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International Court of

ArbitrationInternational Chamberof Commerce

The world businessorganization

Rules ofArbitrationin force as from 1 January 1998

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The ICC Rules of Arbitration and their Appendices havebeen translated into many different languages. However,the English and French versions are the only official texts.

First edition published 1997

This second edition first published September 2001

International Chamber of Commerce38 cours Albert 1er

75008 Paris - FranceTelephone +33 1 49 53 28 28Fax +33 1 49 53 29 33

Copyright © 1997, 2001

International Chamber of Commerce

All rights reserved. No part of this publication may bereproduced by whatsoever means (electronic,electrostatic, mechanical, photocopying, recording orotherwise) or translated, without the prior permission inwriting of the Secretary General of the ICC InternationalCourt of Arbitration.

ICC no.: publication 808

ISBN 92.842.1302.0

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TABLE OF CONTENTS

Foreword 6

Standard ICC Arbitration Clause 8

Rules of Arbitration of the InternationalChamber of Commerce 12

Introductory Provisions

Article 1 International Court of Arbitration 12

Article 2 Definitions 13

Article 3 Written Notifications orCommunications; Time Limits 13

Commencing the Arbitration

Article 4 Request for Arbitration 14

Article 5 Answer to the Request;Counterclaims 16

Article 6 Effect of the Arbitration Agreement 17

The Arbitral Tribunal

Article 7 General Provisions 18

Article 8 Number of Arbitrators 19

Article 9 Appointment and Confirmationof the Arbitrators 20

Article 10 Multiple Parties 22

Article 11 Challenge of Arbitrators 22

Article 12 Replacement of Arbitrators 23

The Arbitral Proceedings

Article 13 Transmission of the File to theArbitral Tribunal 24

Article 14 Place of the Arbitration 24

Article 15 Rules Governing the Proceedings 25

Article 16 Language of the Arbitration 25

Article 17 Applicable Rules of Law 25

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Article 18 Terms of Reference; ProceduralTimetable 26

Article 19 New Claims 27

Article 20 Establishing the Facts of the Case 27

Article 21 Hearings 28

Article 22 Closing of the Proceedings 29

Article 23 Conservatory and Interim Measures 29

Awards

Article 24 Time Limit for the Award 30

Article 25 Making of the Award 30

Article 26 Award by Consent 31

Article 27 Scrutiny of the Award by the Court 31

Article 28 Notification, Deposit andEnforceability of the Award 31

Article 29 Correction and Interpretationof the Award 32

Costs

Article 30 Advance to Cover the Costs of theArbitration 33

Article 31 Decision as to the Costs of theArbitration 34

Miscellaneous

Article 32 Modified Time Limits 35

Article 33 Waiver 35

Article 34 Exclusion of Liability 36

Article 35 General Rule 36

Appendix IStatutes of the International Court ofArbitration of the ICC 37

Article 1 Function 37

Article 2 Composition of the Court 37

Article 3 Appointment 37

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Article 4 Plenary Session of the Court 38

Article 5 Committees 38

Article 6 Confidentiality 38

Article 7 Modification of the Rulesof Arbitration 39

Appendix IIInternal Rules of the International Court ofArbitration of the ICC 40

Article 1 Confidential Character of the Workof the International Courtof Arbitration 40

Article 2 Participation of Members of theInternational Court of Arbitrationin ICC Arbitration 41

Article 3 Relations between the Membersof the Court and the ICC NationalCommittees 42

Article 4 Committee of the Court 42

Article 5 Court Secretariat 43

Article 6 Scrutiny of Arbitral Awards 44

Appendix IIIArbitration Costs and Fees 45

Article 1 Advance on Costs 45

Article 2 Costs and Fees 47

Article 3 Appointment of Arbitrators 49

Article 4 Scales of Administrative Expensesand Arbitrator’s Fees 49

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FOREWORD

The closing decades of the twentieth century sawinternational commercial arbitration gain worldwideacceptance as the normal means of resolving internationalcommercial disputes. National laws on arbitration havebeen modernized on all continents. International treatieson arbitration have been signed or adhered to withimpressive success. Arbitration has become part of thecurricula of large numbers of law schools. With thegradual removal of political and trade barriers and therapid globalization of the world economy, new challengeshave been created for arbitration institutions in responseto the growing demand of parties for certainty andpredictability, greater rapidity and flexibility as well asneutrality and efficacy in the resolution of internationaldisputes.

Since the International Court of Arbitration wasestablished in 1923, ICC arbitration has been constantlynourished by the experience gathered by the ICCInternational Court of Arbitration in the course ofadministering more than eleven thousand internationalarbitration cases, now involving each year parties andarbitrators from over 100 countries and from a diversityof legal, economic, cultural and linguistic backgrounds.

The present ICC Rules of Arbitration came into effect on1 January 1998. They are the result of an intensive,worldwide consultation process and constitute the firstmajor revision of the Rules in more than 20 years. Thechanges made are designed to reduce delays andambiguities and to fill certain gaps, taking into accountthe evolution of arbitration practice. The basic featuresof the ICC arbitration system have not been altered,however, notably its universality and flexibility, as well asthe central role played by the ICC Court in theadministration of arbitral cases.

Every ICC arbitration is conducted by an arbitral tribunalwith responsibility for examining the merits of the caseand rendering a final award. Each year, ICC arbitrations

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are held in some 40 countries, in most major languagesand with arbitrators of some 60 different nationalities.The work of those arbitral tribunals is monitored by theICC Court, which meets weekly all year round. Currentlycomposed of 112 members from 73 countries, the Courtorganizes and supervises arbitrations held under the ICCRules of Arbitration. The Court must remain constantlyalert to changes in the law and the practice of arbitrationin all parts of the world and must adapt its workingmethods to the evolving needs of parties and arbitrators.For the day-to-day management of cases in manylanguages, the ICC Court is supported by a Secretariatbased at the headquarters of the International Chamberof Commerce, in Paris.

Although the ICC Rules of Arbitration have been especiallydesigned for arbitrations in an international context, theymay also be used for non-international cases.

The present publication contains only the 1998 ICC Rulesof Arbitration. The 1988 ICC Rules of Optional Conciliation,with which they were previously published, have beenreplaced, as from 1 July 2001, by the ICC ADR Rules,which are published separately. This reedition of the 1998Rules of Arbitration has allowed a number of typographical,syntactical and grammatical corrections to be made tothe text as previously published. In addition, for the sakeof consistency with the French version of the Rules, inthe second sentence of Article 2(9) of Appendix III , thewords “are expected” have been replaced by “have aduty ”.

August 2001

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STANDARD ICC ARBITRATION CLAUSEThe ICC recommends that all parties wishing to makereference to ICC arbitration in their contracts use thefollowing standard clause.

Parties are reminded that it may be desirable for them tostipulate in the arbitration clause itself the law governingthe contract, the number of arbitrators and the placeand language of the arbitration. The parties’ free choiceof the law governing the contract and of the place andlanguage of the arbitration is not limited by the ICC Rulesof Arbitration.

Attention is called to the fact that the laws of certaincountries require that parties to contracts expresslyaccept arbitration clauses, sometimes in a precise andparticular manner.

