Rules
仲裁法規

To assist the Tribunal and the parties with conducting their arbitration with efficiency, clarity and predictability, the CAA International Arbitration Centre (“CAAI”) has established CAAI Guidelines on Case Management Conference (“the Guidelines”) pursuant to Article 2.5 of CAAI Arbitration Rules (“the Rules”).

1.1 “Case Management Conference” refers to the preliminary meeting between the Tribunal and the parties to discuss and establish the Terms of Reference and Procedural Timetable for the arbitration.

1.2 “Terms of Reference” refers to the document established between the Tribunal and the parties which defines the substantive and procedural framework of the arbitration.

1.3 “Procedural Timetable” refers to the document established between the Tribunal and the parties which specifies the dates or time limits for each stage of the arbitration.

2.1 Subject to paragraphs 2.2 and 2.3, the Tribunal shall convene the Case Management Conference and establish the Terms of Reference and Procedural Timetable with the parties in accordance with the Guidelines.

2.2 The Tribunal may convene the Case Management Conference and omit the Terms of Reference and Procedural Timetable for Expedited Procedure if it decides such omission to be appropriate after consulting with the parties.

2.3 The Tribunal may omit the Case Management Conference, Terms of Reference and Procedural Timetable altogether in any of the following circumstances:
(a) if all parties so agree; or
(b) the Tribunal decides, after consulting with the parties, that such omission would be appropriate in light of the amount in dispute, the relative complexity and urgency of the case, and other factors of consideration.

3.1 Unless the parties agree otherwise, the Tribunal shall convene the Case Management Conference within 30 days from the Tribunal’s receipt of file, or 15 days for Expedited Procedure.

3.2 The Tribunal shall establish the Terms of Reference and Procedural Timetable within 15 days from the Case Management Conference, or seven days for Expedited Procedure.

3.3 CAAI may extend any of the above time limits pursuant to the Tribunal’s reasoned request.

4.1 Unless the parties agree otherwise, the Tribunal shall decide the time, place and method for convening the Case Management Conference.

4.2 The Tribunal may conduct the Case Management Conference in person or use telephone, video-conference or other means of communication

Subject to the Rules, the Tribunal and the parties may discuss or confirm the following items in the Case Management Conference:
(a) Names and contact details of the parties and any representatives;
(b) Names and contact details of the arbitrator(s);
(c) Arbitration agreement(s) invoked;
(d) Seat of Arbitration;
(e) Language(s) of the arbitration, any translation or interpretation;
(f) Applicable law(s) and/or rules of law; and any agreement authorising the Tribunal to decide as amiable compositeur or ex aequo et bono;
(g) Any challenges to the Tribunal’s jurisdiction or to any arbitrator;
(h) Any agreement between the parties on Expedited Procedure;
(i) Means of communication in addition to Article 5 of the Rules, including any changes to the place of receipt for determining the date and time of receipt;
(j) Any additional requirements for written submissions;
(k) Any procedures and requirements for document production or disclosure, witness statements, expert reports and site inspections;
(l) Method(s) and venue for any hearings;
(m) Appointment of Tribunal expert and Tribunal secretary;
(n) Summary of the parties’ claims (including any relief or remedy claimed), and any quantification of amount(s);
(o) List of issues to be determined (unless the Tribunal considers inappropriate);
(p) Any application for Interim Measures;
(q) Any agreement on, or application for, joinder of additional party or consolidation;
(r) Any agreement between the parties on the omission or summary form of reasons of the award;
(s) Any agreement between the parties on interest to be awarded;
(t) Any changes to the Rules agreed by the parties;
(u) Any other matters agreed between the Tribunal and the parties for inclusion in the Terms of Reference or Procedural Timetable.

6.1 The Terms of Reference shall include the items confirmed in the Case Management Conference.

6.2 The Terms of Reference may be established on the items agreed by the Tribunal and the parties in the form of a written document signed by the Tribunal and the parties, or a procedural order incorporating the minutes of the Case Management Conference.

6.3 The Tribunal shall provide the parties and CAAI with the Terms of Reference as soon as it is established.

6.4 After the Terms of Reference is established, any party shall not make any new claims beyond the scope of the Terms of Reference, unless it has been approved by the Tribunal under Art. 23 of the Rules, which shall consider the nature of such new claims, the stage of the arbitration, and other relevant circumstances.

7.1 The Procedural Timetable may specify the dates or time limits for each stage of the arbitration, including the following:
(a) Statement of Claim, Statement of Defence, any Amendment or Supplement;
(b) Document production or disclosure and any site inspections;
(c) Any witness statements and expert reports;
(d) Any pre-hearing conference(s) or other procedural meetings;
(e) Any hearings;
(f) Any post-hearing briefs and costs submissions; and
(g)Tribunal’s deliberations and award(s).

7.2 The Tribunal shall provide the parties and CAAI with the Procedural Timetable as soon as it is established.

8.1 The Tribunal may, upon a party’s request or on its own initiative, amend the Procedural Timetable after consulting with the parties.

8.2 The Tribunal shall provide the parties and CAAI with the amended Procedural Timetable as soon as they are amended.

9.1 If a party does not participate in the Case Management Conference, the Tribunal may proceed with the Case Management Conference while giving the non-participating party a reasonable opportunity to present its case in the further stages of the arbitration.

9.2 If the Tribunal and the parties cannot agree on any items in the Terms of Reference, the Tribunal or any party may submit a written request to CAAI for decision on such items. Subject to the Rules, CAAI shall decide within seven days of receiving such request, and its decision shall constitute part of the Terms of Reference.

9.3 Subject to paragraphs 2.2 and 2.3, the arbitration shall proceed after the Terms of Reference is established.