1.1 If parties have agreed to refer their dispute to CIICA for arbitration, they shall be deemed to have agreed that the arbitration shall be conducted and administered in accordance with these Rules. If any of these Rules is in conflict with a mandatory provision of the applicable law, that provision shall prevail.
1.2 These Rules shall come into force on April 5, 2016. These Rules shall apply, unless the parties have agreed otherwise, to any arbitration which is commenced on or after that date.
Unless they indicate otherwise, the parties will be deemed to have selected the CIICA Rules in force at the time of initiation of arbitration, even if an earlier version of the rules was in effect at the time of the agreement to arbitrate.
1.3 In these Rules –
- “Award” means a partial, interim or final award and an award of an Emergency Arbitrator;
- “Arbitration Council” means the CIICAArbitration Counciland includes a Committee of the Arbitration Council;
- “Committee of the Arbitration Council” means a committee consisting of at least two members of the Arbitration Council appointed by the Chairman of the Arbitration Council, which may include the Chairman;
- ““Chairman” means the Chairman of the Arbitration Council;
- “Secretariat” means the Secretariat of CIICA
- “CIICA” means the Center for International Investment and Commercial Arbitration;
- “Tribunal” includes a sole arbitrator or all the arbitrators if more than one is appointed;
- Any pronoun shall be understood to be gender-neutral; and
- Any singular noun shall be understood to refer to the plural where applicable.
2.1 For the purposes of these Rules, all notices, communications or proposals shall be in writing. Any such written communication may be delivered or sent by registered postal, courier service, fax or email or delivered by any other means that provides a record/proof of its delivery. It is deemed to have been received if it is delivered:
- to the addressee personally; or
- to his habitual residence, place of business or designated address; or
- to any address agreed on by the parties; or
- in accordance with the standard practice, if any, of the parties in prior communications/dealings, or
- if none of these addresses are available, at the addressee’s last-known residence or place of business.
2.2 The notice, communication, or proposal is deemed to have been received on the day it is delivered to the addressee.
2.3 Any period of time under these Rules, shall begin to run on the day following the day on which the notice, communication or proposal is received. If the last day of such period is not a business day at the place of receipt pursuant to Rule 2.1, the period shall be extended until the first business day that follows. Non-business days including official holidays during the running of the period of time are included in calculating the period.
2.4 The parties shall file with the Secretariat a copy of any notice, communication or proposal related to the arbitral proceedings.
2.5 The Secretariat may at any time, subject to reasons recorded in writing, extend or shorten any time limits prescribed under these Rules.
3.1 In order to commence an arbitration, the “Claimant” shall file with the Secretariat a Notice of Arbitration which shall include, but may not be limited to:
- a request that the dispute be referred to arbitration;
- the names, address(es), telephone number(s), facsimile number(s) and email address(es), of the parties to the arbitration and their representatives, if any;
- a reference to the arbitration clause/agreement that is invoked and its copy;
- a reference to the contract or other instrument out of or in relation to which the dispute arises and its copy;
- a brief statement describing the nature and circumstances of the dispute, specifying the relief claimed and, if possible, an initial quantification of the claim amount;
- a statement of any matters which the parties have previously agreed regarding the conduct of the arbitration or with respect to which the Claimant would like to make a proposal;
- a proposal for the number of arbitrator(s) in case it is not specified in the arbitration agreement;
- unless the parties have agreed otherwise, a proposal for a sole arbitrator if the arbitration agreement provides for a sole arbitrator, or the nomination of an arbitrator if the arbitration agreement provides for three arbitrators;
- any comments regarding the applicable rules of law;
- any comments regarding the language of the arbitration; and
- payment of the applicable filing fee.
3.2 The Notice of Arbitration may also include the “Statement of Claim” referred to in Rule 16.1.
3.3 The date of receipt of the complete Notice of Arbitration by the Secretariat shall be deemed the date of commencement of the arbitration. The Notice of Arbitration is deemed to be complete after all the requirements of Rule 3.1 are fulfilled or when the Secretariat determines that there has been substantial compliance with such requirements. CIICA shall notify the parties on the commencement of arbitration.
3.4 The Claimant shall at the same time send a copy of the Notice of Arbitration to the “Respondent”, and notify the Secretariat that it has done so, specifying the mode and date of service and providing evidence thereof.
