Arbitration Rules

Arbitration Rules (from 22 April 2010 until 31 July 2013)

1. Obedience to this Regulation

1.1. Parties wishing to submit any dispute, based on an arbitration agreement, to the São Paulo Mediation and Arbitration Chamber, hereinafter referred to as Chamber, either through an arbitration clause or otherwise, commit to be bound by this Regulation and by the Chamber's Operation Rules.

1.2. Any amendment to this Regulation agreed upon between the parties shall be valid solely for such specific case.

1.3. The Chamber itself does not settle the disputes submitted to it. It has the function of managing and ensuring the due development of the arbitration proceedings, by nominating and appointing arbitrator(s), unless otherwise agreed upon between the parties.

2. Preliminary Acts

2.1. The party, in a separate document in which an arbitration agreement is undertaken, establishing the competence of the Chamber to settle contractual disputes involving matters that may be the object of arbitration, shall provide for the notification of the Chamber of such intent by mentioning, at the outset, the matter to be submitted to arbitration, the amount involved, the name and full identification of the other party(ies), and by attaching a copy of the agreement and other documents related to the dispute.

2.2. The Chamber shall send a copy of the notice to the other party(ies), inviting it (them) to, within fifteen (15) days, appoint an arbitrator and his or her substitute, according to the terms of the arbitration clause, and forward the list of names making up the list of arbitrators eligible for appointment, together with a counterpart of this Regulation. The litigant commencing the arbitration proceedings shall be granted an identical time limit to appoint an arbitrator and his or her substitute.

2.3. The Chamber shall, within two (2) days from expiration of the time limit set out in Article 2.2, inform the parties on the appointment of arbitrators for the opposing party.

2.4. The chairman of the Arbitral Tribunal shall be chosen by mutual agreement of the arbitrators appointed by the parties, preferably from among the members of the Chamber's list of arbitrators, within no more than ten (10) days following the acts provided for by Article 2.3. All of the names shall be subject to the approval of the President of the Chamber. Once approved, the arbitrators shall be called to express their acceptance by signing the Declaration of Independence, thereby commencing and opening the arbitration proceedings, and by causing the parties to be served notice in order to draw up the Arbitration Term within ten (10) days.

2.5. Should either party fail to appoint the arbitrator and his or her respective substitute within the abovementioned time limit, the President of the Chamber shall conduct such appointment. The President of the Chamber shall also appoint, preferably from among the members of the Chamber's list of arbitrators, the arbitrator who shall act in the capacity of Chairman of the Arbitral Tribunal, in the absence of such appointment, as provided by Article 2.4.

2.6. The Arbitral Tribunal shall be composed of three (3) arbitrators, and the parties may agree that the dispute shall be settled by a sole arbitrator, appointed by mutual agreement of the parties, including a substitute, within fifteen (15) days. Upon expiration of said time limit, if the parties have failed to appoint the sole arbitrator, this latter shall be designated by the President of the Chamber, preferably from among the members of the Chamber's list of Arbitrators.

2.7. The inception of the arbitration by a sole arbitrator shall follow the same procedures as stated in this Regulation for arbitrations with three arbitrators (Arbitral Tribunal).

2.8. In those cases involving several claimants or respondents (multipleparty arbitration), each side shall appoint, by mutual agreement, one arbitrator and his or her substitute, upon observance of the terms stated in Articles 2.1 to 2.4. In the absence of agreement on the appointment, the President of the Chamber shall conduct it, as per Article 2.5, including the appointment of the Chairman of the Arbitral Tribunal.

3. Arbitration Term

3.1. The parties and the arbitrators shall draw up the Arbitration Term, for which they shall count on assistance to be rendered by the Chamber. The Arbitration Term shall mention the names and identification of the parties and arbitrators appointed by them, as well as their substitutes, the name and identification of the arbitrator who shall act in the capacity of Chairman of the Arbitral Tribunal, the place where the award is to be handed down, authorization or non-authorization for the arbitrators to base their decision on equity principles when deciding on the object of the dispute, its approximate amount and the liability for the payment of procedural expenses, experts' and arbitrators' fees. The Arbitration Term shall also bring a declaration that the Arbitral Tribunal shall duly observe the deadlines and procedures stated herein.

3.2. The parties shall execute the Arbitration Term together with the appointed arbitrators and their substitutes, the representative of the Chamber and two witnesses. The Arbitration Term shall remain filed with the Chamber. The absence of either party's signature shall not hinder the regular processing of the arbitration.

4. Submission to Arbitration

4.1. If no arbitration clause is in place, and even so the parties demonstrate their intent to refer the dispute to arbitration, a document providing for their submission to arbitration shall be drawn up and signed by the parties and two witnesses, under Article 3.1.

5. Arbitrators

5.1. The arbitrators shall be appointed from among the Chamber's list of Arbitrators or otherwise, provided that they are not impeded to perform their duties, under Article 5.2.

5.2. The persons below are not allowed to be appointed to act in the capacity of arbitrator:
a) a party to the dispute;
b) a party who has intervened in the dispute as attorney or representative for either party, any witness or expert witness;
c) a party who is a spouse or a relative until the third degree of either party, the representative or the counsel;
d) anyone participating in the managing body or in the executive board of a legal entity that is a party to the dispute, or that holds interest in its capital;
e) a close friend or enemy of either party or their attorney;
f) a person otherwise interested, directly or indirectly, in the judgment of the case in favor of either party, or who has previously expressed his or her view on the case, or who has advised either party on the matter;
g) a person who has acted as mediator before inception of the arbitration, except as otherwise agreed on between the parties.

5.3. Upon occurrence of any of the situations mentioned in the previous article, the arbitrator shall declare, at any time, his or her own impediment or disqualification because of suspicion, and withdraw from the office, or submit his or her withdrawal, even if appointed by both parties, thus being individually liable for the damages resulting from non-observance of this provision.

5.4. If, in the course of the arbitration proceeding, one learns of any of the situations implying disqualification or suspicion of an arbitrator, or if an arbitrator dies or is declared incapable of performing his or her duties, he or she shall be replaced by the arbitrator designated in the Arbitration Agreement or Arbitration Term.

5.5. In the event the substitute cannot take over for any reason and at any time, the President of the Chamber shall appoint an arbitrator, preferably from among the members of the list of Arbitrators.

5.6. The arbitrator, in the performance of his or her duties, shall be independent, impartial, discreet, diligent and competent, and shall comply with the Code of Ethics drawn up by Chamber.

5.7. The arbitrators appointed to act in the arbitration proceedings, under Paragraph 6 of Article 13, of Brazilian Law n. 9,307/96, shall complete the following questionnaire, within two days:
1. Have you ever acted, in any manner or capacity, in the defense of either party's interests in the case you are appointed to act as arbitrator?
2. Have you ever been an employee, external advisor or acted as court expert or as expert witness for either party to this case? And the company where you exercise or have exercised professional activities?
3. Do you know the parties to the dispute? What is the level of your relationship?
4. Do you have time available to dedicate to the arbitration proceeding?
5. If you have already worked for either party, have you ever expressed your view on the matter submitted to arbitration?
6. Do you maintain any business relations with either party or potential witness to the case?
7. Does any member of your family or company maintain, or has any member of your family or company maintained commercial relations with either party to the arbitral proceeding?
8. Have you ever acted as arbitrator or court expert? If possible, please mention the matters involved.
9. Do you want to add anything to this questionnaire?

6. Parties and Attorneys

6.1. The parties may be represented by an attorney, as well as by a retained counsel.

6.2. Unless otherwise expressly provided, all the communications, notices or notifications involving procedural acts shall be made to the attorney appointed by the party.

6.3. The retained counsels shall enjoy all the rights and powers granted to them by law, the Legal Profession Act and the Brazilian Bar Association, and commit to exercise their duties in strict compliance with said rules and through a highly ethical professional behavior.

7. Notices, Time Limits and Submission of Documents

7.1. For all purposes set out in this Regulation, notices shall be made by registered mail or through a notary office, and whenever feasible, by fax, telex, e-mail or equivalent means, upon receipt through original documents or copies through registered mail or courier.

7.2. The notice shall stipulate the time limit for performance of the requested act, such period being counted as subsequent days. The date of the effective delivery of the notice shall be taken into consideration when starting to count the time limit.

7.3. Any and all document addressed to the Arbitral Tribunal shall be delivered and filed with the Chamber's Secretariat, in the number of copies equivalent to the number of arbitrators, parties, in addition to a copy, which shall be kept filed with the Chamber.

7.4. The time limits set out herein may be extended, as strictly necessary, at the discretion of the Chairman of the Arbitral Tribunal, or the President of the Chamber, in respect of Article 2.

7.5. In the absence of deadline set out for a specific act to be performed, the time limit of five (5) days shall be deemed applicable, without prejudice to the provision contained in Article 7.4.

7.6. Documents in foreign language shall be translated into Portuguese through free translation, as needed.

8. Procedure

8.1. Upon commencement of the arbitration, the Chairman of the Arbitral Tribunal may convene the parties and other arbitrators to attend a preliminary hearing, where a secretary shall be appointed, if necessary. The parties shall be informed of the procedure, and the relevant acts for proper development of the arbitration shall be taken.

8.2. The parties shall be granted a period of ten (10) days to submit their written pleadings, by indicating the evidence they intend to produce, such period being counted from the hearing, if any, or from the notice sent to them for such purpose.

8.3. The Chamber, within the five (5) days following the receipt of the pleadings of the parties, shall send the respective copies to the arbitrators and to the parties, which shall submit their respective briefs within ten (10) days.

8.4. Within five (5) days from the receipt of the briefs, the Arbitral Tribunal shall examine the status of the case and determine, as the case may be, the production of expert evidence. The parties may appoint expert witnesses within five (5) days following the notice of approval of the evidence.

8.5. The parties may produce all the evidence they deem useful to support their case and provide the arbitrators with clarification. The parties shall also produce other available evidence that any member of the Arbitral Tribunal deems necessary for purposes of clarification and settlement of the dispute. The Arbitral Tribunal shall grant all the useful, necessary and relevant evidence.

8.6. All the evidence shall be produced before the Arbitral Tribunal, which shall give notice thereof to the other party, which shall manifest thereon.

8.7. The Chamber shall arrange for, at the instance of one or more parties, a stenographic copy of the testimonies, as well as interpreters or translators. The party or parties requesting such acts shall pay the amount of the estimated cost thereof in advance, with the Chamber, under Article 16.

8.8. The members of the Chamber, the arbitrators and parties are not authorized to disclose any information to which they have had access as a result of their office or participation in the arbitration proceedings.

8.9. The proceedings shall proceed even by default of either party, provided that such party, being duly notified, fails to appear at the hearing or to obtain a postponement of the hearing. The arbitral award may not, under no circumstance whatsoever, be grounded on either party's default.

9. Acts to be Performed Outside the Place of Arbitration

9.1. If the Arbitral Tribunal deems necessary, for its convincement, that a given act be performed outside the place of arbitration, the Chairman of the Arbitral shall communicate the parties of the date, time and place of performance of the act, for them to be present at it, if they so wish.

9.2. Once the act is duly performed, the Chairman of the Arbitral Tribunal shall cause a report thereon to be drafted within three (3) days, by mentioning the facts and findings of the Arbitral Tribunal, and communicating the parties thereon, for them to speak on the records.

10. Hearing for the Production of Proof

10.1. Should there be the need for producing oral evidence, the Chairman of the Arbitral Tribunal shall convene the parties and arbitrators to attend the hearing for the production of proof at the day, time and place as previously designated.

10.2. The parties shall be convened at least ten (10) days in advance.

10.3. Should expert evidence be produced, the hearing for the production of such proof shall be held within no more than thirty (30) days from the delivery of the expert report. Should no expert evidence be produced, the hearing for the production of proof, if necessary, shall be held within thirty (30) days from the end of the time limit set out in Article 8.3.

10.4. Upon conclusion of the evidentiary stage, the Arbitral Tribunal shall grant the period of no more than ten (10) days for the parties to submit their closing arguments.

11. Adjournment or Suspension of the Hearing

11.1. The Arbitral Tribunal, if circumstances so demand, may determine the adjournment or suspension of the hearing. Adjournment or suspension shall be mandatory if requested by all parties, in that one shall forthwith designate a date for it to be held or continued.

12. Interim and Coercive Measures

12.1. The Arbitral Tribunal shall take the necessary and feasible measures for the proper development of the arbitral proceedings and, as the case may be, it shall request the competent judicial authority to take interim or coercive measures.

12.2.In the event a witness refuses to attend the hearing for the production of proof or, if such witness attends the hearing but refuses to testimony without legal justification, the Arbitral Tribunal may request the competent Court to take the applicable judicial measures for the taking of such testimony of the defaulting witness.

13. Arbitral Award

13.1. The Arbitral Tribunal shall render the award within twenty (20) days.

13.2. The time limit referred to by Article 13.1 shall be counted:
a) if no hearing is to be held, from the elapsing of the time limit referred to in Article 8.3;
b) if a hearing is to be held, from the elapsing of the time limit for submitting the closing arguments.

13.3. The time limit referred to in Article 13.1. may be extended for up to sixty (60) days, at the discretion of the Chairman of the Arbitral Tribunal.

13.4. The arbitral award shall be rendered by a majority vote, in that each arbitrator, including the Chairman of the Arbitral Tribunal, shall cast one vote. If no majority agreement is reached, the vote cast by the Chairman of the Arbitral Tribunal shall prevail. The award shall be put in writing by the Chairman of the Arbitral Tribunal and executed by all of the arbitrators. The Chairman of the Arbitral Tribunal shall certify the absence or the dissent in respect of the execution of the arbitral award by the arbitrators.

13.5.The arbitrator dissenting from the majority may provide grounds for his dissenting opinion, which shall be included in the arbitral award.

