Section I
Introductory Rules
Scope of Application
Article 1
1. Where the parties to a contract have agreed in writing that
disputes in relation to that contract shall be referred to
arbitration under the UNCITRAL Arbitration Rules, then such
disputes shall be settled in accordance with these Rules subject to
such modification as the parties may agree in writing.
2. These Rules shall govern the arbitration except that where
any of these Rules is in conflict with a provision of the law
applicable to the arbitration from which the parties cannot
derogate, that provision shall prevail.
Notice, Calculation of Periods of Time
Article 2
1. For the purposes of these Rules, any notice, including a
notification, communication or proposal, is deemed to have been
received if it is physically delivered to the addressee or if it is
delivered at his habitual residence, place of business or mailing
address, or, if none of these can be found after making reasonable
inquiry, then at the addressee's last known residence or place of
business. Notice shall be deemed to have been received on the day
it is so delivered.
2. For the purposes of calculating a period of time under
these Rules, such period shall begin to run, on the day following
the day when a notice, notification, communication or proposal is
received. If the last day of such period is an official holiday or
a non-business day at the residence or place of business of the
addressee, the period is extended until the first business day
which follows. Official holidays or non-business days occurring
during the running of the period of time are included in
calculating the period.
Notice of Arbitration
Article 3
1. The party initiating recourse to arbitration (hereinafter
called the claimant) shall give to the other party (hereinafter
called the respondent ) a notice of arbitration.
2. Arbitral proceedings shall be deemed to commence on the
date on which the notice of arbitration is received by the
respondent.
3. The notice of arbitration shall include the
following:
(a) A demand that the dispute be referred to
arbitration;
(b) The names and addresses of the parties;
(c) A reference to the arbitration clause or the separate
arbitration agreement that is invoked;
(d) A reference to the contract out of or in relation to which
the disputes arises;
(e) The general nature of the claim and an indication of the
amount involved, if any;
(f) The relief or remedy sought;
(g) A proposal as to the number of arbitrators (i.e. one or
three), if the parties have not previously agreed thereon.
4. The notice of arbitration may also include:
(a) The proposals for the appointments of a sole arbitrator
and an appointing authority referred to in article 6, paragraph
1;
(b) The notification of the appointment of an arbitrator
referred to in article 7;
(c) The statement of claim referred to in article 18.
Representation and Assistance
Article 4
The parties may be represented or assisted by persons of their
choice. The names and addresses of such persons must be
communicated in writing to the other party; such communication must
specify whether the appointment is being made for purposes of
representation or assistance.
Section II
Composition of the Arbitral Tribunal
Number of Arbitrators
Article 5
If the parties have not previously agreed on the number of
arbitrators (i.e. one or three), and if within fifteen days after
the receipt by the respondent of the notice of arbitration the
parties have not agreed that there shall be only one arbitrator,
three arbitrators shall be appointed.
Appointment of Arbitrators (Articles 6 to 8)
Article 6
1. If a sole arbitrator is to be appointed, either party may
propose to the other:
(a) the names of one or more person, one of whom would serve
as the sole arbitrator; and
(b) If no appointing authority has been agreed upon by the
parties, the name or names of one or more institutions or persons,
one of whom would serve as appointing authority.
2. If within thirty days after receipt by a party of a
proposal made in accordance with paragraph 1 the parties have not
reached agreement on the choice of a sole arbitrator, the sole
arbitrator shall be appointed by the appointing authority agreed
upon by the parties. If no appointing authority has been agreed
upon by the parties, or if the appointing authority agreed upon
refuses to act or fails to appoint the arbitrator within sixty days
of the receipt of a party's request therefor, either party may
request the Secretary-General of the Permanent Court of Arbitration
at The Hague to designate an appointing authority.
3. The appointing authority shall, at the request of one of
the parties, appoint the sole arbitrator as promptly as possible.
