal. The Centre shall, in its absolute discretion, pick between equally ranked candidates. If this process does not yield an Arbitrator or a complete panel, the Centre may, in its absolute discretion, designate as many members of the Tribunal that it deems appropriate to fully nominate the tribunal. In the interests of speed and efficiency the Centre may, before receiving a Respondent’s submission, send the Claimant a list of arbitrator candidates.
e) Failure to Respond. If a Party fails to respond to a list of arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by the Centre, the Centre shall deem that Party to have accepted all of the arbitrator candidates.
f) Non-adverse Entities. Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. the Centre shall determine whether the interests between entities are adverse for purposes of arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.
g) Replacement Arbitrator. If an Arbitrator becomes unable to fulfil his or her duties during the arbitration procedure but before the issuance of an Award, a new Arbitrator will be chosen and appointed in accordance with these Rules, unless, in the case of a Tribunal of more than one, the Parties agree in writing, after such an eventuality, to proceed with an even number of Arbitrators, even if that may lead to deadlock between the arbitrators. The Centre will make the final determination as to whether an Arbitrator is unable to fulfil his or her duties.
12) ARBITRATOR CREDENTIALS
a) Documentation. Before appointment by the Centre, each arbitrator candidate shall promptly furnish to the Centre:
i) Upon Centre’s request, a brief written summary of his or her qualifications and professional positions (past and present);
ii) A statement indicating agreement with fee-rates conforming to the Schedule of Fees and intention to accept appointment to the Tribunal.
iii) A signed written declaration stating:(1) whether there are any circumstances currently known to him or her which may give rise in the mind of any Party to any justifiable doubts as to his or her impartiality or independence and, if so, specifying in full such circumstances in the declaration.(2) whether he or she is ready, willing and able to devote sufficient time, diligence and industry to ensure the expeditious and efficient conduct of the arbitration.
(b) An arbitrator shall, by accepting appointment, be deemed to have declared that he or she will make available sufficient time to enable the arbitration to be conducted and completed expeditiously.
13) GENERAL DUTIES OF THE ARBITRATOR AND THE TRIBUNAL
a) In addition to any obligation set out elsewhere in these Rules, each member of the Arbitration Tribunal shall have the following duties.
i) a duty to act fairly and impartially as between all Parties, giving each a reasonable opportunity of putting its case and dealing with that of its opponent(s). The Tribunal shall not advise any party in respect of the dispute or the outcome of the arbitration.
ii) a duty, until the arbitration is finally concluded, to disclose in writing any circumstances becoming known to that arbitrator after the date of his or her written declaration, which might give rise in the mind of any Party to any justifiable doubts as to his or her impartiality or independence, to be delivered to the Centre and all Parties.
iii) a duty to adopt procedures suitable to the circumstances of the arbitration, to reduce unnecessary delay and expense, and provide a fair, efficient and expeditious means to finally resolve the Parties’ dispute.
b) The Tribunal shall have the widest discretion to discharge these general duties, subject to such mandatory law(s) or rules of law as the Tribunal may decide to be applicable.
c) The Parties shall do everything necessary in good faith in support of the Tribunal’s discharge of its general duties.
d) The Tribunal shall not proceed with the Arbitration without having ascertained from the Centre that the Centre has requisite funds and deposits for outstanding and expected fees and expenses for conduct of the Arbitration.
14) CHALLENGE OF ARBITRATOR
a) Disputes concerning the appointment of the Arbitrator shall be resolved by the Centre.
b) Disclosure. Before appointment of an Arbitrator, the Parties and their Representatives shall disclose to the Centre any circumstance that may give rise to justifiable doubt as to the Arbitrator’s impartiality or independence, including, any bias, any financial or personal interest in the result of the Arbitration, any past or present relationship with the Parties or their representatives.
c) Continuing Disclosure. The Arbitrator, and the Parties and their representatives, shall have a continuing obligation throughout the Arbitration, to each other, to promptly disclose any circumstance that may give rise to justifiable doubt as to an Arbitrator’s impartiality or independence.
d) Time Period for Challenge. A Party challenging the appointment of an Arbitrator for any justification under these Rules shall send notice to the Centre, the Tribunal and the other party, stating the reasons for the challenge, within five (5) Business Days after being notified of the arbitrator’s appointment or after becoming aware of the circumstances giving rise to the basis of such challenge.
e) Opportunity to Respond. The Centre shall provide to those other Parties and the challenged arbitrator a reasonable opportunity to comment on the challenging Party’s written statement. The Centre may require at any time further information and materials from the challenging Party, the members of the Tribunal, and other Parties .