13.6. The arbitral award shall necessarily contain:
a) a report, with the name of the parties and a summary of the dispute;
b) the grounds for the decision, which shall provide for the findings of fact and of law, upon express clarification, as the case might be, that it has been rendered based on equity principles;
c) the decision, with all of its specifications and the deadline for compliance therewith, as the case might be; and
d) the day, month, year and place where it was rendered.

13.7. The arbitral award shall also mention the procedural costs and expenses, as well as the respective pro rata division, upon due observance of the agreement of the parties, expressed in the arbitration agreement or in the Arbitration Term.

13.8. Once the award is rendered, the arbitration is deemed to be concluded and the Chairman of the Arbitral Tribunal shall send the decision to the Chamber in order that this latter sends it to the parties, by mail or any other means of communication, upon acknowledgement of receipt or, still, by delivering it directly to the parties, upon receipt.

13.9. The Chamber shall comply with Article 13.8, following effective proof of full payment of the costs and arbitrators' fees by one or both Parties, under ANNEX I – Table of Costs and Arbitrators' Fees.

13.10. Within five (5) days from the receipt of the notice on the rendering of the award, or from the personal knowledge of the award, the interested party, upon communication to the other, may request that the Arbitral Tribunal clarify any doubt, omission or contradiction found in the arbitral award.

13.11. The Arbitral Tribunal shall decide within ten (ten) days, by amending the award and notifying the parties under Article 13.8.

14. Amicable Agreement

14.1. If, in the course of the arbitral proceedings, the parties reach an agreement and put an end to the dispute, the Arbitral Tribunal may, at the request of the parties, state such fact in an award, upon due observance of Article 13.6 above, as needed.

15. Performance of the Award

15.1. The arbitral award is final and the parties are bound by its terms and committed to comply with it in the manner and within the time limit therein stated.

16. Arbitration Costs

16.1. The Chamber shall prepare a table of costs and arbitrators' fees and other expenses, by establishing the means and form of the deposits.

16.2. The abovementioned table may be reviewed by the Chamber from time to time.

17. Final Provisions

17.1. As regards international arbitration, the parties shall choose the law that shall apply to the merits of the dispute and the language of the arbitration. Should no provision or consensus in this respect be in place, the arbitral tribunal shall indicate the rules it deems fit, as well as the language, taking into consideration the terms of the agreement, the usual practices, custom and international commercial rules. The arbitrators may only decide based on equity principles or act in the capacity of amicable advisor if so authorized by the parties.

17.2. The arbitrators shall interpret and apply this present Regulation to specific cases, including the existing loopholes, in respect of everything concerning their powers and duties.

17.3. Any controversy between the arbitrators as regards the interpretation or adoption of this Regulation shall be settled by the Chairman of the Arbitral Tribunal, whose decision shall be final.

17.4. The arbitral proceedings are strictly secret, wherefor the members of the Chamber, the arbitrators and the parties are not allowed to disclose any information related to the case and to which they have had access as a result of their office or participation in said proceedings.

17.5. The Chamber may publish some excerpts of the award on Syllabuses, always preserving the identity of the parties.

17.6. Whenever the interest of the parties so justifies, and upon prior authorization, the Chamber shall disclose the arbitral award.

17.7. The Chamber may provide the parties, upon written request, with certified copies of documents related to the arbitration, which are needed for purposes of a judicial action connected with the arbitration and/or its respective object.

17.8. The São Paulo Mediation and Arbitration Chamber may exercise the function of appointing authority for purposes of appointing arbitrators at "ad hoc" arbitrations, through its Presidency, whenever so agreed between the parties through arbitration agreement.

17.9. This present Regulation is approved as a private set of rules on April 22nd 2010 and becomes effective from this present date. This Regulation replaces the prior Regulation, approved on May 22nd 1995 and amended on August 20th 1998.

17.10. Except as otherwise agreed between the parties, this Regulation applies to proceedings already in course before the Chamber, as well as to those coming as of this date.

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CODE OF ETHICS

PREAMBLE

The provisions of this Code of Ethics are aimed at establishing principles to be observed by the arbitrators, the parties, their counsel and by Ciesp/Fiesp Chamber of Conciliation, Mediation, and Arbitration in the course of arbitral proceedings.

The principles herein stated shall also be observed during the phase preceding the request for arbitration.

Without prejudice to the other rules governing the professional conduct of arbitrators, this Code of Ethics does not exclude other precepts of conduct, such as independence, impartiality, skill, diligence, and confidentiality in respect of the matter and the parties to the arbitration.

Arbitrators shall perform their professional functions in compliance with the norms typically observed by reputable professionals.

The Chamber shall deliver a copy of this Code of Ethics to the arbitrators and to the parties. Arbitrators shall state in their Statement of Independence that they have read and are aware of the terms stated in this Code of Ethics.

1. FUNDAMENTAL PRINCIPLES

1.1. Arbitrators shall act in a diligent and efficient manner, so as to ensure the parties a fair and effective resolution of the disputes submitted to them.

1.2. Arbitrators shall keep confidential any and all information received in the course of the proceedings entrusted to them.

1.3. Arbitrators shall always bear in mind that arbitral proceedings are based on party autonomy, and they shall ensure observance thereof.

2. IMPARTIALITY AND INDEPENDENCE

2.1. Arbitrators shall remain impartial and independent during the entire arbitral proceedings.

2.2. Arbitrators shall not undertake any relationship with any party, thereby preserving their independence until the making of the award.

2.3. Arbitrators shall perform their functions impartially and form their free conviction based on the evidence produced in the case.

2.4. Although appointed by a party, arbitrators do not represent the interests of either party during the arbitral proceedings and must avoid contacting the parties or their counsel, or any involved persons, beyond the strict limits of the arbitral proceedings, without the knowledge of the other arbitrators and parties involved.

3. DUTY TO DISCLOSE

3.1. Arbitrators shall disclose any fact or circumstance leading up to any justified doubts concerning their independence and impartiality. Failure to disclose any such fact or circumstance may constitute grounds for disqualifying the arbitrator.

3.2. The disclosures to be made by the arbitrators shall involve relevant facts and circumstances relative to the parties and the controversy which is the subject matter of the arbitration.

3.3. Disclosure is required for any fact or circumstance that might give rise to justified doubts relative to arbitrators' impartiality and independence.

3.4. The disclosure shall be made in writing and sent to the Secretariat of the Chamber, to be relayed to the parties and to the other arbitrators.

3.5. The duty to disclose must be observed during the preliminary stage and throughout the arbitral proceedings. Once an arbitrator becomes aware of a fact that might give rise to justified doubt with regards to his or her independence and impartiality, he or she has the duty to communicate such fact immediately.

3.6. In cases where corporate groups are involved, the party shall, should it deem fit, provide the names of the companies belonging to such groups for purposes of verification of any conflicts involving the arbitrators.

3-A THIRD-PARTY FUNDING (INCLUDED BY RESOLUTION 6/2019)

3-A.1. The presence of a third-party financier might be relevant to assessing the arbitrators‘ independence and impartiality, especially if there is any prior or current relationship with the financier. Thus, it is recommended to the beneficiary party to disclose, at the first opportunity and in writing, the existence of the funding and all relevant information of the financier. The Secretariat shall refer the information to the other Parties involved in the proceeding, as well the arbitrators, mediators, or dispute board members, so, when applicable, they fulfill their duty of disclosure. (Included by Resolution 6/2019)

3-A.2. Third-party funding occurs in the cases in which one of the parties enters a juristic act, whereby the third-party financier offers the financial resources destined to pay for the arbitral proceeding, being stipulated, to the financier, an economic benefit conditioned to the result of the proceeding. (Included by Resolution 6/2019)

3-A.2.1. A third-party financier means any natural person or legal entity that enters a juristic act aiming at the funding of the arbitral proceeding and do not possess any related legal interest other than the funding act. (Included by Resolution 6/2019)

3-A.2.2. The funding of the arbitral proceeding means the partial or unabridged provision of the financial resources necessary for the proceeding, including, but not limited to: administration fees, arbitrators ‘fees, expert´s fees, attorney and representative fees, bond deposits, costs and legal fees borne by the defeated party. (Included by Resolution 6/2019)

4. DILIGENCE, COMPETENCE AND READINESS

4.1. Arbitrators shall ensure proper and adequate development of the arbitral proceedings, with due observance of the equal treatment of the parties and the provisions of the Terms of Reference.

4.2. Arbitrators shall make their best efforts during the arbitral proceedings and shall perform their functions prudently and efficiently, in order to serve the purposes of the arbitration.

4.3. Upon acceptance of the responsibilities inherent to the arbitration, arbitrators shall declare that they have the time and are available to engage in the arbitral proceedings, thereby avoiding any delays in rendering decisions and any unnecessary costs to the parties.

4.4. The person appointed to act in the capacity of arbitrator shall only accept such duty if he or she masters both the matter and the language related thereto.

4.5. Arbitrators shall treat the parties, witnesses, counsel, and other arbitrators in a courteous manner, with whom they undertake to maintain a harmonious relationship, always observing the distance that arbitrators must keep from both parties.

4.6. Arbitrators shall dedicate their attention, time, and knowledge to ensure effectiveness of the arbitral proceedings.

4.7. Arbitrators shall diligently keep the documents and information in their possession during the arbitral proceedings and actively collaborate with the development of the Chamber work.

5. DUTY OF CONFIDENTIALITY

5.1. The discussions held in the Arbitral Tribunal, the content of the award and the documents, communications and matters discussed during the arbitral proceedings are confidential.

5.2. Documents or information relative to the arbitration may be disclosed upon express authorization of the parties or when such disclosure is required by law.

5.3. The information which arbitrators may have access to, or which they may become aware of by virtue of the proceedings shall not be used for a purpose other than the development of said proceedings. Arbitrators shall neither propose nor obtain personal advantages for themselves or third parties based on the information obtained during the arbitral proceedings.

5.4. One shall avoid any information that may disclose or suggest identification of the parties involved in the proceedings.

5.5. The Arbitral Tribunal's procedural orders, decisions, and awards are exclusively intended for the specific proceedings related thereto, and shall not be advanced or disclosed by arbitrators. It is incumbent upon the Chamber to notify the parties in such respect.

5.6. The arbitrators shall treat their panel discussions with discretion and keep them in strict confidentiality.

5.7. Without prejudice to item 10.6, the party might share information regarding the proceeding, with acting or potential third-party financiers, to obtain the necessary funding, given that the beneficiary party and the financier both undertake, in writing, an assumption of liability to respect the duty of confidentiality of the disclosed information, pursuant to item 5 of this Code. (Included by Resolution 6/2019)

6. ACCEPTANCE OF NOMINATION

6.1. It is improper to contact the parties in pursuance of a nomination to act as arbitrator.

6.2. Once an arbitrator is consulted by a party on a possible nomination, he must abstain from making any remarks or pre-assessments of the dispute to be submitted to arbitration.

6.3. Upon acceptance of the nomination, the arbitrators agree to comply with the Rules, the Chamber Internal Regulation, the rules relative to procedure, the applicable law, the terms agreed at the time of appointment and the Terms of Reference.

6.4. Arbitrators shall not resign from their duties in the course of the proceedings, except for a material reason or as a result of their inability to remain in the case due to facts subsequent to the request for arbitration, whether for individual, private reasons, or for reasons that affect or might affect their independence or impartiality.

7. COMMUNICATION WITH THE PARTIES

7.1. The parties and their counsel shall avoid direct contact with the arbitrators in respect of any subject matter involved in the arbitral proceedings. Should said contact be indispensable, the Arbitral Tribunal shall preferably arrange for a means of communication that allow for participation of both the arbitrators and the parties involved in the case.

7.2. In order to conduct the arbitral proceedings with the expected readiness and diligence, arbitrators shall consult the parties and/or their counsel by making use of proper and useful means of communication available to them, such as conference calls, videoconferences, etc., thereby allowing everyone to participate.

7.3. Should any arbitrator become aware of improper communications between other arbitrator and one of the parties, such arbitrator must immediately inform this fact to both the Secretary General of the Chamber and the other arbitrators so that these issues can be examined.

7.4. Arbitrators shall never accept gifts, hospitality, benefits or favors either for themselves or for members of their family, directly or indirectly offered by any party.

8. FINAL PROVISIONS

8.1. This Code also applies to mediators and conciliators.

8.2. This Annex II is an integral part of the Arbitration Rules and Mediation Rules issued by the Chamber, duly approved under the Bylaws on November 29, 2012, and is effective as of August 1, 2013.

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Resolution N^o 1/2017

The President of the Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration ("Chamber"), in its powers as per item 4.f)¹ of the Internal Regulation of the Chamber;

Whereas item 16.2 of the Chamber Arbitration Rules, which deals with the Request for Clarification, provides that "The Arbitral Tribunal shall decide within ten (10) days, amending the arbitral award, if applicable, and by notifying the parties under item 15.7.";

Whereas the Superior Council of the Chamber deliberated, in its meeting of 17 April 2017, that this item has an omission as to the calculation starting point of the Arbitral Tribunal' s time limit to render a decision; and

Considering the Superior Council understandings and suggestions, following its meeting of 19 June 2017;

Resolve clarify item 16.2 of the Arbitration Rules, notably regarding the time limit for the decision which starts running from the first business day following the date of

I – receipt of the hard copy of the Request for Clarification by the Arbitrator(s).

II – receipt of the hard copy of the counterparty's submission in regards to the Request for Clarification, if applicable; or

III – the elapsed time limit of a possible submission as per item (II) above.

For the cases in which hard copies are dismissed, the time limit starts running from the first business day following receipt of the e-mail by the Arbitrator(s), in accordance with items (I), (III) and (III) above.

This Resolution shall be immediately in force, except a clashing provision as per agreement of the Parties and Arbitrator(s) in the Terms of Reference.

 

São Paulo, 22 September 2017.

