Procedure of Application for Arbitration

Application for Arbitration/Counterclaim

[The following rules are generally applied to the arbitration cases referred to Shanghai International Economic and Trade Arbitration Commission (Shanghai International Arbitration Center) Arbitration Rules. Where an arbitration case is conducted under any other arbitration rule, the parties shall apply for arbitration/counterclaim pursuant to the relevant regulations therein and where no explicit stipulations are made, the parties may refer to the following rules.]

1. Documents for Application for Arbitration

(1) A written Request for Arbitration signed by and/or sealed by the Claimant and/or its authorized representative(s), which shall, inter alia, include:

A. Names and domiciles of the Claimant and the Respondent, including but not limited to the zip code, phone number, fax number, telegraph number, email address and other electronic communication modes;

B. Invoked arbitration agreement(s) between the Claimant and the Respondent;

C. Arbitration Claim(s); and

D. Facts and grounds on which the claims are based

(2) Evidences on which the claims are based

(3) The Parties' identity certification documents and other relevant documentary evidence

Any identity certification document, power of attorney and other relevant documents which are generated outside of the People's Republic of China, Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan, shall complete the formalities of notarization and authentication/apostille before submitting.

2. Documents for Counterclaim and/or Amending Claim/Counterclaim

A party applying for counterclaim(s) and/or amending one's claim(s)/counterclaim(s) during an arbitration proceeding, may refer to the documents needed to be submitted when applying for arbitration.

3. Preservation Documents

(1) Preservation Request

(2) Documents for Application for Arbitration

Where, pursuant to the relevant laws of the jurisdiction, the preservation request shall be forwarded to the competent court by SHIAC, the name and address of the competent court are needed to be submitted.

Where, pursuant to the relevant laws of the jurisdiction, the preservation could be applied to the competent court before applying for arbitration, documentary evidence of such preservation is needed to be submitted when applying for arbitration.

4. How to Apply for Arbitration

The Claimant or one's agent may submit an application for arbitration through SHIAC E-Platform, by mail, or in person at the office location of SHIAC.

5. Submission Format of Case Filing Materials

For applications submitted through SHIAC E-Platform, the Claimant is not required to submit a paper version of the application materials; for applications submitted by mail or in person, the Claimant only needs to submit one set of paper version materials (including identity certification documents, power of attorney, request for arbitration, and evidence with an evidence list, etc.), except in the following circumstances:

(i) where SHIAC or the arbitral tribunal to-be-constituted deems it necessary, the claimant shall submit the number of copies specified in the decision;

(ii) for preservation materials that need to be forwarded to the court, the claimant shall submit one original copy;

(iii) where the Claimant is from outside of the People's Republic of China, Hong Kong Special Administrative Region, Macao Special Administrative Region and Taiwan, the original copy notarization and authentication/apostille documents for one's identity certification document and power of attorney shall be submitted;

(iv) if documents are inconvenient to upload to SHIAC E-Platform due to reasons such as excessive size or quantity, or if uploading by scanning is not possible due to objective reasons, please contact the staff of case filing department.

The Parties shall ensure that the submitted electronic materials are true, accurate and complete. In case of any inconsistency between the electronic version and the paper version, the electronic version shall prevail.

6. Language Version of Documents

Where the Parties reached agreement on the working language of arbitration, documents for application for arbitration shall be submitted in the agreed language. Where the Parties do not reach any agreement on arbitration language, such documents shall be submitted in the language according to the arbitration rules agreed by the Parties.