f) Time Period for Response. A response disputing a challenge of the appointment of an Arbitrator must be in writing and sent with the Centre, the Arbitrator and opposing Parties. Opposing Parties must respond in writing within five Business Days (5) days of service of the challenge.
g) Suspension of Proceedings. The Tribunal may, at its discretion, suspend or continue the arbitral proceedings during the pendency of the challenge.
h) Bases for Challenge. The challenge of an Arbitrator or Arbitrator candidate’s impartiality or independence may, in addition to any other relevant factors, include consideration of any of the following connexions with a Party, its Representatives, or the dispute under Arbitration: (i) a significant identifiable interest, whether financial or otherwise ii) a publicly stated position (iii) involvement in negotiations (iv) an adversarial or representative relationship.
i) Centre’s Determination of Challenges. If a Party other than the challenging party does not agree to an Arbitrator challenge and the Arbitrator does not withdraw on his or her own initiative, the decision on the challenge shall be made by the Centre. The Centre shall provide written reasons for its decision. The Centre shall make the final determination as to the challenge of the appointment of an Arbitrator within seven (7) days of the end of the period within which a response to a challenge must be filed. Such determination shall take into account the materiality of the facts and any potential prejudice to the Parties.
j) Centre’s right to revoke appointment. The Centre reserves the right to revoke, without reasons, any Arbitrator’s appointment upon its own initiative or upon a written challenge by any party if: (i) if all Parties may agree to the challenge or the Arbitrator may voluntarily withdraw, with such revocation not implying that the grounds for the challenge are valid.(ii) that Arbitrator gives written notice to the Centre of his or her intent to resign as Arbitrator, to be copied to all Parties and any other members of the Tribunal; (iii) that Arbitrator falls seriously ill, refuses or becomes unable or unfit to act; or (iv) circumstances exist that give rise to justifiable doubts as to that Arbitrator’s impartiality or independence.
k) Fees For Former Arbitrator. The Centre shall determine the amount of fees and expenses (if any) to be paid for the former arbitrator’s services, as it may consider appropriate in the circumstances.l) General ability to relieve Arbitrator. On its own initiative, whether informed by a party or not, at any point during the Arbitration, the Centre may determine that an Arbitrator is unfit to act under these Rules if that arbitrator: (i) acts in deliberate violation of the Arbitration Agreement; (ii) does not act fairly or impartially as between the Parties; or (iii) does not conduct or participate in the Arbitration with reasonable efficiency, diligence and industry.
15) RELEASE FROM APPOINTMENT
a) At Arbitrator Request. At the Arbitrator’s own request, an Arbitrator may be released from appointment as Arbitrator either with the consent of the Parties or by the Centre.
b) Release of an Arbitrator by the Parties. Irrespective of any request by the Arbitrator, the Parties may jointly release the arbitrator from appointment under these Rules. The Parties shall promptly notify the Centre of such release.
c) Fees. Any release specified above shall not excuse any reasonably calculated Fees based on the Rules.
d) Replacement of Arbitrator. Whenever necessary, a substitute arbitrator shall be appointed pursuant to the appointment procedure provided for in these Rules. Pending the replacement, the arbitral proceedings shall be suspended, unless otherwise agreed by the Parties.
a) Pre-Tribunal. Prior to the constitution of the Tribunal, a Party may only have ex-parte communication with an arbitrator candidate to assess the suitability of that arbitrator and to ensure the absence of conflicts.
b) When the Centre communicates on behalf of the Tribunal, all Parties and all Representatives shall be copied. When the Tribunal communicates with any or all of the Parties, it shall copy all remaining Parties and all Representatives and the Centre.
c) A Party may not engage in ex parte communications with any member of the Tribunal.
d) Where any Party delivers to the Tribunal any written communication, by any means, it shall deliver a copy to each member of the Tribunal, all other Parties and the Centre, and it shall confirm to the Tribunal in writing that it has done or is doing so.
a) Freedom of Choice. The Parties may be self-represented or represented by any natural or legal persons of their choice, irrespective of nationality or professional qualification (“Representatives”.)
b) Adequate Capability. Each Party shall ensure that its Representatives have sufficient time and capability to enable the arbitration to proceed expeditiously.
c) Notice. Each Party shall give prompt written notice to the Centre, the Tribunal, the other Parties, and the representative in question, of the appointment or removal of a Representative along with the name, address, telephone and fax numbers and email address of such Representative. Such notice shall provide evidence of the written consent of the representative, proof of the grant of authority to the Representative and the effective date of the appointment or removal of representation.
