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ARBITRATION
Home>Arbitration>Arbitration Rules

Arbitration Rules

CAA Arbitration Rules

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In case of any discrepancy between the English translation and the Chinese text of these rules, the Chinese text shall govern.

CHAPTER Ⅰ General Provisions

 

Article 1 (Legal Basis)

  • The Rules are established pursuant to Article 5, Paragraph 2 of the Articles of the Chinese Arbitration Association, Taipei (hereinafter referred to as “CAA”).

Article 2 (Scope of Application)

  • The Rules shall govern arbitrations administered by CAA, unless otherwise agreed by the parties or required by applicable law or regulation.

Article 2-1 (Administering Authority)

  • Unless otherwise agreed by the parties, the parties’ agreement to conduct arbitration in accordance with the Rules is deemed to be the parties’ consent to submit the dispute to arbitration administered by CAA.

Article 2-2 (Administering Authority)

  • Unless otherwise agreed by the parties, CAA shall administer the arbitration if the parties’ arbitration agreement does not expressly exclude CAA or institutional arbitration, and if a party’s request for arbitration administered by CAA is the earliest in time.

Article 3 (Place of Arbitration)

  • Arbitration administered by CAA may be held at a place outside Taiwan pursuant to the agreement of the parties; or absent such an agreement, the decision made by the arbitral tribunal, if the tribunal considers it appropriate, having taken into account the facts of the case, including whether it would be convenient for the parties.

Article 4 (Procedural Recommendations)

  • CAA may provide procedural recommendations to the arbitrators.

Article 5 (Impartiality and Independence of Arbitrators)

  • The arbitrators shall act impartially and independently in arbitral proceedings.

Article 6 (Confidentiality)

  • Unless otherwise agreed by the parties or required by applicable law or regulations, CAA and the arbitrators shall keep all matters confidential.

Article 7 (Disclosure)

  • A prospective or appointed arbitrator shall disclose such circumstances as required by the applicable provisions in the Arbitration Law.

CHAPTER Ⅱ Request and Answer for Arbitration

 

Article 8 (Request for Arbitration)

  • A party wishing to request for arbitration administered by CAA shall make an advance payment and submit the following documents:
    • 1.The Request for Arbitration and its copies for each of the arbitrators and the other parties.
    • 2.Copies of the arbitration agreement or the contract containing an arbitration clause.
    • 3.The Power of Attorney, if representative is appointed.
    • 4.Arbitrator Statement by any appointed arbitrator, including name, domicile or residence and any circumstances to be disclosed by the appointed arbitrator.

Article 9 (Request for Arbitration)

  • The Request for Arbitration shall include the following items required for a Statement of Claim:
    • 1.Names and residences or domiciles of the individual parties. For a party that is a corporate entity or another type of organization or institution, then its name, principle office, business office or administrative office.
    • 2.Names and domiciles or residences of the statutory agents or representatives, if any, of the parties
    • 3.The subject matter of the arbitration and the amount in dispute.
    • 4.The relief sought and the supporting facts and reasons.
    • 5.The arbitral institution.
    • 6.The date of the Request for Arbitration.
  • The Request for Arbitration and its copies may annex relevant evidence and other materials.

Article 10 (Service of Documents to the Respondent)

  • Upon receipt of a Request for Arbitration, CAA shall send a copy of such Request and other documents annexed thereto to the respondent and request the respondent to appoint an arbitrator or to accept the proposed arbitrator, unless the claimant is required to submit additional documents under the preceding two articles. In such circumstances, CAA shall request the claimant to submit the documents within a specified time.

Article 11 (Answer to the Request)

  • Within ten days after the receipt of the Request for Arbitration from CAA pursuant to the preceding article, the respondent shall submit to CAA the following documents:
    • 1.The Answer to the Request and its copies for each of the arbitrators and the other parties.
    • 2.The Power of Attorney, if representative is appointed.
    • 3.Arbitrator Statement by any appointed arbitrator, including name, domicile or residence and any circumstances to be disclosed by the appointed arbitrator.
  • Within 14 days after the receipt of the request to appoint arbitrator by claimant who has appointed an arbitrator, the respondent shall appoint an arbitrator and provide written notification of such appointment to the claimant and arbitrator, with a copy sent to CAA.

