Legal Affairs
Rules of the Court of Arbitration of the Hamburg Chamber of Commerce
Rules of the Court of Arbitration of the Hamburg Chamber of Commerce of December 9, 1948 (Official Journal No. 4 of January 8, 1949), amended on September 4, 1958 (Official Journal No. 237 of October 13, 1958), fully revised by Resolution of the Plenary Assembly of the Hamburg Chamber of Commerce on September 7, 2000 (Official Journal No. 125 of October 25, 2000), Art. 25 revised by Resolution of the Plenary Assembly of Hamburg Chamber of Commerce on December 12, 2003 (Official Journal No. 3 as of January 7, 2004)
Article 1 (Scope of application)
(1.1) Proceedings relating to all disputes, in particular between businessmen, before the Court of Arbitration of the Hamburg Chamber of Commerce shall be conducted on the basis of the present Rules. Ordinary recourse to the courts of law shall thereby be excluded.
(1.2) The Court of Arbitration of the Hamburg Chamber of Commerce shall have jurisdiction if the parties have agreed to this . If the arbitration agreement includes the clause "Chamber of Commerce arbitration" ("Handelskammer-Arbitrage"), the jurisdiction of the Court of Arbitration of the Hamburg Chamber of Commerce shall be deemed to have been agreed, unless this does not accord with the declared intention of the parties.
(1.3) Unless the parties have agreed otherwise, the Rules shall be applied in the version current at the beginning of the arbitration proceedings.
Part One: Constitution of the court of arbitration
Article 2 (Appointment of arbitrators and chairperson, or sole arbitrator)
(2.1) The Court of Arbitration shall comprise three arbitrators, unless the parties have agreed that it shall comprise a sole arbitrator. For an amount in dispute of less than EUR 25,000, it shall comprise a sole arbitrator, unless the parties have agreed on a Court of Arbitration comprising three arbitrators.
(2.1) The Court of Arbitration shall comprise three arbitrators, unless the parties have agreed that it shall comprise a sole arbitrator. For an amount in dispute of less than EUR 25,000, it shall comprise a sole arbitrator, unless the parties have agreed on a Court of Arbitration comprising three arbitrators.
(2.2) If the Court of Arbitration comprises a sole arbitrator and if the parties have not reached agreement on the sole arbitrator to be appointed, the sole arbitrator shall upon application by one of the parties be appointed by the President of the Hamburg Chamber of Commerce, after the other party has been heard. For the purpose of reaching agreement on the person to be appointed as sole arbitrator, either of the parties may set the other party a time limit of thirty (30) days.
(2.3) If the Court of Arbitration comprises three arbitrators, each of the parties shall first appoint one arbitrator who shall meet the requirements of impartiality and independence (Article 6). The Claimant shall notify the Respondent of the appointment of its arbitrator, communicating the latter's name and address in writing, and calling upon the Respondent to appoint its arbitrator within a specified time limit. This time limit shall be at least 2 weeks. The Claimant's notice shall include the threat that if this time limit expires without the Respondent appointing an arbitrator, the Claimant will apply for appointment of such arbitrator to the Hamburg Chamber of Commerce. If the Respondent appoints its arbitrator before the Chamber of Commerce has made the appointment applied for, this shall remedy any non-compliance with sentences 2 and 3 above.
(2.4) If the Respondent fails to appoint an arbitrator within the time limit set by the Claimant according to Article 2.3 above, the President of the Hamburg Chamber of Commerce shall upon application by the Claimant appoint an arbitrator for the Respondent.
(2.5) The arbitrators appointed in accordance with Articles 2.3 and 2.4 shall appoint the Chairperson of the Court of Arbitration, and shall inform the Hamburg Chamber of Commerce of their decision in writing. If they do not reach agreement on the Chairperson within a period of 30 days from the appointment of the arbitrator last appointed, the Chairperson shall be appointed by the President of the Hamburg Chamber of Commerce upon application by one of the parties, after the other party has been heard.
