发布时间： 2008-4-16 供稿人：
ICC DOCDEX RULES
ICC Rules for
Documentary Instruments Dispute Resolution Expertise
(First revision, effective from 15 March 2002)
(republished with grammatical and typographical corrections July 2002)
Article 1: Dispute Resolution Service
1.1. These Rules concern a service called Documentary Instruments Dispute Resolution Expertise (DOCDEX) which is available in connection with any dispute related to:
· a documentary credit incorporating the ICC Uniform Customs and Practice for Documentary Credits (UCP), and the application of the UCP and/or of the ICC Uniform Rules for Bank-to-Bank Reimbursement under Documentary Credits (URR),
· a collection incorporating the ICC Uniform Rules for Collections (URC), and the application of the URC,
· a demand guarantee incorporating the ICC Uniform Rules for Demand Guarantees (URDG), and the application of the URDG.
Its objective is to provide an independent, impartial and prompt expert decision (DOCDEX Decision) on how the dispute should be resolved on the basis of the terms and conditions of the documentary credit, the collection instruction, or the demand guarantee and the applicable ICC Rules, be it the UCP, the URR, the URC or the URDG (ICC Rules).
Any reference to DOCDEX will be deemed to apply to the latest version of the DOCDEX Rules and the applicable version of the ICC Rules, unless otherwise stipulated in the documentary credit, the collection instruction or the demand guarantee.
1.2. DOCDEX is made available by the International Chamber of Commerce (ICC) through its International Centre for Expertise (Centre) under the auspices of the ICC Commission on Banking Technique and Practice (Banking Commission).
1.3. When a dispute is submitted to the Centre in accordance with these rules, the Centre shall appoint three experts from a list of experts maintained by the Banking Commission. These three experts (Appointed Experts) shall make a decision which, after consultation with the Technical Adviser of the Banking Commission, shall be rendered by the Centre as a DOCDEX Decision in accordance with these Rules. The DOCDEX Decision is not intended to conform with any legal requirements of an arbitration award.
1.4. Unless otherwise agreed, a DOCDEX Decision shall not be binding upon the parties.
1.5. In the DOCDEX procedure the communication with the Centre shall be conducted exclusively in writing, i.e. by communication received in a form that provides a complete record thereof, via teletransmission or other expeditious means.
Article 2: Request
2.1. The Initiator shall apply for a DOCDEX Decision by submission of a request (Request). The Initiator may be one of the parties to the dispute applying individually, or more or all parties to the dispute submitting jointly a single Request. The Request, including all documents annexed thereto, shall be supplied to the Centre in
2.2. A Request shall be concise and contain all necessary information clearly presented, in particular the following:
2.3. The Request must be accompanied by the payment of the Standard Fee as per the Appendix hereto. No Request shall be processed unless accompanied by the requisite payment.
Article 3: Answer
3.1. The Respondent may submit an Answer to the Initiator's Request. The Respondent may be one or more of the parties to the dispute named in the Request as Respondent, each submitting an individual Answer or submitting jointly a single Answer. The Answer must be received by the Centre within the period stipulated in the Centre's Acknowledgement of the Request (see Article 5). The Answer, including all documents annexed thereto, shall be supplied to the Centre in
3.2. An Answer shall be concise and contain all necessary information clearly presented, in particular the following:
3.3. If the Respondent does not provide a statement pursuant to Article
Article 4: Supplements
4.1. Request, Answers and Supplements shall be final as received.
4.2. The Centre may ask the Initiator and Respondent, by way of an Invitation, to submit specific supplementary information, including copies of documents, relevant to the DOCDEX Decision (Supplement).
4.3. Supplements must be received by the Centre in four copies within the period stipulated in the Invitation. The Supplement shall be concise and contain all necessary information clearly presented and include copies of relevant documents. It shall also contain:
4.4. Supplements shall only be submitted to the Centre upon and in accordance with an Invitation issued by the Centre.
Article 5: Acknowledgements and Rejections
5.1. The Centre shall confirm the receipt of Requests, Answers and Supplements to the Initiator and Respondent (Acknowledgement).
5.2. The Centre will stipulate a reasonable period of time within which each Answer or Supplement must be received by the Centre. The stipulated time should not exceed 30 days after the date of the Acknowledgement of the receipt of a Request or 14 days after the date of an Invitation to submit a Supplement.
5.3. Any Answer or Supplement received by the Centre after expiry of the period of time specified in the relevant Acknowledgement or Invitation, or any communication not solicited by the Centre, shall be disregarded.
5.4. By advice to the Initiator and Respondent, the Centre may reject at any time, before or after its Acknowledgement, any Request, Answer or Supplement, in whole or part,
5.5. Periods of time specified in these Rules or in any Acknowledgement or Invitation referring to days shall be deemed to refer to consecutive calendar days and shall start to run on the day following the date of issuance stated in the relevant Acknowledgement or Invitation. If the last day of the relevant period of time is, or any fixed day falls on, a non-business day in
Article 6: Appointment of Experts
6.1. The Banking Commission will maintain internal lists of experts having profound experience and knowledge of the applicable ICC Rules.