d) Approval of Notice. Until the Tribunal’s formation, the Centre must be satisfied of all requirements of notice of Representation. Following the Tribunal’s formation, the Tribunal must be satisfied of the fulfilment of these requirements.
e) Approval of Changes to Representation. The Tribunal may withhold approval of any intended change or addition to a Party’s Representatives where such change or addition could compromise the composition of the Tribunal or the finality of any award (on the grounds of possible conflict or other like impediment). In deciding whether to grant or withhold such approval, the Tribunal shall have regard to all circumstances, including: the general principle that a Party may be represented by a Representative chosen by that Party, the stage which the arbitration has reached, the efficiency resulting from maintaining the composition of the Arbitral Tribunal and any delay or increased expenditure resulting from such change or addition.
f) Representative Compliance. Each Party shall ensure that all its Representatives appearing before the Tribunal agree to comply with and comply with all guidelines regarding Representatives set out in these Rules, as a condition of such representation. In permitting any Representative to appear, a Party shall thereby represent that the Representative has agreed to such compliance. In the event of a complaint by one Party against another Party’s Representative appearing before the Arbitral Tribunal (or of such complaint by the Arbitral Tribunal upon its own initiative), the Arbitral Tribunal may decide, after consulting the Parties, and the Centre, and granting that Representative a reasonable opportunity to answer the complaint, whether or not the Representative has violated the general guidelines. If such violation is found by the Arbitral Tribunal, the Arbitral Tribunal may order any or all of the following sanctions against the Representative: (i) a written reprimand; (ii) a written caution as to future conduct in the arbitration; and (iii) any other measure necessary to fulfil the general duties required of the Arbitral Tribunal, including exclusion from continued participation in the Arbitration, and right to communication and response within these Rules.
g) No person who has acted in support of or as a representative of the Centre in respect of a particular arbitration may act as a Representative of a Party in that arbitration.
h) General restrictions.
i) Restrictions in these Rules on the conduct of a Party shall apply to its Representatives.
ii)A Representative shall not engage in activities intended unfairly to obstruct the arbitration or to jeopardise the finality of any award, including repeated challenges to an arbitrator’s appointment or to the jurisdiction or authority of the Tribunal known to be unfounded by that Representative.
iii) A Representative shall not knowingly make any false statement to the Tribunal or the Centre.
iv) A Representative shall not knowingly procure or assist in the preparation of or rely upon any false evidence presented to the Tribunal or the Centre.
v) A Representative shall not knowingly conceal or assist in the concealment of any document (or any part thereof) which is ordered to be produced by the Tribunal.vi) During the arbitration proceedings, a Representative should not deliberately initiate or attempt to initiate, with any member of the Tribunal or with any member of the Centre making any determination or decision in regard to the arbitration, any unilateral contact relating to the arbitration or the Parties’ dispute, not already contemplated elsewhere in these Rules, which has not been disclosed in writing prior to or shortly after the time of such contact to all other parties, the Tribunal and the Centre.
18) REQUEST FOR ARBITRATION
a) Parties. The Claimant shall sent the Request for Arbitration along with the Registration Fee to the Centre. Other than as allowed at the Centre’s discretion, all written communication by a Party to another Party or to the Centre in respect of the Arbitration shall be in electronic form.
b) Contents of Request. The Request for Arbitration shall contain or be accompanied by:
i) A demand that a dispute be referred to arbitration under these Rules.
ii) The names, postal addresses and telephone, facsimile, e-mail or other communication references of the Parties and of the representative of the Claimant.
iii) A copy of the Arbitration Agreement.
iv) Any observations that the Claimant considers useful in connection with its demand.
v) A Statement of Claim in conformity with these Rules.
c) The constitution of a Tribunal shall not be hindered by any controversy with respect to the sufficiency of the Request For Arbitration, which shall be finally resolved by the Tribunal after its nomination.
19) CLAIMANT’S STATEMENT OF CLAIM
a) The Statement of Claim shall contain a comprehensive statement of the facts and legal arguments supporting all claims, including claims relating to jurisdiction, including a statement of all remedies sought.
b) The Statement of Claim shall, to as large an extent as possible, be accompanied by the documentary evidence upon which the Claimant relies, together with a schedule of such documents.
20) RESPONDENT’S RESPONSE TO REQUEST FOR ARBITRATION
a) Within 15 Business Days from the date on which the Respondent receives the Request for Arbitration and Statement of Claim from the Claimant, the Respondent shall address to the Centre and to the Claimant an Answer to the Request for Arbitration.
b) The Answer to the Request shall be accompanied by the Statement of Defence.
c) The Statement of Defence shall reply to the particulars of the Statement of Claim accompanied by the all relevant documentary evidence in accompaniment.
d) Any counter-claim or set-off by the Respondent shall be made or asserted in the Statement of Defence or may, in exceptional circumstances, at a later stage in the arbitral proceedings if so determined by the Tribunal, and shall require the same rigour as required of claims described above.
