ARBITRATION RULES
Chapter I
Establishment of the Tribunal
Rule I
General Obligations
(1)
Upon notification of the registration of the request for arbitration, the parties
shall, with all possible dispatch, proceed to constitute a Tribunal, with due regard to
Section 2 of Chapter IV of the Convention.
(2)
Unless such information is provided in the request, the parties shall communicate
to the Secretary-General as soon as possible any provisions agreed by them
regarding the number of arbitrators and the method of their appointment.
(3)
Except if each member of the Tribunal is appointed by agreement of the parties,
nationals of the State party to the dispute or of the State whose national is a party to
the dispute may be appointed by a party only if appointment by the other party to
the dispute of the same number of arbitrators of either of these nationalities would
not result in a majority of arbitrators of these nationalities.
(4)
No person who had previously acted as a conciliator or arbitrator in any
proceeding for the settlement of the dispute may be appointed as a member of the
Tribunal.
Rule 2
Method of Constituting the Tribunal
in the Absence of Previous Agreement
(1)
If the parties, at the time of the registration of the request for arbitration, have
not agreed upon the number of arbitrators and the method of their appointment,
they shall, unless they agree otherwise, follow the following procedure:
(a)
the requesting party shall, within 10 days after the registration of
the request, propose to the other party the appointment of a sole
arbitrator or of a specified uneven number of arbitrators and specify
the method proposed for their appointment;
(b)
within 20 days after receipt of the proposals made by the
requesting party, the other party shall:
(i)
accept such proposals; or
(ii)
make other proposals regarding the number of
arbitrators and the method of their appointment;
(c)
within 20 days after receipt of the reply containing any such other
proposals, the requesting party shall notify the other party whether it
accepts or rejects such proposals.
(2)
The communications provided for in paragraph (1) shall be made or promptly
confirmed in writing and shall either be transmitted through the Secretary-General or
directly between the parties with a copy to the Secretary-General. The parties shall
promptly notify the Secretary-General of the contents of any agreement reached.
(3)
At any time 60 days after the registration of the request, if no agreement on
another procedure is reached, either party may inform the Secretary-General that it
chooses the formula provided for in Article 37(2)(b) of the Convention. The
Secretary-General shall thereupon promptly inform the other party that the Tribunal
is to be constituted in accordance with that Article.
Rule 3
Appointment of Arbitrators to a Tribunal Constituted
in Accordance with Convention Article 37(2)(b)
(1)
If the Tribunal is to be constituted in accordance with Article 37(2)(b) of the
Convention:
(a)
either party shall in a communication to the other party:
(i)
name two persons, identifying one of them, who shall
not have the same nationality as nor be a national of
either party, as the arbitrator appointed by it, and the
other as the arbitrator proposed to be the President of
the Tribunal; and
(ii)
invite the other party to concur in the appointment
of the arbitrator proposed to be the President of the
Tribunal and to appoint another arbitrator;
(b)
promptly upon receipt of this communication the other party shall,
in its reply:
(i)
name a person as the arbitrator appointed by it, who
shall not have the same nationality as nor be a national
of either party; and
(ii)
concur in the appointment of the arbitrator proposed
to be the President of the Tribunal or name another
person as the arbitrator proposed to be President;
(c)
promptly upon receipt of the reply containing such a proposal, the
initiating party shall notify the other party whether it concurs in the
appointment of the arbitrator proposed by that party to be the
President of the Tribunal.
(2)
The communications provided for in this Rule shall be made or promptly
confirmed in writing and shall either be transmitted through the Secretary-General or
directly between the parties with a copy to the Secretary-General.
Rule 4
Appointment of Arbitrators by the Chairman of
the Administrative Council
(1)
If the Tribunal is not constituted within 90 days after the dispatch by the
Secretary General of the notice of registration, or such other period as the parties
may agree, either party may, through the Secretary General, address to the
Chairman of the Administrative Council a request in writing to appoint the arbitrator
or arbitrators not yet appointed and to designate an arbitrator to be the President of
the Tribunal.
(2)
The provision of paragraph (1) shall apply mutatis mutandis in the event that the
parties have agreed that the arbitrators shall elect the President of the Tribunal and
they fail to do so.
(3)
The Secretary-General shall forthwith send a copy of the request to the other
party.
(4)
The Chairman shall, with due regard to Articles 38 and 40 (1) of the Convention,
and after consulting both parties as far as possible, comply with that request within
30 days after its receipt.
(5)
The Secretary General shall promptly notify the parties of any appointment or
designation made by the Chairman.
Rule 5
Acceptance of Appointments
(1)
The party or parties concerned shall notify the Secretary-General of the
appointment of each arbitrator and indicate the method of his appointment.
