English/Italian version SwISS rulES of InTErnATIonAl ArbITrATIon SwISS ChAMbErS’ ArbITrATIon InSTITuTIon The Swiss Chambers of Commerce Association for Arbitration and Mediation umschlag_swissrules_e-ital_02-12.indd 1 21.02.12 10:50 Swiss Rules of International Arbitration (Swiss Rules) June 2012 Swiss Rules englisch NEU.indd 3 13.06.12 13:20 Swiss Chambers’ Arbitration Institution The Swiss Chambers of Commerce Association for Arbitration and Mediation Chambers of Commerce of Basel Bern Geneva Neuchâtel Ticino (Lugano) Vaud (Lausanne) Zurich Swiss Rules englisch NEU.indd 4 13.06.12 13:20 5 Table of Contents Page Model Arbitration Clause 7 Introduction 7 I. Introductory Rules 8 Scope of application 8 Notice, calculation of periods of time 8 Notice of Arbitration and Answer to the Notice of Arbitration 9 Consolidation and joinder 11 II. Composition of the Arbitral Tribunal 12 Confirmation of arbitrators 12 Number of arbitrators 13 Appointment of a sole arbitrator 13 Appointment of arbitrators in bi-party or multi-party proceedings 13 Independence and challenge of arbitrators 14 Removal of an arbitrator 15 Replacement of an arbitrator 15 III. Arbitral Proceedings 16 General provisions 16 Seat of the arbitration 17 Language 17 Statement of Claim 17 Statement of Defence 18 Amendments to the Claim or Defence 18 Objections to the jurisdiction of the arbitral tribunal 19 Further written statements 19 Periods of time 20 Evidence and hearings 20 Interim measures of protection 21 Tribunal-appointed experts 21 Default 22 Closure of proceedings 22 Waiver of rules 23 IV. The Award 23 Decisions 23 Form and effect of the award 23 Applicable law, amiable compositeur 24 Settlement or other grounds for termination 24 Interpretation of the award 25 Correction of the award 25 Additional award 25 Costs 26 Deposit of costs 27 Swiss Rules englisch NEU.indd 5 13.06.12 13:20 6 V. Other Provisions 28 Expedited procedure 28 Emergency relief 29 Confidentiality 31 Exclusion of liability 32 Appendix A: Offices of the Secretariat of the Arbitration Court 33 Appendix B: Schedule of Costs 35 Swiss Rules englisch NEU.indd 6 13.06.12 13:20 7 Swiss Rules of International Arbitration (Swiss Rules) MODEL ARBITRATION CLAUSE Any dispute, controversy, or claim arising out of, or in relation to, this contract, including the validity, invalidity, breach, or termina- tion thereof, shall be resolved by arbitration in accordance with the Swiss Rules of International Arbitration of the Swiss Chambers’ Arbitration Institution in force on the date on which the Notice of Arbitration is submitted in accordance with these Rules. The number of arbitrators shall be … (“one”, “three”, “one or three”); The seat of the arbitration shall be … (name of city in Switzerland, unless the parties agree on a city in another country); The arbitral proceedings shall be conducted in … (insert desired language). INTRODUCTION (a) In order to harmonise their rules of arbitration the Chambers of Commerce and Industry of Basel, Bern, Geneva, Neuchâtel, Ticino, Vaud and Zurich in 2004 replaced their former rules by the Swiss Rules of International Arbitration (hereinafter the “Swiss Rules” or the “Rules”). (b) For the purpose of providing arbitration services, the Cham- bers founded the Swiss Chambers’ Arbitration Institution. In order to administer arbitrations under the Swiss Rules, the Swiss Chambers’ Arbitration Institution has established the Arbitration Court (hereinafter the “Court”), which is com- prised of experienced international arbitration practitioners. The Court shall render decisions as provided for under these Rules. It may delegate to one or more members or committees the power to take certain decisions pursuant to its Internal Rules1. The Court is assisted in its work by the Secretariat of the Court (hereinafter the “Secretariat”). (c) The Swiss Chambers’ Arbitration Institution provides domes- tic and international arbitration services, as well as other dis- pute resolution services, under any applicable law, in Switzer- land or in any other country. 1 The Internal Rules are available on the website www.swissarbitration.org. Swiss Rules englisch NEU.indd 7 13.06.12 13:20 8 Section I. Introductory Rules SCOPE OF APPLICATION Article 1 1. These Rules shall govern arbitrations where an agreement to arbitrate refers to these Rules or to the arbitration rules of the Chambers of Commerce and Industry of Basel, Bern, Geneva, Neuchâtel, Ticino, Vaud, Zurich, or any further Chamber of Commerce and Industry that may adhere to these Rules. 2. The seat of arbitration designated by the parties may be in Switzerland or in any other country. 3. This version of the Rules shall come into force on 1 June 2012 and, unless the parties have agreed otherwise, shall apply to all arbitral proceedings in which the Notice of Arbitration is sub- mitted on or after that date. 4. By submitting their dispute to arbitration under these Rules, the parties confer on the Court, to the fullest extent permitted under the law applicable to the arbitration, all of the powers required for the purpose of supervising the arbitral proceed- ings otherwise vested in the competent judicial authority, including the power to extend the term of office of the arbitral tribunal and to decide on the challenge of an arbitrator on grounds not provided for in these Rules. 5. These Rules shall govern the arbitration, except if one of them is in conflict with a provision of the law applicable to the arbi- tration from which the parties cannot derogate, in which case that provision shall prevail. NOTICE, CALCULATION OF PERIODS OF TIME Article 2 1. For the purposes of these Rules, any notice, including a noti- fication, communication, or proposal, is deemed to have been received if it is delivered to the addressee, or to its habitual residence, place of business, postal or electronic address, or, if none of these can be identified after making a reasonable inquiry, to the addressee’s last-known residence or place of business. A notice shall be deemed to have been received on the day it is delivered. 