21) CLAIMANT’S RESPONSE TO COUNTERCLAIM
In the event that a counter-claim or set-off has been made or asserted, the Claimant shall reply to the particulars to such counterclaim or setoff assertion, with all relevant documentary evidence in accompaniment (which has not already been submitted), within ten (10) Business Days from the date on which the Claimant receives such counter-claim or set-off.
22) FURTHER STATEMENTS AND AMENDMENTS
a) The Tribunal may, at its discretion, and subject to consideration of cost, delay and fairness, allow or require further written statements, or documentation in respect of previously submitted claims, by a Party, other than as allowed under these Rules.
b) Subject to any contrary agreement by the Parties, a Party may amend or supplement its claim, counter-claim, defence or set-off during the course of the arbitral proceedings, unless the Tribunal considers it inappropriate to allow such amendment having regard to its nature or the delay in making it.
c) After the filing of a claim and before the Tribunal is constituted, any Party may make a new or different claim against a Party or any third party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with the Centre and served on the other Parties. Any response to the new claim shall be made within fifteen (15) Business days after service of such claim. After the Tribunal is constituted, no new or different claim may be submitted, except with the Tribunal’s approval.
23) COMMENCEMENT OF THE ARBITRATION
a) The Arbitration is deemed commenced when the Centre issues a Commencement Letter to each Party based upon the existence of one of the following:
i) A post-dispute Arbitration Agreement fully executed by all Parties specifying the use of these Rules.
ii) A pre-dispute written contractual provision requiring the Parties to arbitrate a dispute or claim under the Centre’s administration or through the use of any the Rules.
iii) A written agreement confirming of an oral agreement of all Parties to participate in an Arbitration administered by the Centre or conducted pursuant to these Rules.
iv) The Respondent’s failure to object in a timely manner to the Centre’s administration of the Arbitration under these Rules.
v) A copy of an order from a court, or other similarly empowered adjudicatory state body, compelling Arbitration at the Centre.
b) The issuance of the Commencement Letter shall confirm that the Centre has deemed that the requirements for commencing the Arbitration, including any payments or deposits under these Rules, have been met, and the Arbitration has commenced.
c) If a Party that is obligated to arbitrate in accordance with these Rules fails to agree to participate in the Arbitration process, the Centre shall confirm in writing that Party’s failure to respond or participate, and the Tribunal, once appropriately constituted under these rules, shall schedule, and provide appropriate opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.
24) WITHDRAWAL FROM ARBITRATION
a) No Party may terminate or withdraw from the Arbitration after the issuance of the Commencement Letter except by written agreement of all Parties to the Arbitration.
b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and the Tribunal. However, the opposing Parties may, within five (5) Business Days of service of such notice, request that the Tribunal condition the withdrawal upon such terms as it may direct.
25) DECLARATION OF CLOSURE
a) Upon receipt of all allowable submissions under these Rules, the Tribunal shall expeditiously, but keeping in mind all reasonable accommodation to fairness and the ability of each Party to make its case and respond to claims made against it, issue a Declaration of Closure to the Parties and the Centre.
a) Non-Payment. If, at any time, any Party has failed to pay fees or expenses or requested deposits in full, within 5 Business days of such amounts coming owing, the Centre may do either or all of, a) instruct the Tribunal to deem the claims and counterclaims of such Party withdrawn, b) order the administrative suspension or termination of the proceedings c) withhold issuance of any Award under these Rules. The Centre may also inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Centre may allow the Arbitration to proceed, and the Party making the substitute payment may request the Tribunal to make an order or award in order to immediately recover that amount together with any interest. Any administrative suspension shall stop the progress towards any other time limits contained in these Rules or the Arbitration Agreement.
b) Third Party Charges. Any charges by third parties on any transfer or maintenance of funds relating to costs, expenses and deposits, shall be borne exclusively by the Party to whom such activity relates, and accounts of such charges shall be provided to that Party.
c) Registration Fee
i) Each Party shall be liable to pay the Centre the non-refundable registration fee set out in the Schedule of Fees.
ii) The Centre may decline to take any action on a Request for Arbitration or counter-claim until each registration fee has been paid.
iii) The Tribunal shall promptly inform the Centre of the amount of a claim or counter-claim, by a Party as well as any increase thereof.