In making the appointment the appointing authority shall use the
following list-procedure, unless both parties agree that the
list-procedure should not be used or unless the appointing
authority determines in its discretion that the use of the
list-procedure is not appropriate for the case:
(a) At the request of one of the parties the appointing
authority shall communicate to both parties an identical list
containing at least three names;
(b) Within fifteen days after the receipt of this list, each
party may return the list to the appointing authority after having
deleted the name or names to which he object and numbered the
remaining names on the list in the order of his preference;
(c) After the expiration of the above period of time the
appointing authority shall appoint the sole arbitrator from among
the names approved on the lists returned to it and in accordance
with the order of preference indicated by the parties;
(d) If for any reason the appointment cannot be made according
to this procedure, the appointing authority may exercise its
discretion in appointing the sole arbitrator.
4. In making the appointment, the appointing authority shall
have regard to such considerations as are likely to secure the
appointment of an independent and impartial arbitrator and shall
take into account as well the advisability of appointing an
arbitrator of a nationality other than the nationalities of the
parties.
Article 7
1. If three arbitrators are to be appointed, each party shall
appoint one arbitrator. The two arbitrators thus appointed shall
choose the third arbitrator who will act as the presiding
arbitrator of the tribunal.
2. If within thirty days after the receipt of a party's
notification of the appointment of an arbitrator the other party
has not notified the first party of the arbitrator he has
appointed:
(a) The first party may request the appointing authority
previously designated by the parties to appoint the second
arbitrator; or
(b) If no such authority has been previously designated by the
parties, or if the appointing authority previously designated
refuses to act or fails to appoint the arbitrator within thirty
days after receipt of a party's request therefor, the first party
may request the Secretary-General of the Permanent Court of
Arbitration at The Hague to designate the appointing authority. The
first party may then request the appointing authority so designated
to appoint the second arbitrator. In either case, the appointing
authority may exercise its discretion in appointing the
arbitrator.
3. If within thirty days after the appointment of the second
arbitrator the two arbitrators have not agreed on the choice of the
presiding arbitrator, the presiding arbitrator shall be appointed
by an appointing authority in the same way as a sole arbitrator
would be appointed under article 6.
Article 8
1. When an appointing authority is requested to appoint an
arbitrator pursuant to article 6 or article 7, the party which
makes the request shall send to the appointing authority a copy of
the notice of arbitration, a copy of the contract out of or in
relation to which the dispute has arisen and a copy of the
arbitration agreement if it is not contained in the contract. The
appointing authority may require from either party such information
as it deems necessary to fulfil its function.
2. Where the names of one or more persons are proposed for
appointment as arbitrators, their full names, addresses and
nationalities shall be indicated, together with description of
their qualifications.
Challenge of Arbitrators (Articles 9 to 12)
Article 9
A prospective arbitrator shall disclose to those who approach
him in connexion with his possible appointment any circumstances
likely to give rise to justifiable doubts as to his impartiality or
independence. An arbitrator, once appointed or chosen, shall
disclose such circumstances to the parties unless they have already
been informed by him of these circumstances.
Article 10
1. Any arbitrator may be challenged if circumstances exist
that give rise to justifiable doubts as to the arbitrator's
impartiality or independence.
2. A party may challenge the arbitrator appointed by him only
for reasons of which he becomes aware after the appointment has
been made.
Article 11
1. A party who intends to challenge an arbitrator shall send
notice of his challenge within fifteen days after the appointment
of the challenged arbitrator has been notified to the challenging
party or within fifteen days after the circumstances mentioned in
articles 9 and 10 became known to that party.
2. The challenge shall be notified to the other party, to the
arbitrator who is challenged and to the other members of the
arbitral tribunal. The notification shall be in writing and shall
state the reasons for the challenge.
3. When an arbitrator has been challenged by one party, the
other party may agree to the challenge. The arbitrator may also,
after the challenge, withdraw from his office. In neither case does
this imply acceptance of the validity of the grounds for the
challenge. In both cases the procedure provided in article 6 or 7
shall be used in full 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 appoint or
to participate in the appointment.
