Contact

Boulevard des Philosophes 7

1205 Geneva

Switzerland

www.caspian-arbitration.com

info@caspian-arbitration.com

  • Black LinkedIn Icon
  • Facebook

CAS RULES

 

 

 

PART 1

CONDUCT OF PROCEEDINGS

 

ARTICLE 1: APPLICATION

1.1.      The Caspian Arbitration Society Rules (the “CAS Rules” or the “Rules”) shall apply to arbitral proceedings whenever:

  1. there is a written evidence in any form, whether signed or not, that the parties have agreed to resolve their disputes by arbitration; and

  2. the parties' agreement refers to CAS, the CAS Rules, Caspian Rules, Caspian Society Rules, the Caspian Arbitration Society, Caspian Arbitration, the Caspian Association or in any other manner which, in the opinion of the Tribunal, indicates the parties' intention to be bound by these Rules.

1.2.      The Caspian Arbitration Society is not related to the Lausanne-based Court of Arbitration for Sport. Where it is clear from the arbitration agreement that the parties refer to the Court of Arbitration for Sport (e.g. where the dispute involves issues of sport and the reference is to CAS, Lausanne) these Rules shall not apply.

1.3.      The Tribunal may rule that these Rules apply where the parties have agreed to resolve their disputes by arbitration but did not agree on the applicable arbitration rules and:

  1. the sole arbitrator, nominated by the parties indicates that he will accept appointment subject to the application of these Rules and the parties proceed with appointment without raising objections within 7 days of the arbitrator's indication of the terms of his/her appointment; or

  2. two party-appointed members of a three-person Tribunal indicate that they will accept appointment subject to the application of these Rules and the parties proceed with appointment without raising objections within 7 days of receiving the indication of the second appointed arbitrator of the terms of his/her appointment; or

  3. where the following three conditions are satisfied:

    1. the sole arbitrator appointed by the parties or two party-appointed arbitrators in a three-person Tribunal are members of the Caspian Arbitration Society;

    2. they are publicly known to accept appointments exclusively or predominantly under these Rules of the Caspian Arbitration Society either because this is mentioned on the website of the Caspian Arbitration Society or otherwise; and

    3. no party explicitly objects to the application of these Rules within 7 days of agreeing to the appointment of the sole arbitrator or 7 days after the appointment of the second of the two-party appointed arbitrators.

1.4.      Where the above requirements of this Article are satisfied, the CAS Rules shall be deemed to be incorporated into and to form part of the arbitration agreement and the dispute shall be settled in accordance with these Rules.

1.5.      These Rules shall apply and govern the arbitration save for the Article(s) herein that are in conflict with a mandatory provision of the law applicable to the arbitration, unless such provision(s) can be subject to derogation, in which case such provision(s) shall be deemed to have been derogated from by the parties in favour of the relevant Article(s) of these Rules. 

ARTICLE 2: NOTICE OF ARBITRATION

2.1.      The party or parties wishing to initiate arbitration (the “Claimant” or where applicable the “Claimants”) shall choose one of the options listed in Articles 2.2 and 2.3. to commence arbitration.

2.2.      The Claimant may choose to commence arbitration by Notice of Arbitration in one of the following ways:

  1. Where the arbitrator or arbitrators are named or designated in the arbitration agreement, the Claimant may commence arbitration in respect of a matter by serving on the Respondent a Notice of Arbitration in writing and, subject to the requirements of Article 2.5., requesting him or them to submit that matter to the person(s) so named or designated;

  2. Where the arbitrator or arbitrators are to be appointed by the parties, the Claimant may commence arbitration in one of the following ways:

    1. Where the Tribunal consists of two arbitrators and an umpire or three arbitrators, by serving on the Respondent a Notice of Arbitration in writing appointing an arbitrator and requiring the Respondent to appoint an arbitrator; or

    2. Where the Tribunal consists of one arbitrator, by serving on the Respondent a Notice of Arbitration in writing and, subject to the requirements of Article 2.5., requesting him or them to agree to the appointment of an arbitrator nominated by the Claimant in respect of that matter.

  3. Where the arbitrator or arbitrators are to be appointed by a person other than a party to the proceedings (the “Appointing Authority”), the Claimant may commence arbitration by serving on the Appointing Authority and on the Respondent a Notice of Arbitration in writing and, subject to the requirements of Article 2.5., requesting the Appointing Authority to appoint an arbitrator or arbitrators in respect of that matter.

2.3.      The Claimant may choose to commence arbitration by (a) serving a Notice of Arbitration in accordance with Article 2.2. and, at the same time, (b) serving a Statement of Case on the Respondent.

2.4.      For the purposes of these Rules, the arbitral proceedings shall be deemed to have commenced when the Notice of Arbitration is served on all Respondents provided that the commencement fee is received by the CAS within seven days thereof. Where the Appointing Authority is designated by the parties, the arbitral proceedings shall be deemed to have commenced when the Notice of Arbitration is served on all Respondents and the Appointing Authority, and the commencement fee is received by the CAS within seven days thereof. 