d) Administration Fee. Administrative fees shall be as set out in the Centre’s Schedule of Fees and shall consist of:
i) Base fee whatever the amount in dispute.
ii) A percentage of the amount in dispute between the Parties, for administering the arbitration and the general overhead of the Centre.
iii) A fixed fee per challenge for settling any dispute about the Tribunal’s or Centre’s jurisdiction under these Rules.
iv) Arbitrator Fees. The amount and currency of the fees of the Tribunal shall be set in accordance with the Schedule of Fees and the modalities and timing of their payment shall be fixed by the Centre in consultation with arbitrators that are prospective members of the Tribunal and the Parties, in accord with these Rules.
v) Fees For Additional Support. Additional fees for activities in support of the Tribunal’s such as administrative support or the fees of any Secretary to the Tribunal shall be fixed by the Centre upon an appropriate request by a party or by the Tribunal under these Rules.
a) Preliminary Deposits. Upon receipt of notification from the Centre of the establishment of the Tribunal, each Party shall deposit the amount specified by the Centre as an advance for the future costs of arbitration. The amount of each Party’s deposit shall be determined by the Centre and may vary between the Parties.
b) Supplementary Deposits. In the course of the arbitration, the Centre may recalibrate estimates of costs and require that the Parties make supplementary deposits.
c) Additional Security. The Tribunal or the Centre may require additional deposits from a Party during the course of the Arbitration, if a Party or its Representatives undertake in conduct that constitute, in the opinion of the Tribunal or the Centre, dilatory tactics, bad faith, obstructive behaviour, or violations of the guidelines for conduct set out in these Rules.
d) Reconciliation With Award. After the Award has been made, the Centre shall, in accordance with the Award, render an accounting to the Parties of the deposits received and return any unexpended balance to the Parties or require the payment of any amount owing from the Parties.
e) Non-adverse Parties. Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Centre’s assessment of fees. The Centre shall determine whether the interests between entities are adverse considering such factors as whether the entities are represented by the same Representative and whether the entities are presenting joint or separate positions at the Arbitration.
a) The Tribunal may, after consulting the Parties and obtaining the consent of at least one Party, appoint one or more independent experts to report to it on specific issues designated by the Tribunal. A copy of the expert’s terms of reference, established by the Tribunal, having regard to any observations of the Parties, shall be communicated to the Parties. Any such expert shall be required to sign an appropriate confidentiality undertaking. The terms of reference shall include a requirement that the expert report to the Tribunal within 6 Business Days of receipt of the terms of reference.
b) Upon receipt of the expert’s report, the Tribunal shall communicate a copy of the report to the Parties, which shall be given the opportunity to express, in writing, their opinion on the report.
c) The opinions of an expert shall be considered by the Tribunal’s in the context of all the circumstances of the case, unless the Parties have agreed that the expert’s determination shall be conclusive in respect of any specific issue.
d) The Tribunal may elicit evidence for the purpose of the Arbitration from experts appointed under these Rules, either sequentially or concurrently (“hot tub”).
29) INTERIM MEASURES BY THE TRIBUNAL
a) At the request of a Party, the Tribunal may issue any provisional orders or take other interim measures it deems necessary, including orders and measures for the conservation of goods which form part of the subject matter in dispute, such as an order for their deposit with a third person or for the sale of perishable goods. The Tribunal may make the granting of such measures subject to appropriate security being furnished by the requesting Party.
b) A request addressed by a party to a judicial authority for interim measures or for security for the claim or counter-claim, or for the implementation of any such measures or orders granted by the Tribunal, shall not be deemed incompatible with the Arbitration Agreement, or deemed to be a waiver of that Agreement.
c) Measures and orders contemplated under this Article may take the form of an interim award or a partial award that is final in respect of its subject matter.
d) Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.
a) Final. An award under these Rules (the “Award”) is final subject to any modification allowed under these Rules.
b) Majority Opinion. Where a Tribunal of more than one arbitrator has heard the dispute, the decisions of a majority of the Tribunal shall constitute the Award.
c) Remedies. The Tribunal may grant any remedy or relief that is just and equitable and within the scope of the Parties’ agreement, including, but not limited to, specific performance of a contract or any other equitable or legal remedy.
d) Flexibility As To Nature of Award. In addition to a Final Award or Partial Final Award, the Tribunal may make other decisions, including interim or partial rulings, orders and awards and to the extent they are finally dispositive of any matters in dispute between the Parties, such decisions may be specified by the Tribunal, subject to form and content specified herein, as an Award.