English“All disputes arising out of or in connection with thepresent contract shall be finally settled under the Rulesof Arbitration of the International Chamber of Commerceby one or more arbitrators appointed in accordance withthe said Rules.”

French“Tous différends découlant du présent contrat ou enrelation avec celui-ci seront tranchés définitivementsuivant le Règlement d’arbitrage de la Chambre decommerce internationale par un ou plusieurs arbitresnommés conformément à ce Règlement.”

Arabic

Bulgarian

Standard ICC Arbitration Clause

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Chinese

Dutch“Alle geschillen, die uit of met betrekking tot dezeovereenkomst mochten ontstaan, zullen definitiefworden beslecht overeenkomstig het Arbitrage-reglement van de ICC door één of meerdere arbitersbenoemd overeenkomstig dit Reglement.”

German“Alle aus oder in Zusammenhang mit dem gegenwärtigenVertrag sich ergebenden Streitigkeiten werden nach derSchiedsgerichtsordnung der InternationalenHandelskammer von einem oder mehreren gemäßdieser Ordnung ernannten Schiedsrichtern endgültigentschieden.”

Greek

Hungarian

Italian“Tutte le controversie derivanti dal presente contratto oin relazione con lo stesso saranno risolte in via definitivasecondo il Regolamento d’arbitrato della Camera diCommercio Internazionale, da uno o più arbitri nominatiin conformità di detto Regolamento.”


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Japanese

Polish

Portuguese“Todas as controvérsias oriundas ou relacionadas aopresente contrato serão resolvidas de forma definitivasegundo o Regulamento de Arbitragem da Câmara deComércio Internacional, por meio de um ou mais árbitrosnomeados de acordo com tal Regulamento.”

Russian

Spanish“Todas las desavenencias que deriven de este contrato oque guarden relación con éste serán resueltasdefinitivamente de acuerdo con el Reglamento deArbitraje de la Cámara de Comercio Internacional poruno o más árbitros nombrados conforme a esteReglamento.”

Thai


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Turkish

Vietnamese

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RULES OF ARBITRATION OF THEINTERNATIONAL CHAMBER OF COMMERCE

INTRODUCTORY PROVISIONS

Article 1International Court of Arbitration

1

The International Court of Arbitration (the “Court”) ofthe International Chamber of Commerce (the “ICC”) isthe arbitration body attached to the ICC. The statutes ofthe Court are set forth in Appendix I. Members of theCourt are appointed by the World Council of the ICC. Thefunction of the Court is to provide for the settlement byarbitration of business disputes of an internationalcharacter in accordance with the Rules of Arbitration ofthe International Chamber of Commerce (the “Rules”).If so empowered by an arbitration agreement, the Courtshall also provide for the settlement by arbitration inaccordance with these Rules of business disputes not ofan international character.

2

The Court does not itself settle disputes. It has thefunction of ensuring the application of these Rules. Itdraws up its own Internal Rules (Appendix II).

3

The Chairman of the Court or, in the Chairman’s absenceor otherwise at his request, one of its Vice-Chairmen shallhave the power to take urgent decisions on behalf of theCourt, provided that any such decision is reported to theCourt at its next session.

4

As provided for in its Internal Rules, the Court maydelegate to one or more committees composed of itsmembers the power to take certain decisions, providedthat any such decision is reported to the Court at its nextsession.

ICC Rules of Arbitration

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The Secretariat of the Court (the “Secretariat”) underthe direction of its Secretary General (the “SecretaryGeneral”) shall have its seat at the headquarters of theICC.

Article 2DefinitionsIn these Rules:

(i) “Arbitral Tribunal” includes one or more arbitrators.

(ii) “Claimant” includes one or more claimants and“Respondent” includes one or more respondents.

(iii) “Award” includes, inter alia, an interim, partial orfinal Award.

Article 3Written Notifications or Communications;Time Limits1

All pleadings and other written communicationssubmitted by any party, as well as all documents annexedthereto, shall be supplied in a number of copies sufficientto provide one copy for each party, plus one for eacharbitrator, and one for the Secretariat. A copy of anycommunication from the Arbitral Tribunal to the partiesshall be sent to the Secretariat.

2

All notifications or communications from the Secretariatand the Arbitral Tribunal shall be made to the last addressof the party or its representative for whom the same areintended, as notified either by the party in question or bythe other party. Such notification or communication maybe made by delivery against receipt, registered post,courier, facsimile transmission, telex, telegram or anyother means of telecommunication that provides a recordof the sending thereof.

3

A notification or communication shall be deemed to havebeen made on the day it was received by the party itself


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or by its representative, or would have been received ifmade in accordance with the preceding paragraph.

4

Periods of time specified in or fixed under the presentRules shall start to run on the day following the date anotification or communication is deemed to have beenmade in accordance with the preceding paragraph. Whenthe day next following such date is an official holiday, or anon-business day in the country where the notification orcommunication is deemed to have been made, theperiod of time shall commence on the first followingbusiness day. Official holidays and non-business days areincluded in the calculation of the period of time. If thelast day of the relevant period of time granted is an officialholiday or a non-business day in the country where thenotification or communication is deemed to have beenmade, the period of time shall expire at the end of thefirst following business day.

COMMENCING THE ARBITRATION

Article 4Request for Arbitration

1

A party wishing to have recourse to arbitration underthese Rules shall submit its Request for Arbitration (the“Request”) to the Secretariat, which shall notify theClaimant and Respondent of the receipt of the Requestand the date of such receipt.

2

The date on which the Request is received by theSecretariat shall, for all purposes, be deemed to be thedate of the commencement of the arbitral proceedings.

3

The Request shall, inter alia, contain the followinginformation:


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a) the name in full, description and address of each ofthe parties;

b) a description of the nature and circumstances of thedispute giving rise to the claim(s);

c) a statement of the relief sought, including, to theextent possible, an indication of any amount(s)claimed;

d) the relevant agreements and, in particular, thearbitration agreement;

e) all relevant particulars concerning the number ofarbitrators and their choice in accordance with theprovisions of Articles 8, 9 and 10, and any nominationof an arbitrator required thereby; and

f) any comments as to the place of arbitration, theapplicable rules of law and the language of thearbitration.

4

Together with the Request, the Claimant shall submit thenumber of copies thereof required by Article 3(1) andshall make the advance payment on administrativeexpenses required by Appendix III (“Arbitration Costs andFees”) in force on the date the Request is submitted. Inthe event that the Claimant fails to comply with either ofthese requirements, the Secretariat may fix a time limitwithin which the Claimant must comply, failing which thefile shall be closed without prejudice to the right of theClaimant to submit the same claims at a later date inanother Request.

5

The Secretariat shall send a copy of the Request and thedocuments annexed thereto to the Respondent for itsAnswer to the Request once the Secretariat has sufficientcopies of the Request and the required advance payment.

6

When a party submits a Request in connection with alegal relationship in respect of which arbitrationproceedings between the same parties are alreadypending under these Rules, the Court may, at the request


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of a party, decide to include the claims contained in theRequest in the pending proceedings provided that theTerms of Reference have not been signed or approvedby the Court. Once the Terms of Reference have beensigned or approved by the Court, claims may only beincluded in the pending proceedings subject to theprovisions of Article 19.