Article 3 (Multi-party appointment of arbitrator(s))
(3.1) Unless otherwise agreed by the parties, multiple Claimants shall jointly appoint one arbitrator.
(3.2) If two or more Respondents are named in the statement of claim or in the application for constitution of the Court of Arbitration pursuant to Article 9, the Respondents shall jointly appoint one arbitrator, unless otherwise agreed by the parties. Articles 2.3 to 2.5 shall be applicable mutatis mutandis.
(3.2) If two or more Respondents are named in the statement of claim or in the application for constitution of the Court of Arbitration pursuant to Article 9, the Respondents shall jointly appoint one arbitrator, unless otherwise agreed by the parties. Articles 2.3 to 2.5 shall be applicable mutatis mutandis.
Article 4 (Permanent Legal Counsel of the Chamber of Commerce, Administration)
The Permanent Legal Counsel of the Hamburg Chamber of Commerce shall attend the proceedings, or if he/she is unable to attend his/her deputy shall attend in an advisory capacity without any voting rights. He/She shall be responsible for the administration of the proceedings by the Hamburg Chamber of Commerce in accordance with the instructions of the Chairperson of the Court of Arbitration.
Article 5 (Confidentiality)
The arbitrators, the parties and the persons at the Chamber of Commerce concerned with arbitration proceedings shall maintain confidentiality vis-à-vis everyone at every stage of the proceedings, in particular with respect to the parties, witnesses, experts and any other form of evidence involved. Any person involved by the parties in the proceedings shall be placed under an obligation to maintain confidentiality. Oral hearings shall not be public.
Article 6 (Acceptance of appointment as arbitrator and constitution of the Court of Arbitration)
(6.1) Any person appointed as an arbitrator shall without undue delay declare to the Chamber of Commerce whether he/she accepts his/her appointment as an arbitrator, and whether he/she fulfils the conditions laid down in the present Rules and in any agreement between the parties, and shall disclose any circumstances which could raise doubts with respect to his/her impartiality or independence. The Chamber of Commerce shall inform the parties accordingly.
(6.2) If such person does not accept his/her appointment without undue delay, and if a reminder by the Chamber of Commerce is unsuccessful, a substitute arbitrator shall be appointed. Articles 2 and 3 shall be applicable mutatis mutandis.
(6.3) If the declaration of an arbitrator suggests a circumstance which could cast doubt on his/her impartiality or independence, or on the fulfilment of the requirements agreed between the parties, the Chamber of Commerce shall give the parties an opportunity to make a statement on this matter and shall set a reasonable time limit for this purpose.
(6.4) During the arbitral proceedings an arbitrator shall be under a continuing obligation to disclose to the parties and the Chamber of Commerce any circumstances which could cast doubt on his/her impartiality or independence.
(6.5) As soon as the Chamber of Commerce receives the acceptance declarations of all arbitrators, the Court of Arbitration is constituted. The Chamber of Commerce shall notify the parties in writing of the constitution of the Court of Arbitration.
Article 7 (Challenge of an arbitrator)
(7.1) Any challenge of an arbitrator shall be declared, and reasons for the challenge given, to the Chamber of Commerce within two weeks after receipt of notification of the constitution of the Court of Arbitration as specified in Article 6.5 or after gaining knowledge of the circumstances giving rise to the challenge. Such challenge shall only be based on circumstances that give rise to justified doubts as to the impartiality or independence of the arbitrator, or suggest that he/she does not fulfil the conditions the parties agreed on. A party can challenge an arbitrator appointed by itself or in whose appointment it participated for reasons which became known to it after this appointment only.
(7.2) The Chamber of Commerce shall inform the arbitrators and the other party of the challenge and shall set a reasonable time limit for the challenged arbitrator and the other party to respond. If the challenged arbitrator does not resign before this time limit expires, or if the other party does not accept the challenge, the Chamber of Commerce shall decide on the challenge.