 

Sydney Sanches
President of the Chamber Ciesp/Fiesp

 

¹4. The President of the Chamber shall:
(...)
f) issue supplementary and procedural rules intended to clarify doubts on the adoption of this Regulation and the Rules as regards cases not covered hereby;

Resolution N^o 2/2018

The President of the Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration ("Chamber"), acting within the powers granted by item 4(f) of the Internal Regulation of the Chamber¹;

Having examined items 2.1, 2.2 and 9.1 of the Arbitration Rules of Chamber Ciesp/Fiesp (“Rules”)²;

Considering that, in the meeting held on 1 October 2018, the Superior Council of the Chamber Ciesp/Fiesp resolved that such items deserve clarification;

Also considering the understandings held during the meeting of the Superior Council and the suggestions then presented;

Noting that informing the full and updated address of the other parties is in the requesting party’s (“Claimant”) best interest;

Expecting to render more efficient the exchange of the notices mentioned in items 2.1, 2.2, 9.1 and 9.3 of the Rules, as well as to enhance legal certainty in the arbitration proceedings;

RESOLVES to clarify items 2.1 and 9.1 of the Rules in what regards the exchange of communications and documents before the execution of the terms of reference, as well as the information of the address of the other parties involved in the arbitration proceedings and the delivery of the notices relating to the proceedings, as follows:

1. The request for arbitration set forth in item 2.1 of the Rules, as well as the notices and documents to be sent by the party(ies) and the arbitrator(s) to the Chamber’s Secretariat may be forwarded by e-mail in the time period falling between the filing of the request for arbitration and the execution of the terms of reference, provided that hard copies are filed with the Chamber’s Secretariat or sent by letter or express courier (with acknowledgment of receipt) in the first business day following the electronic communication;
2. With regards to the notices and documents to the sent to the parties, if an address has been designated by a party specifically for the purpose of receiving the notices arising out of or in connection with the document that includes the arbitration agreement and/or with regards to the arbitration proceeding, or in the cases where the arbitral tribunal authorizes, any notice shall be delivered to that party at that address, and if so delivered shall be deemed to have been received. Delivery by electronic means such as facsimile or e-mail may only be made to an address so designated or authorized;
3. iIn the absence of such designation or authorization, a notice is:
   1. Received if it is physically delivered to the addressee; or
   2. Deemed to have been received if it is delivered at the place of business, habitual residence or mailing address of the addressee
4. If, after reasonable efforts, delivery cannot be effected in accordance with paragraphs (ii) or (iii), a notice is deemed to have been received if it is sent to the addressee’s last-known place of business, habitual residence or mailing address by registered letter or any other means that provides a record of delivery or of attempted delivery;
5. In the case described in the item (iv) above, the Claimant shall be consulted about the measures taken by the Secretariat of the Chamber Ciesp/Fiesp in order to notify the opposing party(ies) as regards the continuation of the proceedings;
6. vi. In case a party must be notified at an address that differs from the one mentioned in the document that contains the arbitration agreement, the Claimant shall indicate in good faith another pertinent address.

This Resolution enters in force immediately and shall be applied insofar as it does not contradict special provisions set forth by the parties in particular cases.

São Paulo, 1 October 2018.

Sydney Sanches
President of the Chamber Ciesp/Fiesp

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¹ Internal Regulations of the Chamber Ciesp/Fiesp: “14. The President of the Chamber shall: (...) f) issue supplementary and procedural rules intended to clarify doubts on the adoption of this Regulation and the Rules as regards cases not covered hereby.”
²Arbitration Rules of Chamber Ciesp/Fiesp: “2.1. The arbitral proceedings shall be initiated upon request by the interested party, which shall, from the outset, mention the arbitration agreement stating the reference of the matter to arbitration administered by the Chamber, the subject matter of the arbitration, the amount of the dispute, the name and full identification of the other party(ies), attaching a copy of the contract and any other documents relevant to the dispute.” “2.2. The Secretariat of the Chamber shall send a copy of the request to the other party(ies), inviting them to nominate an arbitrator within fifteen (15) days, in accordance with the arbitration agreement, and shall send its List of Arbitrators, in addition to a copy of these Rules and of the Code of Ethics. The opposing party(ies) shall have an identical time limit to nominate an arbitrator.” “9.1. For the purposes of these Rules, notices shall be sent by letter, facsimile, electronic mail or equivalent means, against receipt of the respective hard copy.”

Resolution N^o 3/2018

The President of the Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration ("Chamber"), acting within the powers granted by item 4(f) of the Internal Regulation of the Chamber¹;

Having examined item 10.6 of the Arbitration Rules of Chamber Ciesp/Fiesp (“Rules”)², which regulates the treatment of information disclosed during the arbitration;

Noting Article 37 of the Federal Constitution³;

Noting the third paragraph of Article 2 of Law No. 9,307 of 1996 in the wording amended by Law No. 13,129 of 2015 (“Arbitration Act”)⁴;

Also considering the statement No. 4 approved by the I Journey of “Prevention and Out of Court Resolution of Conflicts” held by the Center of Judicial Studies of the Federal Justice on 22 and 23 August 2016⁵;

Considering that, in the meeting held on 1 October 2018, the Superior Council of the Chamber Ciesp/Fiesp resolved that item 10.6 of the Rules deserve further clarification with regards to cases involving the Public Administration;

RESOLVES to clarify item 10.6 of the Rules in what regards the arbitration proceedings involving the public administration:

1. In the arbitration proceedings administered by Chamber Ciesp/Fiesp, it is incumbent on the party belonging to the Public Administration to request or promote the publicity set forth by art. 2, third paragraph of the Arbitration Act, having regard to Law 12,527 of 2011, and such obligation may, following instructions from the arbitral tribunal and upon request by the party(ies), be mitigated in the cases of confidentiality provided by law;
2. If the party(ies) so request, and provided that the arbitral tribunal authorizes, the Secretariat of Chamber Ciesp/Fiesp shall disclose in the Chamber’s website the following information regarding the existence of the arbitration proceeding: date of the request for arbitration, name of the parties and number of the proceedings.

This Resolution enters in force immediately and shall be applied insofar as it does not contradict special provisions set forth by the parties in particular cases.

São Paulo, 1 October 2018.

Sydney Sanches
President of the Chamber Ciesp/Fiesp

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¹Internal Regulations of the Chamber Ciesp/Fiesp: “14. The President of the Chamber shall: (...) f) issue supplementary and procedural rules intended to clarify doubts on the adoption of this Regulation and the Rules as regards cases not covered hereby.”
²Arbitration Rules of Chamber Ciesp/Fiesp: “10.6. The members of the Chamber, the arbitrators and the parties shall not disclose information they have had access to as a consequence of their functions or participation in the arbitral proceedings, except as required by law.”
³Brazilian Federal Constitution, Article 37: “The direct or indirect public administration of any of the Branches of the Union, States, Federal District and Counties, shall obey the principles of legality, impersonality, morality, publicity and efficiency.”
⁴Brazilian Arbitration Act: “Article 2. At the parties' discretion, arbitration may be at law or in equity. […] Paragraph 3. Arbitration that involves public administration will always be at law, and will be subject to the principle of publicity.”
⁵Statement No. 4 approved by the I Journey of “Prevention and Out of Court Resolution of Conflicts” held by the Center of Judicial Studies of the Federal Justice on 22 and 23 August 2016: “In the arbitration, it is the duty of the Public Administration to promote the publicity set forth in art. 2, third paragraph of Law No. 9,307 of 1996, having due regard to what is set forth in Law 12,527 of 2011, although this obligation may be mitigated in the cases of confidentiality provided by law, as determined by the arbitrator.”

Resolution N^o 4/2018
Interim Arbitrator Proceeding

The President of the Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration ("Chamber"), acting within his powers as per item 4(f) of the Internal Regulation of the Chamber;^[1].

Considering the wording of articles 22-A and 22-B ^[2] of Law No. 9,307 of 1996 (“Arbitration Act”) included by Law No. 13,129 of 2015, and item 13^[3] of the Chamber’s Arbitration Rules (“Rules”);

Considering that, during the meeting held on December 3, 2018, of the Superior Council of the Chamber, the Councilors decided that item 13 of the Rules warranted further specification in order to allow for the institution of interim arbitration panels, composed by a sole arbitrator, with the aim of ordering urgent measures before the institution of the Arbitral Tribunal;

Bearing in mind the comments made during the meeting of the Superior Council and the suggestions then presented; Resolves to adopt this resolution, which regulates the interim arbitrator proceeding in the following terms:

ARTICLE 1 - INTERIM ARBITRATOR REQUEST

1.1. Before the commencement of arbitration, as per item 2.4 of the Rules, the party seeking interim or urgent measures may request to the President of the Chamber, through a Request for Interim Arbitrator (“Request”) to appoint an interim arbitrator (“Interim Arbitrator”), who shall decide upon the urgent measure requested and whose order shall remain in force until the Arbitral Tribunal decides upon the matter.

1.1.1. The Request shall include:

1. The name, qualification, addresses and, if known, the e-mail addresses or any other contact information relating to the parties and their counsel;
2. Report of the circumstances giving rise to the Request and a description of the subject-matter of the dispute relating to the main dispute;
3. Description of the urgent measure requested;
4. The reasons why the party requesting such measure believes that it cannot await the institution of the Arbitral Tribunal in order to obtain said interim or urgent measures;
5. The reasons that justify granting the interim or urgent measure;
6. The relevant documents and, especially, the arbitration agreements;
7. Comments on the language, the place where the arbitral award shall be rendered (place of the Interim Arbitration) and about the applicable law;
8. Proof of the full payment of the costs and fees relating to the Interim Arbitrator;
9. Request for arbitration filed in connection with the dispute with regards to which the party requests an interim or urgent measure and its exhibits, if applicable;
10. Any information or document that the requesting party considers useful for the analysis of the Request.

1.1.2. The number of counterparts and the filing method will follow the provisions of the Rules.

1.2. Unless the arbitration agreement provides otherwise, the parties may request the appointment of an Interim Arbitrator if one of the parties is interested.

1.3. The Chamber shall conduct a preliminary examination of the admissibility of the Request. Based on the information included in the Request, the Chamber may proceed with or terminate the proceedings, sending notice to the parties of this decision.

ARTICLE 2 - APPOINTMENT OF THE INTERIM ARBITRATOR

2.1. The President of the Chamber shall appoint an Interim Arbitrator as soon as possible, usually within 2 (two) days counted from the filing of the Request, and shall preferably select a member of the Chamber’s List of Arbitrators.

2.2. The Interim Arbitrator shall receive copies of the case file and shall complete the Questionnaire for the Analysis of Conflict of Interest and Availability (“Questionnaire”) and shall execute the Statement of Independence, copies of which will be sent to the parties by the Chamber. The interim arbitrator shall execute both documents within 2 (two) days counted from the receipt of the appointment.

2.3. The party who intends to challenge the Interim Arbitrator shall file the respective submission with the Chamber within 2 (two) days counted from the receipt of the notice of appointment or from the date in which it became (or should have become) aware of the circumstances giving rise to the challenge. The filing of a challenge suspends the Interim Arbitrator Proceedings and the matter shall be decided by the President of the Chamber.

2.4. The Interim Arbitrator shall remain impartial and indepentend from the parties in dispute and shall not act as arbitrator in the main arbitration proceeding relating to the Request.

2.5. The President of the Chamber may, upon request of a party, decide upon the removal of the Interim Arbitrator should he or she fail to timely fulfill its attributions or if he or she fails to abide by the Rules.

ARTICLE 3 - PROCEEDINGS

3.1. The Interim Arbitrator shall decide the interim or urgent measure after hearing the opposing party. The urgent measure can be rendered ex parte if deemed indispensable to ensure its effectiveness, and the arbitrator shall immediately notify the opposing party about the contents of the decision.

3.2. The decision of the Interim Arbitrator shall take the form of a procedural order and shall be rendered within 10 (ten) consecutive days counted from the receipt, by the Interim Arbitrator, of the parties’ comments about the Questionnaire and the Statement of Independence, or if the time period provided for in article 2.3 of this Resolution elapses without submissions from the parties. The time period to render the order may be extended by the President of the Chamber upon reasoned request by the Interim Arbitrator, or with the parties’ consent.

3.3. The orders rendered by the Interim Arbitrator shall state their reasons, shall be presented in writing and shall observe the requirements of item 15.4 of the Rules. The Interim Arbitrator may provide for the conditions he or she deems necessary in order to ensure the fulfillment of the order, whether imposing daily penalties or requiring the posting of guarantees.

3.4. Once the jurisdiction of the Interim Arbitrator terminates, the Arbitral Tribunal shall decide upon any request from the parties in connection with the Interim Arbitrator proceeding, including any demand in connection with the decision rendered by the Interim Arbitrator and also as regards the allocation of costs enticed by the Interim Arbitrator proceeding.

3.5. The order of the Interim Arbitrator shall be binding upon the parties, which shall immediately comply.

3.5.1. When the arbitration commences as per the Rules, the Arbitral Tribunal shall be competent to maintain, modify or revoke the interim or urgent measures rendered by the Interim Arbitrator.

ARTICLE 4 - COSTS

4.1. The costs of the Interim Arbitrator proceeding include:

1. The administration fee of the Chamber amounting to R$ 15,000.00 (fifteen thousand reais);
2. Interim Arbitrator’s fees amounting to R$ 60,000.00 (sixty thousand reais); and
3. Expenses fund amounting to R$ 5,000.00 (five thousand reais);

4.2. The requesting party shall advance the costs of the Interim Arbitrator Proceeding as it submits its Request.

4.2.1. The Chamber may notify the requesting party to complement the expenses fund at any time.

4.3. The costs in connection with the Interim Arbitrator proceeding shall be advanced by the requesting party. When the order is rendered, the Interim Arbitrator may allocate the costs between the parties, including the costs mentioned in article 4.1 of this Resolution as well as other expenses included by the parties during the Interim Arbitrator proceeding, without prejudice to the powers of the Arbitral Tribunal to finally rule on the allocation of such costs.

