Shanghai International Economic and Trade Arbitration Commission

（Shanghai International Arbitration Center）

Guidance for Services for Ad Hoc Arbitration

Article 1 Purpose

In order to provide services in relation to ad hoc arbitration professionally and efficiently, the Shanghai International Economic and Trade Arbitration Commission (also named “Shanghai International Arbitration Center”, formerly named “China International Economic and Trade Arbitration Commission Shanghai Commission/Sub-Commission”, hereinafter referred to as “SHIAC”) enacts this Guidance.

Article 2 Scope of Application

The Guidance shall apply to the following ad hoc arbitration conducted under the law:

1. Where the parties have agreed that SHIAC shall act as the appointing authority or provide other administrative services in such arbitration without any agreement on applicable arbitration rules;

2. Where the parties have agreed to apply the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Arbitration Rules) or the International Air Transportation Association Arbitration Rules (IATA Arbitration Rules) or any arbitration rules to such arbitration and to designate SHIAC to act as the appointing authority;

3. Where SHIAC is requested to provide certain services by the parties or the tribunal of an arbitration in which the applicable arbitration rules are the UNCITRAL Arbitration Rules, the IATA Arbitration Rules, or any other arbitration rules;

4. Other arbitration in which the parties have agreed to apply this Guidance.

Article 3 Appointment of Arbitrators

1. Where SHIAC is the appointing authority under the agreement of the parties, it provides the following services upon application from the party(s):

(a) appointing arbitrator(s) and/or emergency arbitrator(s);

(b) making decision(s) on any challenge against arbitrator(s) and/or emergency arbitrator(s);

(c) replacing arbitrator(s) and/or emergency arbitrator(s); and

(d) other services related to the appointment of arbitrator(s) and/or emergency arbitrator(s).

2. SHIAC may provide services related to its role as appointing authority according to its own arbitration rules in such arbitration where the parties have no agreement on applicable rules.

3. SHIAC may provide services related to its role as appointing authority according to the UNCITRAL Arbitration Rules, the IATA Arbitration Rules, or any other arbitration rules agreed by the parties in such arbitration.

4. On the condition that such agreement may not violate any mandatory laws or provisions, SHIAC may provide services related to its role as appointing authority by executing the particular agreement of the parties on the appointment of the arbitrator(s) or emergency arbitrator(s) or the constitution of the tribunal.

Article 4 Other Administrative Services

1. Upon the written application from the party(s) or the tribunal, SHIAC may provide one or more of the following administrative services:

(a) facilitating communication;

(b) assistance services related to interim measures;

(c) providing necessary practical arrangements for meetings and hearings;

(d) providing fund-holding services related to arbitration;

(e) providing secretarial assistance to tribunal;

(f) maintenance of files of written communications;

(g) proofreading of arbitration documents; and

(h) other services that SHIAC can provide.

2. The Secretary General of SHIAC may decide whether such application for administrative services shall be accepted.

Article 5 Fees and Staffing

1. For the services rendered under this Guidance, SHIAC may charge fees under the Schedule of Fees attached with this Guidance unless otherwise agreed to by the parties.

2. If any party fails to make payment as agreed or required under this Guidance, other parties may make such payment on behalf of the defaulting party; if no party makes such payment, SHIAC may not proceed to provide any services.

3. According to the needs of the parties and the tribunal, SHIAC will arrange for one or two staff members of the Secretariat of SHIAC to assist in the relevant matters under this Guidance. Unless the parties agree, the person mentioned above shall not also serve as secretary of the tribunal as provided for in Article 4.1(e) under this Guidance.

Article 6 Limitation of Liability

In applying this Guidance to any arbitration, SHIAC and its staff shall bear no liabilities for any mistake or negligence made by the tribunal during the arbitration procedures nor for any award rendered by the tribunal.

Article 7 Revision, Interpretation and Implementation of This Guidance

1. SHIAC reserves the right to revise and interpret this Guidance.

2. This Guidance does not constitute a part of the arbitration rules of SHIAC; the arbitration tribunal may make appropriate adjustments to the content of this Guidance in light of the specific circumstances of the case after consulting with SHIAC, but it must not violate the mandatory provisions of laws and regulations.

3. This Guidance shall be effective as from January 1, 2024.

Appendix: Schedule of Fees

1. Fees under Article 3 of the Guidance

(a) For the appointment of the arbitrator(s) upon application of party(s), SHIAC charges RMB 10,000 yuan for appointing one arbitrator and RMB 5,000 yuan for appointing one emergency arbitrator.

(b) For a decision on a challenge against arbitrator(s) upon application of party(s), SHIAC charges RMB 5,000 yuan for one decision on a challenge against an arbitrator and RMB 2,500 yuan for one decision on a challenge against an emergency arbitrator.

2. Fees under Article 4 of the Guidance

(a) For services under Article 4.1(a), SHIAC charges RMB 10,000 yuan; For services under Article 4.1(b), SHIAC charges RMB 2,000 yuan; For services under Article 4.1(c), 4.1(d), 4.1(f), 4.1(g) and 4.1(h), the amount of fees shall

be negotiated and agreed by the party(s) and SHIAC.

(b) For services under Article 4.1(e), the amount of fees shall be negotiated and agreed upon by the tribunal and SHIAC.

(c) For any third-party fees incurred under Article 4 of the Guidance, such fees shall be charged under the actual expenditure.