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6.3 Representation
GENERAL RULE: No requrement that a person representng a party n an
arbtraton be a awyer and no restrcton s paced on the natonaty of
representatves.
(Exampe: Art. 6 of ACICA Rues: "Partes may be represented or asssted n the
arbtraton by persons of ther choce.")
*The practce though s that awyers are the ones representng the partes n arge
nternatona commerca arbtratons.
EXCEPTION RE NATIONALITY:
-Indonesas BANI Rues, Artce 5(2):
if a party is represented by a foreign advisor or a foreign legal advisor in an
arbitration case relating to a dispute that abides by the Indonesian law, the foreign
advisor or the foreign legal advisor may attend ONLY IF H I! "##O$%"NI& 'Y "N
IN&ON!I"N "&(I!O) O) L*"L "&(I!O)+,
-Chnese Mnstry of |ustce
Foreign law -rms are not prohibited from representing clients in arbitration cases
in #hina. however, when #hinese law is applied or #hinese law issues are
concerned, /HY !HO0L& )F)"IN F)O$ %)O(I&IN* L*"L "&(I# O)
#O$$N/!, but assist clients in engaging local lawyers to do so+,
6.4 Preliminar meetin!
On"e ar#itral tri#$nal is appointe%:
1. Arbtrators may confer and dscuss ssues reatng to organzaton and
conduct of proceedngs.
2. Hod a premnary meetng wth partes - decde a number of procedura
ssues:
a. Method of communcaton between the arbtra trbuna and the partes
b. How document producton w take pace
c. How ora evdence w be heard
d. Tmetabe for servce or exchange of wrtten submssons
6.& Terms o' re'eren"e(
*SOURCE: Art. 23(1) ICC Rues |n the book ts Art. 18(1) but n the 2012 ICC Rues
ts 23(1)|
Terms o' Re'eren"e in"l$%e:
a. Names n fu, descrpton, address, other contact detas of each of the
partes and any persons representng a party n the arbtraton
b. Addresses to whch notcatons and communcatons arsng n the course of
the arbtraton may be made
c. Summary of partes respectve cams and reef sought together wth
amounts of quanted cams and estmate of monetary vaue of any other
cams
d. Uness the arbtra trbuna consders t napproprate, a st of ssues to be
determned
e. Names n fu, address and other contact detas of each of the arbtrators
f. Pace of arbtraton
g. Partcuars of appcabe procedura rues
*Terms of reference sha be sgned by trbuna and partes.
*In some nstances, terms of reference can be consdered as a substtute arbtraton
agreement
*I) PARTY RE)U*E* TO *IGN, Art. 23(3) provdes that t sha be submtted to the
Court for approva and f approved, the arbtraton sha proceed.
6.6 +ritten s$#missions
*teps ,-. 'or e/"0an!e o' 1ritten s$#missions:
1. Camant es a wrtten submsson on substantve ssues.
*Respondent may be requred to submt hs ob|ectons rst f there s an nta
|ursdctona phase.
a. Takes the form of a statement cam
b. Documentary evdence and wtness statements are attached
2. Respondent s requred to serve or submt a statement of defence
a. Supportve documentary evdence and wtness statements are aso
attached
b. If theres countercam, t woud usuay be ed wth ths
*There may be a second round or even further rounds of pre-hearng exchanges of
submssons.
*Some arbtratons rues provde that an arbtraton w be determned ony on the
submtted documents - no hearng at a. Art. 24(1) of Mode Law provdes:
!ub1ect to any contrary agreement by the parties, the arbitral tribunal shall decide
whether to hold oral hearings for the presentation of evidence or for oral argument,
or whether the proceedings shall be conducted on the basis of documents and other
materials+ However, unless the parties have agreed that no hearing shall be held,
the arbitral tribunal shall hold such hearings at an appropriate stage of the
proceedings, if so re2uested by a party+,
*Documentary evdence s often attached to pre-hearng wrtten submssons. There
are cases however when a party w wthhod t for a ater stage. Cauton shoud be
apped to ths strategy because:
1. That document may be requred to be dscosed n a document producton
request
2. Hghy probabe that other party w ob|ect on ts ater ncuson on the
foowng grounds:
a. Has been submtted out of tme
b. Unfar to surprse the opposng party wth such a document
c. Extra tme s needed to respond to t, wth costs of any ad|ournment to
be pad by the ate-submttng party.