4.1 The Respondent shall send to the Secretariat (for transmission to Claimant) a Response within 14 days of receipt of the Notice of Arbitration that contains the following:
- a confirmation or denial of all or part of the claim(s);
- a brief statement describing the nature and circumstances of any counterclaim, specifying the relief claimed and, if possible, an initial quantification of the counterclaim amount;
- any comment in response to any statements in the Notice of Arbitration under Rules 3.1(f), (g), (h), (i) and (j) or any comment in connection with matters covered in such Rules; and
- the nomination of an arbitrator if the arbitration agreement provides for three arbitrators or, if the arbitration agreement provides for a sole arbitrator, agreement with Claimant’s proposal for a sole arbitrator or a counter-proposal unless parties have agreed on a different procedure.
4.2 The Response may also include the Statement of Defence and a Statement of Counterclaim, as referred to in Rules 16.2 and 16.3.
4.3 The Respondent shall at the same time send a copy of the Response to the Secretariat, together with the payment of the requisite filing fee for any counterclaim, and shall notify the Secretariat of the mode and date of service.
-
Number and Appointment of Arbitrators
5.1 A sole arbitrator shall be appointed unless the parties have agreed otherwise or unless it appears to the Secretariat, based on relevant factors including the nature of the case that the dispute warrants the appointment of three arbitrators.
5.2 Parties may agree that an arbitrator is to be appointed by one or more of the parties, or by any third person including the arbitrators already appointed.
5.3 The Chairman shall confirm appointment of the arbitrators nominated by the parties, or by any third person including the arbitrators already appointed.
5.4 The Secretariat shall set the terms of appointment of each arbitrator in accordance with these Rules or in accordance with the agreement of the parties.
6.1 If a sole arbitrator is to be appointed, either party may propose to the other the names of one or more persons. Rule 5.3 shall apply once the parties have reached an agreement on the nomination of a sole arbitrator.
6.2 The Chairman shall appoint the arbitrator if, within 28 days after receipt by the Secretariat of the Notice of Arbitration, the parties have not agreed on the nomination of a sole arbitrator, or if at any time either party so requests.
7.1 In case three arbitrators are to be appointed, each party shall nominate one arbitrator.
7.2 If a party fails to make a nomination within 14 days after receipt of a party’s nomination of an arbitrator, the Chairman shall appoint the arbitrator on its behalf.
7.3 In case of a 3-member tribunal, the third/presiding arbitrator may be appointed by (a) the parties jointly; or (b) the party-appointed arbitrators jointly; or (c) Chairman
7.4 The Chairman shall appoint the third/presiding arbitrator if the parties do not agree on a nomination within the time limit set by the parties or by the Secretariat.
7.5 The Chairman shall appoint an arbitrator as soon as practicable. The Chairman’s decision to appoint an arbitrator shall be final and cannot be challenged/appealed.
8.1 If there are more than two parties and three arbitrators are to be appointed, the Claimant(s) shall jointly nominate one arbitrator and the Respondent(s) shall jointly nominate one arbitrator. In case both the joint nominations are not made within 28 days of receipt by the Secretariat of the Notice of Arbitration or within the period agreed by the parties or set by the Secretariat, the Chairman shall appoint all three arbitrators and designate one of them to act as the presiding arbitrator.
8.2 If there are more than two parties and one arbitrator is to be appointed, all parties must agree on an arbitrator within 28 days of receipt by the Secretariat of the Notice of Arbitration or within the period agreed by the parties or set by the Secretariat. In case all parties do not agree on a nomination, the Chairman shall appoint the arbitrator.
9.1 Any arbitrator, whether or not nominated by the parties, conducting an arbitration under these Rules shall be independent and impartial, and not act as an advocate for any party.
9.2 In making an appointment under these Rules, the Chairman shall give due consideration to any qualifications required of the arbitrator by the agreement of the parties and to considerations important for the appointment of an independent and impartial arbitrator.
9.3 The Chairman shall also take into consideration the arbitrator’s availability for conducting the arbitral proceedings in a prompt and efficient manner.
9.4 An arbitrator shall disclose to the parties and to the Secretariat any circumstance that may give rise to justifiable doubts regarding his impartiality or independence as soon as reasonably practicable and in any event before his appointment by the Chairman.
9.5 An arbitrator shall immediately disclose to the parties, the other arbitrators and the Secretariat any circumstance of a similar nature that may arise after his appointment at any stage during the arbitration.
9.6 If the parties have agreed on any arbitrator qualifications, the arbitrator shall be deemed to meet such qualifications unless a party states otherwise within 14 days after receipt by that party of the notification of the nomination of the arbitrator. In the event of such a challenge, the procedure for challenge and replacement of an arbitrator in Rules 10 to 13 shall apply.