4.4. Upon a reasoned request submitted by the Interim Arbitrator, or if he or she deems appropriate, the President of the Chamber may increase or reduce the costs relating to the Interim Arbitrator proceeding, in view of the complexity of the case and of the amount of work carried out.

4.4.1. Whenever a challenge to the Interim Arbitrator is accepted or the Interim Arbitrator is removed as provided for in article 2.5 of this Resolution, the Interim Arbitrator’s fees shall be fixed by the President of the Chamber.

ARTICLE 5 - GENERAL PROVISIONS

5.1. The provisions of the Arbitration Rules shall apply to the extent that they do not conflict with this Resolution, especially considering the expedited and urgent character of these proceedings.

This resolution enters into force as of January 7, 2019, and shall not affect the special provisions agreed upon by the parties in each particular case.

Sydney Sanches
President of Chamber Ciesp/Fiesp

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Resolution N^o 5/2019
SEGREGATION OF COSTS

The President of the Chamber of Conciliation, Mediation and Arbitration CIESP/FIESP (“Chamber”), in the use of his attributions and powers conferred on section 4 (f) of the Chamber´s Internal Regulation;

Considering that, in the Superior Council meeting held on august 5th 2019, the present Councilors deliberated that items 2.3, 3.1, and 6.7 of Annex I of the Arbitration Rules (Schedule of Costs and Arbitrators ‘Fees) should be complemented to enable the segregation of costs in the Chamber´s proceedings;

Considering the maintained opinions and suggestions presented in the aforementioned meeting;

Resolve to issue this Resolution that regulates the segregation of costs in the Chamber´s arbitral proceedings:

Whenever a counterclaim is made and there is a manifest disproportion between the value of the Parties ‘claims, either Party may request the segregation of costs, to the Chamber´s President, for a reassessment of the advanced costs of the proceeding.

Without prejudice to the Tribunal´s prerogative to fix costs, procedural expenses, attorney fees, as well the respective apportionment, pursuant to item 15.6 of the Arbitration Rules, the Chamber´s President may determine the segregation of the amount in dispute for purposes of advanced costs of the proceeding.

Whenever the President determines the segregation of the amount in dispute, the costs and fees will be calculated separately as in two different proceedings and each party shall provide the advance payment in full, pursuant to Annex I of the Arbitration Rules (Schedule of Costs and Arbitrators´ Fees).

The failure to pay the advance payment by one of the Parties shall not impair the continuation of the proceeding regarding the claims of the compliant Parties.

4.1 In case of failure to pay, the amount in dispute shall be readjusted to only contemplate the claims of the compliant party.

4.2 To the claims of the defaulting party, shall apply the provisions of item 6.4 of Annex I of the Arbitration Rules (Schedule of Costs and Arbitrators ‘Fees). In such case, there will not be any refund of the values paid in advance or payments made regarding the defaulting party´s claims.

This Resolution is not applicable to the proceedings which the amount in dispute does not exceed the amount provided on item 3.1.1 of Annex I of the Rules and do not alter the manner of collection of the costs foreseen on item 5.1 of Annex I of the Rules.

This Resolution becomes immediately effective, except for the singularities agreed between the parties in the given case.

Sydney Sanches
President of the Chamber Ciesp/Fiesp

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Resolution N^o 6/2019
THIRD-PARTY FUNDING

THIRD-PARTY FUNDING

The President of the Chamber of Conciliation, Mediation and Arbitration CIESP/FIESP (“Chamber”), in the use of his attributions and powers conferred on section 4 (f) of the Chamber´s Internal Regulation;

Considering that, in the Superior Council meeting held on august 5th 2019, the present Councilors deliberated that the Chamber´s Code of Ethics (Annex II of the Arbitration Rules) should be complemented to encompass the possibility of third-party funding in the Chamber´s proceedings;

Considering the maintained opinions and suggestions presented in the aforementioned meeting;

Resolve to issue this resolution to complement the Chamber´s Code of Ethics, which shall become effective with the following inclusion:

3-A THIRD-PARTY FUNDING

3-A.1. The presence of a third-party financier might be relevant to assessing the arbitrators‘ independence and impartiality, especially if there is any prior or current relationship with the financier. Thus, it is recommended to the beneficiary party to disclose, at the first opportunity and in writing, the existence of the funding and all relevant information of the financier. The Secretariat shall refer the information to the other Parties involved in the proceeding, as well the arbitrators, mediators, or dispute board members, so, when applicable, they fulfill their duty of disclosure.

3-A.2. Third-party funding occurs in the cases in which one of the parties enters a juristic act, whereby the third-party financier offers the financial resources destined to pay for the arbitral proceeding, being stipulated, to the financier, an economic benefit conditioned to the result of the proceeding.

3-A.2.1. A third-party financier means any natural person or legal entity that enters a juristic act aiming at the funding of the arbitral proceeding and do not possess any related legal interest other than the funding act.

3-A.2.2. The funding of the arbitral proceeding means the partial or unabridged provision of the financial resources necessary for the proceeding, including, but not limited to: administration fees, arbitrators ‘fees, expert´s fees, attorney and representative fees, bond deposits, costs and legal fees borne by the defeated party.

ITEM 5 OF THE CODE OF ETHICS BECOMES EFFECTIVE WITH THE FOLLOWING INCLUSION:

5.7. Without prejudice to item 10.6, the party might share information regarding the proceeding, with acting or potential third-party financiers, to obtain the necessary funding, given that the beneficiary party and the financier both undertake, in writing, an assumption of liability to respect the duty of confidentiality of the disclosed information, pursuant to item 5 of this Code.

This Resolution becomes immediately effective, except for the singularities agreed between the parties in the given case.

Sydney Sanches
President of the Chamber Ciesp/Fiesp

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EXPEDITED ARBITRATION RULES

1. SUBMISSION TO THIS EXPEDITED ARBITRATION RULES

1.1 The parties that choose to submit their conflict to the Chamber of Conciliation, Mediation and Arbitration CIESP/FIESP, hereinafter the Chamber, by arbitration clause or other written means, accept and are bound to the present Expedited Arbitration Rules and to the Internal Regulations of the Chamber.

1.2. The Chamber administers and supervises the correct development of the arbitration proceedings, indicating a sole arbitrator, whenever not otherwise agreed by the parties.

1.3. This Rules are a modified version of the Chamber’s Arbitration Rules and aims to provide a more efficient and simplified procedure to dispute resolution.

1.4. Any modifications to the present Rules agreed by the parties shall only be applicable to that specific case.

1.5. The present Expedited Arbitration Rules shall be applicable when the arbitration convention provides for its applicability and the amount in dispute do not exceed R$ 2.000.000,00 (two million Brazilian Reais) or, if the amount in dispute exceeds this figure but the parties expressly agrees to adhere to the expedite proceeding. 

2. REQUEST OF ARBITRATION, PARTIES’ ALLEGATIONS AND PRELIMINARY STEPS

2.1. The party wishing to submit a case under the present Rules shall present to the Chamber a Request for Expedited Arbitration, indicating, simultaneously, the subject matter of the arbitration, the amount of the Claim, the name and complete identification details of the other(s) party(ies), and attaching copy of the contract that contains the arbitration clause and any document pertinent to the case. The party shall also provide its written allegations accompanied by all documents to prove its claims and allegations, including any expert’s or technical report. 

2.2. The Chamber will send a copy of the Request to the other(s) party(ies) and invite them to, within 7 (seven) days, present their Reply and written allegations, accompanied by all documents to prove its claims and allegations, including any expert’s or technical report.

2.3. In the following working day to the presentation or the expiration of the time limit for Reply (article 2.2), the Chamber shall request that the parties submit an agreed sole arbitrator, within 7 (seven) days, preferably an arbitrator that is in the Chamber’s Arbitrators List. If the sole arbitrator indicated by the parties is not in the Chamber’s Arbitrators List, the party shall provide a resume and all pertinent contact details. In this case the sole arbitrator shall be submitted to approval by the President of the Chamber.

2.4. In the absence of agreement by the parties or indication of the sole arbitrator in the stipulated time limit, the President of the Chamber shall appoint the arbitrator within 5 (five) days. The sole arbitrator will be invited to answer a Conflict and Availability Verification Questionnaire, within an equivalent time limit. 

2.5. Accepted the nomination, the sole arbitrator shall execute the Statement of Independence within 2 (two) days, whereupon confirming his indication the arbitral proceedings are deemed to have commenced.

3. TERMS OF REFERENCE 

3.1. Within 5 (five) days of his/her confirmation, the sole arbitrator, supported by the Chamber, shall elaborate the Terms of Reference (“Terms”), that shall contain: (i) names and qualifications of the parties, their counsel and the sole arbitrator; (ii) the subject matter and summary of the parties allegations and claims; (iii) the estimated amount of the claim; (iv) the provisional calendar of the case; (v) whether it is permitted to judge the subject matter of the dispute on an ex aequo et bono basis; (vi) the liability for payment of all and any costs and arbitrators' fees; (vii) the place where the award is to be issued; (viii) any other provisions agreed upon by the parties. 

3.2. In sequence, the sole arbitrator shall forward to the parties a draft of the Terms for them to make any commentaries and suggestions, within 5 (five) days, that may or may not be accepted by the sole arbitrator. 

3.3. The Term will be signed by the sole arbitrator and the Secretary-general of the Chamber and forwarded to the parties.

3.4. After the signing of the Term, the parties may not present new claims, except if so approved by the sole arbitrator or if the parties agree on the inclusion of the new claim.

3.5. The sole arbitrator shall grant 7 (seven) days from the signing of the Term for the Parties to complement their written allegations and to adduce any addition evidence or documents they deem convenient. 

3.6. The sole arbitrator shall grant 7 (seven) days from the receipt of the complementary allegations (article 3.5) for the parties to comment on the allegations presented by the adverse party.

4. HEARING AND FINAL ALLEGATIONS

4.1. If the sole arbitrator deems necessary, within 5 (five) days from the receipt of the complementary allegations (article 3.6), the necessity of any additional clarification, he may designate a presentation hearing, summoning the parties with no less than 7 (seven) days of antecedent to manifestate and to provide clarifications.

4.2. The parties may request for a hearing for the presentation of the allegations and/or evidence, the arbitrator shall decide on the convenience of holding a hearing. 

4.3. The sole arbitrator may determine that the hearing will be held via videoconference or any other means of audiovisual communication.

4.4. The parties shall present their final allegations within seven days of the hearing, or alternatively orally in the end of the hearing, if so requested by the parties and approved by the sole arbitrator. 

4.5. Whether or not there is a hearing, the sole arbitrator may dispense the submission of final allegations. 

5. THE ARBITRAL AWARD 

5.1. Following the allegations (article 3.5 and 4.6) or the final allegations (article 4.4) the arbitration award shall be rendered within 30 (thirty) days, this time limit may be extended by the sole arbitrator, for an equal period. 

5.2. The arbitral award will be in writing and shall necessarily contain:

a) a report with the name of the parties and a summary of the dispute; 

b) the grounds for the decision, which shall provide for the findings of fact and findings of law, clarifying that it was made on an ex aequo et bono basis, if applicable;

c) the decision on the merits of the case, with all its specifications and deadline for performance of the award, if applicable; 

d) the day, month, year, and the place where the arbitral award was rendered;

e) the physical or digital signature of the sole arbitrator.

5.3. The arbitral award shall also contain the administrative costs, expenses, and attorneys' fees, as well as the respective apportionment, observing what was agreed upon by the parties in the arbitration convention and/or indicated in the Terms of Reference.

5.4. Upon the issuing of the arbitral award, the arbitration shall be deemed to be closed, and the sole arbitrator shall send the award to the Secretariat of the Chamber so that it is sent to the parties, either by any digital form or mail or by any other means of communication, against receipt.

5.5. The Chamber shall comply with article 5.4 after full payment of all costs and arbitrator’s fees by one or both parties. 

5.6. Within 5 (five) days from the date of receipt of the notice or of the personal knowledge of the arbitral award, the interested party, by means of written submission to the other parties, may submit a Request for Clarification to the sole arbitrator to clarify any obscurity, supplements the omission, or remedies the contradiction of the arbitral award.

5.7. The opposing party may submit a manifestation about the Request for Clarification within 5 (five) days from the receipt of the Request.

5.8. The sole arbitrator shall decide the Request for Clarification within 7 (seven) days, from the expiration of the time limit to the manifestation about the Request for Clarification, this period may be extended for more 7 (seven) days.

5.9.  The arbitral award is final, the parties being bound to it in the manner and within the time periods therein stated.

6. PARTIES AND REPRESENTATIVES

6.1. The parties may be represented by someone with adequate powers to act on their behalf in the arbitral proceedings, as well as by counsel.

6.2. Unless express provision to the contrary, all communications, notifications and subpoena of procedural acts will be addressed to party’s counsel by electronic means of communication. 

7. NOTIFICATIONS, TIME LIMITS AND SERVICE OF DOCUMENTS

7.1. Unless otherwise agreed by the parties or directed by the sole arbitrator, all correspondence sent by the Secretariat of the Chamber, including communications, notifications, copies of parties’ manifestations and arbitrator’s decisions, shall be sent exclusively electronically. 

7.2. The Notification of the Request of Arbitration shall be also served via mail, with confirmation of receipt. 

7.3. All documents, notifications and correspondence sent by the Chamber will be deemed as delivered in the date that the receiver acknowledges receipt or in the first working day following of the sending, if the recipient do not confirm the delivery. 

7.4. The deadlines for complying with the requested measures will be counted in calendar days, starting on the next business day from delivery, as well as the deadlines determined in this Rules.