Article 12 (Answer to the Request)

  • The Answer to the Request shall contain the following items required for a Statement of Defense:
    • 1.Names and residences or domiciles of the individual parties. For a party that is a corporate entity or another type of organization or institution, then its name, administrative office, principle office or business office.
    • 2.Names and domiciles or residences of the statutory agents or representatives, if any, of the parties.
    • 3.The response to the relief sought and the supporting facts and reasons.
    • 4.The arbitral institution.
    • 5.The date of the Answer to the Request.
  • The Answer to the Request and its copies may annex relevant evidence and other materials.
  • CAA shall send a copy of the Answer to the Request and documents annexed thereto to the claimant once CAA has received such documents.

Article 13 (Electronic Means of Sending Documents)

  • A party may, with the other party’s consent or the arbitral tribunal’s permission, send written submissions via facsimile or other electronic means pursuant to the rules established by CAA. Such transmission shall have the same effect as providing written submissions in hard copy.

Article 14 (Amendment or Supplement)

  • A party may amend or supplement its submissions concerning the parties, subject matter, relief or remedy sought in the arbitration, if the other party so agrees or if such amendment or supplement will not cause unreasonable prejudice or delay to the proceedings.
  • The restrictions imposed in the preceding paragraph do not apply if the respondent has not received the claimant’s Request for Arbitration.
  • Unless otherwise agreed by the parties, the arbitral tribunal shall not allow amendment or supplement that exceeds the scope of the arbitration agreement. The party shall make advance payment to CAA for increased fees as a result of any amendment or supplement.

Article 15 (Counterclaim)

  • Article 8 of the Rules applies mutatis mutandis to the counterclaim submitted by the respondent. The arbitral tribunal may consolidate the arbitral proceedings relating to the claim and the counterclaim.
  • Unless otherwise agreed by the parties, a counterclaim shall not fall outside the scope of the arbitration agreement.
  • The arbitral tribunal may disallow a counterclaim if it considers that the counterclaim is made by a party with intent to delay the arbitral proceedings.

CHAPTER Ⅲ Appointment of Arbitrators

 

Article 16 (Appointment by the Parties)

  • If the parties have agreed on an arbitrator, the agreement shall prevail. If the parties do not agree on an arbitrator and the method of appointment, each party shall appoint one arbitrator, and the two arbitrators shall select the third arbitrator, who will act as the presiding arbitrator of the tribunal. CAA shall notify the parties of the appointment.

Article 17 (Appointment by CAA)

  • Pursuant to Article 9, Paragraph 4 of the Arbitration Law, where the parties have agreed on arbitration administered by CAA, CAA may appoint an arbitrator in the following circumstances:
    • 1.If the two arbitrators appointed by the parties have not reached an agreement on the choice of the presiding arbitrator within 30 days after the receipt of notice from CAA.
    • 2.If the arbitration agreement stipulates that a sole arbitrator is to be appointed, and the parties have not reached an agreement on the choice of the sole arbitrator within 30 days after the receipt of the notice requesting appointment of an arbitrator sent by either party.

Article 18 (Appointment by the CAA on behalf of a Party)

  • A party may request CAA to appoint an arbitrator on the party’s behalf.
  • In such circumstance, CAA shall appoint an arbitrator within 14 days after the receipt of the written request from the party, and shall notify the parties and the arbitrators of the appointment.

Article 19 (Appointment by CAA or the Court)

  • A party who has already appointed its own arbitrator may issue a written request to the other party to appoint its arbitrator within 14 days after receipt of the request. If the other party fails to make such appointment, the requesting party may apply to CAA or the court to make the appointment.
  • Where an arbitrator is to be appointed by CAA, either party to the dispute may request CAA to appoint an arbitrator within the same time period specified in the preceding paragraph. If CAA fails to make such appointment within the period, the requesting party may apply to the court to make the appointment.