Article 5Answer to the Request; Counterclaims

1

Within 30 days from the receipt of the Request from theSecretariat, the Respondent shall file an Answer (the“Answer”) which shall, inter alia, contain the followinginformation:

a) its name in full, description and address;

b) its comments as to the nature and circumstances ofthe dispute giving rise to the claim(s);

c) its response to the relief sought;

d) any comments concerning the number of arbitratorsand their choice in light of the Claimant’s proposalsand in accordance with the provisions of Articles 8, 9and 10, and any nomination of an arbitrator requiredthereby; and

e) any comments as to the place of arbitration, theapplicable rules of law and the language of thearbitration.

2

The Secretariat may grant the Respondent an extensionof the time for filing the Answer, provided the applicationfor such an extension contains the Respondent’scomments concerning the number of arbitrators andtheir choice and, where required by Articles 8, 9 and 10,the nomination of an arbitrator. If the Respondent fails todo so, the Court shall proceed in accordance with theseRules.

3

The Answer shall be supplied to the Secretariat in thenumber of copies specified by Article 3(1).


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4

A copy of the Answer and the documents annexed theretoshall be communicated by the Secretariat to the Claimant.

5

Any counterclaim(s) made by the Respondent shall befiled with its Answer and shall provide:

a) a description of the nature and circumstances of thedispute giving rise to the counterclaim(s); and

b) a statement of the relief sought, including, to theextent possible, an indication of any amount(s)counterclaimed.

6

The Claimant shall file a Reply to any counterclaim within30 days from the date of receipt of the counterclaim(s)communicated by the Secretariat. The Secretariat maygrant the Claimant an extension of time for filing theReply.

Article 6Effect of the Arbitration Agreement

1

Where the parties have agreed to submit to arbitrationunder the Rules, they shall be deemed to have submittedipso facto to the Rules in effect on the date ofcommencement of the arbitration proceedings, unlessthey have agreed to submit to the Rules in effect on thedate of their arbitration agreement.

2

If the Respondent does not file an Answer, as provided byArticle 5, or if any party raises one or more pleasconcerning the existence, validity or scope of thearbitration agreement, the Court may decide, withoutprejudice to the admissibility or merits of the plea orpleas, that the arbitration shall proceed if it is prima faciesatisfied that an arbitration agreement under the Rulesmay exist. In such a case, any decision as to the jurisdictionof the Arbitral Tribunal shall be taken by the Arbitral


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Tribunal itself. If the Court is not so satisfied, the partiesshall be notified that the arbitration cannot proceed. Insuch a case, any party retains the right to ask any courthaving jurisdiction whether or not there is a bindingarbitration agreement.

3

If any of the parties refuses or fails to take part in thearbitration or any stage thereof, the arbitration shallproceed notwithstanding such refusal or failure.

4

Unless otherwise agreed, the Arbitral Tribunal shall notcease to have jurisdiction by reason of any claim that thecontract is null and void or allegation that it is non-existent,provided that the Arbitral Tribunal upholds the validity ofthe arbitration agreement. The Arbitral Tribunal shallcontinue to have jurisdiction to determine the respectiverights of the parties and to adjudicate their claims andpleas even though the contract itself may be non-existentor null and void.

THE ARBITRAL TRIBUNAL

Article 7General Provisions

1

Every arbitrator must be and remain independent of theparties involved in the arbitration.

2

Before appointment or confirmation, a prospectivearbitrator shall sign a statement of independence anddisclose in writing to the Secretariat any facts orcircumstances which might be of such a nature as to callinto question the arbitrator’s independence in the eyesof the parties. The Secretariat shall provide suchinformation to the parties in writing and fix a time limitfor any comments from them.


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3

An arbitrator shall immediately disclose in writing to theSecretariat and to the parties any facts or circumstancesof a similar nature which may arise during the arbitration.

4

The decisions of the Court as to the appointment,confirmation, challenge or replacement of an arbitratorshall be final and the reasons for such decisions shall notbe communicated.

5

By accepting to serve, every arbitrator undertakes to carryout his responsibilities in accordance with these Rules.

6

Insofar as the parties have not provided otherwise, theArbitral Tribunal shall be constituted in accordance withthe provisions of Articles 8, 9 and 10.

Article 8Number of Arbitrators

1

The disputes shall be decided by a sole arbitrator or bythree arbitrators.

2

Where the parties have not agreed upon the number ofarbitrators, the Court shall appoint a sole arbitrator, savewhere it appears to the Court that the dispute is such asto warrant the appointment of three arbitrators. In suchcase, the Claimant shall nominate an arbitrator within aperiod of 15 days from the receipt of the notification ofthe decision of the Court, and the Respondent shallnominate an arbitrator within a period of 15 days fromthe receipt of the notification of the nomination made bythe Claimant.

3

Where the parties have agreed that the dispute shall besettled by a sole arbitrator, they may, by agreement,


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nominate the sole arbitrator for confirmation. If theparties fail to nominate a sole arbitrator within 30 daysfrom the date when the Claimant’s Request for Arbitrationhas been received by the other party, or within suchadditional time as may be allowed by the Secretariat, thesole arbitrator shall be appointed by the Court.

4

Where the dispute is to be referred to three arbitrators,each party shall nominate in the Request and the Answer,respectively, one arbitrator for confirmation. If a partyfails to nominate an arbitrator, the appointment shall bemade by the Court. The third arbitrator, who will act aschairman of the Arbitral Tribunal, shall be appointed bythe Court, unless the parties have agreed upon anotherprocedure for such appointment, in which case thenomination will be subject to confirmation pursuant toArticle 9. Should such procedure not result in a nominationwithin the time limit fixed by the parties or the Court, thethird arbitrator shall be appointed by the Court.

Article 9Appointment and Confirmation of theArbitrators

1

In confirming or appointing arbitrators, the Court shallconsider the prospective arbitrator’s nationality, residenceand other relationships with the countries of which theparties or the other arbitrators are nationals and theprospective arbitrator’s availability and ability to conductthe arbitration in accordance with these Rules. The sameshall apply where the Secretary General confirmsarbitrators pursuant to Article 9(2).

2

The Secretary General may confirm as co-arbitrators,sole arbitrators and chairmen of Arbitral Tribunals personsnominated by the parties or pursuant to their particularagreements, provided they have filed a statement ofindependence without qualification or a qualifiedstatement of independence has not given rise to


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objections. Such confirmation shall be reported to theCourt at its next session. If the Secretary Generalconsiders that a co-arbitrator, sole arbitrator or chairmanof an Arbitral Tribunal should not be confirmed, the mattershall be submitted to the Court.

3

Where the Court is to appoint a sole arbitrator or thechairman of an Arbitral Tribunal, it shall make theappointment upon a proposal of a National Committee ofthe ICC that it considers to be appropriate. If the Courtdoes not accept the proposal made, or if the NationalCommittee fails to make the proposal requested withinthe time limit fixed by the Court, the Court may repeat itsrequest or may request a proposal from another NationalCommittee that it considers to be appropriate.