2.5.      The Notice of Arbitration shall include the following:

  1. A demand that the dispute be referred to arbitration;

  2. The full name and contact details (address, telephone number, email address) of the Claimant and, where appropriate, of the Claimant’s legal representatives;

  3. The names and contact details (address, telephone number, email address) of all other parties;

  4. If the Claimant is serving the Notice of Arbitration under Article 2.2(a) or 2.2(b), the full name and contact details (address, telephone number, email address) of the arbitrator nominated by the Claimant;

  5. If the parties agreed to appoint a sole arbitrator, any proposals as to the identity of that arbitrator, unless such arbitrator is named in the arbitration agreement;

  6. Unless the Notice of Arbitration is accompanied by a Statement of Case, a concise summary of the matter or matters in respect of which arbitration is commenced; and

  7. A general statement as to the relief sought;

2.6.      The Claimant, in the Notice of Arbitration, shall specify whether it has chosen to commence proceedings pursuant to Article 2.2. or Article 2.3. Where the Claimant fails to specify the Article pursuant to which proceedings are commenced, they shall be deemed to have been commenced pursuant to Article 2.2.

2.7.      The Notice of Arbitration shall not exceed 2000 words. Any defect in the notice of arbitration shall be regarded as an irregularity and shall not result in the notice of arbitration being a nullity.

ARTICLE 3: RESPONSE TO THE NOTICE OF ARBITRATION

3.1.      The Respondent shall serve upon the Claimant a Response to the Notice of Arbitration within 14 days of receiving the Notice of Arbitration.

3.2.      The Response to the Notice of Arbitration shall include the following:

  1. The contact details (address, telephone number, email address) of the Respondent and, where appropriate, of the Respondent’s legal representatives;

  2. The Respondent’s comments on the issues raised in the Notice of Arbitration;

  3. The Respondent’s response to the relief sought by the Claimant in the Notice of Arbitration;

  4. Where applicable an indication that the Respondent objects to the jurisdiction of the Tribunal;

  5. Where the Respondent is required to appoint an arbitrator, the full name and contact details (address, telephone number, email address) of the arbitrator;

  6. Where the parties agreed to appoint a sole arbitrator, whether the Respondent agrees or does not agree to the candidate(s) proposed by the Claimant.

3.3.      Where the Claimant commences arbitration proceedings pursuant to Article 2.3, the Respondent shall, within 28 days of receiving the Notice of Arbitration, serve upon the Claimant:

  1. a Response to the Notice of Arbitration; and

  2. a Statement of Defence.

3.4.      The Response to the Notice of Arbitration shall not exceed 2000 words. Any defect in the response to the notice of arbitration shall be regarded as an irregularity and shall not result in the response being a nullity.

ARTICLE 4: APPLICABLE LAW AND SEAT OF THE ARBITRATION

4.1.      Unless the parties agree otherwise, and subject to Articles 4.2 and 4.3, the parties shall be deemed to have agreed:

  1. that the law applicable to their arbitration agreement is the substantive law of England and Wales; and

  2. that the seat of the arbitration is in London, United Kingdom.

4.2.      Where the parties have agreed to an applicable law which is other than the law of England and Wales but have not agreed on the seat of the arbitration, the seat of the arbitration shall be in Geneva, Switzerland.

4.3.      Where the parties have agreed to a seat of the arbitration which is other than London, United Kingdom, but have not agreed on the applicable law, the applicable law shall be the substantive law of Switzerland.

ARTICLE 5: FORMATION OF THE TRIBUNAL

5.1.      If the arbitration agreement does not specify the number of arbitrators, the agreement shall be deemed to provide for a Tribunal of three arbitrators.

5.2.      Where the Tribunal is to consist of three arbitrators or two arbitrators and an umpire, then:

  1. the Claimant shall appoint its arbitrator in the Notice of Arbitration;

  2. the Respondent shall appoint its arbitrator in the Response to the Notice of Arbitration; and

  3. the two arbitrators so chosen shall select the umpire or the third arbitrator as may be appropriate.

5.3.      Where the Tribunal consists of two arbitrators and an umpire, the umpire shall be appointed either:

  1. forthwith if the two arbitrators cannot agree on a matter; or

  2. at any time at least one month prior to any substantive hearing in the arbitration.

5.4.      Where the Tribunal consists of three arbitrators, the third arbitrator shall be appointed forthwith following the appointment of the arbitrator by the Respondent or by the Advisory Board of the CAS on the Respondent's behalf.

5.5.      Where the two arbitrators cannot appoint the third arbitrator or an umpire within 14 days of one calling upon the other to do so, the third arbitrator or the umpire shall be appointed by the Advisory Board of the CAS.

ARTICLE 6: STATEMENT OF CASE

6.1.      The Claimant shall deliver to the Tribunal and to all other parties a Statement of Case. The Statement of Case shall set out in sufficient detail the relevant facts and legal submissions upon which the Claimant relies, together with the relief claimed against all other parties, and shall exhibit all essential documents.

6.2.      The Statement of Case shall be filed either:

  1. pursuant to Article 2.3. together with the Notice of Arbitration; or

  2. when it is not filed pursuant to Article 2.3, within 28 days after receipt of the Respondent's Response to the Notice of Arbitration.