9.7 No party or anyone acting on its behalf shall have any ex parte communication relating to the case with any arbitrator or with any candidate for appointment as party-nominated arbitrator, except communications related to the following:
- the general nature of the controversy and of the anticipated proceedings;
- the candidate’s qualifications, availability or independence in relation to the parties; and
- the suitability of candidates for selection as a third arbitrator where the parties or party-designated arbitrators are to participate in that selection.
No party or its representative shall have any ex parte communication with any candidate for presiding arbitrator.
10.1 Any arbitrator may be challenged if any circumstances give rise to justifiable doubts regarding the arbitrator’s impartiality or independence or if the arbitrator does not possess the requisite qualification on which the parties have agreed.
10.2 A party may challenge the arbitrator nominated by it on the basis of any information/facts that it became aware of after the arbitrator’s appointment.
11.1 Subject to Rule 9.6, a party that intends to challenge an arbitrator shall send a notice of challenge within 14 days after the receipt of the notice of appointment of that arbitrator or within 14 days after the party becomes aware of any information/circumstances mentioned in Rule 10.1 or 10.2.
11.2 The notice of challenge shall be filed with the Secretariat and sent simultaneously to the other party, the arbitrator who is being challenged and the other members of the Tribunal. The notice of challenge shall be in writing and shall state the grounds for the challenge. The Secretariat may suspend the arbitration proceedings until the challenge is decided.
11.3 If an arbitrator is challenged by one party, the other party may choose not to contest it. The challenged arbitrator may also withdraw from his office without contesting it. In both cases, it would not constitute acceptance of the validity of the grounds for the challenge.
11.4 In instances referred to in Rule 11.3, the procedure provided in Rules 5, 5, 7 or 8, as the case may be, shall be used for the appointment of the substitute arbitrator, even if during the process of appointing the challenged arbitrator, a party had failed to exercise his right to nominate. The time-limits provided in those Rules shall start to run from the date of receipt of the other party’s agreement with the challenge or the challenged arbitrator’s withdrawal.
12.1 If, within 7 days of receipt of the notice of challenge, the other party does not confirm its agreement with the challenge and the arbitrator who is being challenged does not withdraw voluntarily, the Arbitration Council shall decide the challenge.
12.2 If the Arbitration Council decides that the challenge is valid, a substitute arbitrator shall be appointed in accordance with the procedure provided in Rules 5, 6, 7 or 8, as the case may be, even if during the process of appointing the challenged arbitrator, a party had failed to exercise his right to nominate. The time-limits provided in those Rules shall start to run from the date of the Secretariat’s notification to the parties of the decision by the Arbitration Council
12.3 If the Arbitration Council dismisses the challenge, the arbitrator shall continue with the arbitration.
12.4 The Arbitration Council may fix the costs related to proceedings for determining the challenge and specify whether one or more parties will bear the costs and the proportion in which such costs should be borne.
12.5 The Arbitration Council’s decision made under this Rule shall be final and cannot be challenged/appealed.
Replacement of an Arbitrator
13.1 In the event of the death, resignation or removal of an arbitrator during the course of the arbitral proceedings, a substitute arbitrator shall be appointed in accordance with the same procedure that was adopted for nomination and appointment of the arbitrator being replaced.
13.2 If an arbitrator refuses or fails to act or in the event of a de jure or de facto impossibility of him performing his functions or that he is not fulfilling his functions in accordance with the Rules the procedure for challenge and replacement of an arbitrator provided in Rules 10 to 12 and 13.1 shall apply.
13.3 The Chairman after consulting with the parties, may remove an arbitrator who refuses or fails to act, or in case of a de jure or de facto impossibility of him performing his functions, or if he is not fulfilling his functions in accordance with the Rules.
Repetition of Hearings in the Event of Replacement of an Arbitrator
Upon replacement of a sole or presiding arbitrator any hearings held previously shall be repeated unless otherwise agreed by the parties. If any other arbitrator is replaced, such prior hearings may be repeated if the Tribunal decides to do so after consulting with the parties. If the Tribunal has issued an interim or partial award, any hearings related solely to that award shall not be repeated, and the award shall remain in effect.
Conduct of the Proceedings
15.1 The Tribunal shall conduct the arbitration in accordance with the procedure agreed to by the parties to ensure the fair and expeditious determination of the dispute. To the extent the parties have not agreed on procedural aspects of the proceeding, the Tribunal is empowered to determine in its discretion the procedures to be followed for the arbitral proceedings.
15.2 The Tribunal shall determine the relevance, form and admissibility of all evidence.
15.3 As soon as practicable after the appointment of all arbitrators, the Tribunal shall conduct a preliminary meeting with the parties, in person or by any other means, to discuss the most appropriate and efficient procedures to be adopted for the arbitration.