4

Where the Court considers that the circumstances sodemand, it may choose the sole arbitrator or the chairmanof the Arbitral Tribunal from a country where there is noNational Committee, provided that neither of the partiesobjects within the time limit fixed by the Court.

5

The sole arbitrator or the chairman of the Arbitral Tribunalshall be of a nationality other than those of the parties.However, in suitable circumstances and provided thatneither of the parties objects within the time limit fixedby the Court, the sole arbitrator or the chairman of theArbitral Tribunal may be chosen from a country of whichany of the parties is a national.

6

Where the Court is to appoint an arbitrator on behalf of aparty which has failed to nominate one, it shall make theappointment upon a proposal of the National Committeeof the country of which that party is a national. If theCourt does not accept the proposal made, or if the NationalCommittee fails to make the proposal requested withinthe time limit fixed by the Court, or if the country ofwhich the said party is a national has no National


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Committee, the Court shall be at liberty to choose anyperson whom it regards as suitable. The Secretariat shallinform the National Committee, if one exists, of thecountry of which such person is a national.

Article 10Multiple Parties

1

Where there are multiple parties, whether as Claimantor as Respondent, and where the dispute is to be referredto three arbitrators, the multiple Claimants, jointly, andthe multiple Respondents, jointly, shall nominate anarbitrator for confirmation pursuant to Article 9.

2

In the absence of such a joint nomination and where allparties are unable to agree to a method for theconstitution of the Arbitral Tribunal, the Court may appointeach member of the Arbitral Tribunal and shall designateone of them to act as chairman. In such case, the Courtshall be at liberty to choose any person it regards assuitable to act as arbitrator, applying Article 9 when itconsiders this appropriate.

Article 11Challenge of Arbitrators

1

A challenge of an arbitrator, whether for an alleged lackof independence or otherwise, shall be made by thesubmission to the Secretariat of a written statementspecifying the facts and circumstances on which thechallenge is based.

2

For a challenge to be admissible, it must be sent by aparty either within 30 days from receipt by that party ofthe notification of the appointment or confirmation ofthe arbitrator, or within 30 days from the date when theparty making the challenge was informed of the factsand circumstances on which the challenge is based if suchdate is subsequent to the receipt of such notification.


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3

The Court shall decide on the admissibility and, at thesame time, if necessary, on the merits of a challenge afterthe Secretariat has afforded an opportunity for thearbitrator concerned, the other party or parties and anyother members of the Arbitral Tribunal to comment inwriting within a suitable period of time. Such commentsshall be communicated to the parties and to thearbitrators.

Article 12Replacement of Arbitrators

1

An arbitrator shall be replaced upon his death, upon theacceptance by the Court of the arbitrator’s resignation,upon acceptance by the Court of a challenge, or uponthe request of all the parties.

2

An arbitrator shall also be replaced on the Court’s owninitiative when it decides that he is prevented de jure orde facto from fulfilling his functions, or that he is notfulfilling his functions in accordance with the Rules orwithin the prescribed time limits.

3

When, on the basis of information that has come to itsattention, the Court considers applying Article 12(2), itshall decide on the matter after the arbitrator concerned,the parties and any other members of the Arbitral Tribunalhave had an opportunity to comment in writing within asuitable period of time. Such comments shall becommunicated to the parties and to the arbitrators.

4

When an arbitrator is to be replaced, the Court hasdiscretion to decide whether or not to follow the originalnominating process. Once reconstituted, and after havinginvited the parties to comment, the Arbitral Tribunal shalldetermine if and to what extent prior proceedings shallbe repeated before the reconstituted Arbitral Tribunal.


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5

Subsequent to the closing of the proceedings, instead ofreplacing an arbitrator who has died or been removed bythe Court pursuant to Articles 12(1) and 12(2), the Courtmay decide, when it considers it appropriate, that theremaining arbitrators shall continue the arbitration. Inmaking such determination, the Court shall take intoaccount the views of the remaining arbitrators and of theparties and such other matters that it considersappropriate in the circumstances.

THE ARBITRAL PROCEEDINGS

Article 13Transmission of the File to the Arbitral Tribunal

The Secretariat shall transmit the file to the ArbitralTribunal as soon as it has been constituted, provided theadvance on costs requested by the Secretariat at this stagehas been paid.

Article 14Place of the Arbitration

1

The place of the arbitration shall be fixed by the Courtunless agreed upon by the parties.

2

The Arbitral Tribunal may, after consultation with theparties, conduct hearings and meetings at any location itconsiders appropriate unless otherwise agreed by theparties.

3

The Arbitral Tribunal may deliberate at any location itconsiders appropriate.


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Article 15Rules Governing the Proceedings

1

The proceedings before the Arbitral Tribunal shall begoverned by these Rules and, where these Rules are silent,by any rules which the parties or, failing them, the ArbitralTribunal may settle on, whether or not reference isthereby made to the rules of procedure of a national lawto be applied to the arbitration.

2

In all cases, the Arbitral Tribunal shall act fairly andimpartially and ensure that each party has a reasonableopportunity to present its case.

Article 16Language of the Arbitration

In the absence of an agreement by the parties, the ArbitralTribunal shall determine the language or languages ofthe arbitration, due regard being given to all relevantcircumstances, including the language of the contract.

Article 17Applicable Rules of Law

1

The parties shall be free to agree upon the rules of law tobe applied by the Arbitral Tribunal to the merits of thedispute. In the absence of any such agreement, the ArbitralTribunal shall apply the rules of law which it determinesto be appropriate.

2

In all cases the Arbitral Tribunal shall take account of theprovisions of the contract and the relevant trade usages.

3

The Arbitral Tribunal shall assume the powers of anamiable compositeur or decide ex aequo et bono onlyif the parties have agreed to give it such powers.


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Article 18Terms of Reference; Procedural Timetable

1

As soon as it has received the file from the Secretariat,the Arbitral Tribunal shall draw up, on the basis ofdocuments or in the presence of the parties and in thelight of their most recent submissions, a documentdefining its Terms of Reference. This document shallinclude the following particulars:

a) the full names and descriptions of the parties;

b) the addresses of the parties to which notificationsand communications arising in the course of thearbitration may be made;

c) a summary of the parties’ respective claims and ofthe relief sought by each party, with an indication tothe extent possible of the amounts claimed orcounterclaimed;

d) unless the Arbitral Tribunal considers it inappropriate,a list of issues to be determined;

e) the full names, descriptions and addresses of thearbitrators;

f) the place of the arbitration; and

g) particulars of the applicable procedural rules and, ifsuch is the case, reference to the power conferredupon the Arbitral Tribunal to act as amiablecompositeur or to decide ex aequo et bono.

2

The Terms of Reference shall be signed by the partiesand the Arbitral Tribunal. Within two months of the dateon which the file has been transmitted to it, the ArbitralTribunal shall transmit to the Court the Terms ofReference signed by it and by the parties. The Court mayextend this time limit pursuant to a reasoned requestfrom the Arbitral Tribunal or on its own initiative if itdecides it is necessary to do so.