*Re: 2lin! or ser3i"e o' 1ritten s$#missions - DEADLINE set by trbuna and
amount of tme may vary dependng on compexty of crcumstances. In absence of
any agreement, some nsttutona rues x tme perods for submsson.
(In post40earin! 1ritten s$#missions
-partes are permtted to comment on the evdence that was gven durng the
hearng or
-they may be permtted to summarse n one na document a factua and ega
arguments presented durng the proceedngs
*If document s not n the anguage of arbtraton, the submttng party may be
requred to transate t.
6.5 Amen%ment o' "laims
Art. 23 of ACICA Rues provdes that a party can amend or suppement a cam and
that the trbuna w aow t uness the trbuna consders t napproprate. However,
t cannot be amended n such a manner that the amended cam fas outsde the
scope of arbtraton cause.
ICC Rues - sent as to amendments but prohbt ntroducton of new cams fang
outsde the scope of the terms of reference wthout the trbunas permsson.
*If new cam s not admtted, t does not mean that ts a re|ecton of the cam. It
may be rentroduced n a ater proceedng.
6.6 On4site inspe"tions
-gves an mportant mpresson of a pace or ob|ect that s reevant to the arbtraton
and may provde a deeper understandng of the factua ssues n dspute
-argey dscretonary power
I7A R$les o' E3i%en"e pro3i%es t0ese:
1. Inspecton may be requested by partes or ntated by trbuna tsef
2. Trbuna may requre partes to aow nspecton by trbuna-apponted expert.
3. Covers nspecton of any ste, property, machnery, or any other goods or
process, or documents
-It s better f both partes are present at on-ste nspecton.
-Statements made by representatves of a party present at an on-ste nspecton
shoud not be treated as evdence.
-For any meetng of the trbuna at whch nspecton of property s to take pace,
partes shoud be gven sumcent advance notce.
Why? Because of due process.
6.8 7i'$r"ation an% tri'$r"ation
Bfurcaton and trfurcaton dvde proceedngs nto two or three phases. Exampe:
-one deang wth |ursdctona ssues
-one deang wth abty
-na one wth quantum or costs
Advantage: save costs and tme
6.9: Part %e'a$lt an% non4parti"ipatin! parties
*Refusa by respondent to partcpate does not overrde the trbunas duty to
examne and queston the camants poston.
*Camant s st requred to prove ts case.
If the respondent fails to communicate his statement of defence the arbitral
tribunal shall continue the proceedings without treating such failure in itself as an
admission of the claimant3s allegations+, (Art. 25(b) of Mode Law)
*Trbuna usuay aocates perods of tme for respondent to e a defence.
*A communcatons between the trbuna and partcpatng partes are sent to any
non-partcpatng party.
*Non-partcpatng respondent may seek to set asde or resst enforcement of
award.
*Domestc court shoud not hod that a partys refusa to partcpate equated to an
nabty to present ts case.
I' "laimant 'ails to s$#mit a statement o' "laim a'ter it 0as ma%e a re;$est
'or ar#itration:
-generay, proceedngs are termnated
-however, f the camant fas to appear at the hearng wthout a sumcent cause, t
s the trbunas dscreton whether to termnate or contnue wth the proceedngs
6.99 E/pe%ite% ar#itration pro"e%$res
*Prncpe of party-autonomy aows partes to agree on an expedted or fast-track
procedure.
Expedted rues
1. May be contaned wthn the standard arbtraton rues of an nsttuton
2. May take the form of a separate body of sef-contaned rues on expedted
procedure
3. They mght be speccay formuated by the partes
Fast-track rues may ncude:
1. Expedted consttuton of the arbtra trbuna
2. Requrement that proceedngs be conducted by a soe arbtrator
3. Shortened tme mts for submsson of brefs
4. documents-ony determnatons wthout ora hearngs
5. A reatvey short perod wthn whch the award must be ssued
*Some arbtraton rues speccay provde for expedted proceedngs n cases
nvovng ess than a speced dsputed amount.