BASKETBALL ARBITRAL TRIBUNAL(BAT)
Arbitration Rules

1 December 2019January 2017
VersionBASKETBALL ARBITRAL TRIBUNALARBITRATION RULES

0.

Preamble

0.1

The Basketball Arbitral Tribunal (hereinafter the "BAT") has been created by Fédération
Internationale de Basketball (hereinafter "FIBA") with a view to provide parties involved
in disputes arising in the world of basketball with an efficient and effective means ofresolving these disputes.

0.2

Parties wishing to have their disputes decided by the BAT recognise that thesethe BAT
Arbitration Rules (hereinafter the “Rules”) are designed to provide for a simple, quick
and inexpensive means to resolve these disputes. As a consequence, these Rules
require cooperation by the parties and their counsel or representative, in particular withrespect to the limited number of written submissions (as a rule one submission per
party) and the short time limits to be observed. In the interest of speed and economy,
the parties recognise that BAT arbitration proceedings are conducted before a single
arbitrator appointed by the BAT President, that the BAT arbitrators decide ex aequo etbono (see Article 15.1 below) and that hearings will be held only upon a decision by the
Arbitrator.

0.3

It is recommended that parties wishing to refer their possible disputes to the BAT use
the following arbitration clause:"Any dispute arising from or related to the present contract shall be submitted
to the Basketball Arbitral Tribunal (BAT) in Geneva, Switzerland and shall be
resolved in accordance with the BAT Arbitration Rules by a single arbitrator
appointed by the BAT President. The seat of the arbitration shall be Geneva,
Switzerland. The arbitration shall be governed by Chapter 12 of the Swiss Act
on Private International Law, irrespective of the parties' domicile. The languageof the arbitration shall be English. The arbitrator shall decide the dispute ex
aequo et bono."

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0.4

The BAT Vice-President shall substitute for the BAT President in case of the latter's
inability to exercise the functions assigned to him under these Rules, including
instances where the BAT President is prevented from exercising his functions due to aconflict of interest.

1.

Jurisdiction

1.1

These Rules shall apply and the BAT shall have jurisdiction whenever the parties to a
dispute have agreed in writing to submit the disputesame to the BAT – including byreference to its former name “FIBA Arbitral Tribunal (FAT)” –, provided that FIBA and its
divisions are not directly involved in the dispute.

1.2

TheA BAT Arbitrator assigned to the individual case (hereinafter the "Arbitrator") isentitled to refuse to proceed with the arbitration at any time if he/she considers that
arbitration under these Rules is not appropriate to resolve the dispute.

1.3

The Arbitrator shall have the power to rule on his/her own jurisdiction, including on any
objection with respect to the existence, scope or validity of the arbitration agreement.

2.

Seat

2.1

The seat of the BAT and of each arbitral proceeding before the Arbitrator shall be
Geneva, Switzerland, even if hearings, if any, are held in another place.

2.2

Arbitration proceedings before the BAT are governed by Chapter 12 of the Swiss Act on
Private International Law, irrespective of the parties' domicile.

3.

Procedure before the Arbitrator, Waiver

3.1

To the extent not provided otherwise herein, the Arbitrator shall determine in his/hersole discretion the procedure in the proceedings before him/her.

3.2

Any party thatwhich proceeds with the arbitration and does not raise,without raising
without undue delay, its objection to a failure to comply with any provision of theseRules, or any other rules applicable to the proceedings, any direction given by the
Arbitrator, or to the conduct of the proceedings, shall be deemed to have waived its rightto object in that respect.

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4.

Language

4.1

The working language of the BAT shall be English.

4.2

Documents provided to the BAT in a language other than English must be accompanied
by a certified translation unless the Arbitrator decides otherwise.

4.3

The Arbitrator may decide, after consultation with the parties, to hold the proceedings inanother language.

5.

Representation of the Parties
The parties may be assisted by counsel or by any other person of their choice.

6.

Filing Address, Notifications and Communications, Filing Address

6.1

All submissions,6.1 Requests for Arbitration shall be filed by e-mail to the BATSecretariat (see www.fiba.com) or with
Fédération Internationale de Basketball
Route Suisse 5, P.O Box 29
1295 Mies, Switzerland
Telephone:+41 (22) 545 0000
Telefax:+41 (22) 545 0099

6.2

Upon receipt of the Request for Arbitration, all further notifications and othercommunications to and from the BAT shall be made through the BAT Secretariat. The
parties shall transmit any such submissions, notifications or other communications by email only; transmission by other means shall be strictly limited to cases in, the contact
details of which transmission by email is not technically feasible.