e) Grounds For Award. Pursuant to its power of independent enquiry, the Tribunal may, at its discretion, in addition to resolving issues of fact and law that arise from the claims and counterclaims and pleadings submitted by the Parties, resolve any additional issues of fact or law necessary it to rendering an award.
f) Minimum Content. An award under these Rules shall be in writing and shall, at a minimum contain:
i) The full names of the Parties as well as their domicile or corporate headquarters.
ii) The names of any Representatives who represented or assisted the Parties.
iii) The names of arbitrators who made the award.
iv) The date on which the award was made.
v) The place where the award was made.
g) Reasons. An Award shall consist of a written statement signed by the members of the Tribunal regarding the disposition of each claim and the relief, if any, as to each claim. An Award shall state the reasons on which it is based, unless i) the Parties have agreed that no reasons should be stated and the law applicable to the arbitration does not require the statement of such reasons, or ii) it is set out elsewhere in these Rules that the nature of such an Award does not require accompanying reasons.
h) Signature. The award shall be signed by all members of the Tribunal. Where an Arbitrator fails to sign an award, the award shall state the reason for the absence of the signature.
i) Assistance To The Tribunal. Members of the Tribunal may obtain the assistance, in matters of both form and substance, of third parties such as secretaries for drafting the award.
j) Approval Of The Centre. To ensure the enforceability of the award, the Tribunal shall obtain the Centre’s approval of the award, in respect of both form and substance.
31) EFFECT OF AWARD
a) Effective Date. The award shall be effective and binding on the Parties as from the date it is communicated by the Centre.
b) Immediate Compliance. The Parties shall comply with any award under these Rules without delay.
c) Waiver of Appeal. Each of the Parties acknowledges an Award is final and waive all appeal rights in any forum under applicable law.
32) COSTS OF THE ARBITRATION
a) Cost Arrangement. Subject to applicable law, in its award, the Tribunal shall calculate and apportion the costs of arbitration between the Parties, in an appropriate ratio reflective, at its discretion, of all of the circumstances of the arbitration, including but not limited to, the impact of the conduct of Parties and their Representatives during the Arbitration (the “Cost Arrangement”).
b) Components. Subject to the Cost Arrangement described above, the Costs of the Arbitration shall consist of the following:
i) All fees and charges accruing under the Schedule of Fees.
ii) Costs incurred on the Tribunal’s initiative.
iii) Costs incurred on Parties’ initiative.
iv) Cost of other external assistance, and any other expenses as are necessary or have been incurred for the conduct of the arbitration proceedings, as required by the Tribunal for its functions and activities pursuant to these Rules.
c) Party Initiated Costs. Subject to the Cost Arrangement, the costs related to procuring expert advice requested by a Party shall be borne by that Party. In the event of any documentary request of another Party by a Party, the requesting Party shall pay reasonable costs incurred by the providing Party. The cost of each Party’s fees, expenses and interests, in respect of its Representatives shall be borne by that Party.
d) Tribunal Initiated Costs. Subject to the Cost Arrangement, the costs related to activities initiated by the Tribunal on its own initiative, shall be borne equally by the Parties, including but not limited to, secretarial services, translation services, and commissioning of any expert reports.
e) Reasons With Costs Decision. Any decision on costs by the Tribunal shall be made with reasons in the award containing such decision.
f) Deduction from and refund of deposits. Costs shall, as far as possible, be debited from totality of the deposits provided by the Parties under these Rules. If the Arbitration Costs are less than the deposits received by the Centre under these Rules, there shall be a refund by the Centre to the Parties in such proportions as the Parties may agree in writing, or failing such agreement, in the same proportions and to the same payers as the deposits were paid to the Centre.
g) Right to recover costs from the other Party. If the Tribunal has decided that all or any part of the Arbitration Costs shall be borne by a party other than a party which has already covered such costs by way of a payment to the Centre under these Rules, the latter party shall have the right to recover the appropriate amount of Arbitration Costs from the former party.
h) Currency and Interest. Monetary amounts in the award may be expressed in any currency. The Tribunal may award simple or compound interest to be paid by a party on any sum awarded against that party. It shall be free to determine the interest at such rates as it considers to be appropriate, and shall be free to determine the period for which the interest shall be paid.
33) NOTIFICATION OF AWARDS
a) Originals. Award shall be communicated by the Tribunal to the Centre in a number of originals sufficient to provide one for each Party, each Arbitrator and The Centre. The Centre shall formally communicate an original of an Award to each party and arbitrator.
b) Certified Copies. At the request of a Party, the Centre shall provide it, for the applicable fee, with a copy of an award certified by the Centre.