6.2. Upon receipt of a Request, the Centre shall appoint three independent experts from the list. Each Appointed Expert shall declare his independence of the parties indicated in the Request. The Centre shall designate one of the three Appointed Experts to act as their Chair.
6.3. An Appointed Expert shall at all times keep strictly confidential all information and documents related to any DOCDEX case.
6.4. Where an Appointed Expert deems that he is unable to carry out his functions, he shall immediately give notice of termination to the Centre. Where the Centre deems that an Appointed Expert is unable to carry out his functions, it shall immediately give notice of termination to such Appointed Expert. In either case, such Appointed Expert shall immediately return to the Centre the Request, Answer(s) and Supplement(s) received, including all documents annexed thereto, and the Centre shall inform the other Appointed Experts of such termination.
6.5. The Centre shall, without delay, replace an Appointed Expert whose appointment is prematurely terminated pursuant to Article 6.4 of these Rules and the Centre shall inform the other Appointed Experts accordingly.
Article 7: Appointed Experts' Procedure
7.1. The Centre shall submit to the Appointed Experts the Request, Answer(s) and Supplement(s) received in connection therewith
7.2. The Appointed Experts shall render their decision impartially and exclusively on the basis of the Request, Answer(s) and Supplement(s) thereto, and the documentary credit and the UCP and/or URR, or the collection and the URC, or the demand guarantee and the URDG.
7.3. Where it is deemed necessary by the Appointed Experts, their Chair may ask the Centre to invite the Initiator and Respondent, pursuant to Article 4 of these Rules, to provide additional information and/or copies of documents.
7.4. Within 30 days after they have received all information and documents deemed by them to be necessary and appropriate to the issues to be determined, and provided that the Additional Fee as mentioned in Article 10.1 is paid, the Appointed Experts shall draft a decision and their Chair shall submit the decision to the Centre.
7.5. Neither the Initiator nor the Respondent shall
- seek an oral hearing in front of the Appointed Experts,
- request ICC to reveal the name of any Appointed Expert,
- seek to have an Appointed Expert or officer of the Banking Commission called as witness, expert or in any similar function to an arbitral tribunal or a court of law hearing the dispute in connection with which such Appointed Expert or officer of the Banking Commission participated by rendering a DOCDEX Decision.
Article 8: DOCDEX Decision
8.1. Upon receipt of the decision of the Appointed Experts, the Centre shall consult with the Technical Adviser of the Banking Commission or his nominated delegate, to ascertain that the DOCDEX Decision will be in line with the applicable ICC Rules and their interpretation by the Banking Commission. Amendments suggested by the Technical Adviser (or his delegate) shall be subject to the consent of the majority of the Appointed Experts.
8.2. Subject to Article 10.2 of these Rules, the Centre will issue and make available the DOCDEX Decision without delay to
8.3. The DOCDEX Decision shall be issued by the Centre in the English language, unless Appointed Experts decide otherwise, and shall contain, inter alia, the following:
8.4. The DOCDEX Decision shall be deemed to be made at
Article 9: Deposit and publication of the DOCDEX Decision
9.1. An original of each DOCDEX Decision shall be deposited with the Centre and shall be kept there for 10 years.
9.2. The ICC may publish any DOCDEX Decision, provided always the identities of the parties to the dispute are not disclosed.
Article 10: Costs of DOCDEX
10.1. The costs of the DOCDEX service shall be the Standard Fee set out in the Appendix. The Standard Fee shall not be recoverable. In exceptional circumstances, an Additional Fee may be payable which shall be fixed by the Centre at its discretion, taking into account the complexity of the issue and subject to the ceiling set out in the Appendix under "Additional Fee". Such Additional Fee shall be invoiced to the Initiator within a reasonable time, at the latest, within 45 days after the date of the Acknowledgement of the Request. The Centre will fix a time limit for the payment of the Additional Fee. The Centre may stay the procedure at any time, and instruct the Appointed Experts to suspend their work on the case, until the Additional Fee is paid by the Initiator. No Additional Fee will be charged where the amount of the letter of credit, the collection, or the demand guarantee in dispute does not exceed the minimum amount stated in the Appendix.
10.2. The DOCDEX Decision shall not be issued until the Centre has received the Additional Fee, if invoiced.
Article 11: General
11.1. In all matters not expressly provided for in these Rules, the Centre, experts, Appointed Experts, officers, officials and employees of ICC shall adhere to strict confidentiality and shall act in the spirit of these Rules.
11.2. Appointed Experts, officers, officials and employees of ICC assume no liability or responsibility for the consequences arising out of delay and/or loss in transit of any message(s), letter(s) or document(s), or for delay, mutilation or other error(s) arising in the transmission of any telecommunication, or for errors in translation and/or interpretation of technical terms.
11.3. Appointed Experts, officers, officials and employees of ICC assume no liability or responsibility for the discharge or purported discharge of their functions in connection with any DOCDEX Decision, unless the act or omission is shown not to have been in good faith.