6.2

Requests for Arbitration shall be filed will be communicated to the BAT Secretariat’s
main e-mail address (BAT@martens-lawyers.com). Claimants shall use the template
Request for Arbitration provided, from time to time, on the BAT website.parties.

6.3

Notifications and communications from the BAT to the parties or their counsel shall bemade in writing, including telefax and e-mail, to the addresses indicated in the Request
for Arbitration and the Answer, or to any other address specified in writing at a later
point in time.

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6.4

If, after reasonable efforts, delivery cannot be effected to a party to the arbitration inaccordance with Article 6.3, the Arbitrator may designate a third party (e.g. a National
Federation affiliated with FIBA) to receive any notifications and communications fromthe BAT in lieu of the party to the arbitration. Any notice or communication so delivered
shall be deemed to have been received by the party to the arbitration.

6.5

If a party files a submission other than by email, the The Arbitrator is entitled to request
anthe parties to submit electronic copycopies of the submissiontheir submissions.

7.

Time Limits

7.1

Time limits for the filing of written submissions or other procedural acts shall be
determined by the Arbitrator by reference to a specific date.

7.2

The Arbitrator may, in his/her sole discretion, extend time limits or grant new time limits.
Unless admitted otherwise by the Arbitrator in his/her sole discretion, any requests forextension shall be filed before the last day of the relevant deadline, and shall set out thereasons for which the request is madethe time limits or grant new time limits.

8.

Arbitrators, Limitation of Liability

8.1

All disputes before the BAT shall be decided by a single Arbitrator appointed by the BAT
President in his/her sole discretion on a rotational basis from the published list of BAT
arbitrators applicable at the time when the Request for Arbitration is received by the
BAT Secretariat. or FIBA (whichever comes first). In the event that the Arbitrator so
appointed is unavailable, resigns, is successfully challenged or declines theappointment, the BAT President shall appoint anotherthe next available Arbitrator.

8.2

Before proceeding with the arbitration, the Arbitrator shall send a written declaration of
acceptance and independence to the BAT Secretariat. The parties shall be informed
about the existence and content of such declaration.

8.3

An Arbitrator may be challenged if the circumstances give rise to legitimate doubts
regarding his/her independence. The challenge shall be brought in writing within sevendays after the ground for the challenge has become known to the party making thechallenge. Challenges are to be determined exclusively by the BAT President, who shallrule on the challenge after having given to all parties and the Arbitrator an opportunity tostate their position.

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8.4

FIBA, the BAT President, BAT Arbitrators and all personnel involved in a BAT arbitration
cannot be held liable for any act or omission in connection with arbitration proceedings
hereunder except in cases of grossly negligent or wilful acts or omissions.

9.

Request for Arbitration, Advance on Costs, Counterclaims

9.1

A BAT arbitration shall commence on the date of receipt by the BAT Secretariat or FIBA
(whichever comes first) of a Request for Arbitration, which shallshould contain thefollowing: The names, postal addresses, telephone, facsimile numbers and e-mail addresses of
the Claimant and the Respondent and their respective counsel.
 A statement of all the facts and the legal arguments on which the Claimant seeks to
rely.
 The Claimant's request for relief.
 The total amount of any interest or late payment penalties sought in relation to any
period prior to the date of filing of the Request for Arbitration.
 A copy of any writtenthe contract containing the agreement to have the dispute
resolved by arbitration before the BAT (see also Article 1.1).
 All written evidence on which the Claimant intends to rely.
 Any request for a hearing and for the examination of (a) witness(es).

9.2

The arbitration will not proceed until the non-reimbursable handling fee (seeprovided in
Article 17.1) below is received in the BAT bank account. The BAT Secretariat may fix a
final date for the payment of the non-reimbursable handling fee, failing which theRequest for Arbitration shall be deemed withdrawn.

9.3

Advance on Costs

9.3.1

The BAT Secretariat shall fix an advance on costs (and may adjust such advancethe
same in the course of the proceedings) to be paid in equal shares by both parties(unless decided otherwise by the Arbitrator) into the BAT bank account (see Article 17.1
below); in fixing the amount of an advance on costs, the BAT Secretariat shall take into
account inter alia the sum in monetary value of the dispute and the complexity of thecase. The initial Where the monetary value of the dispute does not exceed EUR

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100,000, the advance on costs fixed for an award without reasons (see ArticlesArticle
16.2 and 16.3below) shall not exceed EUR 6,000. Where the sum in dispute does notexceed EUR 100,000, the initial advance on costs fixed for an award with reasons shallnot exceed EUR 9,000 7,000 unless decided otherwise by the Arbitrator.
9.3.2

If a party fails to pay its share, the other party may substitute for it.