(2)
As soon as the Secretary-General has been informed by a party or the Chairman
of the Administrative Council of the appointment of an arbitrator, he shall seek an
acceptance from the appointee.
(3)
If an arbitrator fails to accept his appointment within 15 days, the SecretaryGeneral shall promptly notify the parties, and if appropriate the Chairman, and invite
them to proceed to the appointment of another arbitrator in accordance with the
method followed for the previous appointment.
Rule 6
Constitution of the Tribunal
(1)
The Tribunal shall be deemed to be constituted and the proceeding to have
begun on the date the Secretary-General notifies the parties that all the arbitrators
have accepted their appointment.
(2)
Before or at the first session of the Tribunal, each arbitrator shall sign a
declaration in the following form:
"To the best of my knowledge there is no reason why I should not
serve on the Arbitral Tribunal constituted by the International Centre
for Settlement of Investment Disputes with respect to a dispute
between . . . . . . . . . . and . . . . . . . .
"I shall keep confidential all information coming to my knowledge as a
result of my participation in this proceeding, as well as the contents of
any award made by the Tribunal.
"I shall judge fairly as between the parties, according to the applicable
law, and shall not accept any instruction or compensation with regard
to the proceeding from any source except as provided in the
Convention on the Settlement of Investment Disputes and in the
Regulations and Rules made pursuant thereto.
"A statement of my past and present professional, business and other
relationships (if any) with the parties is attached hereto."
Any arbitrator failing to sign a declaration by the end of the first session of the
Tribunal shall be deemed to have resigned.
Rule 7
Replacement of Arbitrators
At any time before the Tribunal is constituted, each party may replace any arbitrator
appointed by it and the parties may by common consent agree to replace any
arbitrator. The procedure of such replacement shall be in accordance with Rules 1, 5
and 6.
Rule 8
Incapacity or Resignation of Arbitrators
(1)
If an arbitrator becomes incapacitated or unable to perform the duties of his
office, the procedure in respect of the disqualification of arbitrators set forth in Rule
9 shall apply.
(2)
An arbitrator may resign by submitting his resignation to the other members of
the Tribunal and the Secretary-General. If the arbitrator was appointed by one of the
parties, the Tribunal shall promptly consider the reasons for his resignation and
decide whether it consents thereto. The Tribunal shall promptly notify the SecretaryGeneral of its decision.
Rule 9
Disqualification of Arbitrators
(1)
A party proposing the disqualification of an arbitrator pursuant to Article 57 of
the Convention shall promptly, and in any event before the proceeding is declared
closed, file its proposal with the Secretary-General, stating its reasons therefor.
(2)
The Secretary-General shall forthwith:
(a)
transmit the proposal to the members of the Tribunal and, if it
relates to a sole arbitrator or to a majority of the members of the
Tribunal, to the Chairman of the Administrative Council; and
(b)
notify the other party of the proposal.
(3)
The arbitrator to whom the proposal relates may, without delay, furnish
explanations to the Tribunal or the Chairman, as the case may be.
(4)
Unless the proposal relates to a majority of the members of the Tribunal, the
other members shall promptly consider and vote on the proposal in the absence of
the arbitrator concerned. If those members are equally divided, they shall, through
the Secretary General, promptly notify the Chairman of the proposal, of any
explanation furnished by the arbitrator concerned and of their failure to reach a
decision.
(5)
Whenever the Chairman has to decide on a proposal to disqualify an arbitrator,
he shall take that decision within 30 days after he has received the proposal.
(6)
The proceeding shall be suspended until a decision has been taken on the
proposal.
Rule 10
Procedure during a Vacancy on the Tribunal
(1)
The Secretary General shall forthwith notify the parties and, if necessary, the
Chairman of the Administrative Council of the disqualification, death, incapacity or
resignation of an arbitrator and of the consent, if any, of the Tribunal to a
resignation.
(2)
Upon the notification by the Secretary-General of a vacancy on the Tribunal, the
proceeding shall be or remain suspended until the vacancy has been filled.
Rule 11
Filling Vacancies on the Tribunal
(1)
Except as provided in paragraph (2), a vacancy resulting from the
disqualification, death, incapacity or resignation of an arbitrator shall be promptly
filled by the same method by which his appointment had been made.
(2)
In addition to filling vacancies relating to arbitrators appointed by him, the
Chairman of the Administrative Council shall appoint a person from the Panel of
Arbitrators:
(a)
to fill a vacancy caused by the resignation, without the consent of
the Tribunal, of an arbitrator appointed by a party; or
(b)
at the request of either party, to fill any other vacancy, if no new
appointment is made and accepted within 30 days of the notification of
the vacancy by the Secretary-General.
(3)
The procedure for filling a vacancy shall be in accordance with Rules 1, 4(4),
4(5), 5 and, mutatis mutandis , 6(2).