7.5. The sole arbitrator may extend or modify time limits. If a time limit is not expressly fixed, the provisions of this Rules shall prevail, in the event of no provision, the term is of 5 (five) days.

8. COSTS OF THE ARBITRATION

8.1. The Schedule of costs and Arbitrator’s fees and expenses will be established by the Chamber, as well as the form of payment and deposit. 

8.2. If no hearing is held, the Chamber may reduce the costs, reimbursing any difference to the parties. 

9. FINAL PROVISIONS

9.1. This Expedited Arbitration Rules shall apply, in the circunstances described at clause 1.5., whenever the arbitration agreement determines the submission to the arbitration rules set out by the Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration, Ciesp/Fiesp Chamber of Conciliation, Mediation and Arbitration of São Paulo, the São Paulo Chamber of Mediation and Arbitration, the Fiesp Chamber of Arbitration, or whenever it refers to any Chamber of Arbitration belonging to any of Ciesp and Fiesp entities.

9.2. The Expedited Arbitration Rules shall not be applied if the President of the Chamber, by request of one of the parties, before the appointment of the sole arbitration, or by its own motion, decides that it’s inappropriate to apply this Expedited Arbitration Rules.

9.3. The sole arbitrator should interpret and apply the present Expedited Arbitration Rules to the specific cases, including to supply lacunas, in all that concerns it’s powers and obligations. Before the commencement of the arbitration, such competence shall be exercised by the president of the Chamber. 

9.4. The Chamber’s Arbitration Rules are applicable in a supplementary manner to the cases under Expedited Arbitration Rules, whenever necessary.

9.5. Article 7 of the Chamber’s Arbitration Rules are applicable to the sole arbitrator.

9.6. The Arbitration proceeding is confidential, the members of the Chamber, the sole arbitrator and the parties shall not disclose any information relating to the case, that they had access as consequence of their work or participation in the proceeding, unless ether is a legal provision that determines otherwise. 

9.7. The Chamber does not resolve disputes itself and is not responsible for the content of the award or its effects. 

9.8. If the parties so wish, and with the express authorization of the sole arbitrator, the Chamber may disclose the full content of the arbitral award. 

9.9. The Chamber may publish excerpts of the arbitral award, with due omission of the parties' identities.

9.10. The provisions of Article 20.9 fo the Chamber’s Arbitration Rules are hereby revoked.

9.11. The present Expedited Arbitration Rules, approved in the statutory form on September 14, 2020, will enter into force on March 17, 2021.

 

RESOLUTION n° 09/2021

The President of the Chamber of Conciliation, Mediation and Arbitration CIESP/FIESP (“Chamber Ciesp/Fiesp”), in the use of his attributions and powers conferred on section 4 (f) of the Chamber´s Internal Regulation , in order to confer greater transparency to the arbitral costs collection practices;

Considering the item 10.6 of the Arbitration Rules of the Chamber Ciesp/Fiesp (“Rules”), which verses on the treatment of the information revealed during the proceeding;

In light of article 37 of the Federal Constitution;

In light of the third paragraph of article 2 of the Federal Act 9.307/96 , included by Federal Act 13.129/2015;

Considering that the Presidency´s Resolution, n° 3/2018, versed on the publicity in the proceedings involving the Public Administration;

Considering that the Chamber´s Superior Council discussed and deliberated on the update of the content of Resolution n° 3/2018, recognizing the need for the issuing of a new resolution by the Chamber´s Presidency;

Considering the positioning maintained by the Chamber´s Superior Council and the presented suggestions;

Resolves to clarify the application and interpretation of item 10.6 of the Rules concerning the proceedings involving the Public Administration:

1. It shall be published by the Chamber´s Secretariat, on the Chamber´s website: the existence of the proceeding, the date of the request for arbitration, the name of the Parties, and proceeding numeration.
2. Any additional information shall only be provided, to third parties, upon an enquiry of the Parties and Arbitral Tribunal, in observance of the applicable legal provisions.
3. The Chamber is authorized, by the Parties and Arbitral Tribunal, to publish the arbitral award on its website, periodicals, and academic materials, unless otherwise expressly manifested by either of the Parties.
4. In case the proceeding is terminated, or the Arbitral Tribunal has not yet been constituted, it shall rest on the Chamber´s President to decide on the request of access to the acts and content of the proceeding involving the Public Administration.

This Resolution becomes immediately effective, except for the specific provisions stipulated by the Parties in the given case. The present Resolution revokes, in its entirety, the Presidency´s Resolution n° 3/2018.

Sydney Sanches
Chamber President

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RESOLUTION nº 10/2022

The President of the Chamber of Conciliation, Mediation and Arbitration CIESP/FIESP (“Chamber”), in the use of his attributions and powers conferred on section 4 (f) of the Chamber´s Internal Regulation; 

Considering the improvement in the sanitary conditions in Brazil and the flexibilization of the sanitary measures imposed by the Government of the State of São Paulo and by the Municipality of São Paulo in the combat against the COVID-19 pandemic;  

Considering the current internal rules of operation adopted by CIESP and FIESP;  

Considering that, in light of the technological evolution, the electronic and/or virtual practice of procedural acts will be incorporated into the Chamber´s Secretariat (“Secretariat”) routine; 

Resolves to establish the following measures:  

1. THE OPERATION OF THE CHAMBER´S SECRETARIAT 

1.1 The Secretariat resumes its in-person services and maintains its services through telephone and electronic channels, within business hours, from 8:30 am to 5:30 pm. 

1.2. In-Person assistance shall be, preferably, arranged provided a previous schedule along with the Secretariat and will be held in accordance with the current sanitary protocols. 

2. EXCLUSIVE ELECTRONIC FILING  

2.1 For filing purposes, all the submissions and documents shall be sent, by electronic means, to the following email: cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br, observing all the respective email addresses that shall be copied in the message, according to the established in the given case.  

2.1.1 The use of transfer cloud links or documents in the .ZIP format is recommended, when necessary, due to the volume of data.  

2.1.2 The digital archives sent shall be deemed original, under the responsibility of the Sender.  

2.1.3 The Secretariat will acknowledge receipt of the electronic message, indicating the received files, for verification purposes and proof of the fulfillment of the scheduled deadlines.  

2.1 For the purposes of filing, all submissions and documents shall be submitted to the proceeding’s site hosted on the Online Case Management Portal of the Ciesp/Fiesp Chamber (Portal), in accordance with the User’s Manual available on the Chamber´s website, respecting the nature of the communication and the type of deadline to be fulfilled as stated in the concrete case. (Wording established by Resolution 13/2022, in force on September 1st, 2022)

2.2 In case the filing is made under section 2.1, the filing of the hard copies is dismissed.  

2.2 For the cases initiated previously to the validity of the Presidency Resolution 13/2022, that did not migrate to the Portal or did not establish the communications rules for the concrete case, all communications, submissions, and documents shall be electronically sent to the emails cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br, observing all the respective email addresses that shall be copied in the message, according to the established in the given case. (Wording established by Resolution 13/2022, in force on September 1st, 2022)

2.2.1 The use of transfer cloud links or documents in the .ZIP format is recommended, when necessary, due to the volume of data. (Included by Resolution 13/2022, in force on September 1st, 2022) 

2.2.1 The Secretariat will acknowledge receipt of the electronic message, indicating the received files for verification purposes and proof of the fulfillment of the scheduled deadlines. (Included by Resolution 13/2022, in force on September 1st, 2022) 

2.3 New Requests for Arbitration, Mediation or Dispute Board proceedings, including those of urgent nature as the Interim Arbitrator proceeding, shall be presented, exclusively, by electronic means, as provided under this section. 

2.3 The digital archives sent shall be deemed original, under the responsibility of the Sender. (Wording established by Resolution 13/2022, in force on September 1st, 2022)

2.4 In case the filing is made under items 2.1 and 2.2, the filing of the hard copies is dismissed. (Included by Resolution 13/2022, in force on September 1st, 2022) 

2.5 New Requests for Arbitration, Mediation or Dispute Board proceedings, including those of urgent nature as the Interim Arbitrator proceeding, shall be presented, exclusively, by electronic means, through the Chamber’s website, with the filling of the form available on www.camaradearbitragemsp.com.br/en/portal-camara.html. (Included by Resolution 13/2022, in force on September 1st, 2022) 

3. CHAMBER´S ACTS AND COMMUNICATIONS

3.1 The acts, communications and notifications sent by the Chamber will be, preferably, carried out electronically, except for the communication of the Notification of the Request for Arbitration and other acts for which is necessary the expedition of hard copies; cases in which the copies will be forwarded by mail with a read receipt.  

3.1.1 The deadlines shall be counted, in calendar days, as of the following business day of the receipt of the electronic mail or, in the specific case, of the hard copy, exception made to the limited-term determination or if in that other manner has been established in the given case.  

3.1.2 It is the Parties’ responsibility to verify their respective electronic mail addresses for the monitoring of receipt of the messages and communications related to the proceedings. 

3.1.3 The deadlines that expire on a non-business day will be extended to the following business day, except if there is another specific provision in the concrete case.  

3.1.4 For the purposes and effects of this Resolution, it shall be deemed a business day, the ones with a practical expedient in the Chamber. 

4. VIRTUAL MEETINGS AND HEARINGS

4.1 Whenever the parties involved choose to hold virtual meetings and hearings, the Secretariat will provide a videoconference platform with all the necessary tools for the adequate conduction of the act. 

4.1.1 For the conduction of the virtual meetings or hearings, without prejudice to others to be established, all the Parties involved shall observe the rules and directions present in Annex I of this Resolution. 

5. ARBITRAL AWARDS, DECISIONS AND PROCEDURAL ORDERS

5.1 Every document bearing any decisive content shall be, electronically, sent to the Secretariat, considering its protocol, the date of the sending of the email.  

5.1.1 For archiving purposes, the documents referred on section 5.1 must have a hard copy filed in the Secretariat, presenting an original hard copy through the mail with a read receipt or notice of receipt of the Courier, to attention to the Chamber´s filing sector on the following address: Av. Paulista, 1313, 8th floor, São Paulo-SP, Brazil, ZIP CODE: 01311-923. 

5.1.2 In the cases in which the Parties utilize the Secretariat´s digital signature platform 1, the hard copy filing is dismissed. 

5.1.3 For the documents digitally signed, with the use of the standard ICP-Brasil digital certificate, the hard copy filing is dismissed, regardless of the platform used by the signatories.  

5.2.  The documents of decisive content shall be forward, by the Secretariat, to the Parties, exclusively by electronic means, except in the cases in which the communication through email is not possible, a situation in which a hard copy shall be sent by mail with a note of receipt.  

This Resolution comes into effect on April 26 th, 2022, revoking the Resolutions 1 and 2 of 2020. 

 

Sydney Sanches
Chamber President 

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ANNEX I – GUIDE FOR THE CONDUCTION OF VIRTUAL HEARINGS AND MEETINGS

I – General Information 

1. The Ciesp/Fiesp Chamber shall provide the parties involved with a videoconference platform with technology and resources compatible with the needs of the case.  

1.1. Other platforms not provided by the Secretariat can be utilized at the Parties’ discretion and/or by determination of the Arbitral Tribunal, remaining under their responsibility all the protocols related to its utilization, availability, and handling of these platforms.  

2. The tools most frequently used in hearings and meetings are:  

2.1. Audiovisual recording: the platform may record the hearing, whenever determined by the Arbitral Tribunal, and generate a file with the recorded content, that may be shared, by the Secretariat, when requested, with the Parties and the Arbitral Tribunal; 

 2.2. Opening and closing of microphones: the users can control their microphones. Moreover, the Secretariat possesses general control over the microphones, being allowed to mute any Participant;  

2.3. Screening and sharing of Participants´ documents and presentations; 

2.4. Private rooms: waiting rooms or breakout rooms; 

2.5. Controlled access to the meeting: No invitee may enter before or after the appropriate moment;  

2.6. Removal of a Participant: for the removal of a participant that should not be present in whole, or part of the meeting.  

2.7. Chat: for the written communication of all the Participants or between specific Participants (private chats).  

II – Preliminary Arrangements 

3. Before the designation of the hearing, the Arbitral Tribunal shall consult the Secretariat on the availability of the schedule for the conduction of the hearing on the desired day and time. There shall not be hearing scheduling without previous alignment and availability of the Secretariat.  

3.1. The hearings shall be, necessarily, assisted by a Chamber Case Manager.  

4. For better organization, the Chamber recommends each party to present, within reasonable time before the hearing, a list of the people (“Participants”) who will take part in the meeting, indicating the Participant´s electronic mail address, number of remote access spots and eventual Participants that will share the same location.  

4.1. Any advisors or IT professionals that assist the Participants during the hearing will also be considered Participants and shall be identified accordingly.  

4.2. The Parties commit to promptly notify the Arbitral Tribunal, with a copy to the other Parties, regarding any alteration in its Participants list.  

5. In advance to the hearing, the Secretariat will be at the Participants’ disposal to conduct prior connection tests, allowing the familiarization with the tool, to minimize the possibility of technical flaws during the hearing.  

5.1. The Parties commit to, in advance, recommend to the witnesses, representatives and other eventual Participants, to contact the Secretariat for the undertaking of the connection test with the platform.  

6. Each Party must guarantee a quality and stable video connection that allows all Participants to properly interactinteract during the hearing. The Participants are responsible to inform, within reasonable advance, any hardware or software incompatibilities, or any other issue that may compromise the safety and privacy of the hearing or of their participation in it. 

III – In the course of the hearing 

9. The Secretariat holds control of the virtual room access, and the Participants list remains available through the platform tool.  

10. The Secretariat recommends that, at the beginning of the hearing, all Participants must be duly identified with their respective name and position in the arbitral proceeding (arbitrator, counsel, party, witness, advisor, or IT professional, among others), as well declare if they are alone in the room they are present.  