2. A period of time under these Rules shall begin to run on the day following the day when a notice, notification, communi- cation, or proposal is received. If the last day of such a 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 Swiss Rules englisch NEU.indd 8 13.06.12 13:20 9 the first business day which follows. Official holidays or non- business days are included in the calculation of a period of time. 3. If the circumstances so justify, the Court may extend or shorten any time-limit it has fixed or has the authority to fix or amend. NOTICE OF ARBITRATION AND ANSWER TO THE NOTICE OF ARBITRATION Article 3 1. The party initiating arbitration (hereinafter called the “Claimant” or, where applicable, the “Claimants”) shall submit a Notice of Arbitration to the Secretariat at any of the addresses listed in Appendix A. 2. Arbitral proceedings shall be deemed to commence on the date on which the Notice of Arbitration is received by the Secre- tariat. 3. The Notice of Arbitration shall be submitted in as many copies as there are other parties (hereinafter called the “Respondent” or, where applicable, the “Respondents”), together with an additional copy for each arbitrator and one copy for the Secre- tariat, and shall include the following: (a) A demand that the dispute be referred to arbitration; (b) The names, addresses, telephone and fax numbers, and e-mail addresses (if any) of the parties and of their repre- sentative(s); (c) A copy of the arbitration clause or the separate arbitration agreement that is invoked; (d) A reference to the contract or other legal instrument(s) out of, or in relation to, which the dispute 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), the language, and the seat of the arbitration, if the parties have not previously agreed thereon; (h) The Claimant’s designation of one or more arbitrators, if the parties’ agreement so requires; Swiss Rules englisch NEU.indd 9 13.06.12 13:20 10 (i) Confirmation of payment by check or transfer to the rele- vant account listed in Appendix A of the Registration Fee as required by Appendix B (Schedule of Costs) in force on the date the Notice of Arbitration is submitted. 4. The Notice of Arbitration may also include: (a) The Claimant’s proposal for the appointment of a sole arbi- trator referred to in Article 7; (b) The Statement of Claim referred to in Article 18. 5. If the Notice of Arbitration is incomplete, if the required number of copies or attachments are not submitted, or if the Registration Fee is not paid, the Secretariat may request the Claimant to remedy the defect within an appropriate period of time. The Secretariat may also request the Claimant to submit a translation of the Notice of Arbitration within the same period of time if it is not submitted in English, German, French, or Italian. If the Claimant complies with such directions within the applicable time-limit, the Notice of Arbitration shall be deemed to have been validly filed on the date on which the ini- tial version was received by the Secretariat. 6. The Secretariat shall provide, without delay, a copy of the Notice of Arbitration together with any exhibits to the Respon- dent. 7. Within thirty days from the date of receipt of the Notice of Arbitration, the Respondent shall submit to the Secretariat an Answer to the Notice of Arbitration. The Answer to the Notice of Arbitration shall be submitted in as many copies as there are other parties, together with an additional copy for each arbi- trator and one copy for the Secretariat, and shall, to the extent possible, include the following: (a) The name, address, telephone and fax numbers, and e-mail address of the Respondent and of its representative(s); (b) Any plea that an arbitral tribunal constituted under these Rules lacks jurisdiction; (c) The Respondent’s comments on the particulars set forth in the Notice of Arbitration referred to in Article 3(3)(e); (d) The Respondent’s answer to the relief or remedy sought in the Notice of Arbitration referred to in Article 3(3)(f); (e) The Respondent’s proposal as to the number of arbitrators (i.e. one or three), the language, and the seat of the arbi- tration referred to in Article 3(3)(g); Swiss Rules englisch NEU.indd 10 13.06.12 13:20 11 (f) The Respondent’s designation of one or more arbitrators if the parties’ agreement so requires. 8. The Answer to the Notice of Arbitration may also include: (a) The Respondent’s proposal for the appointment of a sole arbitrator referred to in Article 7; (b) The Statement of Defence referred to in Article 19. 9. Articles 3(5) and (6) are applicable to the Answer to the Notice of Arbitration. 10. Any counterclaim or set-off defence shall in principle be raised with the Answer to the Notice of Arbitration. Article 3(3) is applicable to the counterclaim or set-off defence. 11. If no counterclaim or set-off defence is raised with the Answer to the Notice of Arbitration, or if there is no indication of the amount of the counterclaim or set-off defence, the Court may rely exclusively on the Notice of Arbitration in order to deter- mine the possible application of Article 42(2) (Expedited Pro- cedure). 12. If the Respondent does not submit an Answer to the Notice of Arbitration, or if the Respondent raises an objection to the ar- bitration being administered under these Rules, the Court shall administer the case, unless there is manifestly no agreement to arbitrate referring to these Rules. CONSOLIDATION AND JOINDER Article 4 1. Where a Notice of Arbitration is submitted between parties already involved in other arbitral proceedings pending under these Rules, the Court may decide, after consulting with the parties and any confirmed arbitrator in all proceedings, that the new case shall be consolidated with the pending arbitral pro- ceedings. The Court may proceed in the same way where a Notice of Arbitration is submitted between parties that are not identical to the parties in the pending arbitral proceedings. When rendering its decision, the Court shall take into account all relevant circumstances, including the links between the cases and the progress already made in the pending arbitral proceedings. Where the Court decides to consolidate the new case with the pending arbitral proceedings, the parties to all proceedings shall be deemed to have waived their right to designate an arbitrator, and the Court may revoke the appoint- ment and confirmation of arbitrators and apply the provisions of Section II (Composition of the Arbitral Tribunal). Swiss Rules englisch NEU.indd 11 22.06.12 09:12