3

If any of the parties refuses to take part in the drawing upof the Terms of Reference or to sign the same, they shall


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be submitted to the Court for approval. When the Termsof Reference have been signed in accordance withArticle 18(2) or approved by the Court, the arbitrationshall proceed.

4

When drawing up the Terms of Reference, or as soon aspossible thereafter, the Arbitral Tribunal, after havingconsulted the parties, shall establish in a separatedocument a provisional timetable that it intends to followfor the conduct of the arbitration and shall communicateit to the Court and the parties. Any subsequentmodifications of the provisional timetable shall becommunicated to the Court and the parties.

Article 19New Claims

After the Terms of Reference have been signed orapproved by the Court, no party shall make new claimsor counterclaims which fall outside the limits of the Termsof Reference unless it has been authorized to do so bythe Arbitral Tribunal, which shall consider the nature ofsuch new claims or counterclaims, the stage of thearbitration and other relevant circumstances.

Article 20Establishing the Facts of the Case1

The Arbitral Tribunal shall proceed within as short a timeas possible to establish the facts of the case by allappropriate means.

2

After studying the written submissions of the parties andall documents relied upon, the Arbitral Tribunal shall hearthe parties together in person if any of them so requestsor, failing such a request, it may of its own motion decideto hear them.

3

The Arbitral Tribunal may decide to hear witnesses,experts appointed by the parties or any other person, in


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the presence of the parties, or in their absence providedthey have been duly summoned.

4

The Arbitral Tribunal, after having consulted the parties,may appoint one or more experts, define their terms ofreference and receive their reports. At the request of aparty, the parties shall be given the opportunity to questionat a hearing any such expert appointed by the Tribunal.

5

At any time during the proceedings, the Arbitral Tribunalmay summon any party to provide additional evidence.

6

The Arbitral Tribunal may decide the case solely on thedocuments submitted by the parties unless any of theparties requests a hearing.

7

The Arbitral Tribunal may take measures for protectingtrade secrets and confidential information.

Article 21Hearings

1

When a hearing is to be held, the Arbitral Tribunal, givingreasonable notice, shall summon the parties to appearbefore it on the day and at the place fixed by it.

2

If any of the parties, although duly summoned, fails toappear without valid excuse, the Arbitral Tribunal shallhave the power to proceed with the hearing.

3

The Arbitral Tribunal shall be in full charge of the hearings,at which all the parties shall be entitled to be present.Save with the approval of the Arbitral Tribunal and theparties, persons not involved in the proceedings shall notbe admitted.


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4

The parties may appear in person or through dulyauthorized representatives. In addition, they may beassisted by advisers.

Article 22Closing of the Proceedings

1

When it is satisfied that the parties have had a reasonableopportunity to present their cases, the Arbitral Tribunalshall declare the proceedings closed. Thereafter, nofurther submission or argument may be made, orevidence produced, unless requested or authorized bythe Arbitral Tribunal.

2

When the Arbitral Tribunal has declared the proceedingsclosed, it shall indicate to the Secretariat an approximatedate by which the draft Award will be submitted to theCourt for approval pursuant to Article 27. Anypostponement of that date shall be communicated to theSecretariat by the Arbitral Tribunal.

Article 23Conservatory and Interim Measures

1

Unless the parties have otherwise agreed, as soon as thefile has been transmitted to it, the Arbitral Tribunal may,at the request of a party, order any interim or conservatorymeasure it deems appropriate. The Arbitral Tribunal maymake the granting of any such measure subject toappropriate security being furnished by the requestingparty. Any such measure shall take the form of an order,giving reasons, or of an Award, as the Arbitral Tribunalconsiders appropriate.

2

Before the file is transmitted to the Arbitral Tribunal, andin appropriate circumstances even thereafter, the partiesmay apply to any competent judicial authority for interim


30

or conservatory measures. The application of a party to ajudicial authority for such measures or for theimplementation of any such measures ordered by anArbitral Tribunal shall not be deemed to be aninfringement or a waiver of the arbitration agreementand shall not affect the relevant powers reserved to theArbitral Tribunal. Any such application and any measurestaken by the judicial authority must be notified withoutdelay to the Secretariat. The Secretariat shall inform theArbitral Tribunal thereof.

AWARDS

Article 24Time Limit for the Award

1

The time limit within which the Arbitral Tribunal mustrender its final Award is six months. Such time limit shallstart to run from the date of the last signature by theArbitral Tribunal or by the parties of the Terms ofReference or, in the case of application of Article 18(3),the date of the notification to the Arbitral Tribunal by theSecretariat of the approval of the Terms of Reference bythe Court.

2

The Court may extend this time limit pursuant to areasoned request from the Arbitral Tribunal or on its owninitiative if it decides it is necessary to do so.

Article 25Making of the Award

1

When the Arbitral Tribunal is composed of more thanone arbitrator, an Award is given by a majority decision. Ifthere be no majority, the Award shall be made by thechairman of the Arbitral Tribunal alone.


31

2

The Award shall state the reasons upon which it is based.

3

The Award shall be deemed to be made at the place ofthe arbitration and on the date stated therein.

Article 26Award by Consent

If the parties reach a settlement after the file has beentransmitted to the Arbitral Tribunal in accordance withArticle 13, the settlement shall be recorded in the formof an Award made by consent of the parties if so requestedby the parties and if the Arbitral Tribunal agrees to do so.

Article 27Scrutiny of the Award by the Court

Before signing any Award, the Arbitral Tribunal shallsubmit it in draft form to the Court. The Court may laydown modifications as to the form of the Award and,without affecting the Arbitral Tribunal’s liberty of decision,may also draw its attention to points of substance. NoAward shall be rendered by the Arbitral Tribunal until ithas been approved by the Court as to its form.

Article 28Notification, Deposit and Enforceability of theAward

1

Once an Award has been made, the Secretariat shall notifyto the parties the text signed by the Arbitral Tribunal,provided always that the costs of the arbitration have beenfully paid to the ICC by the parties or by one of them.

2

Additional copies certified true by the Secretary Generalshall be made available on request and at any time to theparties, but to no one else.


32

3

By virtue of the notification made in accordance withParagraph 1 of this Article, the parties waive any otherform of notification or deposit on the part of the ArbitralTribunal.

4

An original of each Award made in accordance with thepresent Rules shall be deposited with the Secretariat.

5

The Arbitral Tribunal and the Secretariat shall assist theparties in complying with whatever further formalitiesmay be necessary.

6

Every Award shall be binding on the parties. By submittingthe dispute to arbitration under these Rules, the partiesundertake to carry out any Award without delay and shallbe deemed to have waived their right to any form ofrecourse insofar as such waiver can validly be made.

Article 29Correction and Interpretation of the Award

1

On its own initiative, the Arbitral Tribunal may correct aclerical, computational or typographical error, or anyerrors of similar nature contained in an Award, providedsuch correction is submitted for approval to the Courtwithin 30 days of the date of such Award.