Rule 12
Resumption of Proceeding after Filling a Vacancy
As soon as a vacancy on the Tribunal has been filled, the proceeding shall continue
from the point it had reached at the time the vacancy occurred. The newly appointed
arbitrator may, however, require that the oral procedure be recommenced, if this
had already been started.
Chapter II
Working of the Tribunal
Rule 13
Sessions of the Tribunal
(1)
The Tribunal shall hold its first session within 60 days after its constitution or
such other period as the parties may agree. The dates of that session shall be fixed
by the President of the Tribunal after consultation with its members and the
Secretary-General. If upon its constitution the Tribunal has no President because the
parties have agreed that the President shall be elected by its members, the
Secretary-General shall fix the dates of that session. In both cases, the parties shall
be consulted as far as possible.
(2)
The dates of subsequent sessions shall be determined by the Tribunal, after
consultation with the Secretary General and with the parties as far as possible.
(3)
The Tribunal shall meet at the seat of the Centre or at such other place as may
have been agreed by the parties in accordance with Article 63 of the Convention. If
the parties agree that the proceeding shall be held at a place other than the Centre
or an institution with which the Centre has made the necessary arrangements, they
shall consult with the Secretary General and request the approval of the Tribunal.
Failing such approval, the Tribunal shall meet at the seat of the Centre.
(4)
The Secretary General shall notify the members of the Tribunal and the parties of
the dates and place of the sessions of the Tribunal in good time.
Rule 14
Sittings of the Tribunal
(1)
The President of the Tribunal shall conduct its hearings and preside at its
deliberations.
(2)
Except as the parties otherwise agree, the presence of a majority of the
members of the Tribunal shall be required at its sittings.
(3)
The President of the Tribunal shall fix the date and hour of its sittings.
Rule 15
Deliberations of the Tribunal
(1)
The deliberations of the Tribunal shall take place in private and remain secret.
(2)
Only members of the Tribunal shall take part in its deliberations. No other person
shall be admitted unless the Tribunal decides otherwise.
Rule 16
Decisions of the Tribunal
(1)
Decisions of the Tribunal shall be taken by a majority of the votes of all its
members. Abstention shall count as a negative vote.
(2)
Except as otherwise provided by these Rules or decided by the Tribunal, it may
take any decision by correspondence among its members, provided that all of them
are consulted. Decisions so taken shall be certified by the President of the Tribunal.
Rule 17
Incapacity of the President
If at any time the President of the Tribunal should be unable to act, his functions
shall be performed by one of the other members of the Tribunal, acting in the order
in which the Secretary-General had received the notice of their acceptance of their
appointment to the Tribunal.
Rule 18
Representation of the Parties
(1)
Each party may be represented or assisted by agents, counsel or advocates
whose names and authority shall be notified by that party to the Secretary-General,
who shall promptly inform the Tribunal and the other party.
(2)
For the purposes of these Rules, the expression "party" includes, where the
context so admits, an agent, counsel or advocate authorized to represent that party.
Chapter III
General Procedural Provisions
Rule 19
Procedural Orders
The Tribunal shall make the orders required for the conduct of the proceeding.
Rule 20
Preliminary Procedural Consultation
(1)
As early as possible after the constitution of a Tribunal, its President shall
endeavor to ascertain the views of the parties regarding questions of procedure. For
this purpose he may request the parties to meet him. He shall, in particular, seek
their views on the following matters:
(a)
the number of members of the Tribunal required to constitute a
quorum at its sittings;
(b)
the language or languages to be used in the proceeding;
(c)
the number and sequence of the pleadings and the time limits
within which they are to be filed;
(d)
the number of copies desired by each party of instruments filed by
the other;
(e)
dispensing with the written or the oral procedure;
(f)
the manner in which the cost of the proceeding is to be
apportioned; and
(g)
the manner in which the record of the hearings shall be kept.
(2)
In the conduct of the proceeding the Tribunal shall apply any agreement between
the parties on procedural matters, except as otherwise provided in the Convention or
the Administrative and Financial Regulations.
Rule 21
Pre Hearing Conference
(1)
At the request of the Secretary General or at the discretion of the President of
the Tribunal, a pre hearing conference between the Tribunal and the parties may be
held to arrange for an exchange of information and the stipulation of uncontested
facts in order to expedite the proceeding.
(2)
At the request of the parties, a pre hearing conference between the Tribunal and
the parties, duly represented by their authorized representatives, may be held to
consider the issues in dispute with a view to reaching an amicable settlement.
Rule 22
Procedural Languages
(1)
The parties may agree on the use of one or two languages to be used in the
proceeding, provided, that, if they agree on any language that is not an official
language of the Centre, the Tribunal, after consultation with the Secretary-General,
gives its approval. If the parties do not agree on any such procedural language, each
of them may select one of the official languages (i.e. English, French and Spanish)
for this purpose.