Article 20 (Replacement of an Arbitrator)

  • An arbitrator appointed in an arbitration agreement may be replaced if such arbitrator becomes unable to perform his or her duties as a result of death or any other cause, or refuses to act as an arbitrator, or unreasonably delays in performing his or her duties. In the event that the parties fail to agree upon a replacement, either party may apply to CAA or the court to appoint the replacement.
  • So long as an arbitrator appointed by one party becomes unable to perform as a result of any of the circumstances mentioned in the preceding paragraph of this Article, the other party may request the former party to appoint a replacement within 14 days after receipt of the request. However, the presiding arbitrator appointed pursuant to Article 15, Paragraphs 1 and 2(1) shall not be affected.
  • When the party receiving the request to appoint a replacement fails to do so within the time period specified in the preceding paragraph of this Article, the requesting party may apply to CAA or the court to make the appointment.
  • Should any one of the circumstances mentioned in Paragraph 1 of this Article occur in respect of an arbitrator or arbitrators appointed by CAA or by the court, CAA or the court may appoint a replacement or replacements upon application by any party or by its own volition.
  • Should any one of the circumstances mentioned in Paragraph 1 of this Article occur in respect of the presiding arbitrator, the court may appoint a replacement upon application by any party or by its own volition.

CHAPTER Ⅳ Hearings

 

Article 21 (The Place and Date of the Initial Hearing)

  • CAA shall notify the parties of the place and date of the initial hearing determined by the arbitral tribunal pursuant to Article 21, Paragraph 1 of the Arbitration Law.
  • The date of the hearing may be changed or adjourned by the arbitral tribunal on its own initiative or upon application by a party.

Article 21-1 (Arbitration Fees and the Amount in Dispute)

  • The arbitral tribunal shall determine the arbitration fees and the amount in dispute in writing and shall deliver the results to the parties.
  • If a party objects to the tribunal’s determination, he or she must submit to CAA a Petition for Review together with reasons within five days after receiving the tribunal’s determination. CAA shall forward the Petition to the “Committee of Arbitration Fees and Amount in Dispute Determination”, which shall provide the tribunal and the parties with an adjustment suggestion in 15 days. The tribunal shall then re-evaluate by taking the Committee’s suggestion into consideration, and render a final determination and deliver it to the parties within five days. A party shall not object to the tribunal’s final determination or request for refund of the arbitration fees paid in accordance with the Rules.
  • Under the preceding circumstance, if a party thereby refuses to pay the arbitration fees, the tribunal may refuse to administer the unpaid portion.
  • The number of days spent on the determination of arbitration fees is excluded from the arbitration period.

Article 22 (Objection to Jurisdiction)

  • If a party objects to the jurisdiction of the arbitral tribunal, the tribunal shall rule on such objection as soon as possible.

Article 23 (Full Opportunity of Presenting the Case)

  • The arbitral tribunal shall ensure that each party has a full opportunity to present its case, and the arbitral tribunal shall conduct the necessary investigations of the claims by the parties.
  • Unless otherwise agreed by the parties, the arbitral proceedings shall not be made public.

Article 24 (Submissions and Evidence)

  • A party shall make submissions on facts and laws concerning the arbitration, and present relevant evidence to the arbitral tribunal.
  • Each party shall also respond and answer to the submissions and evidence presented by the other party.

Article 25 (Request for Investigation)

  • The tribunal, at any party’s request for investigation, shall ask both parties to submit their arguments and shall record their arguments in transcript, unless the tribunal considers it unnecessary.
  • Having investigated the matter pursuant to the preceding paragraph, the tribunal shall ask the parties to make their submissions on the outcome of the investigation and shall record their submissions in transcript.

Article 26 (Failure to Appear at a Hearing)

  • If a duly notified party fails to appear at a hearing or an inquiry without showing sufficient cause for such failure, the arbitral proceedings may continue notwithstanding such failure.

Article 27 (Witnesses and Experts)

  • The arbitral tribunal may, upon application of a party or on its own initiative, order witnesses or experts to testify at the hearing.

Article 28 (Representation)

  • Either party may, in writing, appoint a representative to appear before the arbitral tribunal to make statements for and on its behalf.