15.4 The Tribunal may direct the order of proceedings, exclude any testimony not considered relevant or other evidence and direct the parties to focus their submissions on issues the decision of which could dispose of all or part of the case.
15.5 Parties may authorize the presiding arbitrator to make procedural rulings on behalf of the tribunal.
15.6 All statements, documents or other information submitted to the Tribunal and the Secretariat by one party shall simultaneously be communicated to the other party.
Submissions by the Parties
16.1 Unless already submitted pursuant to Rule 3.2, the Claimant shall, within a period of time to be determined by the Tribunal, send to the Respondent and the Tribunal a Statement of Claim setting out the following:
- a statement of facts that support the claim;
- the legal grounds or arguments in connection with the claim; and
- the relief claimed and the amount of all quantifiable claims.
16.2 Unless already submitted pursuant to Rule 4.2, the Respondent shall, within a period of time to be determined by the Tribunal, send to the Claimant a Statement of Defence that includes the facts and contentions of law on which it relies. The Statement of Defence shall also state any counterclaim, which shall comply with the requirements of Rule 16.1.
16.3 If the Respondent makes a counterclaim the Claimant shall, within 14 days, send to the Respondent a Statement of Defence to the Counterclaim stating:
- the facts and legal arguments in the Statement of Counterclaim it admits or denies;
- the grounds on which it denies the claims;
- other facts and legal arguments on which it relies.
16.4 A party may amend its claim, counterclaim or other submissions subject to the permission of the Tribunal. The Tribunal may deny permission if it would cause unnecessary delay or prejudice the other party or if the amended claim or counterclaim would fall outside the scope of the arbitration agreement.
16.5 The Tribunal shall decide whether or not any further submissions are required from the parties. The Tribunal shall set the deadlines for communicating such submissions.
16.6 All submissions referred to in this Rule shall be accompanied by copies of all supporting documents that have not been submitted earlier by the party.
16.7 If the Claimant fails to submit its Statement of Claim within the specified time period, the Tribunal may issue an order for termination of the arbitral proceedings or give such other directions it deems appropriate.
16.8 If the Respondent fails to submit a Statement of Defence within the specified time period, or if at any point any party fails to make any submissions in the manner directed by the Tribunal, the Tribunal may proceed with the arbitration.
Seat of Arbitration
17.1 The parties may agree on the seat of arbitration. If there is no such agreement, the seat of arbitration shall be Lahore, Pakistan, unless the Tribunal determines that another seat is more appropriate after considering all relevant factors and circumstances of the case.
17.2 The Tribunal may hold hearings and meetings in a manner it considers appropriate and at any location it considers convenient or appropriate.
Language of Arbitration
18.1 The Tribunal shall determine the language to be used in the proceedings unless parties have agreed on a language.
18.2 If a document is written in a language other than the language of the arbitration, the Tribunal, or the Secretariat if the Tribunal has not been constituted, may order that party to submit a translation in a form to be determined by the Tribunal or the Secretariat.
Party Representatives
A party may be represented by lawyers/legal practitioners or any other representatives.
Hearings
20.1 Unless the parties have agreed on documents-only arbitration, the Tribunal shall, if either party so requests or the Tribunal so decides, hold a hearing for the presentation of evidence and/or for oral submissions on the merits of the dispute, including any submissions related to jurisdiction of the Tribunal.
20.2 The Tribunal shall set the date, time and place of any meeting or hearing and shall give the parties sufficient notice.
20.3 If any party fails to attend a hearing without showing sufficient cause for such failure, the Tribunal may proceed with the arbitration and may make the award based on the submissions and evidence before it.
20.4 All meetings and hearings shall be in private, and any recordings, transcripts, or documents used shall remain confidential except to the extent parties expressly agree otherwise.
Witnesses
21.1 Before any hearing, the Tribunal may direct a party to give notice of the identity of witnesses, including expert witnesses, whom it intends to produce, the subject matter of their testimony and its relevance to the issues.
21.2 The Tribunal may allow, refuse or limit the appearance of witnesses.
21.3 Any witness who gives oral evidence may be questioned by each of the parties, their representatives and the Tribunal in a manner determined by the Tribunal.
21.4 The Tribunal may direct the testimony of witnesses to be presented in written form, either as signed statements or sworn affidavits or any other form of recording. Subject to Rule 21.2, any party may request that such a witness should attend for oral examination. If the witness fails to attend, the Tribunal may accord such weight to the written testimony as it deems appropriate and may even disregard or exclude it completely.