(7.3) If the Chamber of Commerce dismisses the challenge, the challenging party within two weeks after receipt of the decision of the Chamber of Commerce shall be entitled to apply to the Hanseatisches Oberlandesgericht Hamburg for a decision on this challenge.
(7.4) If the other party declares that it accepts the challenge, or if the arbitrator resigns after the challenge, or if the challenge is sustained, a substitute arbitrator shall be appointed; Articles 2 and 3 shall be applicable mutatis mutandis to such an appointment.
Article 8 (Default of an arbitrator)
If an arbitrator takes no action, or is de jure or de facto unable to perform his/her functions, and if he/she does not resign for this reason, or if the parties do not reach agreement on termination of his/her appointment, either party may apply to the Hanseatisches Oberlandesgericht Hamburg for a decision on the termination of the appointment of that arbitrator. If the appointment is terminated, a substitute arbitrator shall be appointed; Articles 2 and 3 shall apply mutatis mutandis to such an appointment.
Part Two: Procedure
Article 9 (Initiation and commencement of proceedings)
(9.1) If the Claimant does not initiate proceedings before the Court of Arbitration by filing the statement of claim as set out in Article 10, the proceedings begin with receipt by the Hamburg Chamber of Commerce of the application of one of the parties for constitution of the Court of Arbitration pursuant to Articles 2.2, 2.4 or 2.5.
(9.2) The application referred to in Article 9.1 shall contain the following particulars:
- names of the parties with their addresses for service;
- application for appointment of an arbitrator (be it the sole arbitrator, the chairperson or the arbitrator for the Respondent);
- description of the subject-matter of the dispute;
- reference to the arbitration agreement, a copy of the wording of which is to be attached to the application.
Article 10 (Submission of statement of claim)
(10.1) The Claimant shall submit the statement of claim to the Chamber of Commerce. It shall contain the following:
- names of the parties;
- indication of the arbitration agreement;
- statement of the relief or remedy sought;
- statement of relevant facts and indication of the evidence upon which the claim is based;
- indication of the amount in dispute;
- indication of the name(s) of the arbitrators or the sole arbitrator, if these have already been appointed by the parties. A copy of the arbitration agreement shall be attached.
(10.2) If not already commenced pursuant to Article 9, the arbitral proceedings shall commence with receipt of the statement of claim by the Chamber of Commerce.
Article 11 (Number of copies of written submissions and attachments, address of the Court of Arbitration)
(11.1) The statement of claim and all documents and attachments shall be addressed to the Court of Arbitration of the Chamber of Commerce at the following address:
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Handelskammer Hamburg or
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Handelskammer Hamburg
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POB 11 15 47
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Adolphsplatz 1
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D-20414 Hamburg
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D-20457 Hamburg
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They shall be submitted in sufficient quantity so that each arbitrator, each party and the Chamber of Commerce shall have a copy available to them.
Article 12 (Delivery of statement of claim and other documents)
(12.1) The Chamber of Commerce shall send the statement of claim without undue delay to the Respondent(s) and the arbitrator(s) as soon as the deposit pursuant to Article 13 has been paid. When doing so the Chamber of Commerce shall call upon the Respondent(s) to respond to the claim, setting a time limit within which such response shall be made.
(12.2) The statement of claim and any written submissions containing applications, a declaration of settlement or a withdrawal of the claim as well as any notices to attend either oral hearings or the taking of evidence shall be sent by registered mail with advice of receipt, or by messenger service, facsimile transmission or by another means of transmission which provides a record of receipt. All other written submissions may also be sent by any other form of transmission. All documents and information transmitted to the Court of Arbitration shall be transmitted by the Chamber of Commerce to the other party.
(12.3) Where a party has retained legal counsel delivery shall be made to the latter.
(12.4) If the address of a party or of the person authorised to receive documents on its behalf is not known, written communications shall be deemed to have been received on the day on which they could have been received at the last known address on proper transmission by registered mail with advice of receipt or by messenger service or by another mode of transmission, provided that such mode of transmission provides a record of receipt.