2

Any application of a party for the correction of an error ofthe kind referred to in Article 29(1), or for theinterpretation of an Award, must be made to theSecretariat within 30 days of the receipt of the Award bysuch party, in a number of copies as stated in Article 3(1).After transmittal of the application to the Arbitral Tribunal,the latter shall grant the other party a short time limit,normally not exceeding 30 days, from the receipt of theapplication by that party, to submit any comments


33

thereon. If the Arbitral Tribunal decides to correct orinterpret the Award, it shall submit its decision in draftform to the Court not later than 30 days following theexpiration of the time limit for the receipt of anycomments from the other party or within such otherperiod as the Court may decide.

3

The decision to correct or to interpret the Award shalltake the form of an addendum and shall constitute partof the Award. The provisions of Articles 25, 27 and 28shall apply mutatis mutandis.

COSTS

Article 30Advance to Cover the Costs of the Arbitration

1

After receipt of the Request, the Secretary General mayrequest the Claimant to pay a provisional advance in anamount intended to cover the costs of arbitration untilthe Terms of Reference have been drawn up.

2

As soon as practicable, the Court shall fix the advance oncosts in an amount likely to cover the fees and expensesof the arbitrators and the ICC administrative costs for theclaims and counterclaims which have been referred to itby the parties. This amount may be subject toreadjustment at any time during the arbitration. Where,apart from the claims, counterclaims are submitted, theCourt may fix separate advances on costs for the claimsand the counterclaims.

3

The advance on costs fixed by the Court shall be payablein equal shares by the Claimant and the Respondent. Anyprovisional advance paid on the basis of Article 30(1) will


34

be considered as a partial payment thereof. However,any party shall be free to pay the whole of the advance oncosts in respect of the principal claim or the counterclaimshould the other party fail to pay its share. When theCourt has set separate advances on costs in accordancewith Article 30(2), each of the parties shall pay the advanceon costs corresponding to its claims.

4

When a request for an advance on costs has not beencomplied with, and after consultation with the ArbitralTribunal, the Secretary General may direct the ArbitralTribunal to suspend its work and set a time limit, whichmust be not less than 15 days, on the expiry of which therelevant claims, or counterclaims, shall be considered aswithdrawn. Should the party in question wish to object tothis measure, it must make a request within theaforementioned period for the matter to be decided bythe Court. Such party shall not be prevented, on theground of such withdrawal, from reintroducing the sameclaims or counterclaims at a later date in anotherproceeding.

5

If one of the parties claims a right to a set-off with regardto either claims or counterclaims, such set-off shall betaken into account in determining the advance to coverthe costs of arbitration in the same way as a separateclaim insofar as it may require the Arbitral Tribunal toconsider additional matters.

Article 31Decision as to the Costs of the Arbitration

1

The costs of the arbitration shall include the fees andexpenses of the arbitrators and the ICC administrativeexpenses fixed by the Court, in accordance with the scalein force at the time of the commencement of the arbitralproceedings, as well as the fees and expenses of anyexperts appointed by the Arbitral Tribunal and thereasonable legal and other costs incurred by the partiesfor the arbitration.


35

2

The Court may fix the fees of the arbitrators at a figurehigher or lower than that which would result from theapplication of the relevant scale should this be deemednecessary due to the exceptional circumstances of thecase. Decisions on costs other than those fixed by theCourt may be taken by the Arbitral Tribunal at any timeduring the proceedings.

3

The final Award shall fix the costs of the arbitration anddecide which of the parties shall bear them or in whatproportion they shall be borne by the parties.

MISCELLANEOUS

Article 32Modified Time Limits

1

The parties may agree to shorten the various time limitsset out in these Rules. Any such agreement entered intosubsequent to the constitution of an Arbitral Tribunal shallbecome effective only upon the approval of the ArbitralTribunal.

2

The Court, on its own initiative, may extend any timelimit which has been modified pursuant to Article 32(1) ifit decides that it is necessary to do so in order that theArbitral Tribunal or the Court may fulfil their responsibilitiesin accordance with these Rules.

Article 33Waiver

A party which proceeds with the arbitration without raisingits objection to a failure to comply with any provision ofthese Rules, or of any other rules applicable to theproceedings, any direction given by the Arbitral Tribunal,


36

or any requirement under the arbitration agreementrelating to the constitution of the Arbitral Tribunal, or tothe conduct of the proceedings, shall be deemed to havewaived its right to object.

Article 34Exclusion of Liability

Neither the arbitrators, nor the Court and its members,nor the ICC and its employees, nor the ICC NationalCommittees shall be liable to any person for any act oromission in connection with the arbitration.

Article 35General Rule

In all matters not expressly provided for in these Rules,the Court and the Arbitral Tribunal shall act in the spirit ofthese Rules and shall make every effort to make surethat the Award is enforceable at law.


37

APPENDIX ISTATUTES OF THE INTERNATIONAL

COURT OF ARBITRATION OF THE ICC

Article 1Function

1

The function of the International Court of Arbitration ofthe International Chamber of Commerce (the “Court”)is to ensure the application of the Rules of Arbitration ofthe International Chamber of Commerce, and it has allthe necessary powers for that purpose.

2

As an autonomous body, it carries out these functions incomplete independence from the ICC and its organs.

3

Its members are independent from the ICC NationalCommittees.

Article 2Composition of the Court

The Court shall consist of a Chairman, Vice-Chairmen,and members and alternate members (collectivelydesignated as members). In its work it is assisted by itsSecretariat (Secretariat of the Court).

Article 3Appointment

1

The Chairman is elected by the ICC World Council uponthe recommendation of the Executive Board of the ICC.

2

The ICC World Council appoints the Vice-Chairmen ofthe Court from among the members of the Court orotherwise.

Appendix I to the ICC Rules of Arbitration

38

3

Its members are appointed by the ICC World Council onthe proposal of National Committees, one member foreach Committee.

4

On the proposal of the Chairman of the Court, the WorldCouncil may appoint alternate members.

5

The term of office of all members is three years. If amember is no longer in a position to exercise hisfunctions, his successor is appointed by the World Councilfor the remainder of the term.

Article 4Plenary Session of the Court

The Plenary Sessions of the Court are presided over bythe Chairman or, in his absence, by one of the Vice-Chairmen designated by him. The deliberations shall bevalid when at least six members are present. Decisionsare taken by a majority vote, the Chairman having acasting vote in the event of a tie.

Article 5Committees

The Court may set up one or more Committees andestablish the functions and organization of suchCommittees.

Article 6Confidentiality

The work of the Court is of a confidential nature whichmust be respected by everyone who participates in thatwork in whatever capacity. The Court lays down the rulesregarding the persons who can attend the meetings ofthe Court and its Committees and who are entitled tohave access to the materials submitted to the Court andits Secretariat.


39

Article 7Modification of the Rules of Arbitration

Any proposal of the Court for a modification of the Rulesis laid before the Commission on International Arbitrationbefore submission to the Executive Board and the WorldCouncil of the ICC for approval.


40

APPENDIX IIINTERNAL RULES OF THE INTERNATIONAL

COURT OF ARBITRATION OF THE ICC

Article 1Confidential Character of the Work of theInternational Court of Arbitration

1

The sessions of the Court, whether plenary or those of aCommittee of the Court, are open only to its membersand to the Secretariat.