9.3.3

The Arbitrator will not proceed with the arbitration until the full amount of the advance on
costs is received.

9.3.4

The BAT Secretariat may fix a final date for the payment of an advance on costs, failingwhich the Request for Arbitration shall be deemed withdrawn.

9.4

This Article 9 also applies mutatis mutandis to counterclaims.

10.

Provisional and Conservatory Measures

10.1

Upon request, the Arbitrator may make an order for provisional and/or conservatory
measures. In cases of extreme urgency, such orders can be made ex parte.

10.2

Orders for provisional and/or conservatory measures can be made conditional upon theposting of a security.

10.3

Requests for provisional and/or conservatory measures can only be brought together
with or after the filing of a Request for Arbitration.

10.4

In agreeing to submit their dispute to these Rules, the parties expressly waive any rightto request provisional and/or conservatory measures from any state court.

11.

Initiation of the Arbitral Proceedings, (De-)Consolidation, Answer

11.1

After filing, the Request for Arbitration shall be forwarded to the BAT President for a
prima facie determination whether the subject matter of the dispute is arbitrable and thearbitration can thus proceed.arbitration can proceed. That determination shall consist of
an examination of whether an arbitration agreement exists providing for the dispute to
be adjudicated under these Rules.

11.2

If the BAT President determines that the arbitration can proceed, he/she shall appoint
the Arbitrator (see Article 8.1). Article 8.1 above). The BAT Secretariat shall inform theBasketball Arbitral Tribunal - Arbitration Rules
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parties thereof and shall communicate the Request for Arbitration and the time limit for
an Answer. The Answer should contain:
11.3

The BAT President (or, if the same Arbitrator is appointed for the cases concerned, theArbitrator after his/her appointment) may consolidate two or more Requests for
Arbitration into one arbitration. The BAT President (or, once appointed, the Arbitrator)
may deconsolidate a Request for Arbitration into two or more arbitrations. In exercising
his/her discretion, the BAT President (or the Arbitrator, as the case may be) shall take
into account whether there is a sufficiently close connection between the claims andwhether they are subject to arbitration clauses that are identical in substance. Claims
that are neither based on the same contract nor on contracts that directly relate to eachother shall, absent exceptional circumstances, not be deemed to have a sufficiently
close connection.

11.4

The BAT Secretariat shall inform the parties about the Arbitrator’s appointment andshall communicate the Request for Arbitration and the time limit for the Answer. The
Answer shall contain:
 Any defence of lack of jurisdiction.
 A statement of defence, including a statement of all the facts and legal arguments on
which the Respondent seeks to rely.
 Names and addresses of the Respondent and its counsel (if any),, unless this has
already been set out in the Request for Arbitration.
 Any counterclaim and details of the relief sought.
 All written evidence on which the Respondent intends to rely.
 Any request for the holding of a hearing and for the examination of (a) witness(es).

12.

Further Submissions, Procedural Orders, Settlement, Suspension

12.1

After the filing of the Request for Arbitration and the Answer, the Arbitrator shalldetermine in his/her sole discretion whether a further exchange of submissions isnecessary. Unless he/she decides that it is necessary, further submissions will not betaken into account.

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12.2

The Arbitrator may also issue any Procedural Order. In particular, he/she may order the
production of (additional) evidence or the parties' responses to specific questions, orgive directions for the further proceedings.

12.3

The Arbitrator is authorized to attempt to bring about a settlement to the dispute.

12.4

The Arbitrator may suspend the arbitration upon request by one or both parties. If arequested suspension exceeds two months (by itself or in combination with earlier
suspensions), an abeyance fee of EUR 500 shall apply thereafter for each period ofsuspension of up to six months. Failing payment of the abeyance fee into the BAT bankaccount (see Article 17.1) within the time limit set by the BAT Secretariat, the Arbitrator
may lift any existing suspension and refuse to grant any new suspension unless anduntil the applicable abeyance fee is paid.

13.

Hearing

13.1

No hearings are held in arbitration proceedings under these Rules unless the Arbitrator
decides to hold a hearing after consultation with the parties. Hearings before the BAT
shall be in private.

13.2

The Arbitrator shall determine in his/her sole discretion whether a hearing is to be heldby telephone or video conference or whether and where a hearing in person is to be
held.