(2)
If two procedural languages are selected by the parties, any instruments may be
filed in either language. Either language may be used at the hearings, subject, if the
Tribunal so requires, to translation and interpretation. The orders and the award of
the Tribunal shall be rendered and the record kept in both procedural languages,
both versions being equally authentic.
Rule 23
Copies of Instruments
Except as otherwise provided by the Tribunal after consultation with the parties and
the Secretary-General, every request, pleading, application, written observation,
supporting documentation, if any, or other instrument shall be filed in the form of a
signed original accompanied by the following number of additional copies:
(a)
before the number of members of the Tribunal has been
determined: five;
(b)
after the number of members of the Tribunal has been determined:
two more than the number of its members.
Rule 24
Supporting Documentation
Supporting documentation shall ordinarily be filed together with the instrument to
which it relates, and in any case within the time limit fixed for the filing of such
instrument.
Rule 25
Correction of Errors
An accidental error in any instrument or supporting document may, with the consent
of the other party or by leave of the Tribunal, be corrected at any time before the
award is rendered.
Rule 26
Time Limits
(1)
Where required, time limits shall be fixed by the Tribunal by assigning dates for
the completion of the various steps in the proceeding. The Tribunal may delegate
this power to its President.
(2)
The Tribunal may extend any time limit that it has fixed. If the Tribunal is not in
session, this power shall be exercised by its President.
(3)
Any step taken after expiration of the applicable time limit shall be disregarded
unless the Tribunal, in special circumstances and after giving the other party an
opportunity of stating its views, decides otherwise.
Rule 27
Waiver
A party which knows or should have known that a provision of the Administrative and
Financial Regulations, of these Rules, of any other rules or agreement applicable to
the proceeding, or of an order of the Tribunal has not been complied with and which
fails to state promptly its objections thereto, shall be deemed—subject to Article 45
of the Convention—to have waived its right to object.
Rule 28
Cost of Proceeding
(1)
Without prejudice to the final decision on the payment of the cost of the
proceeding, the Tribunal may, unless otherwise agreed by the parties, decide:
(a)
at any stage of the proceeding, the portion which each party shall
pay, pursuant to Administrative and Financial Regulation 14, of the
fees and expenses of the Tribunal and the charges for the use of the
facilities of the Centre;
(b)
with respect to any part of the proceeding, that the related costs
(as determined by the Secretary-General) shall be borne entirely or in
a particular share by one of the parties.
(2)
Promptly after the closure of the proceeding, each party shall submit to the
Tribunal a statement of costs reasonably incurred or borne by it in the proceeding
and the Secretary-General shall submit to the Tribunal an account of all amounts
paid by each party to the Centre and of all costs incurred by the Centre for the
proceeding. The Tribunal may, before the award has been rendered, request the
parties and the Secretary-General to provide additional information concerning the
cost of the proceeding.
Chapter IV
Written and Oral Procedures
Rule 29
Normal Procedures
Except if the parties otherwise agree, the proceeding shall comprise two distinct
phases: a written procedure followed by an oral one.
Rule 30
Transmission of the Request
As soon as the Tribunal is constituted, the Secretary-General shall transmit to each
member a copy of the request by which the proceeding was initiated, of the
supporting documentation, of the notice of registration and of any communication
received from either party in response thereto.
Rule 31
The Written Procedure
(1)
In addition to the request for arbitration, the written procedure shall consist of
the following pleadings, filed within time limits set by the Tribunal:
(a)
a memorial by the requesting party;
(b)
a counter-memorial by the other party;
and, if the parties so agree or the Tribunal deems it necessary:
(c)
a reply by the requesting party; and
(d)
a rejoinder by the other party.
(2)
If the request was made jointly, each party shall, within the same time limit
determined by the Tribunal, file its memorial and, if the parties so agree or the
Tribunal deems it necessary, its reply; however, the parties may instead agree that
one of them shall, for the purposes of paragraph (1), be considered as the
requesting party.
(3)
A memorial shall contain: a statement of the relevant facts; a statement of law;
and the submissions. A counter-memorial, reply or rejoinder shall contain an
admission or denial of the facts stated in the last previous pleading; any additional
facts, if necessary; observations concerning the statement of law in the last previous
pleading; a statement of law in answer thereto; and the submissions.
Rule 32
The Oral Procedure
(1)
The oral procedure shall consist of the hearing by the Tribunal of the parties,
their agents, counsel and advocates, and of witnesses and experts.
(2)
The Tribunal shall decide, with the consent of the parties, which other persons
besides the parties, their agents, counsel and advocates, witnesses and experts
during their testimony, and officers of the Tribunal may attend the hearings.