Article 13 (Deposit)
(13.1) The Claimant shall upon filing of the claim pay the Chamber of Commerce a deposit amounting to the anticipated costs of the proceedings pursuant to the table of arbitration fees of the Chamber of Commerce (Article 25) applicable on the day of receipt of the statement of claim.
(13.2) The Chamber of Commerce shall send the Claimant an invoice for the deposit and shall set a time limit for payment if the deposit has not already been paid. If payment is not made within the time limit, which may be extended by a reasonable period of time, the proceedings shall be terminated without prejudice to the rights of the Claimant to file its claim again.
(13.3) If further costs and disbursements are incurred or are anticipated in the course of the proceedings, the Court of Arbitration may make continuation of proceedings dependent upon the payment of appropriate further deposits. Half of the amount of such deposits shall be demanded from the Claimant and half from the Respondent. Article13.2 shall be applicable mutatis mutandis.
Article 14 (Counterclaim)
Any counterclaim shall be filed with the Chamber of Commerce. Articles 10 to 13 shall be applicable mutatis mutandis.
Article 15 (Language of proceedings)
The language of proceedings shall be German, unless a different language has been agreed upon by the parties.
Article 16 (Applicable substantive law)
(16.1) The Court of Arbitration shall decide upon the dispute in accordance with the law the parties have agreed on as the law applicable to the dispute. Any agreement on the law or legal system of a given State shall be construed, unless otherwise expressly agreed by the parties, as directly referring to the substantive law of that State and not to its choice of law rules.
(16.2) In the absence of any agreement on the applicable law by the parties, the Court of Arbitration shall apply the law of the State with which the subject-matter of the proceedings has the closest connection. It shall take into account in its decision the existing usages of trade.
Article 17 (Applicable procedural law)
(17.1) The Court of Arbitration shall conduct the arbitration as it considers proper on the basis of the provisions of the present Rules, the agreement between the parties and the provisions of the German Code of Civil Procedure (ZPO).
(17.2) The Court of Arbitration shall seek to obtain from the parties comprehensive statements regarding all relevant facts and proper applications for relief.
Article 18 (Interim measures)
Unless otherwise agreed by the parties, the Court of Arbitration may, at the request of a party, grant any provisional or protective measures it may consider necessary with respect to the subject-matter of the dispute. The Court of Arbitration may require any party to provide appropriate security in connection with such measure.
Article 19 (Place of arbitration)
The place of the arbitral proceedings shall be Hamburg, unless otherwise agreed by the parties.
Article 20 (Jurisdiction of the courts of law)
To the extent that courts of law have jurisdiction according to these Rules, the court having jurisdiction shall be the Hanseatisches Oberlandesgericht Hamburg.
Article 21 (Default of a party)
(21.1) If the Respondent fails to respond to the statement of claim within the specified time limit, the Court of Arbitration may continue the proceedings without treating such default as an admission of the assertions of the Claimant.
(21.2) If despite being properly summoned, a party fails to appear at an oral hearing or if it fails to submit a document in evidence within the specified time limit, the Court of Arbitration may continue the proceedings and make its arbitral award on the basis of the information available to it.
Article 22 (Oral hearing, record)
(22.1) The Court of Arbitration shall generally make its decision on the basis of an oral hearing, unless a different procedure has been agreed by the parties.
(22.2) A record shall be kept of every oral hearing. It shall be signed by the chairperson. The parties shall be given copies of the record.
(22.2) A record shall be kept of every oral hearing. It shall be signed by the chairperson. The parties shall be given copies of the record.
Part Three: Closing of Proceedings
Article 23 (Settlement)
(23.1) At every stage of the proceedings the Court of Arbitration shall encourage an amicable settlement of the dispute or of individual issues in dispute.
(23.2) If the dispute is resolved by settlement, the Court of Arbitration may reduce the amount of the applicable fees.
(23.3) On application by the parties the Court of Arbitration shall record the settlement in the form of an arbitral award on agreed terms, unless the content of such settlement violates public policy (ordre public).