6.3.      The Statement of Case shall include the following:

  1. The names and addresses of the parties;

  2. A statement of the facts;

  3. Legal arguments supporting the claim; and

  4. The relief sought.

 

ARTICLE 7: STATEMENT OF DEFENCE AND COUNTERCLAIM

7.1.      The Respondent shall deliver to the Tribunal and to all other parties a Statement of Defence and (if applicable) Counterclaim. The Statement of Defence shall set out in sufficient detail the relevant facts and legal submissions on which the Respondent relies, together with the relief claimed against all other parties, and all essential documents.

7.2.      The Statement of Defence shall be filed in the following manner:

  1. within 28 days of receipt of the Claimant's Notice of Arbitration and Statement of Case – when the Notice of Arbitration and the Statement of Case are filed together as prescribed by Article 2.3; or,

  2. where the Claimant does not file the Statement of Case together with the Notice of Arbitration, within 28 days of receipt of the Claimant's Statement of Case.

7.3.      The Claimant may, within 28 days of receiving the Statement of Defence, submit to the Tribunal and all other parties a Statement of Reply, which shall be accompanied with all essential documents evidencing the issues raised therein. The Statement of Reply shall be limited to addressing the issues raised in the Statement of Defence.

7.4.      If the Respondent files a Counterclaim, the Claimant shall deliver to the Tribunal and all other parties a Defence to Counterclaim at the same time as the Statement of Reply, if any, or within 28 days of receiving the Statement of Defence and Counterclaim if the Claimant does not wish to file a Statement of Reply.

7.5.      The Respondent may, within 28 days of receiving the Defence to Counterclaim, deliver to the Tribunal and all other parties a Reply to Defence to Counterclaim. Such reply shall be limited to addressing the issues raised in the Defence to Counterclaim. 

 

ARTICLE 8: DEFAULT AWARDS

8.1.      In the event that the Respondent fails to file a Response to the Notice of Arbitration pursuant to these Rules, then the following provisions shall apply:

  1. The Tribunal shall be appointed as per the parties' arbitration agreement and/or these Rules, save that where the Respondent is required to appoint an arbitrator, the arbitrator shall be appointed by the Advisory Board of the CAS instead;

  2. once the Tribunal is constituted, the Claimant shall:

    1. provide to the Tribunal sufficient evidence to demonstrate that all reasonable efforts have been made to bring the Notice of Arbitration to the attention of the Respondent; and

    2. file a Statement of Case in accordance with the applicable provisions of these Rules.

8.2.      The Tribunal shall issue a final award granting all of the Claimant's claims except for those, if any, which the Tribunal considers to be manifestly without merit.

8.3.      In the event that the Respondent files a Response to the Notice of Arbitration, the Claimant files a Statement of Case, but the Respondent then fails to file a Statement of Defence or otherwise contrary to these Rules ceases its participation in the arbitration for a period of over 28 days, the Tribunal shall have the power, upon the Claimant's application on notice to the Respondent, to issue a final award granting all of the Claimant's claims except for those, if any, which the Tribunal considers to be manifestly without merit.

8.4.      In the event that, following a peremptory order from the Tribunal, a party fails:

  1. to comply with an order to provide security for costs;

  2. to comply with an interim injunction granted by the Tribunal; or

  3. to comply with an order to provide security for any claim or counterclaim;

            the Tribunal shall have the power to grant the relief sought by the party in whose favour the order has been made (i.e. issue an award in favour of the Claimant if the order was made in favour of the Claimant, or dismiss the Claimant's claims if the order was made in favour of the Respondent).

8.5.      In the event that any time following the filing of the Notice of Arbitration the Claimant, contrary to these Rules, fails to participate in the proceedings for a period of over 28 days, the Tribunal may, upon an application of the Respondent on notice to the Claimant, dismiss the Claimant's claims.

8.6.      Where a party is obliged to take any action under these Rules to advance its case and fails to do so within the time required by these Rules or the Tribunal's directions, the Tribunal shall have the power to debar the party from taking such action in the future. In the event that the party's delay exceeds 14 days from the deadline (whether initial or extended) to take such action, the Tribunal shall be at liberty to issue an order debarring the party from taking such action in the future.

8.7.      Where a party fails to comply with an order for disclosure of documents, the Tribunal may make such adverse inferences from the failure as it considers appropriate.

8.8.      Where a party fails to comply with these Rules or the Tribunal's orders in any other way, the Tribunal may proceed with the arbitration and may make such order as it thinks fit as to the payment of costs of the arbitration, such order to reflect the party's failure to comply with these Rules or the Tribunal's directions.

 

ARTICLE 9: COSTS BUDGETING

9.1.      Within 1 week of the last Statement of Case being filed or the date when it is due to be filed pursuant to these Rules, the parties shall exchange costs budgets.

9.2.      The costs budgets shall specify the following:

  1. The fee earners working on the matter and their hourly rates;

  2. The costs incurred up to the date when the budget is prepared, detailing the tasks undertaken, the amount of time spent by the various fee earners, the hourly rates charged and the overall costs; 

  3. The tasks which the party anticipates undertaking in the course of the arbitration and the estimated costs of those tasks, by reference to the fee earners involved, their hourly rates and the number of hours required;

  4. Any incurred and anticipated expenses;

  5. Any costs of legal financing; and

  6. Any contingency fee arrangements and their cost in the event that the party is successful.

9.3.      In the event that a party fails to file a costs budget pursuant to these Rules, the party shall:

  1. lose its right to have its costs quantified pursuant to Article 12.4(b);

  2. lose its right to claim any costs of legal financing or rely on any contingency fee arrangements when claiming costs; and

  3. be entitled to recover a maximum of 70% of its reasonable arbitration costs.

