Step by Step

The Notice of Arbitration by a Claimant initiates ASEAC arbitration. It does not amount to a detailed statement of claim. It is a concise notice comprised of mandatory and optional elements:

Mandatory Requirements

Information

• Demand to refer the dispute to arbitration;
• Names and contact details of the parties as well as the statutory representative, if applicable;
• Reference to the arbitration clause or the separate arbitration agreement that is invoked;
• Reference to the contract out of or in relation to which the dispute has arisen;
• Brief description of the claim and an indication of the amount involved (if any);
• Relief or remedy sought and
• Proposal as to the number of arbitrators (i.e. one or three), language and place of arbitration, if the parties have not previously agreed thereon.

Documents

• Copy of the contract related to or out of which the dispute has arisen and
• Copy of the arbitration agreement if not contained in the contract as arbitration clause.

Optional Requirements

• Proposal(s) for the appointment of a sole arbitrator;
• Notification of an arbitrator in case of three arbitrators and/ or
• Full statement of claim.

Parties or counsels wishing to file a Notice of Arbitration may address it to:

ASEAC Asian European Arbitration Centre GmbH
Adolphsplatz 1
20457 Hamburg
Germany

They may also use the letter box of the Hamburg Court of Appeals in order to secure that they meet a certain date for submission. This letter box is available on weekends, holidays and at night and is checked frequently. A notice of arbitration in this case should be addressed to:

ASEAC Asian European Arbitration Centre GmbH
Landgericht Hamburg
Sievekingplatz 1
20355 Hamburg
Germany

Upon filing of the Notice of Arbitration, claimant shall pay the administration fee determined in accordance with the Schedule of Costs of ASEAC. If the administration fee is not paid upon filing of the Notice of Arbitration, ASEAC management shall issue an invoice and set a time period within which claimant is required to pay.

When effecting the payment, please indicate the claimant's name as reference and shall be paid in euro to ASEAC into the following account:

Favour: ASEAC Asian European Arbitration Centre GmbH
Bank: Hypo Vereinsbank
Account No. (IBAN): DE10 2003 0000 0602 0470 29
BIC: HYVEDEMM300
VAT No: DE 280898938

If the administration fee is not paid within the period set, the claim shall be deemed to have been withdrawn.

After receipt of the Notice for Arbitration, the ASEAC confirms receipt to the Claimant.

As soon as the registration fee is paid by Claimant, ASEAC serves the Notice of Arbitration to Respondent.

Respondent is being served the request for arbitration and is asked to submit an answer to the Notice of Arbitration within 30 days, which shall include:

• The name and contact details of each respondent
• A response to the information set forth in the Notice of Arbitration, including
  - the reference to the arbitration clause/ arbitration agreement that is invoked
  - Reference to the contract out of or in relation to which the dispute has arisen
  - Brief description of the claim and an indication of the amount involved (if any)
  - Relief or remedy sought

The response to the Notice of Arbitration may also include:

• Any plea that an arbitral tribunal to be constituted under these Rules lacks jurisdiction
• A proposal for the appointment of a sole arbitrator
• Notification of the appointment of an arbitrator for a tribunal of three
• A brief description of counterclaims or claims for the purpose of a set-off, if any, including where relevant, an indication of the amounts involved, and the relief or remedy sought
• A Notice of Arbitration in case respondent formulates a claim against a party to the arbitration agreement other than the claimant

Failure by Respondent to submit an answer does not prevent the arbitration from proceeding.

Parties are free when choosing arbitrators, as long as they are impartial and independent. Parties are not bound by the ASEAC List of Arbitrators.

If parties are unable to constitute the arbitral tribunal on their own in the timeframe as provided for in Art. 8-10 of the ASEAC Rules, the ASEAC Appointing Authority is the competent body. It appoints an arbitrator in case (i) parties are unable to agree on a single arbitrator, (ii) a Respondent defaults with the selection of his party appointed arbitrator and (iii) the two party appointed arbitrators are unable to agree upon a presiding arbitrator.

The Appointing Authority shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties. The Appointing Authority is bound by the ASEAC List of Arbitrators.

Parties are free when choosing arbitrators, as long as they are impartial and independent. Parties are not bound by the ASEAC List of Arbitrators.

After the composition of the tribunal has been completed, ASEAC refers the case to the tribunal. From this point in time, the arbitral tribunal conducts the arbitral proceedings.

As soon as practical after the constitution of the tribunal and after inviting the parties to express their views, the arbitral tribunal shall establish the provisional timetable of the arbitration.

The Statement of Claim shall include:

• The names and contact details of the parties
• A statement of the facts supporting the claim
• The points at issue
• The relief or remedy sought
• The legal grounds or arguments supporting the claim

The arbitral tribunal conducts the proceedings according to the explicit choices of the parties and in the alternative in such a manner it considers appropriate.

It treats the parties equally and ensures that each party is given a reasonable opportunity of presenting its case. The arbitral tribunal, in exercising its discretion, shall conduct the proceedings so as to avoid unnecessary delay and expenses and to provide a fair and efficient process for resolving the parties' dispute.

If a party fails to submit any statement, without showing good cause, the arbitral tribunal shall order to continue the proceedings, without treating the failure in itself as an admission of any allegations.

The Statement of defense shall include reply to:

• The stated facts supporting the claim;
• The points at issue;
• The relief or remedy sought;
• The legal grounds or arguments supporting the claim.

Claimant pays its part of the advance on costs.

Upon filling of the statement of claim by claimant, ASEAC's management may order the parties to deposit an amount as an advance for the costs.

If a party fails to make a required payment, ASEAC offers the other party an opportunity to do so.

If the first advance on costs is not paid within the period set, the claim or counter-claim shall be deemed to have been withdrawn.

Respondent pays its part of the advance on costs.

Parties are allowed to request an oral hearing. The request is binding for the arbitral tribunal.

The party of the arbitration may at an appropriate stage of the proceedings request, that the arbitral tribunal shall hold hearings for the presentation of evidence by witnesses, including expert witnesses, or for oral argument.

In the absence of such a request, the arbitral tribunal shall decide whether to hold such hearings or whether the proceedings shall be conducted on the basis of documents and other materials. Usually arbitral proceedings include an oral hearing.

The Arbitral Tribunal shall, in consultation with the parties, determine the date, time and location of any hearing. If a party, without showing good cause, fails to appear at a hearing, the Arbitral Tribunal may proceed with the arbitration and render an award.

Parties are allowed to request an oral hearing. The request is binding for the arbitral tribunal.

Under the ASEAC Rules arbitral tribunals are required to render an award within nine months as of the constitution of the arbitral tribunal. The management of ASEAC may extend this time limit pursuant to a reasoned request from the arbitral tribunal or on its own initiative if it decides this to be necessary.