(23.4) An award on agreed terms shall be made in accordance with Article 24. It shall state that it is an arbitral award. It shall have the same effect as any other arbitral award on the subject-matter of the case.
Article 24 (Arbitral award)
(24.1) In arbitral proceedings involving more than one arbitrator any decision of the Court of Arbitration shall be made, unless otherwise agreed by the parties, by a simple majority of votes.
(24.2) The arbitral award shall be made in writing and shall be signed by the sole arbitrator or by the arbitrators. In arbitral proceedings involving more than one arbitrator, the signatures of the majority of all members of the Court of Arbitration shall suffice provided that the reason for any omitted signature is stated.
(24.3) The arbitral award shall state the reasons upon which it is based, unless the parties have agreed that no reasons shall be given or the arbitral award is an arbitral award on agreed terms.
(24.4) The Court of Arbitration shall provide a sufficient number of originals of the arbitral award. Without undue delay the Chamber of Commerce shall be supplied with an original of the arbitral award to keep on file as well as a sufficient number for delivery to the parties.
(24.5) The Chamber of Commerce shall deliver an original of the arbitral award to each party.
(24.6) Delivery of the arbitral award to the parties may be withheld until the costs of the arbitral proceedings have been paid in full to the Chamber of Commerce.
(24.7) The arbitral award shall have the same effect between the parties as a final and binding court judgement.
Article 25 (Arbitral fee and administrative costs)
(25.1) The arbitral fee shall be fixed by reference to the amount in dispute which is to be determined by the Court of Arbitration at its discretion upon due assessment of the circumstances. It shall be charged by the Chamber of Commerce. If the amount in dispute is not quantified in the statement of claim or in the counterclaim, the Court of Arbitration shall determine such amount at its discretion upon due assessment of the circumstances.
(25.2) The arbitral fee shall be charged as follows:
Up to an amount in dispute of EUR 10,000: a fixed fee of EUR 1,000.
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Thereafter for the next
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EUR 5,000.00:
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an additional 10% of this increment
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For the next
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EUR 10,000.00:
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an additional 9% of this increment
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For the next
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EUR 15,000.00:
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an additional 8% of this increment
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For the next
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EUR 25,000.00:
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an additional 7% of this increment
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For the next
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EUR 35,000.00:
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an additional 6% of this increment
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For the next
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EUR 200,000.00:
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an additional 5% of this increment
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For the next
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EUR 700,000.00:
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an additional 4% of this increment
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For the next
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EUR 1,000,000.00:
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an additional 2% of this increment
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For an amount in dispute exceeding EUR 2,000,000.00, an additional 0.5% of the amount above EUR 2,000,000.00 shall be charged.
(25.3) If dealing with the matter in dispute requires particular expenditure of time and effort and especially if it involves extensive taking of evidence, the Court of Arbitration may double the arbitral fee for amounts in dispute up to EUR 65,000 and increase the arbitral fee by up to 50% for amounts in dispute above that figure. If such effort is caused by recourse to a legal system other than the German legal system, the Court of Arbitration may add to the arbitral fee increased pursuant to the first sentence of this Article the costs demonstrably incurred by these particular efforts.
(25.4) If the parties have agreed on a decision by a sole arbitrator, the arbitral fee shall be reduced by one third.
(25.5) If the Court of Arbitration comprises three arbitrators the chairperson is entitled to 30 % of the arbitral fee plus turnover tax, the other arbitrators are entitled to 20 % of the arbitral fee plus turnover tax each. If the Court of Arbitration consists of a sole arbitrator only, he is entitled to 70 % of the arbitral fee plus turnover tax. Hamburg Chamber of Commerce is entitled to the remaining arbitral fee. The arbitrators are remunerated after termination of the proceedings. If the proceedings consist of more than one oral hearing the arbitrators are entitled to 75 % of their share of the arbitral fee plus turnover tax after the first hearing.