Article 29 (Interpretation)

  • The arbitral tribunal shall notify CAA in advance if it considers that the use of interpreter is necessary.

Article 30 (Service of Documents)

  • The service of documents relating to the arbitration administered by CAA shall be governed mutatis mutandis by the relevant provisions of the Code of Civil Procedure.

Article 31 (Recording)

  • CAA shall make audio recording of the hearings, and shall produce transcripts of the hearings.
  • Any party may, with the consent of CAA, listen to the content of such recording at the time and place arranged by CAA, and may request duplicate content of such recording for a certain fee.
  • The content of the recording referred to in Paragraph 1 shall be preserved for ten years after the receipt of the arbitral award by the parties.

Article 32 (Transcripts)

  • The transcripts of the hearings shall contain the following items:
    • 1.The place, date and time of the hearing.
    • 2.The names of the arbitrators, case manager and interpreters.
    • 3.The arbitration case.
    • 4.The names of the parties and any representatives.
    • 5.The contents of the proceedings.
  • CAA may commission stenographers to produce the transcripts, and case managers are responsible for proofreading.
  • The copies of the transcripts shall be produced and sent to the arbitrators and the parties.
  • Each party may request for CAA’s permission to view or to make a written copy or photocopy of the transcripts.
  • The transcripts shall be preserved for ten years after the receipt of the arbitral award by the parties.

Article 33 (Translation)

  • The arbitral tribunal may order any documents, evidence or other materials delivered by a party in a foreign language to be translated into Chinese.

Article 34 (Closure of Hearings)

  • To the extent that a decision on the dispute may be satisfactorily obtained, the arbitral tribunal shall declare the hearings closed.
  • After the closure of the hearings, the arbitral tribunal may notify the parties to reopen the hearings before the arbitral award is made, if the tribunal considers it necessary.

Article 35 (Settlement)

  • The arbitral tribunal may ask the parties to attempt to settle the dispute before the award is made.
  • If the parties agree to settle, the arbitral tribunal shall make a settlement agreement signed by the parties or their representatives and the arbitrators. Such settlement agreement shall contain the following items:
    • 1.Names and residences or domiciles of the individual parties. For a party that is a corporate entity or another type of organization or institution, then its name, principal office, business office or administrative office.
    • 2.Names and domiciles or residences of the statutory agents or representatives, if any, of the parties.
    • 3.The names, domiciles or residences of the arbitrators.
    • 4.The dispute settled between the parties.
    • 5.The terms of settlement.
    • 6.The place of settlement.
    • 7.The date of settlement.
  • The arbitral tribunal shall deliver the settlement agreement to CAA within five days of the date on which the parties settled, and the original record shall be preserved for 20 years.

Article 36 (Interim Measures)

  • At the request of either party, the arbitral tribunal may take any interim measures as agreed by the parties in respect to the subject-matter of the dispute for purposes of preserving perishable goods or providing immediate protection, such as ordering their sale, custody by third party, or other necessary interim measures deemed.
  • For circumstances prescribed in the preceding paragraph, the arbitral tribunal may record the terms of settlement pursuant to Article 44 of Arbitration Law and order the claimant to make advance payment for carrying out the measures.

CHAPTER Ⅴ The Award

 

Article 37 (Decide as amiable compositeur or ex aequo et bono)

  • The arbitral tribunal may decide as amiable compositeur or ex aequo et bono only if the parties have expressly authorized it to do so.
  • The express authorization referred to in the preceding paragraph may be made before the closure of the hearings orally or in writing.

Article 38 (Decision Making by the Arbitrators)

  • In arbitral proceedings with more than one arbitrator, after closure of the hearings, the arbitrators shall deliberate for purposes of making an arbitral award. The decision of the deliberation shall be made in writing and shall be signed by every arbitrator participating in the deliberation. The dissenting opinion of an arbitrator may be recorded on the record of deliberation.
  • If there is more than one arbitrator, the arbitral award shall be determined by a majority vote.
  • If there is no majority consensus when calculating the amount in dispute, the vote for the opinion that has the highest figure is added into the vote for the opinion with the second highest figure, and so forth, until a majority vote is reached.
  • In the event that a majority consensus of the arbitrators cannot be reached, the arbitral proceedings, unless otherwise agreed by the parties, are deemed terminated and the arbitral tribunal shall notify the parties of the reasons for failing to reach a majority consensus.