21.5 A party or its representatives may interview any of its witnesses or potential witnesses prior to his appearance at any hearing.
21.6 A witness’s testimony will be struck from the record if he or she is not made available for cross-examination.
Tribunal-Appointed Experts
22.1 Unless the parties have agreed otherwise, the Tribunal:
- may appoint an expert, after consulting with the parties, to report on specific issues; and
- may require a party to provide such expert any relevant information/documents, or provide access to any relevant documents, goods or property for the expert’s inspection.
22.2 An expert so appointed shall submit a report in writing to the Tribunal. Upon receipt of the report, the Tribunal shall forward a copy of the report to the parties and invite the parties to submit their written comments on the report.
22.3 Unless the parties have agreed otherwise, if the Tribunal considers it necessary, the expert shall, after delivery of his written report, participate in a hearing at which the parties shall have the opportunity to question him on the report.
Additional Powers of the Tribunal
In addition to the powers specified in these Rules, and assuming there is no conflict with the applicable mandatory law, the Tribunal shall have the power to:
- order the correction of any contract, but only to the extent required to rectify any mistake which it determines to have been made by all the parties to that contract. This is subject to the condition that the proper law of the contract allows such correction;
- upon a party’s application, allow one or more third parties to be joined in the arbitration, provided that such person is a party to the arbitration agreement, with the written consent of such third party, and subsequently make one final award or separate awards in respect of all parties;
- except as provided in Rules 27.2 and 28.5, extend or shorten any time limits provided by these Rules;
- conduct any enquiries that the Tribunal deems necessary;
- order the parties to allow access to any property or item for inspection;
- order the preservation, storage, sale or disposal of any property or item which is fully or partly the subject-matter of the dispute;
- order any party to submit copies of any relevant/material documents in their possession or control for inspection by the Tribunal and the other parties;
- render an award for unpaid arbitration costs;
- direct any party to give evidence by affidavit or in any other form;
- direct any party to ensure that arbitral award including any interim or partial award is not rendered ineffective by the dissipation of party’s assets;
- order any party to provide security for legal or other costs in any manner the Tribunal deems fit;
- order any party to provide security for all or part of any amount in connection with the dispute in the arbitration;
- proceed with the arbitration notwithstanding the failure or refusal of any party to comply with these Rules or with the Tribunal’s orders or directions or any partial award and to impose such sanctions deemed appropriate by the Tribunal;
- decide any issue not expressly or impliedly raised in the submissions filed under Rule 17 provided all parties are given adequate opportunity to make their submissions, oral or written;
- determine the law applicable to the arbitral proceedings; and
- determine any claim of legal or other privilege.
Jurisdiction of the Tribunal
24.1 If a party objects to the existence or validity of the arbitration agreement or to the competence of CIICA to administer an arbitration before the Tribunal is appointed, the Secretariat shall determine if reference of such an objection is to be made to the Council. If the Secretariat refers it to the Arbitration Council, the Arbitration Council shall determine if the arbitration agreement is prima facie valid. If the Arbitration Council determines otherwise, the proceedings shall be terminated. Any decision by the Secretariat or the Arbitration Council is without prejudice to the power of the Tribunal to rule on its own jurisdiction.
24.2 The Tribunal shall have the power to rule on its own jurisdiction, including any objections regarding the existence, termination or validity of the arbitration agreement. A decision by the Tribunal that the contract is null and void shall not invalidate the arbitration agreement as it shall be considered a separate/independent agreement.
24.3 A plea that the Tribunal does not have jurisdiction shall be raised in the Statement of Defence or in a Statement of Defence to a Counterclaim. A plea that the Tribunal is exceeding the scope of its jurisdiction shall be raised promptly after the Tribunal has indicated its intention to decide on the matter alleged to be beyond the scope of its jurisdiction. In either case the Tribunal may admit a late plea under this Rule if it considers the delay justified. A party is not barred from raising this plea by the fact that he has nominated, or participated in the nomination of, an arbitrator. A party that does not raise an objection is deemed to have waived its right to raise procedural objections also.
24.4 The Tribunal may rule on a plea regarding its jurisdiction either as a preliminary question or in an award on the merits. In case the Tribunal rules in favour of jurisdiction, it will issue a partial award to that effect.
24.5 For purposes of a set-off, a party may rely on a claim or defence to the extent permitted by the applicable law.
Interim and Emergency Award
25.1 At the request of a party, the Tribunal may issue an award granting an injunction or any other interim relief it deems appropriate. The party requesting the interim award may be required by the Tribunal to provide appropriate security in connection with the relief sought.