34) PERIODS FOR DELIVERY OF AWARDS
a) Declaration of Closure of Arbitration and Issuance of Award. The Arbitration should be declared closed by the Tribunal to the Centre and the Parties within 60 days after either the delivery of the Statement of Defence or the establishment of the Tribunal, whichever event occurs later. All Awards in respect of the Arbitration should be made within 21 days after the Declaration of Closure.
b) Status Reports. If the Tribunal cannot comply with either of the time periods set out in paragraph (a), the Tribunal shall send the Centre a status report on the arbitration, with reasons for delay, with a copy to each Party. It shall send a similar status report to the Centre and each party, at the end of each ensuing period of 15 days during which such delay occurs.
e) Penalty for Delay. Any delay in issuing the Final Award, without good cause, beyond the periods set out above (“Delay Period”) shall result in a reduction of fees paid to Arbitrators under these Rules at the rate of five (5)% per seven (7) calendar days. Delay Periods shall only be calculated once, i.e. a delay in declaration of closure shall not count again as a delay in issuance. Time spent by the Centre is reviewing the Award shall not be included in a Delay Period. Any time spent correcting deficiencies, pointed out by the Centre, in an Award will be counted in the Delay Period.
35) CORRECTION OF THE AWARD
Within seven (7) calendar days after service of an Award by the Centre, any Party may serve upon the other Parties and on the Centre a request that the Tribunal correct any computational, typographical or other similar error in an Award, or the Tribunal may on its own initiative propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Centre shall issue the appropriately corrected Award within fourteen (14) calendar days of receiving a request or seven (7) calendar days after a Tribunal’s proposal to do so. The corrected Award shall be served upon the Parties in the same manner as the Award.
36) ADDITIONAL AWARD
A Party may, within 7 days after receipt of an Award, by notice to the Tribunal, with a copy to the Centre and other Parties, request the Tribunal to make an additional award as to claims presented in the arbitral proceedings but not dealt with in the Award. Before deciding on the request, the Tribunal shall give the Parties an opportunity to be heard. If the Tribunal considers the request to be justified, it shall, wherever reasonably possible, make the additional award within fifteen (15) business days of receipt of the request.
37) SETTLEMENT OR OTHER GROUNDS FOR TERMINATION
a) The Tribunal may suggest that the Parties explore settlement at such times as the Tribunal may deem appropriate.
b) If, before an Award is made, the Parties agree on a settlement of matters in dispute, the Tribunal shall terminate the Arbitration and, if requested jointly by the Parties, record the terms of the settlement in the form of a consent award. The Tribunal shall not be obliged to give reasons for such an award.
c) If, before an Award is made, the continuation of the Arbitration becomes unnecessary or impossible for any reason not mentioned above, the Tribunal shall inform the Parties of its intention to terminate the Arbitration. The Tribunal shall have the power to issue such an order terminating the Arbitration, unless a Party raises justifiable grounds for objection within a period of time to be determined by the Tribunal.d) In the event of a termination of the Arbitration, the consent award or the order for termination of the Arbitration shall be signed and communicated
by the Tribunal to the Centre in a number of originals sufficient to provide one for each Party, each member of the Tribunal and the Centre. Upon the receipt of the award or termination, the Centre shall, upon being satisfied that all accrued fees and costs have been satisfied by the Parties, i) discharge the Tribunal and ii)shall formally communicate an original of the consent award or the order for termination to each Party.
a) Joint and Several Liability. The Parties shall remain jointly and severally liable to pay to the Centre and the Tribunal any costs, fees, or expenses determined payable under these Rules even if the arbitration is abandoned, suspended, withdrawn or concluded, by agreement or otherwise, before an award is made.
b) Overpayment by a Party. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.
c) Statements In the Course of Arbitration. Any statements or comments, whether written or oral, made or used by them or their representatives in preparation for or in the course of the Arbitration shall not be relied upon to found or maintain any action for defamation, libel, slander or any related complaint.
d) Tribunal and Centre Liability. Except in respect of deliberate wrongdoing, the arbitrator and the Centre shall not be liable to a party for any act or omission in connection with the arbitration.