(3)
The members of the Tribunal may, during the hearings, put questions to the
parties, their agents, counsel and advocates, and ask them for explanations.
Rule 33
Marshalling of Evidence
Without prejudice to the rules concerning the production of documents, each party
shall, within time limits fixed by the Tribunal, communicate to the Secretary-General,
for transmission to the Tribunal and the other party, precise information regarding
the evidence which it intends to produce and that which it intends to request the
Tribunal to call for, together with an indication of the points to which such evidence
will be directed.
Rule 34
Evidence: General Principles
(1)
The Tribunal shall be the judge of the admissibility of any evidence adduced and
of its probative value.
(2)
The Tribunal may, if it deems it necessary at any stage of the proceeding:
(a)
call upon the parties to produce documents, witnesses and
experts; and
(b)
visit any place connected with the dispute or conduct inquiries
there.
(3)
The parties shall cooperate with the Tribunal in the production of the evidence
and in the other measures provided for in paragraph (2). The Tribunal shall take
formal note of the failure of a party to comply with its obligations under this
paragraph and of any reasons given for such failure.
(4)
Expenses incurred in producing evidence and in taking other measures in
accordance with paragraph (2) shall be deemed to constitute part of the expenses
incurred by the parties within the meaning of Article 61(2) of the Convention.
Rule 35
Examination of Witnesses and Experts
(1)
Witnesses and experts shall be examined before the Tribunal by the parties
under the control of its President. Questions may also be put to them by any
member of the Tribunal.
(2)
Each witness shall make the following declaration before giving his evidence:
"I solemnly declare upon my honour and conscience that I shall speak
the truth, the whole truth and nothing but the truth."
(3)
Each expert shall make the following declaration before making his statement:
"I solemnly declare upon my honour and conscience that my
statement will be in accordance with my sincere belief."
Rule 36
Witnesses and Experts: Special Rules
Notwithstanding Rule 35 the Tribunal may:
(a)
admit evidence given by a witness or expert in a written
deposition; and
(b)
with the consent of both parties, arrange for the examination of a
witness or expert otherwise than before the Tribunal itself. The
Tribunal shall define the subject of the examination, the time limit, the
procedure to be followed and other particulars. The parties may
participate in the examination.
Rule 37
Visits and Inquiries
If the Tribunal considers it necessary to visit any place connected with the dispute or
to conduct an inquiry there, it shall make an order to this effect. The order shall
define the scope of the visit or the subject of the inquiry, the time limit, the
procedure to be followed and other particulars. The parties may participate in any
visit or inquiry.
Rule 38
Closure of the Proceeding
(1)
When the presentation of the case by the parties is completed, the proceeding
shall be declared closed.
(2)
Exceptionally, the Tribunal may, before the award has been rendered, reopen the
proceeding on the ground that new evidence is forthcoming of such a nature as to
constitute a decisive factor, or that there is a vital need for clarification on certain
specific points.
Chapter V
Particular Procedures
Rule 39
Provisional Measures
(1)
At any time during the proceeding a party may request that provisional measures
for the preservation of its rights be recommended by the Tribunal. The request shall
specify the rights to be preserved, the measures the recommendation of which is
requested, and the circumstances that require such measures.
(2)
The Tribunal shall give priority to the consideration of a request made pursuant
to paragraph (1).
(3)
The Tribunal may also recommend provisional measures on its own initiative or
recommend measures other than those specified in a request. It may at any time
modify or revoke its recommendations.
(4)
The Tribunal shall only recommend provisional measures, or modify or revoke its
recommendations, after giving each party an opportunity of presenting its
observations.
(5)
Nothing in this Rule shall prevent the parties, provided that they have so
stipulated in the agreement recording their consent, from requesting any judicial or
other authority to order provisional measures, prior to the institution of the
proceeding, or during the proceeding, for the preservation of their respective rights
and interests.
Rule 40
Ancillary Claims
(1)
Except as the parties otherwise agree, a party may present an incidental or
additional claim or counter-claim arising directly out of the subject-matter of the
dispute, provided that such ancillary claim is within the scope of the consent of the
parties and is otherwise within the jurisdiction of the Centre.
(2)
An incidental or additional claim shall be presented not later than in the reply and
a counter-claim no later than in the counter-memorial, unless the Tribunal, upon
justification by the party presenting the ancillary claim and upon considering any
objection of the other party, authorizes the presentation of the claim at a later stage
in the proceeding.
(3)
The Tribunal shall fix a time limit within which the party against which an
ancillary claim is presented may file its observations thereon.
Rule 41
Objections to Jurisdiction
(1)
Any objection that the dispute or any ancillary claim is not within the jurisdiction
of the Centre or, for other reasons, is not within the competence of the Tribunal shall
be made as early as possible. A party shall file the objection with the SecretaryGeneral no later than the expiration of the time limit fixed for the filing of the
counter-memorial, or, if the objection relates to an ancillary claim, for the filing of
the rejoinder—unless the facts on which the objection is based are unknown to the
party at that time.