11. Each time a Participant joins or leaves the virtual room, a sound warning will be triggered and, in case the person is not authorized to remain in the room, the Secretariat, when notified by the Participants, may remove or relocate the Participant to an individual waiting room, in which no contact with other Participants will be allowed.   

12. If requested, the Chamber shall provide stenotype transcription services. The stenotypists will connect to the virtual room and will oversee the hearing. 

13. Except in contrary determination of the Arbitral Tribunal, the recording of the virtual hearing shall be made, exclusively, by the Chamber.  

14. Eventual technical issues arisen during the hearing may be directed to the Secretariat, by chat, email (cmasp@ciesp.com.br) or the Chamber´s telephone channels. The Secretariat will endeavor all the efforts to immediately solve the possible incidents, with the support of the platform and CIESP´s technology department, according to the technical issue.  

15. A private room shall be created in case the Arbitral Tribunal needs a spare room for its deliberation.   

16. To facilitate the communication, the Participants shall utilize the chat, being able to choose between sending a message for all Participants or to a specific one.  

16.1. The Participant must observe the addressing option via chat, directing the messages to the desired recipient, to avoid communication mistakes during the hearing. In case the Participant is sharing a document/presentation, via screen share, eventual message exchange may be exposed to the rest of the Participants. 

17. During the hearing, the Arbitral Tribunal might request the Participants to exhibit the room (rotation 360°), so it is possible to verify and confirm the people present in the room.  

18. The Arbitral Tribunal might, temporarily, suspend the hearing in the scenario of a Participant facing technical or connection problems, power failure, or interruptions related to the connection or the safety and privacy of the connection. In these scenarios, the Participant shall immediately communicate the error through a direct phone call to the Case Manager, responsible for the proceeding, that jointly with the support team may aid to solve the eventual difficulty. In the chance of the impossibility of a solution, the Arbitral Tribunal, at its own discretion, may reschedule the hearing, taking into consideration the Participant´s indispensability.  

19. All the Participants, including those acting as a party, arbitrator, counsel, witness, expert, and technical assistant, commit themselves to maintain the confidentiality of the hearing, a binding commitment to all Participants, except in the proceedings not subject to confidentiality.  

IV – After the hearing 

20. Concluded the hearing, if solicited by the Parties and authorized by the Arbitral Tribunal, the Secretariat may make available the archive of audiovisual records. 

V – Best practices 

21. The Secretariat point the Participants to:  

21.1. Perform the connection test, before the meeting, as a way to get to know the tool and verify the stability of its equipment and connection;  

21.2. Engage in the meeting in a private, adequately illuminated room, with no external interference or third-party access to the content of the hearing, as well to eventual documents and information;  

21.3. Have access to a good internet connection, adequate power source, and equipment technologically capacitated for the use of virtual videoconference software, including the possibility of alternative connections;  

21.4. Not connect via public or shared networks, to guarantee data protection;  

21.5. Maintain the antivirus software duly updated;   

21.6. Assure that their equipment and internet connection are safe, private and that Participants guarantee data safety and confidentiality;  

21.7. Maintain the cameras open and positioned, throughout the conduction of the hearing or at the Tribunal´s determination, to guarantee a clear framing of the Participants and allow better comprehension and interaction with the rest of the Participants;  

21.8. Avoid speech overlap and maintain their microphones on mute while waiting for the others Participant´s speech;  

21.9. The Counsels to assure the adequate exhibition of any document to be utilized during the hearing, including with the utilization of image resolution in sufficient size, so that the projected document can be properly read;  

21.10. Be ready to show the room (360° rotation), in case this measure is determined by the Arbitral Tribunal;  

21.11. Not utilize any recording instruments during the hearing, except when expressly authorized by the Arbitral Tribunal;  

21.12. Observe that, in case the Participant is sharing its screen, eventual programs, files, and documents might be exposed to everyone, the reason that is recommended the option of specific document sharing. 

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RESOLUTION Nº 11/2022
Alter Annex I – Schedule of Costs and Arbitrators´ Fees

The President of the Chamber of Conciliation, Mediation and Arbitration Ciesp/Fiesp, in the use of his attributions and powers conferred on sections 4 (g) and (h) of the Chamber´s Internal Regulation; 

Considering that the Chamber´s costs are not adjusted since 2013, the accumulated inflation rates within this period, and the need for the correct compensation of the acting professionals in the arbitral proceedings;

Resolves the following:

• The Annex I “Schedule of costs and Arbitrators Fees” of the present Resolution, becomes Annex I of the Arbitration Rules of the Chamber of Conciliation, Mediation and Arbitration Ciesp/Fiesp.

This Resolution becomes effective on May 2nd, 2022, and applicable to all arbitral proceedings commenced from that date.

 

São Paulo, April 29^th, 2022

Sydney Sanches

Chamber President

 

ANNEX I

SCHEDULE OF COSTS AND ARBITRATORS´

Pursuant to the terms of the Arbitration Rules, hereinafter referred to as Rules, the costs for the administration of proceedings encompass:

1. FILING FEE

1.1. The Filing Fee shall be paid by Claimant, on the date when the Request for Arbitration is submitted, on the amount corresponding to 1% (one percent) of the amount of the matter in dispute, according to the subsequent criteria:  

a) The minimum amount shall be R$ 3.000,00 (three thousand reais);

b) The maximum amount shall be R$ 5.000,00 (five thousand reais).

1.2. Not being possible to define the amount of the matter in dispute, Claimant shall collect the minimum amount, that shall be supplemented when fixed the value in the Term of Reference and/or determined during the Proceeding.

1.3. The Filing Fee is non-refundable. 

2. ADMINISTRATION FEE

Amount of the dispute
Minimum	Maximum	Minimum	Intermediary		Maximum
-	399.999,99	30.000,00	minimum +	0,0000%	30.000,00
400.000,00	499.999,99	30.000,00	minimum +	6,0000%	36.000,00
500.000,00	4.999.999,99	36.000,00	minimum +	1,5000%	103.500,00
5.000.000,00	50.000.000,00	103.500,00	minimum +	0,1750%	182.250,00
50.000.000,01	120.000.000,00	182.250,00	minimum +	0,1500%	287.250,00
120.000.000,01	950.000.000,00	287.250,00	minimum +	0,0085%	357.800,00
950.000.000,01	1.000.000.000,00	357.800,00	minimum +	0,0044%	360.000,00
1.000.000.000,01	-	360.000,00	minimum +	0,0000%

2.1 The Administration Fee shall be collected equally by the Parties, in the proportion of 50% (fifty percent):

2.2. Not being possible to define the amount of the matter in dispute, the Parties shall collect the minimum amount, that shall be supplemented when fixed the value in the Term of Reference and/or determined during the Proceeding.

2.3. The Administration Fee shall be collected equally by the Parties, in the proportion of 50% (fifty percent).

2.4. Upon the receipt of the Request for Arbitration, the Secretary-General shall notify the Parties to collect the Administration Fee within 15 (fifteen) calendar days.

2.5. The Administration Fee is non-refundable.

3. ARBITRATORS´ FEES

3.1. The Arbitrators´ fees shall be equally divided between the Parties, in the proportion of 50% (fifty percent).

3.1.1 In the case of the conduction by a Sole Arbitrator, the fees are to be established by the table below:

Amount of the dispute		Arbitrator Fees
Minimum	Maximum	Minimum	intermediary		Maximum
-	399.999,99	20.000,00	minimum +	0,0000%	20.000,00
400.000,00	499.999,99	20.000,00	minimum +	20,0000%	40.000,00
500.000,00	999.999,99	40.000,00	minimum +	5,0000%	65.000,00
1.000.000,00	1.999.999,99	65.000,00	minimum +	2,5000%	90.000,00
2.000.000,00	2.999.999,99	90.000,00	minimum +	2,0000%	110.000,00
3.000.000,00	3.999.999,99	110.000,00	minimum +	1,5000%	125.000,00
4.000.000,00	4.999.999,99	125.000,00	minimum +	1,0000%	135.000,00
5.000.000,00	15.000.000,00	135.000,00	minimum +	0,7500%	210.000,00
15.000.000,01	20.000.000,00	210.000,00	minimum +	0,5000%	235.000,00
20.000.000,01	25.000.000,00	235.000,00	minimum +	0,2000%	245.000,00
25.000.000,01	150.000.000,00	245.000,00	minimum +	0,1000%	370.000,00
150.000.000,01	300.000.000,00	370.000,00	minimum +	0,0500%	445.000,00
300.000.000,01	450.000.000,00	445.000,00	minimum +	0,0400%	505.000,00
450.000.000,01	1.000.000.000,00	505.000,00	minimum +	0,0300%	670.000,00
1.000.000.000,01	-	670.000,00	minimum +	0,0300%	670.000,00

3.1.2. In case of the conduction by 3 (three) Arbitrators, the fees shall be established following the table below, being 40% (forty percent) due to the Presiding Arbitrator and 30% (thirty percent) to each co-arbitrator:

3.1.1. The termination by withdrawal or agreement between the Parties entitles the payment of the Sole Arbitrator´s fees according to the subsequent criteria:

a) before the signing of the Term of Reference, but after the Arbitrator´s nomination and acceptance, shall be due 30% (thirty percent) of the fixed fees;

b) after the signing of the Term of Reference, and before the evidentiary hearing, shall be due 70% (seventy percent) of the fixed fees;

c) after the evidentiary hearing, shall be due 100% (one hundred percent) of the fixed fees;

3.2. When the Request for Arbitration fails to mention the exact amount of the matter in dispute, the Secretary-General shall determine the collection of the minimum value of the Arbitrator´s fees, that might be supplemented during the Proceeding, in accordance with the ascertained value

3.2.1. It shall rest on the President of the Chamber to decide on the modification of the amount of the matter in dispute. The Sole Arbitrator may, at any moment, inform the Secretary-General about the existence of elements that justify the modification of the amount of the matter in dispute.

3.3. The Secretary-General of the Chamber shall send a collection notice to the parties, demanding prepayment of the arbitrators' fees within fifteen (15) days following the request for arbitration. 

3.4. The payment to the Arbitrators shall be made in three installments as follows: 

a) 30% (thirty percent) upon the filing of the replies;

b) 30% (thirty percent) upon the closing of the production of evidence; and

c) 40% (forty percent) following the entering of the award.

3.5. In case of the issuing of a partial award, at the request of the Arbitral Tribunal, the Arbitrators´ fees might be proportionally anticipated at 50% of the value (item 3.4, c).

3.5.1 Considering the complexity of the conduction of the Proceeding until the issuing of the final Arbitral Award, and by means of a justified request by the Arbitral Tribunal, the President of the Chamber may estipulate the supplementary compensation of the Arbitrators ´Fees up to 20% of the total fixed amount, pursuant to items 3.1.1 and 3.1.2.

3.6. The Arbitrator shall send the incurred expenses report, accompanied by the original receipts, whenever requested by the Secretary-General.

3.7 In case of a substitution of an Arbitrator, the substituted arbitrator shall receive the fees she/he is entitled to for the last concluded phase she/he acted in the Proceeding, under the terms of the sub-items of item 3.4. The new arbitrator shall receive her/his fees regarding the phases from the moment of her/his acceptance, pursuant to the mentioned sub-items.

3.7.1 Any request for collection in a diverse manner than the provision mentioned above, shall be submitted to the analysis of the President of the Chamber.

4. FEES AND ADMINISTRATION FEE OF THE ARBITRATORS´ CHALLENGE COMMITTEE

4.1. In case of Challenge of an Arbitrator, the challenging party shall, along with the request, collect R$ 10.000,00 (Ten Thousand reais), corresponding to the Administration Fees of the Committee for each challenged arbitrator.

4.2. The Parties shall provide the advance of payment of the fees owed to the members of the Committee installed under the terms of item 7.3 of the Arbitration Rules, in the amount of R$ 7.000,00 (seven thousand reais) to each member, representing, in total, R$ 21.000,00 (twenty-one thousand reais). On an exceptional basis, at the Committee’s request, the Presidency might raise the value of the fees. 

4.3. The failure to pay the due costs shall result in the archiving of the request, continuing with the Proceeding. 

5. EXPENSES

5.1. The advance payment of expenses shall be equally collected by the Parties, in the proportion of 50% (fifty percent), whenever requested by the Secretary-General.

5.2. The party that requests any action or remedy shall anticipate its expenses for its performance.

5.3. The Parties, at the request of the Secretary-General, shall proceed with an anticipated collection concerning the Sole Arbitrator´s travel expenses, expenses related to any arbitrator challenge, actions taken outside the place of arbitration, meetings held outside the Chamber working hours or at other locations, interpreter services, transcription services and other resources necessary during the Proceeding.

5.4. The party requesting expert examination shall anticipate its costs unless otherwise determined by the Arbitral Tribunal. The expert works shall only initiate upon the payment in full of the experts´ fees. The Secretary-General shall pay the expert according to the Arbitral Tribunal´s determination.

5.5. Whenever the language of the arbitral proceedings is a foreign language, the Secretariat may hire one or more fluent secretaries, which remuneration and expenses shall be divided between the Parties.

6. GENERAL PROVISIONS

6.1. The Arbitration costs include the Arbitrators ‘Fees and Expenses, the Filing Fee, and the Administration Fee, in respect to the current table on the date of the commencement of the Proceeding and the expenses incurred to its development, including those related to the use of electronic portals and data storing, as defined in the respective Terms and Conditions of Use.

6.1.1. The Parties are responsible for the payment of remittances abroad, in favor of the Arbitrator, including the ones of tax, banking, and exchange nature incurred by the Chamber for the performance of the operation. 

6.1.2. The Parties are responsible for the collection of pension and tax funds that may incur for the payment of the Arbitrator that opts to receive the compensation as a private individual.