9.4.      This article shall not apply where the quantum of the claim or the counterclaim exceeds CHF20 million or equivalent in another currency.

 

ARTICLE 10: STANDARD DIRECTIONS

10.1.    Unless the parties agree or the Tribunal rules otherwise, the parties shall follow the standard directions as specified in Annex 1 to these Rules.

 

ARTICLE 11: AWARD(S)

11.1.    The Tribunal may, in consultation with the parties, decide to bifurcate proceedings and render different awards or decisions on different issues separately and at different times.

11.2.    Where the Tribunal is composed of more than one arbitrator, any award, order or other decision of the Tribunal shall be made by a majority decision. In the absence of a majority, the presiding arbitrator or umpire shall be entitled to make the award, order or other decision as if acting as sole arbitrator.

11.3.    The award shall be deemed to be rendered on the date stated in the award.

11.4.    The award shall be made in writing and shall state the reasons upon which the decisions of the Tribunal are based, unless the parties have agreed that no reasons should be given, and the law of the seat does not provide for a mandatory statement of reasons.

11.5.    The parties may apply for correction of clerical computational, typographical or similar errors contained in an award within 14 days of the date of the award. The Tribunal shall decide on the request and set a procedure for the provision of the corrected award (if any). Any corrections to the award pursuant to this Article shall not affect the date on which the award is deemed to have been issued.

 

ARTICLE 12: COSTS

12.1.    The Tribunal shall have the power to decide by an award how the costs of the arbitration shall be allocated between the parties.

12.2.    In making an award on costs, the Tribunal shall follow the general principle that the winning party shall recover its costs. The Tribunal may, in its discretion, decide whether for the purposes of this Article the Tribunal is to consider the overall outcome of the arbitration or the parties' relative success on specific issues.

12.3.    All reasonable costs incurred by the winning party for the purposes of the arbitration shall be recoverable, including, without limitation:

  1. Tribunal's fees;

  2. Fees of the Caspian Arbitration Society;

  3. Costs of legal representation;

  4. Reasonable expenses incurred for the purposes of the arbitration;

  5. Costs of the work of any in-house counsel, which may be charged at a rate similar to those of external counsel with similar experience; and

  6. Reasonable expenses incurred in order to obtain funding for the arbitration costs and/or reasonable contingency fees, provided that such arrangements are notified by the winning party to the Tribunal and all other parties together with the cost budgets pursuant to Article 9.

12.4.    The Tribunal may assess costs in one of the following ways:

  1. If the losing party has complied with its obligation to submit the costs budget pursuant to Article 9 of these rules and there is no substantial difference in the parties' budgeted or actual costs, then the Tribunal shall award the winning party its reasonable costs.

  2. If the losing party has failed to submit the costs budget pursuant to Article 9 of these Rules, or if the losing party's budgeted or actual costs exceed the winning party's costs by a substantial margin, then the Tribunal shall be entitled to award the winning party 100% of its costs, it being presumed that all costs claimed are reasonable unless convincing proof to the contrary is provided.

12.5.    If the arbitration is abandoned, suspended, withdrawn or concluded whether by agreement or otherwise before the final award is made, the parties shall remain jointly and severally liable to pay both the Tribunal and the Caspian Arbitration Society any and all fees incurred by the Tribunal and the Caspian Arbitration Society in the course of the arbitration.

PART 2

ANCILLARY RULES

 

ARTICLE 13: EMERGENCY RELIEF AND EMERGENCY ARBITRATOR

13.1.    A party seeking urgent interim measures may, before the formation of the Tribunal or the commencement of the arbitration, submit a Request for Emergency Interim Measures to the CAS. The Request for Emergency Interim Measures shall contain the same requirements as listed in Article 14 and indicate the reasons for such urgency.

13.2.    Upon receipt of the Request for Emergency Interim Measures, the CAS shall, within 2 days, appoint an emergency arbitrator and the powers granted to the Tribunal under these Rules shall apply mutatis mutandis to the emergency arbitrator, including the power to grant interim measures.

13.3.    In case the arbitral proceedings are not commenced within 30 days following submission of the Request for Emergency Interim Measures, the emergency arbitrator shall have the power to terminate the proceedings and to annul the emergency relief granted to a party.

 

ARTICLE 14: INTERIM MEASURES

14.1.    The Tribunal (including any emergency arbitrator appointed pursuant to Article 13 of these Rules) shall have the power, upon the application of any party, after giving all other parties a reasonable opportunity to respond to such application, and upon such terms as the Tribunal considers appropriate:

  1. to order any Respondent party to a claim or cross-claim to provide security for all or part of the amount in dispute, by way of deposit or bank guarantee or in any other manner;

  2. to order on a provisional basis, subject to a final decision in an award, any relief which the Tribunal would have the power to grant in an award, including the payment of money or the disposition of property as between any parties;

  3. to order the preservation, storage, sale or other disposal of any documents, goods, samples, property, site or thing under the control of any party and relating to the subject-matter of the arbitration;

  4. to order any claiming or cross-claiming party to provide or procure security for costs by way of deposit or bank guarantee or in any other manner; and

  5. to grant any other measures available under the law of the seat of the arbitration.