(2)
The Tribunal may on its own initiative consider, at any stage of the proceeding,
whether the dispute or any ancillary claim before it is within the jurisdiction of the
Centre and within its own competence.
(3)
Upon the formal raising of an objection relating to the dispute, the proceeding on
the merits shall be suspended. The President of the Tribunal, after consultation with
its other members, shall fix a time limit within which the parties may file
observations on the objection.
(4)
The Tribunal shall decide whether or not the further procedures relating to the
objection shall be oral. It may deal with the objection as a preliminary question or
join it to the merits of the dispute. If the Tribunal overrules the objection or joins it
to the merits, it shall once more fix time limits for the further procedures.
(5)
If the Tribunal decides that the dispute is not within the jurisdiction of the Centre
or not within its own competence, it shall render an award to that effect.
Rule 42
Default
(1)
If a party (in this Rule called the "defaulting party") fails to appear or to present
its case at any stage of the proceeding, the other party may, at any time prior to the
discontinuance of the proceeding, request the Tribunal to deal with the questions
submitted to it and to render an award.
(2)
The Tribunal shall promptly notify the defaulting party of such a request. Unless
it is satisfied that that party does not intend to appear or to present its case in the
proceeding, it shall, at the same time, grant a period of grace and to this end:
(a)
if that party had failed to file a pleading or any other instrument
within the time limit fixed therefor, fix a new time limit for its filing; or
(b)
if that party had failed to appear or present its case at a hearing,
fix a new date for the hearing.
The period of grace shall not, without the consent of the other party, exceed 60
days.
(3)
After the expiration of the period of grace or when, in accordance with paragraph
(2), no such period is granted, the Tribunal shall resume the consideration of the
dispute. Failure of the defaulting party to appear or to present its case shall not be
deemed an admission of the assertions made by the other party.
(4)
The Tribunal shall examine the jurisdiction of the Centre and its own competence
in the dispute and, if it is satisfied, decide whether the submissions made are wellfounded in fact and in law. To this end, it may, at any stage of the proceeding, call
on the party appearing to file observations, produce evidence or submit oral
explanations.
Rule 43
Settlement and Discontinuance
(1)
If, before the award is rendered, the parties agree on a settlement of the dispute
or otherwise to discontinue the proceeding, the Tribunal, or the Secretary-General if
the Tribunal has not yet been constituted, shall, at their written request, in an order
take note of the discontinuance of the proceeding.
(2)
If the parties file with the Secretary-General the full and signed text of their
settlement and in writing request the Tribunal to embody such settlement in an
award, the Tribunal may record the settlement in the form of its award.
Rule 44
Discontinuance at Request of a Party
If a party requests the discontinuance of the proceeding, the Tribunal, or the
Secretary General if the Tribunal has not yet been constituted, shall in an order fix a
time limit within which the other party may state whether it opposes the
discontinuance. If no objection is made in writing within the time limit, the other
party shall be deemed to have acquiesced in the discontinuance and the Tribunal, or
if appropriate the Secretary-General, shall in an order take note of the
discontinuance of the proceeding. If objection is made, the proceeding shall
continue.
Rule 45
Discontinuance for Failure of Parties to Act
If the parties fail to take any steps in the proceeding during six consecutive months
or such period as they may agree with the approval of the Tribunal, or of the
Secretary-General if the Tribunal has not yet been constituted, they shall be deemed
to have discontinued the proceeding and the Tribunal, or if appropriate the
Secretary-General, shall, after notice to the parties, in an order take note of the
discontinuance.
Chapter VI
The Award
Rule 46
Preparation of the Award
The award (including any individual or dissenting opinion) shall be drawn up and
signed within 60 days after the closure of the proceeding. The Tribunal may,
however, extend this period by a further 30 days if it would otherwise be unable to
draw up the award.
Rule 47
The Award
(1)
The award shall be in writing and shall contain:
(a)
a precise designation of each party;
(b)
a statement that the Tribunal was established under the
Convention, and a description of the method of its constitution;
(c)
the name of each member of the Tribunal, and an identification of
the appointing authority of each;
(d)
the names of the agents, counsel and advocates of the parties;
(e)
the dates and place of the sittings of the Tribunal;
(f)
a summary of the proceeding;
(g)
a statement of the facts as found by the Tribunal;
(h)
the submissions of the parties;
(i)
the decision of the Tribunal on every question submitted to it,
together with the reasons upon which the decision is based; and
(j)
any decision of the Tribunal regarding the cost of the proceeding.