6.2. If one of the Parties fails to collect the due amount, in accordance with the provisions of this Annex and/or the Parties´ agreement, the Counterpart shall proceed with the payment to prevent a suspension or extinction of the Proceeding.

6.3. Whenever the collection is made by the Counterpart, the Secretary-General shall inform the Parties and the Arbitrator not to analyze the defaulting party requests, if existent.

6.4. If there is no payment on the due date, the Secretary-General, following an inquiry with the President of the Chamber and/or the Arbitrator, may suspend the Proceeding for a period no longer than two months. Terminated this term, without any collection, the Proceeding might be extinct at the Chamber´s President and/or the Sole Arbitrator´s discretion.

6.5. If there is a counterclaim, the amount of the matter in dispute shall be supplemented with the one presented on the counterclaim. Defined the final amount, the Parties shall proceed with its collection in equal proportion (fifty percent), whenever requested by the Secretariat of the Chamber.

6.6. The Chamber may refuse to administer the arbitral proceedings unless the fees, arbitrators’ fees and expenses are duly paid. 

6.7. Any reimbursement request concerning the Arbitration costs, as well its collection in a diverse manner, shall be analyzed by the President of the Chamber.

6.8. The Secretary-General of the Chamber might concede additional time periods for the Parties to proceed with eventual bank deposits.

6.9. In the cases in which an installment plan for the payment of the Arbitration costs is deferred shall only proceed upon the collection of the last installment.

6.10. The other expenses provisions, as well additions on the Arbitration costs, shall be requested to the Parties by the Secretary-General, if necessary.

6.11. It is under the President´s exclusive jurisdiction to deliberate on the costs regarding the arbitral proceedings, except when he determines that such decision shall be made by the Sole Arbitrator.

6.12. At the end of the Proceeding, the Secretary-General shall present, to the Parties, a statement of costs, Arbitrator´s fees and expenses, and request the payment of any pending amount, in observance of the liability posed in the Arbitral Award.

6.13. The Arbitral Award shall determine the liability for the payment of the Arbitration costs. 

6.14. It is prohibited any alteration and/or negotiation, between the Parties and the Arbitrator, of values related to the Arbitrators ‘fees. 

6.15. In the ad hoc proceedings in which the Chamber, by means of its Presidency, exercise the nomination of the Arbitrators, when agreed between the Parties in their arbitration agreement, the Claimant shall pay, in reason of the Tribunal´s nomination, pay the amount of R$ 7.000,00 (seven Thousand reais) for each nominated arbitrator.

6.16. The Arbitral Award shall be sent to the Parties, exclusively, after the payment in full of the Arbitration costs.

6.17. Upon request, the non-defaulting Companies, associated to CIESP for a corresponding period of over 12 (twelve) months, shall have a deduction of 10% (ten percent) on the value of the Administration Fee, a benefit that will be extended to all Parties of the Proceeding.

6.17.1 0 The aforementioned discount might be extended, to the members of the entities and syndicates affiliated to FIESP, upon the signing of a specific agreement, for this means, with CIESP.

6.18. In the absence of collection of the Arbitration Costs, the Centre of Industries of the State of São Paulo (CIESP) is entitled to enforce, both in-court and out-of-court, the payment of all relevant fees, the Arbitrators´ fees and expenses herein set.

6.19 The value of the costs might be adjusted through a Presidency resolution considering the current economic scenario and the accumulated inflation rate within that period of time.

6.20. Omission and particular cases shall be decided by the President of the Chamber.

6.21. This annex, approved by Resolution n° 11/2022, is an integral part of the Arbitration Rules, approved under the bylaws on November 29^th, 2012, and effective as of August 1^st, 2013.

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RESOLUTION Nº 12/2022
Institutes the Schedule of Costs and Arbitrators´ Fees for the Expedited Arbitration Rules

The President of the Chamber of Conciliation, Mediation and Arbitration Ciesp/Fiesp, in the use of his attributions and powers conferred on sections 4 (d) (f) (g) and (h) of the Chamber´s Internal Regulation; 

Considering the Expedited Arbitration Rules enacted, on March 5^th, 2021, by Resolution n° 7/2021;

Resolves to fix the Schedule of Costs and Arbitrators´ Fees for the Expedited Arbitration Rules through Annex IV below.

This resolution will come into force on May 2^nd, 2022, applicable to the proceedings commenced from that date.

 

São Paulo, April 27^th, 2022.

Sydney Sanches
Chamber President

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ANNEX IV

SCHEDULE OF COSTS AND ARBITRATORS´ FEES FOR THE EXPEDITED ARBITRATION RULES

Pursuant to the Expedited Arbitration Rules (“Rules”), the arbitral proceeding costs encompass:

1. FILING FEE

1.1. The Filing Fee shall be owed and paid by Claimant on the date when the Request for Arbitration is submitted, under the table below:

Amount of the matter in dispute
From	To	Registry Fee
-	400.000,00	2.100,00
400.000,01	500.000,00	2.800,00
500.000,01	1.000.000,00	3.200,00
1.000.000,01	1.500.000,00	3.600,00
1.500.000,01	2.000.000,00	4.000,00

 

1.2. Not being possible to define the amount of the matter in dispute, Claimant shall collect the minimum amount, that shall be supplemented when fixed the value in the Term of Reference and/or determined during the Proceeding.

1.3. The Filing Fee is non-refundable.

2. ADMINISTRATION FEE

2.1. The Administration Fee shall be collected equally by the Parties, in the proportion of 50% (fifty percent), as described in the following table:

 

Amount of the matter in dispute
From	To	Administration
-	400.000,00	21.000,00
400.000,01	500.000,00	22.500,00
500.000,01	1.000.000,00	28.800,00
1.000.000,01	1.500.000,00	33.800,00
1.500.000,01	2.000.000,00	38.800,00

 

 2.2. Not being possible to define the amount of the matter in dispute, the Parties shall collect the minimum amount, which shall be supplemented when fixed the amount of the dispute in the Term of Reference and/or as determined during the proceeding.

2.3. Upon the receipt of the Request for Arbitration, the Secretary-General shall notify the Parties to collect the Administration Fee within 7 (seven) calendar days.

2.4. The Administration Fee is non-refundable.

3. ARBITRATORS´ FEES

3.1. The Sole Arbitrator fees shall be equally divided between the Parties, in the proportion of 50% (fifty percent), accordingly to the following table:

Amount of the matter in dispute
From	Até	Honorários R$
-	100.000,00	14.000,00
100.000,01	200.000,00	15.500,00
200.000,01	300.000,00	17.000,00
300.000,01	400.000,00	18.000,00
400.000,01	500.000,00	19.000,00
500.000,01	1.000.000,00	32.000,00
1.000.000,01	1.500.000,00	39.000,00
1.500.000,01	2.000.000,00	45.500,00

3.1.1. The termination by withdrawal or agreement between the Parties entitles the payment of the Sole Arbitrator´s fees according to the subsequent criteria:

a) before the signing of the Term of Reference, but after the Sole Arbitrator´s nomination and acceptance, shall be due 30% (thirty percent) of the fixed fees;

b) after the signing of the Term of Reference, and before the start of the deadline set on item 5.1 of the Rules, shall be due 70% (seventy percent) of the fixed fees;

c) after the start of the deadline set on item 5.1 of the Rules, shall be due 100% (one hundred percent) of the fixed fees;

 3.2. When the Request for Arbitration fails to mention the exact amount of the matter in dispute, the Secretary-General shall determine the collection of the minimum value of the Arbitrator´s fees, which might be supplemented during the Proceeding, following the ascertained value.

3.2.1. It shall rest on the President of the Chamber to decide on the modification of the amount of the matter in dispute. The Sole Arbitrator may, at any moment, inform the Secretary-General about the existence of elements that justify the modification of the amount of the matter in dispute.

3.3. The Secretary-General shall send, to the Parties, the billing notification concerning the advance payment of the Arbitrators´ Fees, within 7 (seven) days of the commencement of the Proceeding.

3.4. The payment to the Sole Arbitrator shall be made in two installments as follows:

a) 15% (fifteen percent) after the signing of the Term of Reference; 

b) 85% (eighty-five percent) after the presentation of the last decision of the Proceeding;

3.5 In the cases in which the evidentiary hearing is dismissed, if solicited by the Parties, there might be conceded a 10% (ten percent) discount on the total amount of the Administration Fee, according to the Secretariat deliberation.

3.6. The Sole Arbitrator shall send the incurred expenses report, accompanied by the original receipts, whenever requested by the Secretary-General.

4. FEES AND ADMINISTRATION FEE OF THE ARBITRATORS´ CHALLENGE COMMITTEE

4.1. In case of challenge of the Sole Arbitrator, it shall be applied the proceeding present on item 4.2 of Annex I of the Arbitration Rules.

5. EXPENSES

5.1. The advance payment of expenses shall be equally collected by the Parties, in the proportion of 50% (fifty percent), whenever requested by the Secretary-General.

5.2. The party that requests any action or remedy shall anticipate its expenses for its performance.

5.3. The Parties, at the request of the Secretary-General, shall proceed with an anticipated collection concerning the Sole Arbitrator´s travel expenses, expenses related to any arbitrator challenge, actions taken outside the place of arbitration, meetings held outside the Chamber working hours or at other locations, interpreter services, transcription services and other resources necessary during the Proceeding.

5.4. Whenever the language of the arbitral proceedings is a foreign language, the Secretariat may hire one or more fluent secretaries, which remuneration and expenses shall be divided between the Parties.

6. GENERAL PROVISIONS

6.1. The Arbitration costs include the Arbitrators ‘Fees and Expenses, the Filing Fee, and the Administration Fee, in respect to the current table on the date of the request of the Proceeding and the expenses incurred to its development, including those related to the use of electronic portals and data storing, as defined in the respective Terms and Conditions of Use.

6.1.1. The Parties are responsible for the payment of remittances abroad, in favor of the Arbitrator, including the ones of tax, banking, and exchange nature incurred by the Chamber for the performance of the operation. 

6.1.2. The Parties are responsible for the collection of pension and tax funds that may incur for the payment of the Arbitrator that opts to receive the compensation as a private individual.

6.2. If one of the Parties fails to collect the due amount, in accordance with the provisions of this Annex IV and/or the Parties´ agreement, the Counterpart shall proceed with the payment to prevent a suspension or extinction of the Proceeding.

6.3. Whenever the collection is made by the Counterpart, the Secretary-General shall inform the Parties and the Sole Arbitrator not to analyze the defaulting party requests, if existent.

6.4. If there is no payment on the due date, the Secretary-General, following an inquiry with the President of the Chamber and/or the Sole Arbitrator, may suspend the Proceeding for a period no longer than two months. Terminated this term, without any collection, the Proceeding might be extinct at the Chamber´s President and/or the Sole Arbitrator´s discretion.

6.5 The segregation of costs provisions are not applicable to the Expedited proceedings.

6.6. If there is a counterclaim, the amount of the matter in dispute shall be supplemented with the one presented on the counterclaim. Defined the final amount, the Parties shall proceed with its collection in equal proportion (fifty percent), whenever requested by the Secretariat of the Chamber.

6.7. The Chamber may refuse to administer the Proceeding if the Arbitration costs are not collected.

6.8. Any reimbursement request concerning the Arbitration costs, as well its collection in a diverse manner, shall be analyzed by the President of the Chamber.

6.9. Omission and particular cases shall be decided by the President of the Chamber.

6.10. The Secretary-General might concede additional time periods for the Parties to proceed with eventual bank deposits.

6.11. In the Expedited Arbitration proceedings administered by the Chamber, the cases in which an installment plan for the payment of the Arbitration costs is deferred shall only proceed upon the collection of the last installment.

6.12. The other expenses provisions, as well additions on the Arbitration costs, shall be requested to the Parties by the Secretary-General, if necessary.

6.13. The President of the Chamber is exclusively competent to decide on costs relative to arbitral proceedings, except where he determines that such decision shall be made by the Sole Arbitrator.

6.14. At the end of the Proceeding, the Secretary-General shall present, to the Parties, a statement of costs, Arbitrator´s fees, and expenses, and request the payment of any pending amount, in observance of the liability posed in the Arbitral Award.

6.15. The Arbitral Award shall determine the liability for the payment of the Arbitration costs.

6.16. It is prohibited any alteration and/or negotiation, between the Parties and the Arbitrator, of values related to the Arbitrators ‘fees. 

6.17. The Arbitral Award shall be sent to the Parties, exclusively, after the payment in full of the Arbitration costs.

6.18. Upon request, the non-defaulting Companies, associated to CIESP for a corresponding period of over 12 (twelve) months, shall have a deduction of 10% (ten percent) on the value of the Administration Fee, a benefit that will be extended to all Parties of the Proceeding.

6.19. In the absence of collection of the Arbitration Costs, the Centre of Industries of the State of São Paulo (CIESP) is entitled to enforce, both in-court and out-of-court, the payment of all relevant fees, the Arbitrators´ fees, and expenses herein set.

6.20. Omission and particular cases shall be decided by the President of the Chamber.

6.21. This annex, approved by Resolution n°12/2022, is an integral part of the Expedited Arbitration Rules, and applies to the upcoming proceedings, as of May 2^nd, 2022.

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RESOLUTION nº 13/2022
INSTITUTES THE PORTAL FOR THE ONLINE MANAGEMENT OF THE CASES AND SET RULES ON ITS OPERATION

The President of the Chamber of Conciliation, Mediation and Arbitration Ciesp/Fiesp ("Chamber”), in the use of his attributions and powers conferred on sections 4 f) and h)1 of the Chamber’s Internal Regulation;

Considering the Chamber ́s intention to modernize the tools for the management of the proceedings and the approval by the Superior Council for the contracting of a digital platform dedicated to the administration of the cases;

Considering the improvement of safety, efficiency, celerity and transparency aggregated by the digitalization of the proceedings’ management;

Considering that the Arbitration Rules, the Mediation Rules, and the Dispute Prevention and Resolution Committee Rules (“Dispute Board”), now in force (“Rules”), do not provide dispositions regarding the digital administration of cases and that is necessary to discipline the omission points;

Considering the Superior Council’s deliberations and suggestions;

Resolve to issue this resolution to institute and regulate the Portal of online management of proceedings of the Chamber.