Article 12
1. If the other party does not agree to the challenge and the
challenged arbitrator does not withdraw, the decision on the
challenge will be made:
(a) When the initial appointment was made by an appointing
authority, by that authority;
(b) When the initial appointment was not made by an appointing
authority, but an appointing authority has been previously
designated, by that authority;
(c) In all other cases, by the appointing authority to be
designated in accordance with the procedure for designating an
appointing authority as provided for in article 6.
2. If the appointing authority sustains the challenge, a
substitute arbitrator shall be appointed or chosen pursuant to the
procedure applicable to the appointment or choice of an arbitrator
as provided in articles 6 to 9 except that, when this procedure
would call for the designation of an appointing authority, the
appointment of the arbitrator shall be made by the appointing
authority which decided on the challenge.
Replacement of an Arbitrator
Article 13
1. In the event of the death or resignation of an arbitrator
during the course of the arbitral proceedings, a substitute
arbitrator shall be appointed or chosen pursuant to the procedure
provided for in articles 6 to 9 that was applicable to the
appointment or choice of the arbitrator being replaced.
2. In the event that an arbitrator fails to act or in the
event of the de jure or de facto impossibility of his performing
his functions, the procedure in respect of the challenge and
replacement of an arbitrator as provided in the preceding articles
shall apply.
Repetition of Hearing in the Event of the Replacement of an
Arbitrator
Article 14
If under articles 11 to 13 the sole or presiding arbitrator is
replaced, any hearings held previously shall be repeated, if any
other arbitrator is replaced, such prior hearings may be repeated
at the discretion of the arbitral tribunal.
Section III
Arbitral proceedings
General Provisions
Article 15
Subject to these Rules, the arbitral tribunal may conduct the
arbitration in such manner as it considers appropriate, provided
that the parties are treated with equality and that at any stage of
the proceedings each party is given a full opportunity of
presenting his case.
2. If either party so requests at any stage of the
proceedings, the arbitral tribunal shall hold hearings for the
presentation of evidence by witnesses, including expert witnesses
or for oral argument. In the absence of such a request, the
arbitral tribunal shall decide whether to hold such hearings or
whether the proceedings shall be conducted on the basis of
documents and other materials.
3. All documents or information supplied to the arbitral
tribunal by one party shall at the same time be communicated by
that party to the other party.
Place of Arbitration
Article 16
1. Unless the parties have agreed upon the place where the
arbitration is to be held, such place shall be determined by the
arbitral tribunal, having regard to the circumstances of the
arbitration.
2. The arbitral tribunal may determine the locale of the
arbitration within the country agreed upon by the parties. It may
hear witnesses and hold meetings for consultation among its members
at any place it deems appropriate, having regard to the
circumstances of the arbitration.
3. The arbitral tribunal may meet at any place it deems
appropriate for the inspection of goods, other property or
documents. The parties shall be given sufficient notice to enable
them to be present at such inspection.
4. The award shall be made at the place of arbitration.
Language
Article 17
1. Subject to an agreement by the parties, the arbitral
tribunal shall, promptly after its appointment, determine the
language or languages to be used in the proceedings. This
determination shall apply to the statement of claim, the statement
of defence, and any further written statements and, if oral
hearings take place, to the language or languages to be used in
such hearings.
2. The arbitral tribunal may order that any documents annexed
to the statement of claim or statement of defence, and any
supplementary documents or exhibits submitted in the course of the
proceedings, delivered in their original language, shall be
accompanied by a translation into the language or languages agreed
upon by the parties or determined by the arbitral tribunal.
Statement of Claim
Article 18
1. Unless the statement of claim was contained in the notice
of arbitration, within a period of time to be determined by the
arbitral tribunal, the claimant shall communicate his statement of
claim in writing to the respondent and to each of the arbitrators.
A copy of the contract, and of the arbitration agreement if not
contained in the contract, shall be annexed thereto.