(2)
The award shall be signed by the members of the Tribunal who voted for it; the
date of each signature shall be indicated.
(3)
Any member of the Tribunal may attach his individual opinion to the award,
whether he dissents from the majority or not, or a statement of his dissent.
Rule 48
Rendering of the Award
(1)
Upon signature by the last arbitrator to sign, the Secretary-General shall
promptly:
(a)
authenticate the original text of the award and deposit it in the
archives of the Centre, together with any individual opinions and
statements of dissent; and
(b)
dispatch a certified copy of the award (including individual opinions
and statements of dissent) to each party, indicating the date of
dispatch on the original text and on all copies.
(2)
The award shall be deemed to have been rendered on the date on which the
certified copies were dispatched.
(3)
The Secretary-General shall, upon request, make available to a party additional
certified copies of the award.
(4)
The Centre shall not publish the award without the consent of the parties. The
Centre may, however, include in its publications excerpts of the legal rules applied
by the Tribunal.
Rule 49
Supplementary Decisions and Rectification
(1)
Within 45 days after the date on which the award was rendered, either party may
request, pursuant to Article 49(2) of the Convention, a supplementary decision on,
or the rectification of, the award. Such a request shall be addressed in writing to the
Secretary-General. The request shall:
(a)
identify the award to which it relates;
(b)
indicate the date of the request;
(c)
state in detail:
(i)
any question which, in the opinion of the requesting
party, the Tribunal omitted to decide in the award; and
(ii)
any error in the award which the requesting party
seeks to have rectified; and
(d)
be accompanied by a fee for lodging the request.
(2)
Upon receipt of the request and of the lodging fee, the Secretary-General shall
forthwith:
(a)
register the request;
(b)
notify the parties of the registration;
(c)
transmit to the other party a copy of the request and of any
accompanying documentation; and
(d)
transmit to each member of the Tribunal a copy of the notice of
registration, together with a copy of the request and of any
accompanying documentation.
(3)
The President of the Tribunal shall consult the members on whether it is
necessary for the Tribunal to meet in order to consider the request. The Tribunal
shall fix a time limit for the parties to file their observations on the request and shall
determine the procedure for its consideration.
(4)
Rules 46 48 shall apply, mutatis mutandis , to any decision of the Tribunal
pursuant to this Rule.
(5)
If a request is received by the Secretary-General more than 45 days after the
award was rendered, he shall refuse to register the request and so inform forthwith
the requesting party.
Chapter VII
Interpretation, Revision and Annulment of the Award
Rule 50
The Application
(1)
An application for the interpretation, revision or annulment of an award shall be
addressed in writing to the Secretary-General and shall:
(a)
identify the award to which it relates;
(b)
indicate the date of the application;
(c)
state in detail:
(i)
in an application for interpretation, the precise points
in dispute;
(ii)
in an application for revision, pursuant to Article
51(1) of the Convention, the change sought in the
award, the discovery of some fact of such a nature as
decisively to affect the award, and evidence that when
the award was rendered that fact was unknown to the
Tribunal and to the applicant, and that the applicant's
ignorance of that fact was not due to negligence;
(iii)
in an application for annulment, pursuant to Article
52(1) of the Convention, the grounds on which it is
based. These grounds are limited to the following:
· that the Tribunal was not properly
constituted;
· that the Tribunal has manifestly
exceeded its powers;
· that there was corruption on the part of
a member of the Tribunal;
· that there has been a serious departure
from a fundamental rule of procedure;
· that the award has failed to state the
reasons on which it is based;
(d)
be accompanied by the payment of a fee for lodging the
application.
(2)
Without prejudice to the provisions of paragraph (3), upon receiving an
application and the lodging fee, the Secretary-General shall forthwith:
(a)
register the application;
(b)
notify the parties of the registration; and
(c)
transmit to the other party a copy of the application and of any
accompanying documentation.
(3)
The Secretary General shall refuse to register an application for:
(a)
revision, if, in accordance with Article 51(2) of the Convention, it is
not made within 90 days after the discovery of the new fact and in any
event within three years after the date on which the award was
rendered (or any subsequent decision or correction);
(b)
annulment, if, in accordance with Article 52(2) of the Convention,
it is not made:
(i)
within 120 days after the date on which the award
was rendered (or any subsequent decision or correction)
if the application is based on any of the following
grounds:
· the Tribunal was not properly
constituted;
· the Tribunal has manifestly exceeded its
powers;
· there has been a serious departure from
a fundamental rule of procedure;
· the award has failed to state the reasons
on which it is based;
(ii)
in the case of corruption on the part of a member of
the Tribunal, within 120 days after discovery thereof,
and in any event within three years after the date on
which the award was rendered (or any subsequent
decision or correction).
(4)
If the Secretary-General refuses to register an application for revision, or
annulment, he shall forthwith notify the requesting party of his refusal.