25.2 Prior to the constitution of the Tribunal, a party may apply for an emergency award pursuant to the procedures set forth in Schedule 1.
25.3 A party may apply to a judicial authority for interim relief prior to the constitution of the Tribunal, or in exceptional circumstances after constitution of the Tribunal. A party is not required to take the tribunal’s permission before seeking such interim relief.
Applicable Law, Amiable Compositeur
26.1 The Tribunal shall apply the law chosen by the parties to the substance of the dispute. Failing such designation by the parties, the Tribunal shall apply the law which it deems appropriate.
26.2 The Tribunal shall decide as amiable compositeur or ex aequoet bono only if it has been expressly authorised by the parties to do so.
26.3 In all cases, the Tribunal shall decide in accordance with the terms of the contract, if any, and shall take into account any applicable trade usages.
The Award
27.1 The Tribunal shall declare the proceedings closed once if it is satisfied, after consulting with the parties, that the parties have no further submission to make. The Tribunal may reopen the proceedings, on its own motion or upon application of a party, before any award is made.
27.2 The Tribunal shall submit the draft award to the Secretariat within 30 days from the date on which the Tribunal declares the proceedings closed. The presumption is that the draft award is a reasoned award. The Secretariat may, as soon as practicable, suggest modifications, if any, to the form of the award. No award shall be made by the Tribunal until its form has been approved by the Secretariat.
27.3 The Tribunal may make separate awards on different issues at different times.
27.4 If any arbitrator does not participate in the making of the award despite being given a reasonable opportunity to do so, the remaining arbitrators shall proceed in his or her absence.
27.5 In case of more than one arbitrator, the Tribunal shall decide by a majority. If there is no majority decision, the presiding arbitrator alone shall make the award for the Tribunal.
27.6 The award shall be delivered to the Secretariat, which shall forward certified copies to the parties upon the full settlement of the costs of arbitration.
27.7 The Tribunal may award simple or compound interest on any sum which is the subject of the arbitration at such rates as the parties may have agreed. In the absence of such an agreement, the Tribunal may award it at such rates and for such time period that it deems appropriate.
27.8 In case of a settlement, the Tribunal may render a consent award recording the settlement on the request of a party. If the parties do not require a consent award, the parties shall confirm to the Secretariat that a settlement has been reached. The Tribunal shall be discharged and the arbitration concluded upon payment of any outstanding costs of arbitration including CIICA’s fee and arbitrators’ fees.
27.9 Subject to Rule 28 and Schedule 1, by agreeing to arbitration under these Rules, the parties undertake to enforce the award without delay, and they also irrevocably waive their rights subject to any exceptions under applicable law to any form of appeal, review or recourse to any competent court or other judicial authority. The parties further agree that an award shall be final and binding on the parties from the date it is made.
27.10 CIICA may publish any award subject to mutual consent of the parties and to any specific conditions mutually agreed upon by the parties.
Correction of Awards and Additional Awards
28.1 A party may, within 30 days of receipt of an award, request the Tribunal, by written notice to the Secretariat and to any other party, to correct in the award any error in computation, any clerical or typographical error or any error of a similar nature. Any other party may provide its comments on such request within 15 days of its receipt. If the Tribunal considers the request to be justified, it shall make the correction within 30 days of receipt of the request. Any correction, made in the original award or in a separate memorandum, shall be considered part of the award.
28.2 The Tribunal may, on its own initiative, correct any error of the type referred to in Rule 28.1 within 30 days of the date of the award.
28.3 A party may, within 30 days of receipt of an award, request the Tribunal, by written notice to the Secretariat and to any other party, to make an additional award in connection with the claims presented in the arbitral proceedings but not dealt with in the award. Any other party may provide its comments on such request within 15 days of its receipt. If the Tribunal considers the request to be justified, it shall make the additional award within 45 days of receipt of the request.
28.4 A party may, within 30 days of receipt of an award, request the Tribunal, by written notice to the Secretariat and to any other party, to give an interpretation of the award. Any other party may provide its comments on such request within 15 days of its receipt. If the Tribunal considers the request to be justified, it shall give the interpretation in writing within 45 days of receipt of the request. The interpretation shall form part of the award.
28.5 The Secretariat may extend the time limits in this Rule.
28.6 In case of a correction of an award and any additional award, Rule 27 shall apply in the same manner with the appropriate changes.
Fees and Deposits
29.1 The Tribunal’s fees and CIICA’s fees shall be ascertained in accordance with the Schedule of Fees in force at the time of commencement of the arbitration. Parties may agree on a different method for determining the Tribunal’s fees prior to the constitution of the Tribunal.