2. The statement of claim shall include the following
particulars
(a) The names and addresses of the parties;
(b) A statement of the facts supporting the claim;
(c) The point at issue;
(d) The relief or remedy sought.
The claimant may annex to his statement of claim all documents
he deems relevant or may add a reference to the documents or other
evidence he will submit.
Statement of Defence
Article 19
Within a period of time to be determined by the arbitral
tribunal, the respondent shall communicate his statement of defence
in writing to the claimant and to each of the arbitrators.
2. The statement of defence shall reply to the particulars
(b), (c) and (d) of the statement of claim (article 18, para 2).
The respondent may annex to his statement the documents on which he
relies for his defence or may add a reference to the documents or
other evidence he will submit.
3. In his statement of defence, or at a later stage in the
arbitral proceedings if the arbitral tribunal decides that the
delay was justified under the circumstances, the respondent may
make a counterclaim arising out of the same contract or rely on a
claim arising out of the same contract for the purpose of a
set-off.
4. The provisions of article 18, paragraph 2, shall apply to a
counterclaim and a claim relied on for the purpose of a
set-off.
Amendments to the Claim or Defence
Article 20
During the course of the arbitral proceedings either party may
amend or supplement his claim or defence unless the arbitral
tribunal considers it inappropriate to allow such amendment having
regard to the delay in making it or prejudice to the other party or
any other circumstances. However, a claim may not be amended in
such a manner that the amended claim falls outside the scope of the
arbitration clause or separate arbitration agreement.
Pleas as to the Jurisdiction of the Arbitral Tribunal
Article 21
1. The arbitral tribunal shall have the power to rule on
objections that it has no jurisdiction, including any objections
with respect to the existence or validity of the arbitration clause
or of the separate arbitration agreement.
2. The arbitral tribunal shall have the power to determine the
existence or the validity of the contract of which an arbitration
clause forms a part. For the purposes of article 21, an arbitration
clause which forms part of a contract and which provides for
arbitration under these Rules shall be treated as an agreement
independent of the other terms of the contract. A decision by the
arbitral tribunal that the contract is null and void shall not
entail ipso jure the invalidity of the arbitration clause.
3. A plea that arbitral tribunal does not have jurisdiction
shall be raised not later than in the statement of defence or, with
respect to a counterclaim, in reply to the counterclaim.
4. In general, the arbitral tribunal should rule on a plea
concerning its jurisdiction as a preliminary question. However, the
arbitral tribunal may proceed with the arbitration and rule on such
a plea in their final award.
Further Written Statements
Article 22
The arbitral tribunal shall decide which further written
statements, in addition to the statement of claim and the statement
of defence, shall be required from the parties or may be presented
by them and shall fix the periods of time for communicating such
statements.
Periods of Time
Article 23
The periods of time fixed by the arbitral tribunal for the
communication of written statements (including the statement of
claim and statement of defence) should not exceed forty-five days.
However, the arbitral tribunal may extend the time-limits if it
concludes that an extension is justified.
Evidence and Hearings (Articles 24 and 25)
Article 24
1. Each party shall have the burden of proving the facts
relied on to support his claim or defence.
2. The arbitral tribunal may, if it considers it appropriate
require a party to deliver to the tribunal and to the other party,
within such a period of time as the arbitral tribunal shall decide,
a summary of the documents and other evidence which that party
intends to present in support of the facts in issue set out in his
statement of claim or statement of defence.
3. At any time during the arbitral proceedings the arbitral
tribunal may require the parties to produce documents, exhibits or
other evidence within such a period of time as the tribunal shall
determine.
Article 25
1. In the event of an oral hearing, the arbitral tribunal
shall give the parties adequate advance notice of the date, time
and place thereof.
2. If witnesses are to be heard, at least fifteen days before
the hearing each party shall communicate to the arbitral tribunal
and to the other party the names and addresses of the witnesses he
intends to present, the subject upon and the languages in which
such witnesses will give their testimony.