(25.6) In addition to the arbitral fee the Chamber of Commerce shall charge a flat-rate amounting to 15% of the arbitral fee, but not more than EUR 20,000.00, for its costs in the administration of the arbitral proceedings. If the proceedings require particular administrative efforts, the Court of Arbitration may increase this flat-rate for administrative costs by a reasonable amount.
(25.7) Statutory value added tax shall be charged in addition.
(25.8) The parties jointly and severally shall be liable to the Chamber of Commerce for the arbitral fee and for the administrative costs plus value added tax, irrespective of any claim for reimbursement by one party against the other.
Article 26 (Fees in the event of withdrawal of claim or premature termination)
(26.1) If the claim is withdrawn, the Court of Arbitration may reduce the arbitral fee. If the claim is withdrawn before a response to the statement of claim is filed, the arbitral fee shall be reduced to one quarter.
(26.2) In any other case of premature termination of the proceedings, the Court of Arbitration may at its equitable discretion reduce the arbitral fee taking into account the stage reached by the proceedings.
Article 27 (Decision on costs)
(27.1) Unless otherwise agreed by the parties, the Court of Arbitration shall in its arbitral award decide which part of the costs of the arbitral proceedings, including the costs incurred by the parties for the reasonable pursuit of their rights, shall be borne by each of the parties. The Court of Arbitration shall in this regard exercise its discretion taking into account the special circumstances of the case, in particular the outcome of the proceedings.
(27.2) Where the costs of the arbitral proceedings have been determined, the Court of Arbitration shall also decide the amount to be borne by each party. If costs have not been assessed, or if this is not possible until after termination of the arbitral proceedings, a decision on this matter shall be made in a separate arbitral award.
Article 28 (Loss of right to object, exclusion of liability)
(28.1) If a party knows that any provision of these Arbitration Rules or any other agreed requirement of the arbitral proceedings has not been complied with and yet proceeds with the arbitration without stating its objection to such non-compliance in good time, it shall lose its right to object.
(28.2) Any liability of the arbitrators, of the Chamber of Commerce and its officers and employees in connection with proceedings under these Rules is excluded except for cases of intent and gross negligence.
Article 29 (Publication of the arbitral award)
(29.1) The Chamber of Commerce may publish the arbitral award if both parties agree to this. Under no circumstances may such publication include the names of the parties, their legal counsel or other information which could permit identification of those concerned.
(29.2) The Chamber of Commerce shall be permitted to publish information on arbitral proceedings in a compilation of statistical data, provided the information given excludes identification of those concerned.
[1] In drawing up contracts the Chamber of Commerce recommends parties to include the following arbitration clause:
"Any dispute arising in connection with the present contract [exact description of the Contract] or with respect to its validity shall be finally settled by the Court of Arbitration of the Hamburg Chamber of Commerce, to the exclusion of the ordinary courts of law. The substantive law of ––– shall be applicable to such dispute."
"Chamber of Commerce arbitration" is to be distinguished from "Hamburg Friendly Arbitration". The latter is governed by specific rules of arbitration (Art. 20 of the Customs for Trade in Goods in Hamburg).
of December 9, 1948 (Official Journal No. 4 of January 8, 1949),
amended on September 4, 1958 (Official Journal No. 237 of October 13, 1958),
Fully revised by Resolution of the Plenary Assembly of the Hamburg Chamber of Commerce on September 7, 2000 (Official Journal No. 125 of October 25, 2000), Art. 25 revised by Resolution of the Plenary Assembly of Hamburg Chamber of Commerce on December 12, 2003 (Official Journal No. 3 as of January 7, 2004)
amended on September 4, 1958 (Official Journal No. 237 of October 13, 1958),
Fully revised by Resolution of the Plenary Assembly of the Hamburg Chamber of Commerce on September 7, 2000 (Official Journal No. 125 of October 25, 2000), Art. 25 revised by Resolution of the Plenary Assembly of Hamburg Chamber of Commerce on December 12, 2003 (Official Journal No. 3 as of January 7, 2004)