Rule 51
Interpretation or Revision: Further Procedures
(1)
Upon registration of an application for the interpretation or revision of an award,
the Secretary-General shall forthwith:
(a)
transmit to each member of the original Tribunal a copy of the
notice of registration, together with a copy of the application and of
any accompanying documentation; and
(b)
request each member of the Tribunal to inform him within a
specified time limit whether that member is willing to take part in the
consideration of the application.
(2)
If all members of the Tribunal express their willingness to take part in the
consideration of the application, the Secretary-General shall so notify the members
of the Tribunal and the parties. Upon dispatch of these notices the Tribunal shall be
deemed to be reconstituted.
(3)
If the Tribunal cannot be reconstituted in accordance with paragraph (2), the
Secretary General shall so notify the parties and invite them to proceed, as soon as
possible, to constitute a new Tribunal, including the same number of arbitrators, and
appointed by the same method, as the original one.
Rule 52
Annulment: Further Procedures
(1)
Upon registration of an application for the annulment of an award, the SecretaryGeneral shall forthwith request the Chairman of the Administrative Council to appoint
an ad hoc Committee in accordance with Article 52(3) of the Convention.
(2)
The Committee shall be deemed to be constituted on the date the SecretaryGeneral notifies the parties that all members have accepted their appointment.
Before or at the first session of the Committee, each member shall sign a declaration
conforming to that set forth in Rule 6(2).
Rule 53
Rules of Procedure
The provisions of these Rules shall apply mutatis mutandis to any procedure relating
to the interpretation, revision or annulment of an award and to the decision of the
Tribunal or Committee.
Rule 54
Stay of Enforcement of the Award
(1)
The party applying for the interpretation, revision or annulment of an award may
in its application, and either party may at any time before the final disposition of the
application, request a stay in the enforcement of part or all of the award to which the
application relates. The Tribunal or Committee shall give priority to the consideration
of such a request.
(2)
If an application for the revision or annulment of an award contains a request for
a stay of its enforcement, the Secretary General shall, together with the notice of
registration, inform both parties of the provisional stay of the award. As soon as the
Tribunal or Committee is constituted it shall, if either party requests, rule within 30
days on whether such stay should be continued; unless it decides to continue the
stay, it shall automatically be terminated.
(3)
If a stay of enforcement has been granted pursuant to paragraph (1) or
continued pursuant to paragraph (2), the Tribunal or Committee may at any time
modify or terminate the stay at the request of either party. All stays shall
automatically terminate on the date on which a final decision is rendered on the
application, except that a Committee granting the partial annulment of an award
may order the temporary stay of enforcement of the unannulled portion in order to
give either party an opportunity to request any new Tribunal constituted pursuant to
Article 52(6) of the Convention to grant a stay pursuant to Rule 55(3).
(4)
A request pursuant to paragraph (1), (2) (second sentence) or (3) shall specify
the circumstances that require the stay or its modification or termination. A request
shall only be granted after the Tribunal or Committee has given each party an
opportunity of presenting its observations.
(5)
The Secretary General shall promptly notify both parties of the stay of
enforcement of any award and of the modification or termination of such a stay,
which shall become effective on the date on which he dispatches such notification.
Rule 55
Resubmission of Dispute after an Annulment
(1)
If a Committee annuls part or all of an award, either party may request the
resubmission of the dispute to a new Tribunal. Such a request shall be addressed in
writing to the Secretary-General and shall:
(a)
identify the award to which it relates;
(b)
indicate the date of the request;
(c)
explain in detail what aspect of the dispute is to be submitted to
the Tribunal; and
(d)
be accompanied by a fee for lodging the request.
(2)
Upon receipt of the request and of the lodging fee, the Secretary General shall
forthwith:
(a)
register it in the Arbitration Register;
(b)
notify both parties of the registration;
(c)
transmit to the other party a copy of the request and of any
accompanying documentation; and
(d)
invite the parties to proceed, as soon as possible, to constitute a
new Tribunal, including the same number of arbitrators, and appointed
by the same method, as the original one.
(3)
If the original award had only been annulled in part, the new Tribunal shall not
reconsider any portion of the award not so annulled. It may, however, in accordance
with the procedures set forth in Rule 54, stay or continue to stay the enforcement of
the unannulled portion of the award until the date its own award is rendered.
(4)
Except as otherwise provided in paragraphs (1)-(3), these Rules shall apply to a
proceeding on a resubmitted dispute in the same manner as if such dispute had been
submitted pursuant to the Institution Rules.
Chapter VIII
General Provisions
Rule 56
Final Provisions
(1)
The texts of these Rules in each official language of the Centre shall be equally
authentic.
(2)
These Rules may be cited as the "Arbitration Rules" of the Centre.