Article 39 (Deliberations)

  • The deliberations of an arbitral award shall not be made public.

Article 40 (Partial and Interim awards)

  • The arbitral tribunal is entitled to make partial or interim awards.

Article 41 (Time Limit for the Award)

  • The final award shall be made within ten days after the closure of the hearings.
  • Notwithstanding that the time within which the arbitral tribunal must render its final award has not yet exceeded the time limit prescribed in Article 21 of the Arbitration Law, if the arbitral tribunal fails to render a final award within one month after the closure of the hearings, CAA may send a notice of reminder; if it fails to render its final award within three months, CAA may make the names of the arbitrators public in its journals. If the arbitral tribunal fails to render its final award within the time limit prescribed in or agreed pursuant to Article 21 of the Arbitration Law, CAA may make the names of the arbitrators public in its journals without giving prior notice.

Article 42 (The Award)

  • An arbitral award shall contain the following items:
    • 1.Names and residences or domiciles of the individual parties. For a party that is a corporate entity or another type of organization or institution, then its name, principal office, business office or administrative office.
    • 2.Names and domiciles or residences of the statutory agents or representatives, if any, of the parties.
    • 3.Names, nationalities and residences or domiciles of the interpreters, if any.
    • 4.The main text of the decision.
    • 5.The relevant facts and reasons for the arbitral award, unless the parties have agreed that no reasons shall be stated.
    • 6.The date and place of the arbitral award.
  • The original copy of the award shall be signed by the arbitrator(s) who deliberated on the award. If an arbitrator refuses to or cannot sign the award for any reason, the arbitrator(s) who do sign the award shall state the reason for the missing signature(s).
  • The original award shall be preserved for 20 years from the date on which the award was made.

Article 43 (Language of the Award)

  • The award shall be made in Chinese, unless otherwise agreed by the parties.

CHAPTER Ⅵ Expedited Procedures

 

Article 44 (Expedited Procedures)

  • For cases subject to Expedited Procedures pursuant to Article 36 of the Arbitration Law, CAA shall appoint a sole arbitrator within seven days from a day following CAA’s receipt of the claimant’s Request for Arbitration.
  • Such cases shall be resolved expeditiously, and their hearings should be completed within one day in principle.

Article 45 (Agreement to Adopt Expedited Procedures)

  • CAA may convince the parties to agree to arbitrate in accordance with Expedited Procedures, having regard to the nature of the case and the amount involved.

Article 46 (Notice of Hearing)

  • After the arbitral tribunal decides the place of arbitration and the date of hearing, CAA shall notify the parties and request them to present relevant documents, evidence and bringing witnesses at the hearing.

Article 47 (Answer to the Request)

  • The respondent shall submit its Answer to CAA within seven days after he or she receives the Request for Arbitration, and CAA shall forward the Answer to the other party.

Article 48 (Default Award)

  • If a duly notified party fails to appear at a hearing, without showing sufficient cause for such failure, the arbitral tribunal, upon request of the other party, may render an award after hearing the other party. However, the tribunal shall consider written statements, submissions and evidence the absent party has submitted.

Article 49 (Written Submission and Documentary Evidence)

  • The arbitral tribunal may render an award based only on written submissions and documentary evidence if the parties so agree.

Article 50 (Time Limit)

  • The arbitral tribunal shall, in principle, render its final award within three months.

Article 51 (Facts and Reasons)

  • An award made under the Expedited Procedures shall contain a brief statement of facts and reasons, unless the parties have agreed that such brief statement of facts and reasons is not necessary.

CHAPTER Ⅶ Miscellaneous Provision

 

Article 52 (Entry into Force)

  • The Rules shall enter into force on the date on which CAA Board of Directors has resolved to adopt them. The same procedure shall apply to future amendments.

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