13.3

The Arbitrator may make the holding of a hearing dependent on the payment of anadditional advance on costs by one or both parties.

13.4

If witnesses are heard, the Arbitrator shall invite them to tell the truth and draw theirattention to the fact that false testimony may lead to criminal sanctions.

13.5

The parties shall be responsible for the availability of their witnesses and shall bear any
costs and expenses related to their testimony.

14.

Withdrawal of the Request, Default of Respondent

14.1

If the Claimant fails to submit its Request for Arbitration in accordance with Articles 6.1
andArticle 9.1 above despite having been requested to submit any missing elements,
the BAT President may decide that the Request for Arbitration is deemed withdrawn.
The Arbitrator shall have the same powers with respect to counterclaims.

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14.2

If the Respondent fails to submit an Answer at all oror fails to submit its Answer inaccordance with Article 11.42 above, the Arbitrator may nevertheless proceed with thearbitration and deliver an award. The same applies if any party fails to abide by aProcedural Order (or other directions given by the Arbitrator) or fails to appear at ahearing.

15.

Law Applicable to the Merits

15.1

The15.1
Unless the parties have agreed otherwise, the Arbitrator shall decide thedispute ex aequo et bono, applying general considerations of justice and fairness
without reference to any particular national or international law.

15.2

If, according to an express and specificthe parties’ agreement of the parties, theArbitrator is not authorised to decide ex aequo et bono, he/she shall decide the disputeaccording to the rules of law chosen by the parties or, in the absence of such a choice,according to such rules of law he/she deems appropriate. In both cases, the parties
shall establish the contents of such rules of law. If the contents of the applicable rules oflaw have not been established, Swiss law shall apply instead.

16.

Award

16.1

TheSubject to Article 16.2, the Arbitrator shall give a written, dated and signed award
which, subject to Article 16.2, shall includewith reasons. Before signing the award, theArbitrator shall transmit a draft to the BAT President who may make suggestions as tothe form of the award and, without affecting the Arbitrator's liberty of decision, may also
draw his/her attention to points of substance.
In the interest of the development of consistent BAT case law, the BAT President may
consult with other BAT arbitratorsArbitrators, or permit BAT arbitratorsArbitrators to
consult amongst themselves, on issues of principle raised by a pending case.

16.2

By agreeing to submit their dispute to arbitration under these Rules, the partiesParties
agree that, subject to Article 16.3where the value of the dispute does not exceed
EUR 100,000, the Arbitrator shall issue an award without reasons, provided, however,that the Arbitrator shall deliver reasons if the sum in dispute does not exceed
EUR 50,000.a party

16.3

In cases falling under Article 16.2, the Arbitrator shall issue an award with reasons(which shall substitute in full for any previously-issued award without reasons) only if

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a)

a party (i) files a request to that effect at any stage from when the Request for
Arbitration is filed until no later than ten (10) days after the notification of theaward without reasons, and (ii) pays, within the deadline set by the BATSecretariat, an amount of EUR 3,000 into the bank account indicated in
Article 17.1, failing which the request shall be deemed withdrawn; or ; andb)

the BAT President determines in his sole discretion, before the award is issued,that it shall be rendered with reasons, taking into account the issues raised by
the case as well as the public interest in a sufficient body of publicized awards
with reasons.

b)pays the respective advance on costs as determined and within the time limit set
by the BAT Secretariat.

16.43 The Arbitrator shall endeavour to render the final award no later than six (6) weeks after
the completion of the arbitral proceedings or payment of any outstanding advance on
costs, whichever comes last.
16.54 BAT awards are not confidential unless ordered otherwise by the Arbitrator or the BAT
President.
16.65 BAT awards shall be deemed to have been made at the seat of the BAT and shall befinal and binding upon communication of the award to the parties by email, fax, courieror registered letter, whichever comes first. If the award cannot be delivered to a party(or a third-party appointed under Article 6.4, if any), the award shall be final and binding
for that party if and when published on the website of FIBA, provided that the party was
duly notified of the arbitration and of the appointment of the arbitrator.
16.76 If the parties reach a settlement after the Arbitrator has been appointed, the settlement
shall be recorded in the form of a Consent Award if so requested by the parties and if
the Arbitrator agrees to do so.
16.87 After notification of the BAT award, the Arbitrator can, upon request by a party or on
his/her own motion, correct any clerical, typographical or computational error containedin the award.

17.