I –ELECTRONIC PORTAL

Article 1. The Portal of online case management of the Chamber (“Portal”) is a platform for the administration and digital execution of all procedural acts in an arbitral, mediation and dispute board proceeding, hosted on the website . The Portal was developed to better serve the fundamental aspects of the proceedings, in accordance with the respective regulations of the Chamber.

The Portal shall be used to:

• a) Identify all the participants in arbitration, mediation or dispute board proceedings;
• b) Filesubmissions,communications,decisionsandotherdocuments;
• c) Consult and visualize all archives that are part of the proceeding (case files);
• d) Monitor the progress of the case, in real-time, with 24 hours access;
• e) Access the financial status of the proceeding.

Article 2. As of September 1st, 2022, the request for initiation of a new proceeding shall be made exclusively through the Chamber’s website, on https://www.camaradearbitragemsp.com.br/en/portal-camara.html, with the filling of the “Request initiation” form and the attachment of the relevant documents in the appropriate area, including the proof of collection of the costs for initiation, according to the respective Rules of each type of proceedings of the Chamber. Following on, the party will receive, by email, the invitation to access the case files of the proceeding on the Portal.

§ 1 For the proceedings initiated before the date that this Resolution comes into force and that had already signed the Term of Reference, Statement of Mediation or Statement of Formation of the Committee of Dispute Board (“Statements”), the use of the Portal is optional and only will occur in case all involved expressly agree to migrate the proceeding to the digital platform, by an amendment to the Term.

§ 2 For the proceedings initiated before the date that this Resolution comes into force and that had not yet signed the Statements, the involved ones, if they so wish, may implement the rules of this Resolution, and migrate the administration of the proceeding to the Portal, by expressly manifesting it in the Term of Reference, Mediation or Constitution of Committee of Dispute Board.

§ 3o Specifically for the cases of paragraphs 1 and 2 of this article, the Secretariat of the Chamber will promote the conversion of the proceeding to processing via Portal upon the charge of fee related to the Additional Data Package in force, in accordance with the Terms of use of the Portal and the data volume and necessary storage space, to be discounted from the expenses fund. The Secretariat shall inform the estimated period for the migration.

Article 3. Each proceeding will be hosted in an individual electronic address (“site”), protected in accordance with the most rigorous data safety rules, as well as will be processed independently and privately from the other proceedings that already are registered or that may be registered in the Portal.

Article 4. As a rule, the access to the proceeding’s site will be restricted to the parties and their representatives (upon presentation of power of attorney), Arbitrators, Mediators, Board members, members of the Secretariat and the Secretary of the Arbitral Tribunal. As appropriate, experts, third parties, amicus curiae and technical assistants may also have access to the platform.

§ 1 The user will have access to the platform through a login and password system, after accepting the Terms of use of the Portal.

§ 2 The login and password data are personal and non-transferable, the user shall be responsible for their safekeeping and secrecy.

§ 3 If the user participates in more than one proceeding registered in the Portal, the login and password data will be the same used to access the Portal and the sites of each case in which the participant is involved.

Article 5. All data ,entered in the Portal, that may identify an individual (personal data) are subject to the Brazilian Data Protection General Law (Lei 13.709/2018 - LGPD) and the European General Data Protection Regulation (Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016) and will be treated in accordance with the Privacy Policy available in the platform, which reading is mandatory before its use.

Article 6. Once granted the proceeding ́s site, all communications between Parties, Arbitrators, Mediators, Board members, Members of the Chamber ́s Secretariat and/or third parties involved, shall be conducted through the platform, including, but not limited to:

• a) Notifications and communications of the Secretariat of the Chamber;
• b) SubmissionsanddocumentsoftheParties;
• c) Decisions of the Arbitral Tribunal and Board members;
• d) Communications of the Arbitral Tribunal, Mediators and Board members;
• e) Collection of costs.

Single Paragraph. All communications forwarded by any other means than the Portal shall not be considered valid and, thus, will not be filed to the proceeding, including email or in-person filing, unless in case of unavailability – in accordance with Article 13 – or if there is a different orientation from the Arbitral Tribunal, Mediator, Board members or the Presidency of the Chamber.

Article 7. The notice of all involved regarding the procedural acts of the said proceeding, including decisions, will be made through an automatic notification email by the Portal, which will start the count of the time terms.

§ 1 The notification emails will be sent without attached documents, on behalf of the safety and confidentiality of the proceedings. After being electronically noticed, those involved are responsible for accessing the Portal for the proper monitoring of the proceeding and compliance with deadlines.

§ 2 In case of default of one or more participants, all communications, progress, and documents of the proceeding will be sent by express courier with proof of receipt to the party not registered in the Portal. Until the proceeding ́s termination, the Chamber will grant the registration in the Portal to the defaulting party.

II – MODIFICATION OF THE ARBITRATION RULES

Article 8. The subitems 9.1, 9.2, and 9.3 of item 9 (Notices, time limits, and filing of documents) of the Chamber Arbitration Rules, in force since 1 August 2013, become effective with the following wording:

“9.1. For the purposes of these Rules, the notices shall be made by electronic mail sent by the Online Case Management Portal of the Chamber (Portal), except for the communication of the notice of initiation of a new proceeding and other acts for which the physical communication is necessary, cases in which the hard copies will be sent by express courier with proof of receipt.

9.1.1. For the cases initiated before the enforcement of the Presidency Resolution 13/2022 and that opt not to migrate to the Portal, the mean of communication shall follow the agreed in the specific case and in items 2.2 and following of the Presidency Resolution 10/2022, updated on 1 September 2022.

9.2. The time limits will be counted, on calendar days, as of the first business day following the receipt of the electronic mail from the Portal or, if it is the case, from the hard copy, except for the provisions with a certain deadline or if otherwise established in the Term of Reference.

9.2.1. The users are responsible for verifying their respective electronic mails to monitor the receipt of the messages and communications related to the proceedings.

9.2.2. The time limits that expire on a non-business day will be extended to the following business day, except if there is another specific provision in the concrete case.

9.2.3. It shall be deemed a business day, the ones with a practical expedient in the Chamber.

9.3 The deadlines will be suspended during the period of recess of the Chamber, except the ones that were provided to be fulfilled on a specific date, as well as the urgent matters, for the proceedings of the Interim Arbitrator that have already been initiated or if otherwise provided in the concrete case.

9.3.1 During the period of recess, the Portal will remain active and available for filing by the users, who shall observe the type of filing to be made so all interested parties have immediate acknowledgement of the filed archive.

9.3.2 At the end of the recess, the Chamber will organize the documents in the Portal, if necessary.”

III – MODIFICATION OF DISPUTE BOARD RULES

Article 9. Items 10.1, 10.2, and 10.3 of Article 10 (Communications, time-periods, and submission of documents) of the Dispute Prevention and Resolution Committee Rules, in force since August 6th , 2018, become effective with the following wording:

“10.1. The communications and filing of the Parties ́manifestations and documents shall be made on the Online Case Management Portal of Ciesp/Fiesp Chamber (Portal) and the involved ones will be notified by electronic mail sent to the electronic addresses informed in the Statement of Formation of the Committee.

10.2. The time-periods will be counted, on calendar days, as of the first business day following the receipt of the electronic mail from the Portal or, if it is the case, from the hard copy, except for the provisions with a certain deadline or if otherwise established in the Statement of Formation of the Committee.

10.2.1 The users are responsible for verifying their respective electronic mails to monitor the receipt of the messages and communications related to the proceedings.

10.2.2 The deadlines that expire on a non-business day will be extended to the following business day, except if there is another specific provision in the concrete case.

10.2.3 It shall be deemed a business day, the ones with a practical expedient in the Chamber.

10.3 The deadlines will be suspended during the period of recess of the Chamber, except the ones that were provided to be fulfilled on a specific date, as well as the urgent matters, or if otherwise provided in the concrete case.

10.3.1 During the period of recess, the Portal will remain active and available for filing by the users, who shall observe the type of filing to be made so all interested parties have immediate acknowledgement of the filed archive.

10.3.2 At the end of the recess, the Chamber will organize the documents in the Portal, if necessary.”

IV – MODIFICATION OF MEDIATION RULES

Article 10. The Mediation Rules of the Chamber, in force since August 1st , 2013, are added to item 4.A – Communications, Deadlines, and Documents delivery:

“4.A Communications, Deadlines, and Documents delivery

4.A.1. The notifications of the mediation proceedings shall be made by electronic mail sent by the Online Case Management Portal of the Ciesp/Fiesp Chamber (Portal) to the electronic addresses informed in the Parties’ submissions and/or in the Statement of Mediation.

4.A.1.1 The users are responsible for verifying their respective electronic mails to monitor the receipt of the messages and communications related to the proceedings.

4.A.2 The filing of submissions and documents by the Parties shall follow, as appropriate, the applicable rules of the Arbitration Rules, in force since August 1st ,2013 and updated on September 1st , 2013.

4.A.3 The processing of the proceedings will be suspended during the period of recess of the Chamber, except for urgent matters, or if otherwise provided in the concrete case.

4.A.3.1 During the period of recess, the Portal of the Chamber will remain active and available for filing by the users, who shall observe the type of protocol to be made so all interested parties have immediate acknowledgement of the filed archive.

4.A.3.2 At the end of the recess, the Chamber will organize the documents in the Portal, if necessary”

V – MODIFICATION OF CHAMBER’S RESOLUTION 10/2022

Article 11. The item 2 (Exclusive Electronic Filing) of the Resolution of the Presidency of the Chamber 10/2022, becomes effective with the following wording:

“2. Exclusive Electronic Filing

2.1 For the purposes of filing, all submissions and documents shall be submitted to the proceeding’s site hosted on the Online Case Management Portal of the Ciesp/Fiesp Chamber (Portal), in accordance with the User’s Manual available on the Chamber ́s website, respecting the nature of the communication and the type of deadline to be fulfilled as stated in the concrete case.

2.2 For the cases initiated previously to the validity of the Presidency Resolution 13/2022, that did not migrate to the Portal or did not establish the communications rules for the concrete case, all communications, submissions, and documents shall be electronically sent to the emails cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br, observing all the respective email addresses that shall be copied in the message, according to the established in the given case.

2.2.1 The use of transfer cloud links or documents in the .ZIP format is recommended, when necessary, due to the volume of data.

2.2.1 The Secretariat will acknowledge receipt of the electronic message, indicating the received files for verification purposes and proof of the fulfillment of the scheduled deadlines.

2.3 The digital archives sent shall be deemed original, under the responsibility of the Sender.

2.4 In case the filing is made under items 2.1 and 2.2, the filing of the hard copies is dismissed.

2.5 New Requests for Arbitration, Mediation or Dispute Board proceedings, including those of urgent nature as the Interim Arbitrator proceeding, shall be presented, exclusively, by electronic means, through the Chamber’s website, with the filling of the form available on https://www.camaradearbitragemsp.com.br/en/portal-camara.html.”

VI – GENERAL PROVISIONS

Article 12. For purposes of counting time-periods, the official Brazilian time must be used as a reference (GMT -3).

Article 13. In case of unavailability of the Portal, the involved ones must observe the following orientations:

§ 1 Exclusive term of one of the Parties: the party shall communicate the unavailability to the Secretariat of the Chamber by email [cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br], with the subject: “UNAVAILABILITY OF THE PORTAL – CMA [number]”. The others involved in the proceeding shall be copied in this message, in which shall be attached the submission for the deadline compliance, as well contain a link to access the relevant documents, if any. The submission and documents shall be filed in the Portal by the Secretariat, as soon the regular access to the platform is reestablished.

§ 2 Parties’ common term: the parties shall send two emails to the Secretariat of the Chamber [cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br]:

• a) The first one shall have as subject: “UNAVAILABILITY OF THE PORTAL – CMA [number]” – reporting the access problem of the platform and copying all involved in the proceeding;
• b) Thesecondoneshallhaveassubject:“CMA[number]–Submission–Commonterm”,with the submission as an attachment, as well contain a link to access the relevant documents, if any. The submission and documents shall be filed in the Portal by the Secretariat, as soon the regular access to the platform is reestablished.

§ 3 Filing from the Arbitral Tribunal, Mediator, or member of the Board: the user shall communicate the unavailability to the Secretariat by email [cmasp@ciesp.com.br with a copy to secgeral.cmasp@ciesp.com.br], with the subject: “UNAVAILABILITY OF THE PORTAL – CMA [number]”. If there is a document or communication to be sent to the Parties, the file shall be attached to the email as well shall be clarified, in the message, if the archive can be made available in the consultation to the proceeding folder as soon as the system is reestablished, which will be provided by the Secretariat as soon as possible. In case of urgent decisions and communications, these will be sent to all involved, by the Secretariat via email, with a receipt confirmation request.

§ 4 The Secretariat will verify the occurrence of the reported unavailability in accordance with §§1 and 2 and will certify the fact so that the Arbitral Tribunal, the Mediator, or the members of the Board may decide at their own discretion.

§ 5 If the unavailability occurs before the formation of the Arbitral Tribunal, or the nomination of the Mediator or the member of the Board, the Secretary-General of the Chamber will verify the occurrence, proceeding to its certification and deliberation before the Presidency about the reception of the submission.

Article 14. The Manual of the Portal, which details the features and specifications of the platform, is deemed read by all participants.

Article 15. This Resolution comes into effect on September 1st, 2022. São Paulo, August 29th, 2022.

Sydney Sanches
President of the Ciesp/Fiesp Chamber

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