14.2.    In the event that the Claimant requires an urgent interim order (i) without notice to the respondent, or (ii) within a time limit which cannot reasonably be met in an arbitration under these rules, such as an urgent order for preservation of assets or a freezing injunction, the Claimant may seek such an order at its option from the following courts, provided that in the jurisdiction of those courts the order could be made upon an application without notice to the respondent:

  1. the courts of the seat of the arbitration;

  2. the courts of the place where the property which is the subject matter of the proceedings is located; or

  3. the Commercial Court of England and Wales.

14.3.    In all cases not covered by Article 14, an Application for Interim Measures shall be made to the Tribunal.

 

ARTICLE 15: DEFAULT APPOINTMENT OF ARBITRATORS

15.1.    Where the Tribunal is to consist of one arbitrator and the parties do not agree on his/her identity within 14 days of the commencement of arbitration proceedings, the arbitrator shall be appointed by the Advisory Board of the CAS.

15.2.    Where a party is required to appoint an arbitrator pursuant to the arbitration agreement or these Rules and fails to do so within the deadline specified in the arbitration agreement or these Rules, the arbitrator shall be appointed by the Advisory Board of the CAS on the application of the other party.

15.3.    Where the Advisory Board of the CAS is required to appoint an arbitrator pursuant to these Rules, it shall select an arbitrator with the appropriate experience and qualifications from among the members of the Caspian Arbitration Society.

 

ARTICLE 16: APPOINTMENT OF THREE ARBITRATORS IN CASE OF MULTIPLE CLAIMANTS OR RESPONDENTS

16.1.    Where there are multiple Claimants and/or multiple Respondents and where the proceedings are to be conducted by a three-member Tribunal, the Claimants shall jointly nominate one arbitrator and the Respondents shall likewise jointly nominate one arbitrator in the manner provided by Article 5 of these Rules.

16.2.    Where there are multiple Claimants or multiple Respondents and the Claimants or the Respondents fail to nominate their arbitrator within 14 days following the commencement of arbitration, the arbitrator shall be appointed by the Advisory Board of the CAS.

 

ARTICLE 17: CHALLENGE OF ARBITRATORS

17.1.    A party may challenge any arbitrator for a lack of impartiality or independence or if the arbitrator repeatedly fails to fulfil his duties or is unable to participate properly in the conduct of the arbitration for a substantial period of time. The challenge shall be made in writing submitted to the Advisory Board of the CAS with a copy to all other parties to the proceedings.

17.2.    The party wishing to challenge an arbitrator shall do so within 15 days of the notification to the party of the appointment or confirmation of the arbitrator, or within 15 days of the date on which the circumstances giving rise to the challenge became known to the party whichever is later.

17.3     If a party or parties oppose the challenge, they shall make their observations upon the challenge, if any, to the Advisory Board of the CAS within 14 days of receiving the challenge. The Advisory Board shall then rule on the matter.

17.4.    If a party fails to challenge the arbitrator within the time limit prescribed in this Article, it shall be deemed to have waived its right to challenge the arbitrator to the extent permitted by the applicable law.

17.5.    The Application of Challenge shall not in any manner suspend arbitral proceedings unless otherwise agreed by the parties or decided upon by the Tribunal of its own motion.

 

ARTICLE 18: RELEASE FROM APPOINTMENT AND REPLACEMENT OF ARBITRATOR

18.1.    An arbitrator shall be replaced: 

  1. in the event of death;

  2. when the challenge of the arbitrator is successful; or

  3. if the voluntary resignation of an arbitrator is accepted by the parties.

18.2.    Pending any such replacement, the arbitral proceedings shall be suspended, unless otherwise agreed by the parties.

18.3.    Where the arbitration agreement provides for appointment of the arbitrators by the parties, the party whose arbitrator has been replaced shall appoint a new arbitrator in his place within 7 days of the prior arbitrator being released from appointment. Where the arbitration agreement provides for appointment of the arbitrator or arbitrators by the Advisory Board of the CAS or other Appointing Authority, the replacement arbitrator shall be appointed by the Advisory Board of the CAS or the other Appointing Authority as may be the case.

18.4.    Following the appointment of a substitute arbitrator, the Tribunal shall, having regard to any observations of the parties, determine whether all or part of any prior hearings are to be repeated.

18.5.    When the Tribunal has issued an interim award before the replacement of an arbitrator, any hearings relating solely to that award shall not be repeated, and the award shall remain in effect unless the parties agree otherwise.

 

ARTICLE 19: JURISDICTION OF THE TRIBUNAL

19.1.    The Tribunal shall have the power to rule on its jurisdiction and determine objections to its jurisdiction.

19.2.    The Tribunal shall be entitled to rule on the existence or the validity of the contract of which an arbitration clause forms part, provided that the arbitration clause shall be treated as an agreement independent of the other provisions and clauses of the contract. Where the Tribunal determines that the separate contract is null and void, such decision shall not impugn the arbitration clause unless circumstances exist which directly vitiate the separate arbitration agreement.