3. The arbitral tribunal shall make arrangements for the
translation of oral statements made at a hearing and for a record
of the hearing if either is deemed necessary by the tribunal under
the circumstances of the case, or if the parties have agreed
thereto and have communicated such agreement to the tribunal at
least fifteen days before the hearing.
4. Hearings shall be held in camera unless the parties agree
otherwise. The arbitral tribunal may require the retirement of any
witness or witnesses during the testimony of other witnesses. The
arbitral tribunal is free to determine the manner in which
witnesses are examined.
5. Evidence of witnesses may also be presented in the form of
written statements signed by them.
6. The arbitral tribunal shall determine the admissibility,
relevance materiality and weight of the evidence offered.
Interim Measures of Protection
Article 26
1. At the request of either party, the arbitral tribunal may
take any interim measures it deems necessary in respect of the
subject-matter of the dispute, including measures for the
conservation of the goods forming the subject-matter in dispute,
such as ordering their deposit with a third person or the sale of
perishable goods.
2. Such interim measures may be established in the form of an
interim award. The arbitral tribunal shall be entitled to require
security for the costs of such measures.
3. A request for interim measures addressed by any party to a
judicial authority shall not be deemed incompatible with the
agreement to arbitrate, or as a waiver of that agreement.
Experts
Article 27
1. The arbitral tribunal may appoint one or more experts to
report to it, in writing, on specific issues to be determined by
the tribunal. A copy of the expert's terms of reference,
established by the arbitral tribunal, shall be communicated to the
parties.
2. The parties shall give the expert any relevant information
or produce for his inspection any relevant documents or goods that
he may require of them. Any dispute between a party and such expert
as to the relevance of the required information or production shall
be referred to the arbitral tribunal for decision.
3. Upon receipt of the expert s report, the arbitral tribunal
shall communicate a copy of the report to the parties who shall be
given the opportunity to express, in writing, their opinion on the
report. A party shall be entitled to examine any document on which
the expert has relied in his report.
4. At the request of either party the expert, after delivery
of the report, may be heard at a hearing where the parties shall
have the opportunity to be present and to interrogate the expert.
At this hearing either party may present expert witnesses in order
to testify on the points at issue. The provisions of article 25
shall be applicable to such proceedings.
Defaults
Article 28
1. If, within the period of time fixed by the arbitral
tribunal, the claimant has failed to communicate his claim without
showing sufficient cause for such failure, the arbitral tribunal
shall issue an order for the termination of the arbitral
proceedings. If, within the period of time fixed by the arbitral
tribunal, the respondent has failed to communicate his statement of
defence without showing sufficient cause for such failure, the
arbitral tribunal shall order that the proceedings continue.
2. If one of the parties, duly notified under these Rules,
fails to appear at a hearing, without showing sufficient cause for
such failure, the arbitral tribunal may proceed with the
arbitration.
3. If one of the parties, duly invited to produce documentary
evidence, fails to do so within the established period of time,
without showing sufficient cause for such failure, the arbitral
tribunal may make the award on the evidence before it.
Closure of Hearings
Article 29
1. The arbitral tribunal may inquire of the parties if they
have any further proof to offer or witnesses to be heard or
submissions to make and, if there are none, it may declare the
hearings closed.
2. The arbitral tribunal may, if it considers it necessary
owing to exceptional circumstances, decide, on its own motion or
upon application of a party, to reopen the hearings at any time
before the award is made.
Waiver of Rules
Article 30
A party who knows that any provision of, or requirement under,
these Rules has not been complied with and yet proceeds with the
arbitration without promptly stating his objection to such
non-compliance, shall be deemed to have waived his right to
object.
Section IV
The Award
Decisions
Article 31
1. Where there are three arbitrators, any award or other
decision of the arbitral tribunal shall be made by a majority of
the arbitrators.
2. In the case of questions of procedure, when there is no
majority or when the arbitral tribunal so authorizes, the presiding
arbitrator may decide on his own, subject to revision, if any, by
the arbitral tribunal.
