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 Secretary-General 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 Secretary-General 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 shallendeavorto 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 Secretary-General 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
well-founded 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 Secretary-General 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 Secretary-General 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.