19.3.    Any objection to the Tribunal’s jurisdiction shall be raised no later than in the Statement of Defence. Where the party files a Counterclaim, jurisdiction of the Tribunal shall be challenged no later than in the Defence to Counterclaim. Failure by any party to comply with this Article shall debar such party from raising this objection in the subsequent arbitral proceedings or before any court.

19.4.    Any objection that the Tribunal is exceeding the scope of its authority and is acting ultra petita shall be lodged as soon as the matter alleged to be beyond the scope of the Tribunal’s authority is raised and addressed by the parties or by the Tribunal during the arbitral proceedings.

19.5.    The Tribunal may, at its own discretion, find late objections to be admissible when the delay is found to be justified due to exceptional circumstances as demonstrated by the objecting party.

19.6.    It shall be within the Tribunal's discretion to decide whether to determine the jurisdictional objection as a preliminary matter or determine it in the final award together with the merits of the case.

 

ARTICLE 20: LANGUAGE

20.1.    The language of the arbitration shall be the language specified in the arbitration agreement, or failing this, the language of the arbitration agreement itself unless otherwise agreed by the parties.

20.2.    Where the arbitration agreement is in several languages one of which is English, the arbitration shall be in the English language.

20.3     Where the arbitration agreement is in several languages other than English, the Tribunal shall determine the language of the arbitration having regard to any observations of the parties and the circumstances of the arbitration.

20.4.    The Tribunal may order that any documents submitted by the parties in languages other than the language of the arbitration be translated in whole or in part into the language of arbitration.

 

ARTICLE 21: CLOSING OF THE PROCEEDINGS

21.1.    The Tribunal shall declare the proceedings closed following the last hearing or the filing of the last authorised post-hearing submission.

21.2.    No submissions, arguments or evidence submitted after the closure of proceedings shall be deemed admissible unless so authorised by the Tribunal, such authorisation being reserved for exceptional circumstances only.

 

ARTICLE 22: TRIBUNAL'S POWERS TO DEPART FROM THE TIME LIMITS CONTAINED IN THESE RULES

22.1.    The Tribunal may, in its absolute discretion, extend any time limit up to 28 days.

22.2     The Tribunal may, in exceptional circumstances, grant one additional extension to that mention in Article 22.1 of up to 21 days.

22.3.    For the purposes of Article 22.2, the following shall not be defined as exceptional circumstances:

  1. Failure to comply with the time limits for reasons other than a medical emergency;

  2. Travel arrangements or tight schedule of a party's representatives, a witness, an expert or a lawyer;

  3. The fact that the parties, witnesses, experts, lawyers or other participants in the proceedings are located in different jurisdictions or time zones;

  4. Vacations;

  5. Religious holidays;

  6. Conduct of translations;

  7. Any mistake of the lawyers or parties or any participant in the proceedings as to the deadlines set by these Rules or by the Tribunal.

22.4     Where a party has failed to comply with these Rules or the Tribunal's directions within the time limit specified by these Rules or set by the Tribunal pursuant to this Article, then the Tribunal shall be entitled to direct that either (i) the party shall be debarred from taking the step the time limit for taking which had expired, or (ii) the Tribunal shall be entitled to issue a default award pursuant to Article 8 of these rules.

22.5     Nothing in this Article shall preclude the Tribunal from staying arbitration proceedings in appropriate cases.

 

ARTICLE 23: SETTLEMENT

23.1.    If, before the final award on merits is made, the parties settle the dispute, the Tribunal may issue an order for the termination of the arbitral proceedings.

23.2.    Where the parties reach a settlement after commencement of the arbitration, provided that the Tribunal has been constituted and the case has been referred to the Tribunal, the parties may request the settlement to be recorded in the form of an award made by consent of the parties provided that at the time of the request the Tribunal is still in office. The Tribunal shall have full discretion as to the acceptance or refusal of such a request. 

23.3.    Where the party which made a reasonable settlement offer, which was refused by the opposing party, wins the arbitration and is awarded an amount greater than the amount it had requested in the settlement offer, the Tribunal shall have the power to award the winning party 100% of its costs, it being presumed that all costs claimed are reasonable unless convincing proof to the contrary is provided.

 

ARTICLE 24: NOTIFICATION

24.1.    All notifications from the sole arbitrator, the Tribunal or the parties shall be made to the last address of the addressee or when applicable its representative, as notified by the addressee.

24.2.    All notifications may be made by delivery against receipt, registered post, courier, facsimile, email, or any other means of communication which may provide a record of its transmission, unless otherwise agreed by the parties.

24.3.    All notifications shall be deemed to have been made on the day that they were delivered to the last address of the designated recipient. Notifications which are made by facsimile, email or any other means of communication, shall be deemed to have been made on the day that they shall be deemed to have been received.

 

ARTICLE 25: EXTENSION OF TIME LIMITS

25.1.    Under these Rules, any time limits shall begin to run on the day when a notification is made or is deemed to have been made. Where this date is an official holiday or a non-business day of the country where the notification is to be made, the time limit shall begin to run on the first following business day.