29.2 The Secretariat shall determine the advance payment on costs of the arbitration. Unless the Secretariat directs otherwise, 50% of such advances shall be payable by the Claimant and the remaining 50% of such advances shall be payable by the Respondent. The Secretariat may fix separate advance payments on costs for claims and counterclaims.
29.3 If the amount of the claim or the counterclaim is not quantifiable at the time payment is due, the Secretariat shall make a provisional estimate of the costs of the arbitration. This estimate may be based on the nature of the controversy and the circumstances of the case. This may be revised in light of any information that subsequently becomes available.
29.4 The Secretariat may from time to time direct parties to make further payments in connection with the arbitration costs that have either been incurred or to be incurred.
29.5 If a party fails to make the payments the Secretariat may, after consultation with the Tribunal and the parties, direct the Tribunal to suspend work and set a deadline on the expiry of which the claims or counterclaims shall be considered as withdrawn without prejudice to the party resubmitting the same claims or counterclaims in another proceeding that is not before the same tribunal.
29.6 Parties are jointly and severally liable for the costs of the arbitration. Any party may pay the whole of the advances or deposits on costs of the arbitration in respect of the claim or the counterclaim if the other party fail to pay its share. The Tribunal or the Secretariat may suspend its work, in whole or in part, if the advances or deposits remain either wholly or in part unpaid. The Tribunal may also issue an award for unpaid costs pursuant to Rule 23(h) on the application of a party.
29.7 If the arbitration is settled or disposed of without a hearing, the costs of arbitration shall be finally determined by the Secretariat. The Secretariat shall consider all the circumstances of the case, including the stage of proceedings at which the arbitration is settled or disposed of. If the costs of arbitration determined are less than the deposits made, there shall be a refund in such proportions as the parties may agree, or failing an agreement, in the same proportions as the deposits were made.
29.8 All advance payments shall be made to and held by CIICA. Any interest which may accrue on such deposits shall be retained by CIICA.
Costs of the Arbitration
30.1 The Tribunal shall specify the total amount of the arbitration costs in the award. The Tribunal shall also specify the apportionment of the arbitration costs of the arbitration among the parties if the parties have not agreed otherwise.
30.2 The term “costs of the arbitration” includes:
- the Tribunal’s fees and expenses;
- CIICA’s administrative fees and expenses; and
- the costs of expert advice/opinion and of any other assistance required by the Tribunal.
Tribunal’s Fees and Expenses
31.1 The fees of the Tribunal shall be fixed by the Secretariat in accordance with the Schedule of Fees and the stage of the proceedings at which the arbitration ended. The Secretariat may allow an additional fee above the amount prescribed in the Schedule of Fees if there are any exceptional circumstances.
31.2 The Tribunal’s reasonable disbursements, out-of-pocket expenses necessarily incurred and other allowances shall be determined by the Secretariat and reimbursed accordingly.
Party’s Legal and Other Costs
In its award, the Tribunal shall have the authority to order that all or a part of the legal or other costs of a party be paid by another party.
Exclusion of Liability
33.1 CIICA, including the Chairman, members of its Arbitration Council, directors, officers, employees or any arbitrator, shall not be liable to any person for any negligence, act or omission in connection with any arbitration proceedings conducted pursuant to these Rules.
33.2 CIICA, including the Chairman, members of its Arbitration Council, directors, officers, employees or any arbitrator, shall not be under any obligation to make any oral or written statement in connection with any arbitration proceedings conducted pursuant to these Rules. No party shall seek to make the Chairman, any member of the Arbitration Council, director, officer, employee or arbitrator act as a witness in any legal proceedings related to any arbitration governed by these Rules.
Confidentiality
34.1 At all times, the parties and the Tribunal shall treat all matters in connection with the proceedings and the award as confidential unless parties agree otherwise.
34.2 A party or any arbitrator shall not, without the prior written consent of all the parties, disclose any confidential matter/information to a third party except:
- for purposes of an application to a competent court to enforce or challenge the award;
- pursuant to the order of or a subpoena issued by a court of competent jurisdiction;
- for purposes of pursuing or enforcing a legal right or claim;
- in compliance with the provisions of the applicable laws which are binding on the party making the disclosure;
- in compliance with a specific requirement or request/directions of any regulatory body or other authority; or
- pursuant to the Tribunal’s order on application by a party with proper notice to the other parties.
34.3 The matters referred to in this Rule, include the pleadings, evidence and other materials in the arbitration proceedings and all other documents submitted by another party in the proceedings or the award arising from the proceedings, but excludes any matter that is otherwise in the public domain.