Form and Effect of the Award
Article 32
1. In addition to making a final award, the arbitral tribunal
shall be entitled to make interim, interlocutory, or partial
awards.
2. The award shall be made in writing and shall be final and
binding on the parties. The parties undertake to carry out the
award without delay.
3. The arbitral tribunal shall state the reasons upon which
the award is based, unless the parties have agreed that no reasons
are to be given.
4. An award shall be signed by the arbitrators and it shall
contain the date on which and the place where the award was made.
Where there are three arbitrators and one of them fails to sign,
the award shall state the reason for the absence of the signature.
5. The award may be made public only with the consent of both
parties.
6. Copies of the award signed by the arbitrators shall be
communicated to the parties by the arbitral tribunal.
7. If the arbitration law of the country where the award is
made requires that the award be filed or registered by the arbitral
tribunal, the tribunal shall comply with this requirement within
the period of time required by law.
Applicable Law, Amiable Compositeur
Article 33
1. The arbitral tribunal shall apply the law designated by the
parties as applicable to the substance of the dispute. Failing such
designation by the parties, the arbitral tribunal shall apply the
law determined by the conflict of laws rules which it considers
applicable.
2. The arbitral tribunal shall decide as amiable compositeur
or ex aequo et bono only if the parties have expressly authorized
the arbitral tribunal to do so and if the law applicable to the
arbitral procedure permits such arbitration.
3. In all cases, the arbitral tribunal shall decide in
accordance with the terms of the contract and shall take into
account the usages of the trade applicable to the
transaction.
Settlement or other Grounds for Termination
Article 34
1. If, before the award is made, the parties agree on a
settlement of the dispute, the arbitral tribunal shall either issue
an order for the termination of the arbitral proceedings, or, if
requested by both parties and accepted by the tribunal, record the
settlement in the form of an arbitral award on agreed terms. The
arbitral tribunal is not obliged to give reasons for such an
award.
2. If, before the award is made, the continuation of the
arbitral proceedings becomes unnecessary or impossible for any
reason not mentioned in paragraph 1, the arbitral tribunal shall
inform the parties of its intention to issue an order for the
termination of the proceedings. The arbitral tribunal shall have
the power to issue such an order unless a party raises justifiable
grounds for objection.
3. Copies of the order for termination of the arbitral
proceedings or of the arbitral award on agreed terms, signed by the
arbitrators, shall be communicated by the arbitral tribunal to the
parties. Where an arbitral award on agreed terms is made, the
provisions of article 32, paragraphs 2 and 4 to 7, shall
apply.
Interpretation of the Award
Article 35
1. Within thirty days after the receipt of the award, either
party, with notice to the other party, may request that the
arbitral tribunal give an interpretation of the award.
2. The interpretation shall be given in writing within
forty-five days after the receipt of the request. The
interpretation shall form part of the award and the provisions of
article 32, paragraphs 2 to 7, shall apply.
Correction of the Award
Article 36
1. Within thirty days after the receipt of the award, either
party, with notice to the other party, may request the arbitral
tribunal to correct in the award any errors in computation, any
clerical or typographical errors, or any errors of similar nature.
The arbitral tribunal may within thirty days after the
communication of the award make such corrections on its own
initiative.
2. Such corrections shall be in writing, and the provisions of
article 32, paragraphs 2 to 7, shall apply.
Additional Award
Article 37
1. Within thirty days after receipt of the award, either
party, with notice to the other party, may request the arbitral
tribunal to make an additional award as to claims presented in the
arbitral proceedings but omitted from the award.
2. If the arbitral tribunal considers the request for an
additional award to be justified and considers that the omission
can be rectified without any further hearings or evidence, it shall
complete its award within sixty days after the receipt of the
request.
3. When an additional award is made, the provisions of article
32, paragraphs to 7, shall apply.