25.2.    In case the last day of any of the time limits specified by these Rules is either an official holiday or non-business day, the applicable time limit shall expire at the end of the first following business day.

 

ARTICLE 26: SAVING PROVISION

26.1.    In the event that any provision of these Rules is found to be contrary to the mandatory law of the seat of the arbitration, such provision shall not apply. This shall have no effect upon the application of the other provisions of these Rules. Where appropriate, the Tribunal shall make appropriate directions, which shall stand in place of any provision which ceases to apply.  

 

ARTICLE 27: ANTI-CONFLICT PROVISION

27.1.    To the extent permissible by the applicable law, the parties shall be deemed to have waived the right (i) to challenge the Tribunal's independence and impartiality, and (ii) to rely on any alleged conflict of interests, for any one of the following reasons:

  1. because both the arbitrator and counsel for one of the parties are on the CAS arbitrators’ list or have both been on the list for any period of time;

  2. because a counsel of one of the parties is acting or has in the past acted as an arbitrator in other CAS cases which have no factual connection to the proceedings in question; or

  3. because the arbitrator is acting or has in the past acted as counsel in other CAS cases which have no actual connection to the proceedings in question.

 

ARTICLE 28: IMPARTIALITY AND INDEPENDENCE

28.1.    Whether nominated by the parties or appointed by the Advisory Board of the CAS or by the Appointing Authority designated by the parties, an arbitrator shall at all times, from appointment to the end of office, remain independent and impartial.

28.2.    A nominated arbitrator shall, as soon as is reasonably practicable and in any event before formal appointment, disclose to the parties any circumstances which may give rise to justifiable doubts as to the arbitrator’s impartiality or independence.

28.3.    An arbitrator shall immediately disclose to the parties and, where applicable, to other members of the Tribunal and to the Advisory Board of the CAS, any circumstances which may give rise to justifiable doubts as to the arbitrator’s impartiality or independence which may arise during the arbitration after formal appointment.

 

ARTICLE 29: EXCLUSION OF LIABILITY

29.1.    By agreeing to the CAS arbitral proceedings in the arbitration agreement or otherwise, the parties hereby acknowledge that neither the arbitrators nor the CAS, its Advisory Board of the CAS or any of its staff or members shall be held liable for any act or omission in connection with the arbitral proceedings, save for cases of fraud.

 

ARTICLE 30: CONFIDENTIALITY

30.1.    Unless otherwise agreed by the parties, the arbitral proceedings conducted under the CAS Rules are confidential.

30.2.    Unless otherwise agreed by the parties, the awards shall be confidential and may be disclosed to any third party only:

  1. when disclosure is required by the law;

  2. upon the parties’ written consent; or

  3. when disclosure is required by a national court other competent judiciary authority.

30.3.    Any evidence or documentary or other evidence submitted by any of the participants in the proceedings shall be treated as confidential and shall not be used or disclosed to any third party.

 

ARTICLE 31: COMPOSITION OF THE ADVISORY BOARD

31.1.    The Advisory Board of the CAS shall consist of persons which the CAS may select from time to time pursuant to its Charter.

 

ARTICLE 32: APPEALS

32.1     To the extent permissible by the applicable law, all rights to appeal on matters of law are waived and the decision of the Tribunal shall be final and binding.

 

 

ANNEX 1

 

STANDARD DIRECTIONS

 

 

Calculation of deadlines

 

1. All dates in these standard directions shall be calculated from date X, which shall be:

     a. the date when the Statement of Reply is due under these Rules if there is no counterclaim; or

     b. the date when the Reply to Defence and Counterclaim is due under these Rules if there is a              Counterclaim.

 

Costs budgeting

2. The parties shall exchange costs budgets as per Article 9.1 of these Rules within 1 week of date X.

 

Disclosure

3. The parties shall exchange requests for disclosure in the form of Redfern Schedules within 2 weeks of date X.

4. Any objections to the requests for disclosure shall be submitted within 4 weeks of date X.

5. Any replies shall be submitted within 6 weeks of date X.

6. The Tribunal shall rule upon the parties' requests for disclosure, if not agreed, within 8 weeks of date X.

7. The parties shall produce the documents which they agree to disclose or are ordered by the Tribunal to disclose within 10 weeks of date X. If there is no ruling of the Tribunal because a party agrees to disclose all documents sought by the other party, disclosure shall be made within 2 weeks of a party's agreement to disclose the documents.

8. Any documents which are not in the language of the arbitration shall be translated into that language by the party which discloses the documents. Disclosure and any translations shall be provided in PDF format. Where, in relation to any document which might have a bearing on the outcome of the case, there is a genuine issue as to the authenticity, authorship or the date when the document was produced, the party which produces the documents shall disclose the document in its original format (i.e. handwritten document, document with live signature/seal, or document with original metadata as may be relevant).

 

Witness statements

 

9. The parties shall exchange lists of witnesses of fact within 8 weeks of date X.

10.  The parties shall exchange witness statements from their respective witnesses of fact (if any) and copies of all documents referred to therein within 14 weeks of date X.

11. The parties shall exchange any reply witness statements from their respective witnesses of fact and copies of all documents referred to therein within 18 weeks of date X. The parties are not obliged to file reply witness statements, and the contents of any such statements shall be limited to addressing the witness statements of the opposing party.

