I. Prepaid Arbitration Fees and Costs
Schedule I
1. Unless otherwise provided by the SCIA, This Schedule I applies to arbitration cases under Article 2 (1) of the SCIA Arbitration Rules.
2. The parties shall pay the arbitration fees and costs in advance in accordance with the rates under this Schedule I for their respective claim or counterclaim.
3. The AID shall be on the basis of the amount of money claimed by the parties. The actual amount in dispute shall prevail if it is inconsistent with the claimed amount in dispute. Where no monetary claim is specified or the amount in dispute is not clear, the amount of arbitration fee shall be determined by the SCIA in consideration of the specific rights and interests involved in the disputes.
4. If the arbitration fee is charged in a foreign currency, an amount of the foreign currency equivalent to the corresponding RMB value specified in Schedule I shall be paid.
5. The SCIA may charge for other disbursements reasonably incurred in accordance with the relevant provisions under the SCIA Arbitration Rules.
6. Unless otherwise provided in the SCIA Arbitration Rules, the remuneration of the arbitrator(s) shall be paid from the arbitration fees and costs collected by the SCIA. The SCIA shall take into account of factors such as the time spent by the arbitrator(s) to handle the case, the complexity of the case, and the diligence and efficiency of the arbitrator(s) while determining the remuneration of the arbitrator(s).
II. Advance Payment of Arbitration Fees and Costs in Installments
In cases whereby a large amount of arbitration fees and costs is payable under Article 1 of this Schedule I or there are other special circumstances in any arbitration case, the SCIA may, upon the request of the parties, agree to allow the parties to make the advance payment of the arbitration fees and costs in installments, provided that:
1. No less than one-third of the total arbitration fees and costs is paid upon request for arbitration;
2. No less than half of the total arbitration fees and costs is paid by the time the arbitral tribunal is formed; and
3. The total arbitration fees and costs shall be paid in full by the time of the hearing.
III. Arbitration Fees and Costs in Cases Where an Arbitral Award or Mediation Statement is Made in Accordance with the Settlement Agreement
In accordance with Article 48 (5), Article 49 (1) and (2) of the SCIA Arbitration Rules, if the parties request an Arbitral Award or a Mediation Statement in accordance with the content of the Settlement Agreement, the fees and costs shall be charged as follows:
1.If a settlement is reached before applying for arbitration, the parties shall pay the arbitration fees and costs in accordance with Schedule II.
Schedule II
2. If a settlement is reached after the acceptance of the arbitration application and before the formation of the arbitral tribunal, 50% of the arbitration fees and costs will be returned.
3. If a settlement is reached before the first hearing after the formation of the arbitral tribunal, 40% of the arbitration fees and costs will be returned.
4. If a settlement is reached after the hearing, 20% of the arbitration fees and costs will be returned.
5. For cases decided on the basis of documents only, if a settlement is reached after the formation of the arbitral tribunal, 20%-40% of the arbitration fees and costs will be returned considering factors such as the progress and complexity of the case and the workload of the arbitral tribunal.
6. If the amount in dispute involved in the settlement reached by the parties after the commencement of the arbitration proceedings exceeds the original arbitration claim, the arbitration fees and costs shall be calculated on the basis of the increased actual amount of the dispute.
7. If the parties apply for mediation or negotiation facilitation to the SCIA Mediation Center or Negotiation Facilitation Center in advance yet fail to reach a settlement and apply for arbitration, the prepaid arbitration fees and costs shall deduct the mediation or negotiation facilitation fees already paid by the parties.
IV. Arbitration Fees and Costs for Dismissed Cases
Unless otherwise provided by the SCIA, the fees and costs for dismissed cases under Article 47 (2) of the SCIA Arbitration Rules shall be as follows:
1. If the case is dismissed prior to the formation of arbitral tribunal, 80% of the arbitration fees and costs shall be returned.
2. If the case is dismissed after the formation of the arbitral tribunal and before the first hearing, 60% of the arbitration fees and costs shall be returned.
3. If the case is dismissed after the first hearing, 40% of the arbitration fees and costs shall be returned.
4. For cases decided on the basis of documents only, if the dismissal is made after the formation of the arbitral tribunal, 40%-60% of the arbitration fees and costs shall be returned considering the progress, complexity of the case, and the workload of the arbitral tribunal.
V. Arbitration Fees and Costs for Consolidated Arbitration
For consolidated arbitration conducted in accordance with Article 18 of the SCIA Arbitration Rules, 20% of the arbitration fees and costs shall be returned for each case.
VI. Arbitration Fees and Costs in Relation to Arbitral Cases Governed by UNCITRAL Arbitration Rules
As for the international and foreign-related arbitration cases and those related to the Hong Kong Special Administrative Region, the Macao Special Administrative Region and Taiwan Region governed by the UNCITRAL Arbitration Rules under Article 3 (4) , and for arbitral cases related to the investment disputes under Article 2 (2), the arbitration fees and costs shall be charged by the SCIA in accordance with the SCIA Guidelines for the Administration of Arbitration under the UNCITRAL Arbitration Rules (“Guidelines”) as follows:
1. Registration Fee
The Registration fee shall be RMB 5,000, which is non-refundable under any circumstances.