Costs (Article 38 to 40)
Article 38
The arbitral tribunal shall fix the costs of arbitration in
its award. The term "costs" include only:
(a) The fees of the arbitral tribunal to be stated separately
as to each arbitrator and to be fixed by the tribunal itself in
accordance with article 39;
(b) The travel and other expenses incurred by the
arbitrators;
(c) The costs of expert advice and of other assistance
required by the arbitral tribunal;
(d) The travel and other expenses of witnesses to the extent
such expenses are approved by the arbitral tribunal;
(e) The costs for legal representation and assistance of the
successful party if such costs were claimed during the arbitral
proceedings, and only to the extent that the arbitral tribunal
determines that the amount of such costs is reasonable;
(f) Any fees and expenses of the appointing authority as well
as the expenses of the Secretary-General of the Permanent Court of
Arbitration at The Hague.
Article 39
1. The fees of the arbitral tribunal shall be reasonable in
amount, taking into account the amount in dispute, the complexity
of the subject-matter, the time spent by the arbitrators and any
other relevant circumstances of the case.
2. If an appointing authority has been agreed upon by the
parties or designated by the Secretary-General of the Permanent
Court of Arbitration at The Hague, and if that authority has issued
a schedule of fees for arbitrators in international cases which it
administers, the arbitral tribunal in fixing its fees shall take
that schedule of fees into account to the extent that it considers
appropriate in the circumstances of the case.
3. If such appointing authority has not issued a schedule of
fees for arbitrators in international cases, any party may at any
time request the appointing authority to furnish a statement
setting forth the basis for establishing fees which is customarily
followed in international cases in which the authority appoints
arbitrators. If the appointing authority consents to provide such a
statement, the arbitral tribunal in fixing its fees shall take such
information into account to the extent that it considers
appropriate in the circumstances of the case.
4. In cases referred to in paragraphs 2 and 3, when a party so
requests and the appointing authority consents to perform the
function, the arbitral tribunal shall fix its fees only after
consultation with the appointing authority, which may make any
comment it deems appropriate to the arbitral tribunal concerning
the fees.
Article 40
1. Except as provided in paragraph 2, the costs of arbitration
shall in principle be borne by the unsuccessful party. However, the
arbitral tribunal may apportion each of such costs between the
parties if it determines that apportionment is reasonable, taking
into account the circumstances of the case.
2. With respect to the costs of legal representation and
assistance referred to in article 38, paragraph (e), the arbitral
tribunal, taking into account the circumstances of the case, shall
be free to determine which party shall bear such costs or may
apportion such costs between the parties if it determines that
apportionment is reasonable.
3. When the arbitral tribunal issues an order for the
termination of the arbitral proceedings or makes an award on agreed
terms, it shall fix the costs of arbitration referred to in article
38 and article 39, paragraph 1, in the text of that order or
award.
4. No additional fees may be charged by an arbitral tribunal
for interpretation or correction or completion of its award under
articles 35 to 37.
Deposit of Costs
Article 41 - (Substituted by Rule 8)
1. The arbitral tribunal, on its establishment, may request
each party to deposit an equal amount as an advance for the costs
referred to in article 38, paragraphs (a), (b) and (c).
2. During the course of the arbitral proceedings the arbitral
tribunal may request supplementary deposits from the parties.
3. If an appointing authority has been agreed upon by the
parties or designated by the Secretary-General of the Permanent
Court of Arbitration at The Hague, and when a party so requests and
the appointing authority consents to perform the function, the
arbitral tribunal shall fix the amounts of any deposits or
supplementary deposits only after consultation with the appointing
authority which may make any comments to the arbitral tribunal
which it deems appropriate concerning the amount of such deposits
and supplementary deposits.
4. If the required deposits are not paid in full within thirty
days after the receipt of the request, the arbitral tribunal shall
so inform the parties in order that one or another of them may make
the required payment. If such payment is not made, the arbitral
tribunal may order the suspension or termination of the arbitral
proceedings.
5. After the award has been made, the arbitral tribunal shall
render an accounting to the parties of the deposits received and
return any unexpended balance to the parties.