34.4 In case a party breaches this Rule’s provisions, the Tribunal has the power to take appropriate measures, including issuing an order or award for sanctions or costs.
Decisions of the Chairman, the Arbitration Council and the Secretariat
35.1 Subject to Rule 24.1, the decisions of the Chairman the Arbitration Council and the Secretariat regarding all matters involved in the arbitration shall be conclusive and binding upon the parties and the Tribunal. The Chairman of the Arbitration Council and the Secretariat are not obligated to provide reasons for such decisions.
35.2 Subject to Rule 24.1, the parties shall be deemed to have waived any right of appeal or review in connection with any decisions of the Chairman the Arbitration Council and the Secretariat to any court or other judicial authority.
General Provisions
36.1 A party that is aware of non-compliance with any provision or requirement under these Rules and proceeds with the arbitration without promptly stating its objection shall be deemed to have waived its right to object.
36.2 In all matters not expressly provided for in these Rules, the Chairman, the Arbitration Council, the Secretariat and the Tribunal shall act in the spirit of these Rules and shall make every reasonable effort to ensure the fair and expeditious completion of the arbitration.
36.3 CIICA may from time to time issue Practice Notes to supplement, regulate and implement these Rules to facilitate the administration of arbitrations governed by these Rules.
36.4 CIICA has the authority to amend, modify these Rules but the changes will not apply to arbitration proceedings that have already commenced unless specifically agreed to by the parties.
SCHEDULE 1
Emergency Arbitrator
- A party in need of emergency relief may, concurrent with or following the filing of a Notice of Arbitration but prior to the constitution of the Tribunal, make an application for emergency interim award. The party shall notify the Secretariat and all other parties in writing of the nature of the relief sought and the reasons why such relief is required on an emergency basis. The application shall also state the grounds on which the party is entitled to such relief. Such notice should include a statement certifying that all other parties have been notified or an explanation of the steps taken in good faith to notify other parties. The application shall also be accompanied by payment of any fees set by the Secretariat for such proceedings.
- In case the Chairman determines that the application should be accepted, he shall appoint an Emergency Arbitrator within one business day of receipt of such application by the Secretariat and payment of any required fee.
- The Emergency Arbitrator so appointed shall, before accepting appointment, disclose to the Secretariat any circumstance that may raise justifiable doubts regarding his impartiality or independence. Any challenge to the appointment of the Emergency Arbitrator must be made within one business day of the Secretariat’s notification to the parties of the Emergency Arbitrator’s appointment and the circumstances/grounds for the challenge disclosed.
- Unless the parties agree otherwise, an Emergency Arbitrator may not act as an arbitrator in any future arbitration related to the dispute.
- The Emergency Arbitrator shall, as soon as possible but in any event no later than three business days of appointment, establish a schedule for consideration of the application for an emergency award. The schedule shall provide a fair and reasonable opportunity to all parties to be heard. In the alternative, the schedule may provide for proceedings by telephone conference or on written submissions. The Emergency Arbitrator shall have the powers vested in the Tribunal under these Rules, including the authority to rule on his own jurisdiction, and shall resolve any disputes in connection with the application of this Schedule 1.
- The Emergency Arbitrator shall have the power to award any interim relief that he deems proper and necessary. The Emergency Arbitrator shall give reasons for his award in writing. The Emergency Arbitrator may modify or vacate the interim award by providing valid grounds/reasons.
- Once the Tribunal is constituted, the Emergency Arbitrator shall have no further power to act. The Tribunal may reconsider, modify or vacate the interim award of emergency relief issued by the Emergency Arbitrator and is not bound by the reasons given by the Emergency Arbitrator. Any award issued by the Emergency Arbitrator shall, in any event, cease to be binding:
- if the Tribunal is not constituted within 90 days of such order or award; or
- when the Tribunal makes a final award; or
- if the claim is withdrawn.
- Any interim award of emergency relief may be subject to the condition that the party seeking such relief provide appropriate security.
- An award rendered under Schedule 1 shall be binding on the parties. Parties’ agreement on arbitration under these Rules constitutes an undertaking to comply with such an order or award without delay.
- The costs associated with any application pursuant to this Schedule 1 shall initially be apportioned by the Emergency Arbitrator. The final determination of apportionment of these costs shall be made by the Tribunal.
- These Rules shall apply, as deemed appropriate by the Emergency Arbitrator, to proceedings under Schedule 1, in view of the urgency of such proceedings. The Emergency Arbitrator’s decision regarding application of these Rules shall be final and not subject to appeal.