39) CONFIDENTIALITY AND PRIVACY
a) The Centre and the Tribunal shall maintain the confidential nature of the Arbitration proceeding and the Award, subject to notification of default as described below, including any deliberations, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.
b) For the purposes of these Rules, confidential information shall mean any information, regardless of the medium in which it is expressed, which is in the possession of a Party;
i) not accessible to the public;
ii) of commercial, financial or industrial significance; and
iii) treated as confidential by the Party possessing it.
c) If a Party wishes to designate certain information provided to the Tribunal as requiring heightened confidentiality within the proceedings, it shall make an application, with reasons, but without obligation to disclose the substance of the information, to have the information classified as confidential by notice to the Tribunal, with a copy to all other Parties.
d) The Tribunal shall evaluate the application and if it finds merit in it, shall decide under which conditions and to whom the confidential information may in part or in whole be disclosed and may require any person to whom the confidential information is to be disclosed to sign an appropriate confidentiality undertaking. In exceptional circumstances, keeping in mind considerations of efficiency and fairness, the Tribunal may, at the request of a Party or on its own initiative, and after consultation with the parties, designate a third party, that subject to an appropriate confidentiality undertaking, will evaluate the application on its behalf, and report back to the tribunal, such report to be shared with the Parties, at the discretion of the Tribunal.
In the event of any Party neglecting or refusing to carry out or abide by an award made under these Rules, the Centre may post on its Website, and/or circulate amongst Members in any way thought, fit notification of such non-compliance. Such notification shall be limited to the name and address of the non-compliant Party and the date of the award. The Parties are deemed to have consented to the Centre taking such action.
41) DOCUMENT RETENTION
The Centre does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise the Centre in writing within thirty (30) calendar days of the issuance of the Award. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and the Centre reserves the right to impose an additional fee for such special arrangements. Documents shall be retained for thirty (30) calendar days following the issuance of the Award.
42) OPT-IN PROCEDURES
Other than as set out in the Rules, this section consists of opt-in procedures, that will only apply in the event that the Parties unanimously and explicitly agree, in a writing provided to the Centre, to engage one or more of these procedures, subject to additional requirements of fees, costs and deposits payable to the Centre, for the purposes of conducting these procedures. The default cost allocations in the opt-in procedures shall be subject to the Tribunal general powers to allocate cost set out in s. 32.
i) The Tribunal shall organise the conduct of any hearing in advance, in consultation with the Parties, providing each Party reasonable notice in writing.
ii) The Tribunal shall have full control over hearings, including but not limited to, their date, form, medium (such as video, audio, text or any combination thereof), content, procedure (including swearing in of witnesses), time-limits and geographical place.
iii) The Tribunal shall have absolute and unfettered discretion as to the weight it places on any evidence, testimony, or documentation, or lack thereof it encounters as it conducts the Arbitration under these Rules. iv) Subject to the requirement of equal treatment of the Parties, and the Parties’ agreement as to the use of these opt-in procedures the Tribunal may allow, refuse or limit: 1) the written and oral testimony of witnesses in the interests of efficient and expeditious proceedings; 2) appointments or examinations of Experts in the interests of efficient and expeditious proceedings; 3) rights of document discovery in the interests of efficient and expeditious proceedings.
v) If a Party is absent after having received the required notice, the Tribunal may proceed with any all procedures set out in these Rules including those relating to opt-in procedures without that Party’s presence.
i) Hearings may consist of several part-hearings, all held in private.
ii) All Parties and their Representatives, subject to the guidelines on Representatives, may attend hearings. The Tribunal may, at its discretion, disallow any other parties from attendance.
i) If a Party wishes to call witnesses, including but not limited to experts, it will provide information relating to the witness such as identity and subject matter and relevance of the testimony, of each such witness to the Tribunal.
ii) Witness testimony of a witness may be presented by a party in any form and schedule acceptable to the Tribunal.
iii) The Tribunal may require that a witness who provides written testimony be available for oral hearings.
iv) All witnesses at an oral hearing may be questioned by each Party and the Tribunal subject to the hearing procedure laid down or applied by the Tribunal.
v) A Party may be a witness at an oral hearing.vi) In general, costs incurred for calling a witness shall be borne by the requesting Party.
i) The Tribunal, upon the request of a Party, after consultation with the parties, may appoint one or more experts to report in writing to the Tribunal and the Parties on specific issues in the arbitration, as identified by the Tribunal.
ii) The Tribunal may require an expert to make a declaration of independence and impartiality. iii) The Tribunal may require a Party to make available any relevant documentation, materials, things, or location for an expert’s inspection.
iv) In general, costs incurred in respect of an expert shall be borne by the Party requesting appointment.
i) The Tribunal may, upon unanimous request by the Parties, establish protocols for, the exchange of non-privileged documentation, deposition of opposing parties for the purposes of discovery, and other exchange of information in respect of identification of witnesses and experts.
ii) In general, costs in respect of document discovery shall be borne by the requesting Party requesting documentation, deposition or particular information.