2. Administrative Fee
The administrative fee shall include the costs and expenses incurred from providing the service under Article 4 (1) of the Guidelines in relation to the following:
(1) Appointment of Arbitrators (RMB)
(2) Decision on the Challenge of Arbitrator
An amount of RMB 20,000 shall be charged for each decision on the challenge of arbitrator(s).
(3) Financial Management of Arbitration case
The SCIA shall charge a financial management fee, being 0.1% of the total amount of fees in custody of SCIA. The minimum management fee chargeable shall be RMB 1,000 and shall be capped at a maximum of RMB 100,000.
(4) Services under Article 4 (2) of the Guidelines
The SCIA shall charge disbursements incurred from services provided by SCIA under Article 4 (2) of the Guidelines or from other administrative services requested by the parties or the arbitral tribunal, which shall be charged on actual basis.
VII. Arbitration Fees and Costs in Relation to Application of other Arbitration Rules
Schedule III
1. This Schedule III shall apply if the parties agree to submit to the SCIA for arbitration in accordance with the arbitration rules other than the SCIA Rules and the UNCITRAL Arbitration Rules, and that the SCIA shall provide the administrative services for the arbitration proceedings.
2. A registration fee of RMB 10,000 shall be payable upon application for arbitration, for the purposes of examining the application for arbitration, initiating the arbitration proceedings, computerizing management, filing management and correspondence. The registration fee is non-refundable.
3. The parties shall pay the arbitration fees and costs in advance in accordance with the rates under this Schedule III for their respective claim or counterclaim. The AID referred to in this Schedule III shall be on the basis of the sum amount of money claimed by the parties. The actual amount in dispute shall prevail if it is inconsistent with the claimed amount in dispute. Where no monetary claim is specified or the amount in dispute is not clear, the amount of administrative fee shall be determined by the SCIA in consideration of the specific rights and interests involved in the disputes.
4. If the arbitration fee is charged in a foreign currency, the foreign currency shall be payable at an amount equivalent to the corresponding amount in RMB under this Schedule III.
5. The SCIA can charge for other disbursements reasonably incurred in accordance with the relevant provisions under the SCIA Arbitration Rules.
6. The administrative fee payable to the SCIA shall not include the remuneration of the arbitrator(s).
VIII. Remuneration of the Arbitrators Determined by Agreement between the Parties and the Arbitrators and the Payment Thereof
1. The remuneration of the arbitrators may be determined by agreement. Any agreement- based method of determination shall require the unanimous consent of all parties and shall be applicable to all members of the arbitral tribunal
2. The fees and expenses of arbitrators determined in accordance with the fee arrangements shall be reasonable in amount, taking into account the amount in dispute, the complexity of the subject- matter, the time spent by the arbitrators and any other relevant circumstances of the case. According to the above circumstances, the SCIA shall have the power to make any necessary adjustment to the fees and expenses of arbitrators, which will be binding upon the arbitral tribunal.
3. Where the parties agree that the remuneration of the arbitrator shall be calculated on an hourly basis:
(1) The hourly rate of an arbitrator designated by one party shall be agreed upon between that party and the designated arbitrator; the hourly rate for sole arbitrator and presiding arbitrator shall be agreed upon between the arbitrator and all parties; if the parties and the arbitrator fail to agree on the hourly rate within the agreed period or as notified by the SCIA, the hourly rate of the arbitrator shall be determined by the SCIA.
(2) In principle, the hourly rate of arbitrator shall not exceed RMB 6,000, unless agreed by the parties.
(3) At different stages of the arbitration proceedings, the parties shall pay in advance an appropriate amount of security for the arbitrators' remuneration in accordance with the notice of the SCIA. If the amount paid by the parties exceeds the actual remuneration due to the arbitrators, the SCIA shall refund the excess amount to the parties after the arbitral tribunal issues the final award.
4. The SCIA is entitled to adjust the arbitration fees and costs payable by the parties in advance based on the circumstances of the case concerned.
5. If the parties have objections to the determination of the arbitrator's remuneration by agreement or to the amount thereof, it shall be determined by the SCIA.
6. In cases where the remuneration of the arbitrators is established by agreement, the payment of such remuneration shall be decided by the arbitral tribunal in accordance with applicable arbitration rules and the relevant provisions of this Schedule.
IX. Arbitration Fees and Costs in relation to Appointment of Emergency Arbitrators
Schedule IV
(where “n” refers to the number of interim measures applied for by the parties)
This Schedule IV shall apply if a party applies to the SCIA for appointment of an emergency arbitrator for the interim measure(s) under Article 26 of the SCIA Arbitration Rules.