12. If the witness statements or any documents attached to or referred to therein are not in the language of the arbitration, they shall be accompanied by an accurate English translation.

13. Unless otherwise agreed by the parties or determined by the Tribunal, the witnesses may be subjected to direct and cross-examination.

 

Expert reports

 

14. Unless the Tribunal orders or the parties agree otherwise, the parties shall not file any expert evidence.

15. To the extent that expert evidence is to be filed pursuant to paragraph 14 hereabove:

     a. The parties shall identify their experts at the same time as they identify their witnesses pursuant to paragraph 9 hereabove;

      b.  The expert reports shall be filed at the same time as witness statement pursuant to paragraph 10 hereabove;

     c. Any reply expert reports shall be filed at the same time as reply witness statements pursuant to paragraph 11 hereabove.

 

Hearings

 

16. Unless the parties agree otherwise, and unless the matter is determined by a default award pursuant to Article 8 of the Rules, the Tribunal shall hold a final hearing at which (i) the parties shall be given an opportunity to make submissions to their cases; and (ii) each party shall provide the other(s) with an opportunity to cross-examine its factual and expert witnesses, if any.

17. The Tribunal shall determine the length of the hearing and shall have the power to limit the time allocated to submissions and cross-examination.

18. The Tribunal may, but shall not be obliged to, hold hearings other than the final hearing. The parties shall be deemed to have agreed that the Tribunal’s refusal to hold any hearings other than the final hearing shall not be treated as a procedural irregularity in the arbitration.

 

Bundles

 

19. All factual exhibits produced by the parties in the arbitration shall be marked C-0001, C-0002 and so forth for the Claimant or Claimants and R-0001, R-0002 and so forth for the Respondent or Respondents.

20. Witness statements shall be marked WSC-0001, WSC-0002 and so forth for the Claimant or Claimants and WSR-0001, WSR-0002 and so forth for the Respondent or Respondents. Exhibits to witness statements shall be marked in the same manner as the factual exhibits.

21. Expert reports shall be marked ERC-0001, ERC-0002 and so forth for the Claimant or Claimants and ERR-0001, ERR-0002 and so forth for the Respondent or Respondents.

22. Authorities shall be marked AC-0001, AC-0002 and so forth for the Claimant or Claimants and AR-0001, AR-0002 and so forth for the Respondent or Respondents.

23. The Tribunal's procedural orders shall be marked PO1, PO2 and so forth.

24. The documents disclosed by the parties pursuant to paragraphs 2 to 7 shall not be part of the bundle unless they are also attached to the pleadings, witness statements or expert reports.

25. The parties shall agree the contents of the hearing bundle within 20 weeks of date X. Unless the parties agree otherwise, the bundle shall include all documents specified in paragraphs 19 to 24 (with a separate volume for each of C-000X, R-000X, WSC, ER and AC documents) and a chronological run of all correspondence between the parties and between the parties and the Tribunal in the arbitration.

26.  Each volume of the bundle shall be paginated at the bottom righthand corner of each page.

27. The Tribunal shall, within 20 weeks of date X, indicate to the parties whether it wishes to receive bundles in hard copy and, if so, the format in which it wishes to receive them. If the Tribunal does not provide such an indication, the bundles shall be provided to the Tribunal in an electronic (i.e. PDF) format.

28. Bundles shall be prepared by the Claimant, but the Claimant and the Respondent shall bear the costs of preparing them in equal shares.

29. Bundles shall be prepared and provided to the Tribunal within 21 week of date X.

 

Pre-hearing Conference

 

30. There shall be no pre-hearing conference unless the Tribunal rules or the parties agree otherwise. Unless the parties and the Tribunal are located within one jurisdiction, the pre-hearing conference shall be held over telephone, video-link or other convenient means of telecommunication.

 

Skeleton Arguments

 

31. The parties shall exchange skeleton arguments simultaneously with one week of the first day of the hearing.

32. The skeleton arguments shall not exceed 1000 words unless the Tribunal rules or the parties agree otherwise.

 

Final Hearing

 

33. The Tribunal shall, in consultation with the parties, set hearing dates and select the hearing venue as soon as possible after date X.

34. The Claimant shall, as soon as possible after the Tribunal's decision pursuant to paragraph 33, make arrangements with the hearing venue to ensure that appropriate facilities are available for the hearing dates and shall make reservations.

35. The Tribunal and the parties shall each have a break out room of sufficient size.

36. The Claimant shall engage properly qualified transcribers to prepare a transcript of the hearing. The costs associated with such transcription shall be borne equally between the Claimant and the Respondent.

37. The Tribunal shall be provided with a transcript of each day's hearing as soon as it is prepared in electronic form.

38. Within 21 weeks of date X, the parties shall agree on the hearing schedule. If the parties cannot agree, they shall make submissions to the Tribunal on the appropriate hearing schedule within 22 weeks of date X and the Tribunal shall rule on it as soon as possible.

 

Post-Hearing Submissions

 

39. Provided that the parties had an opportunity to make oral closing submissions at the hearing, there shall be no written post-hearing submissions.

 

Statements of costs

 

40. The winning party shall file its statement of costs within 7 days of the final award being published.