2

However, in exceptional circumstances, the Chairman ofthe Court may invite other persons to attend. Suchpersons must respect the confidential nature of the workof the Court.

3

The documents submitted to the Court, or drawn up by itin the course of its proceedings, are communicated onlyto the members of the Court and to the Secretariat andto persons authorized by the Chairman to attend Courtsessions.

4

The Chairman or the Secretary General of the Court mayauthorize researchers undertaking work of a scientificnature on international trade law to acquaint themselveswith Awards and other documents of general interest,with the exception of memoranda, notes, statements anddocuments remitted by the parties within the frameworkof arbitration proceedings.

5

Such authorization shall not be given unless the beneficiaryhas undertaken to respect the confidential character ofthe documents made available and to refrain from anypublication in their respect without having previouslysubmitted the text for approval to the Secretary Generalof the Court.

Appendix II to the ICC Rules of Arbitration

41

6

The Secretariat will in each case submitted to arbitrationunder the Rules retain in the archives of the Court allAwards, Terms of Reference and decisions of the Court,as well as copies of the pertinent correspondence of theSecretariat.

7

Any documents, communications or correspondencesubmitted by the parties or the arbitrators may bedestroyed unless a party or an arbitrator requests inwriting within a period fixed by the Secretariat the returnof such documents. All related costs and expenses for thereturn of those documents shall be paid by such party orarbitrator.

Article 2Participation of Members of the InternationalCourt of Arbitration in ICC Arbitration

1

The Chairman and the members of the Secretariat of theCourt may not act as arbitrators or as counsel in casessubmitted to ICC arbitration.

2

The Court shall not appoint Vice-Chairmen or membersof the Court as arbitrators. They may, however, beproposed for such duties by one or more of the parties,or pursuant to any other procedure agreed upon by theparties, subject to confirmation.

3

When the Chairman, a Vice-Chairman or a member ofthe Court or of the Secretariat is involved in any capacitywhatsoever in proceedings pending before the Court,such person must inform the Secretary General of theCourt upon becoming aware of such involvement.

4

Such person must refrain from participating in thediscussions or in the decisions of the Court concerning


42

the proceedings and must be absent from the courtroomwhenever the matter is considered.

5

Such person will not receive any material documentationor information pertaining to such proceedings.

Article 3Relations between the Members of the Courtand the ICC National Committees

1

By virtue of their capacity, the members of the Court areindependent of the ICC National Committees whichproposed them for appointment by the ICC WorldCouncil.

2

Furthermore, they must regard as confidential, vis-à-visthe said National Committees, any informationconcerning individual cases with which they have becomeacquainted in their capacity as members of the Court,except when they have been requested by the Chairmanof the Court or by its Secretary General to communicatespecific information to their respective NationalCommittees.

Article 4Committee of the Court

1

In accordance with the provisions of Article 1(4) of theRules and Article 5 of its Statutes (Appendix I), the Courthereby establishes a Committee of the Court.

2

The members of the Committee consist of a Chairmanand at least two other members. The Chairman of theCourt acts as the Chairman of the Committee. If absent,the Chairman may designate a Vice-Chairman of theCourt or, in exceptional circumstances, another memberof the Court as Chairman of the Committee.


43

3

The other two members of the Committee are appointedby the Court from among the Vice-Chairmen or the othermembers of the Court. At each Plenary Session the Courtappoints the members who are to attend the meetings ofthe Committee to be held before the next PlenarySession.

4

The Committee meets when convened by its Chairman.Two members constitute a quorum.

5

(a) The Court shall determine the decisions thatmay be taken by the Committee.

(b) The decisions of the Committee are takenunanimously.

(c) When the Committee cannot reach a decisionor deems it preferable to abstain, it transfers the case tothe next Plenary Session, making any suggestions itdeems appropriate.

(d) The Committee’s decisions are brought to thenotice of the Court at its next Plenary Session.

Article 5Court Secretariat

1

In case of absence, the Secretary General may delegateto the General Counsel and Deputy Secretary Generalthe authority to confirm arbitrators, to certify true copiesof Awards and to request the payment of a provisionaladvance, respectively provided for in Articles 9(2), 28(2)and 30(1) of the Rules.

2

The Secretariat may, with the approval of the Court, issuenotes and other documents for the information of theparties and the arbitrators, or as necessary for the properconduct of the arbitral proceedings.


44

Article 6Scrutiny of Arbitral Awards

When the Court scrutinizes draft Awards in accordancewith Article 27 of the Rules, it considers, to the extentpracticable, the requirements of mandatory law at theplace of arbitration.


45

APPENDIX IIIARBITRATION COSTS AND FEES

Article 1Advance on Costs

1

Each request to commence an arbitration pursuant tothe Rules must be accompanied by an advance paymentof US$ 2,500 on the administrative expenses. Suchpayment is non-refundable, and shall be credited to theClaimant’s portion of the advance on costs.

2

The provisional advance fixed by the Secretary Generalaccording to Article 30(1) of the Rules shall normally notexceed the amount obtained by adding together theadministrative expenses, the minimum of the fees (as setout in the scale hereinafter) based upon the amount ofthe claim and the expected reimbursable expenses ofthe Arbitral Tribunal incurred with respect to the draftingof the Terms of Reference. If such amount is notquantified, the provisional advance shall be fixed at thediscretion of the Secretary General. Payment by theClaimant shall be credited to its share of the advance oncosts fixed by the Court.

3

In general, after the Terms of Reference have been signedor approved by the Court and the provisional timetablehas been established, the Arbitral Tribunal shall, inaccordance with Article 30(4) of the Rules, proceed onlywith respect to those claims or counterclaims in regardto which the whole of the advance on costs has beenpaid.

4

The advance on costs fixed by the Court according toArticle 30(2) of the Rules comprises the fees of thearbitrator or arbitrators (hereinafter referred to as“arbitrator”), any arbitration-related expenses of thearbitrator and the administrative expenses.

Appendix III to the ICC Rules of Arbitration

46

5

Each party shall pay in cash its share of the total advanceon costs. However, if its share exceeds an amount fixedfrom time to time by the Court, a party may post a bankguarantee for this additional amount.

6

A party that has already paid in full its share of the advanceon costs fixed by the Court may, in accordance withArticle 30(3) of the Rules, pay the unpaid portion of theadvance owed by the defaulting party by posting a bankguarantee.

7

When the Court has fixed separate advances on costspursuant to Article 30(2) of the Rules, the Secretariatshall invite each party to pay the amount of the advancecorresponding to its respective claim(s).

8

When, as a result of the fixing of separate advances oncosts, the separate advance fixed for the claim of eitherparty exceeds one half of such global advance as waspreviously fixed (in respect of the same claims andcounterclaims that are the subject of separate advances),a bank guarantee may be posted to cover any such excessamount. In the event that the amount of the separateadvance is subsequently increased, at least one half ofthe increase shall be paid in cash.

9

The Secretariat shall establish the terms governing allbank guarantees which the parties may post pursuant tothe above provisions.