Costs of Arbitration

17.1

Along with the filing of the Request for Arbitration or a counterclaim, the Claimant (or theCounterclaimant, respectively) shall pay to the following bank account:Basketball Arbitral Tribunal - Arbitration Rules
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Beneficiary:

FIBA (Basketball Arbitral Tribunal), Route Suisse 5, P.O Box 29,
1295 Mies, SwitzerlandBank:

UBS Bank, Bahnhofstr. 45, 8098 Zurich, Switzerland
IBAN: CH480024324350938460F
Swift: UBSWCHZH80A

a non-reimbursable handling fee in accordance with the scale set forth below:
Sum in Dispute(in Euros)

Handling Fee(in Euros)

up to 50,000

1,500from 50,001 to 200,000

3,000

from 200,001 to 500,000

5,000

over 500,000

7,000

TheIf no value is specified in the Request for Arbitration, the BAT President shalldetermine the applicable handling fee.
This handling fee shall be taken into account when granting the prevailing party acontribution towards its legal fees and other expenses (see Article 17.3 below).
17.2

At the end of the proceedings, the BAT President shall determine the final amount of thecosts of the arbitration costs, which shall include the administrative and other costs of
the BAT, the contribution to the BAT Fund (see Article 18),BAT and the fees and costsof the BAT President and the Arbitrator, and any abeyance fee paid by the parties (seeArticle 12.4).. The final account of the arbitration costs may either be included in theaward or communicated separately to the parties.
The fees of the Arbitrator shall be calculated on the basis of time spent at a rate to be
determined by the BAT President from time to time.

17.3

The award shall determine which party shall bear the arbitration costs and in which
proportion. In addition, as a general rule, the award shall grant the prevailing party acontribution towards anyits reasonable legal fees and other expenses incurred inBasketball Arbitral Tribunal - Arbitration Rules
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connection with the proceedings (including any reasonable and, in particular, the costsof witnesses and interpreters).. When deciding on the arbitration costs and on theamount of any contribution to the parties’ reasonable legal fees and expenses, theArbitrator shall primarily take into account the relief(s) granted compared with therelief(s) sought and, secondarily, the conduct and the financial resources of the parties.
17.4

The maximum contribution to a party’s reasonable legal fees and other expenses(excluding the non-reimbursable handling fee) shall be as follows:
Sum in Dispute

Maximum contribution(in Euros)(in Euros)

up to 30,000

5,000

from 30,001 to 100,000

7,500

from 100,001 to 200,000

10,000from 200,001 to 500,000

15,000from 500,001 to 1,000,000

20,000over 1,000,000

40,000In case of multiple Claimants and/or Respondents, the maximum contribution isdetermined separately for each party according to the foregoing table on the basis of
the relief sought by/against this party.
17.5

The sum in dispute shall be the aggregate amount of all claims (and counterclaims, ifany) made in the arbitration. This includes any interest or late payment penalties soughtfor periods prior to the filing of the Request for Arbitration. If a party seeks any relief
other than an order for payment, the BAT Secretariat shall determine in its discretion thesum in dispute attributable to such request for relief, and may adjust this during thearbitration, if necessary.
If the sum in dispute changes during the arbitration (other than by virtue of interest orlate payment penalties continuing to accrue), the relevant sum in dispute shall be thehighest one.

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For the purposes of Article 17.1 only, the sum in dispute shall be determined separately
for the claim and any counterclaim.

18.

The BAT Fund

18.1

The BAT maintains a fund (the “BAT Fund”) from and into which payments are made as
set out in this provision.

18.2

If the President of the BAT determines, in accordance with Article 16.3 b), that theaward shall be rendered with reasons, a contribution shall be paid from the BAT Fund
towards the costs of the arbitration in that case. The amount of such contribution shallbe determined by the BAT President from time to time.

18.3

If a case is terminated before payment of any Advance on Costs, the fees and expensesof the Arbitrator and of the BAT President shall be covered by the BAT Fund.

18.4

The payments provided for in Articles 18.2 and 18.3 are subject to sufficient funds
being available in the BAT Fund.

18.5

The BAT Fund is financed by way of a fixed contribution payable in each arbitration aspart of the costs of the arbitration. The amount of such contribution shall be determinedby the BAT President from time to time.

18.19. Miscellaneous
1918.1 These Rules enter into force on 1 December 2019January 2017 and are applicable toRequests for Arbitration received by the BAT Secretariat or FIBA (whichever comes
first) on or after such date.
1918.2 Any reference to the BAT’s former name “FIBA Arbitral Tribunal (FAT)” shall be
understood as referring to the BAT.

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