10

As provided in Article 30(2) of the Rules, the advance oncosts may be subject to readjustment at any time duringthe arbitration, in particular to take into accountfluctuations in the amount in dispute, changes in theamount of the estimated expenses of the arbitrator, orthe evolving difficulty or complexity of arbitrationproceedings.


47

11

Before any expertise ordered by the Arbitral Tribunalcan be commenced, the parties, or one of them, shall payan advance on costs fixed by the Arbitral Tribunal sufficientto cover the expected fees and expenses of the expert asdetermined by the Arbitral Tribunal. The Arbitral Tribunalshall be responsible for ensuring the payment by theparties of such fees and expenses.

Article 2Costs and Fees

1

Subject to Article 31(2) of the Rules, the Court shall fixthe fees of the arbitrator in accordance with the scalehereinafter set out or, where the sum in dispute is notstated, at its discretion.

2

In setting the arbitrator’s fees, the Court shall take intoconsideration the diligence of the arbitrator, the timespent, the rapidity of the proceedings, and the complexityof the dispute, so as to arrive at a figure within the limitsspecified or, in exceptional circumstances (Article 31(2)of the Rules), at a figure higher or lower than those limits.

3

When a case is submitted to more than one arbitrator,the Court, at its discretion, shall have the right to increasethe total fees up to a maximum which shall normally notexceed three times the fees of one arbitrator.

4

The arbitrator’s fees and expenses shall be fixedexclusively by the Court as required by the Rules. Separatefee arrangements between the parties and the arbitratorare contrary to the Rules.

5

The Court shall fix the administrative expenses of eacharbitration in accordance with the scale hereinafter setout or, where the sum in dispute is not stated, at its


48

discretion. In exceptional circumstances, the Court mayfix the administrative expenses at a lower or higher figurethan that which would result from the application of suchscale, provided that such expenses shall normally notexceed the maximum amount of the scale. Further, theCourt may require the payment of administrativeexpenses in addition to those provided in the scale ofadministrative expenses as a condition to holding anarbitration in abeyance at the request of the parties or ofone of them with the acquiescence of the other.

6

If an arbitration terminates before the rendering of afinal Award, the Court shall fix the costs of the arbitrationat its discretion, taking into account the stage attained bythe arbitral proceedings and any other relevantcircumstances.

7

In the case of an application under Article 29(2) of theRules, the Court may fix an advance to cover additionalfees and expenses of the Arbitral Tribunal and may makethe transmission of such application to the ArbitralTribunal subject to the prior cash payment in full to theICC of such advance. The Court shall fix at its discretionany possible fees of the arbitrator when approving thedecision of the Arbitral Tribunal.

8

When an arbitration is preceded by an attempt at amicableresolution pursuant to the ICC ADR Rules, one half of theadministrative expenses paid for such ADR proceedingsshall be credited to the administrative expenses of thearbitration.

9

Amounts paid to the arbitrator do not include any possiblevalue added taxes (VAT) or other taxes or charges andimposts applicable to the arbitrator’s fees. Parties have aduty to pay any such taxes or charges; however, therecovery of any such charges or taxes is a matter solelybetween the arbitrator and the parties.


49

Article 3Appointments of Arbitrators

1

A registration fee normally not exceeding US$ 2,500 ispayable by the requesting party in respect of each requestmade to the ICC to appoint an arbitrator for any arbitrationnot conducted under the Rules. No request forappointment of an arbitrator will be considered unlessaccompanied by the said fee, which is not recoverableand becomes the property of the ICC.

2

The said fee shall cover any additional services renderedby the ICC regarding the appointment, such as decisionson a challenge of an arbitrator and the appointment of asubstitute arbitrator.

Article 4Scales of Administrative Expenses andArbitrator’s Fees

1

The Scales of Administrative Expenses and Arbitrator’sFees set forth below shall be effective as of 1 January1998 in respect of all arbitrations commenced on or aftersuch date, irrespective of the version of the Rules applyingto such arbitrations.

2

To calculate the administrative expenses and thearbitrator’s fees, the amounts calculated for eachsuccessive slice of the sum in dispute must be addedtogether, except that where the sum in dispute is overUS$ 80 million, a flat amount of US$ 75,800 shallconstitute the entirety of the administrative expenses.


50

A. ADMINISTRATIVE EXPENSESSum in dispute (in US Dollars) Administrative expenses(*)

up to 50 000 $ 2 500

from 50 001 to 100 000 3.50%

from 100 001 to 500 000 1.70%

from 500 001 to 1 000 000 1.15%

from 1 000 001 to 2 000 000 0.60%

from 2 000 001 to 5 000 000 0.20%

from 5 000 001 to 10 000 000 0.10%

from 10 000 001 to 50 000 000 0.06%

from 50 000 001 to 80 000 000 0.06%

over 80 000 000 $ 75 800

(*) For illustrative purposes only, the table on the following page indicates theresulting administrative expenses in US$ when the proper calculations havebeen made.

B. ARBITRATOR'S FEESSum in dispute (in US Dollars) Fees(**)

minimum maximumup to 50 000 $ 2 500 17.00%

from 50 001 to 100 000 2.00% 11.00%

from 100 001 to 500 000 1.00% 5.50%

from 500 001 to 1 000 000 0.75% 3.50%

from 1 000 001 to 2 000 000 0.50% 2.50%

from 2 000 001 to 5 000 000 0.25% 1.00%

from 5 000 001 to 10 000 000 0.10% 0.55%

from 10 000 001 to 50 000 000 0.05% 0.17%

from 50 000 001 to 80 000 000 0.03% 0.12%

from 80 000 001 to 100 000 000 0.02% 0.10%

over 100 000 000 0.01% 0.05%

(**) For illustrative purposes only, the table on the following page indicates theresulting range of fees when the proper calculations have been made.


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Appendix III to the ICC

Rules of Arbitration(*)(**) See preceding page

SUM IN DISPUTE A. ADMINISTRATIVE EXPENSES(*) B. ARBITRATOR'S FEES(**)(in US Dollars) (in US Dollars) (in US Dollars)

Minimum Maximum

up to 50 000 2 500 2 500 17.00% of amount in dispute

from 50 001 to 100 000 2 500 + 3.50% of amt. over 50 000 2 500 + 2.00% of amt. over 50 000 8 500 + 11.00% of amt. over 50 000

from 100 001 to 500 000 4 250 + 1.70% of amt. over 100 000 3 500 + 1.00% of amt. over 100 000 14 000 + 5.50% of amt. over 100 000

from 500 001 to 1 000 000 11 050 + 1.15% of amt. over 500 000 7 500 + 0.75% of amt. over 500 000 36 000 + 3.50% of amt. over 500 000

from 1 000 001 to 2 000 000 16 800 + 0.60% of amt. over 1 000 000 11 250 + 0.50% of amt. over 1 000 000 53 500 + 2.50% of amt. over 1 000 000





from 80 000 001 to 100 000 000 75 800 57 750 + 0.02% of amt. over 80 000 000 240 000 + 0.10% of amt. over 80 000 000

over 100 000 000 75 800 61 750 + 0.01% of amt. over 100 000 000 260 000 + 0.05% of amt. over 100 000 000

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