The Chartered Institute of Arbitrators

Introduction

Notes for Mediation

Notes for Arbitration

Please read the Guidance Notes and the Rules of the Scheme carefully before starting arbitration. You must remember that an Arbitrator, if appointed, makes an Award based on the documents and evidence submitted by the Parties in dispute. It is therefore in your interest to state your case clearly and produce all relevant supporting documents. Please note that arbitration under the Scheme is an alternative to your rights to pursue the matter through the courts. These notes are for guidance only and do not form part of the Rules of the Scheme.

Arbitration is a private process by which an independent person, called an arbitrator, resolves a dispute. It is a long established and effective method of resolving disputes and is the only certain alternative to court action. The Arbitrator's Award (decision) is final, binding and enforceable in the courts. The Arbitrator is selected by the Institute on the basis of reputation, expertise, training and experience. The Arbitrator will:

· Consider the Parties' arguments and evidence;
· Act fairly and impartially;
· Act according to the law (which shall be determined by the Arbitrator if the Parties fail to agree).

The Institute and the Musicians' Union have formed a Panel of Arbitrators specifically to consider arbitrations under this Scheme. A single Arbitrator will be appointed by the Institute to hear each arbitration.

A GUIDANCE NOTES FOR BOTH PARTIES

1.	Please note that the application form constitutes a binding agreement to arbitrate. Once signed, you are committed to proceeding in accordance with the Rules of the Scheme.
2.	Make sure that all information required by the application form is provided. Failure to do so will delay the arbitration getting under way.
3.	You must not delete the section of the application form for arbitration which states that you agree to be bound by the Arbitrator's Award. This will invalidate the application.
4.	The Arbitrator will normally only deal with the matters referred to and/or the amounts claimed in the application form. Make sure that the application form has covered all claims and counterclaims.
5.	Remember that the Arbitrator decides the case purely on the arguments and evidence presented to him by the Parties. The Parties must prove their cases on the balance of probability to the satisfaction of the Arbitrator.
6.	The Rules of this Scheme are intended to allow the Parties to present their cases without the need for legal representation.
7.	So far as presentation is concerned, please ensure:
	(a)	That all documents (originals where possible) are produced in a simple and presentable form, and that only essential documentation is provided. It is not essential that case documents are typed but, if they are hand-written, they should be written clearly or printed. Photocopied documents must be legible;
	(b)	That case statements are supported by copies of all relevant documents, e.g. orders, invoices, statements, contracts, quotations, conditions of engagement, photographs, correspondence, witness statements, certificates, drawings, specifications and calculations. Videos are admissible with the prior consent of the Arbitrator;
	(c)	That all case statements and supporting evidence are submitted in duplicate and, where applicable, arranged in a chronological sequence with all pages numbered;
	(d)	That jargon or abbreviations used in case statements are explained in plain English.

8.	All correspondence and case statements must quote the Institute's case reference and the name of the case.
9.	Case statements and supporting documents must be submitted together and not piecemeal.
10.	You should keep a copy of all documents submitted for possible future reference. You may need to refer to them if the Arbitrator asks questions.
11.	The Arbitrator is restricted to consideration of the documents and evidence submitted. You must therefore make every point and submit all supporting evidence that you consider relevant. You must also retrieve and submit any documents sent previously to any other body and upon which you intend to rely.
12.	The Arbitrator and the Institute are not investigators. Thus, if you have witnesses to support your case, you must obtain their statements and submit them. It will not be acceptable for you to send a list of witnesses and tell the Arbitrator to contact them. It is not sufficient for you merely to say that you have evidence. You must produce it.
13.	The Scheme allows each Party one extension of time of 14 days as of right to submit its case and the Institute has no power to grant further extensions. If you need further time over and above what is given by the Rules, you must seek the other Party's consent or request a further extension from the Arbitrator.
14.	You should correspond directly with the other Party for settlement purposes and not through the Institute. If the Parties reach a settlement they may request the Arbitrator to issue a Consent Award incorporating their terms of settlement, making enforcement easier. Both Parties must notify settlements to the Institute in writing. Registration fees are not refundable in the event of settlement, and the Parties shall be liable for the Arbitrator's fee and any expert's fees incurred.
15.	Where applicable, the Arbitrator may undertake a site visit or meet the Parties. This is not a formal hearing or an opportunity to submit further arguments or evidence. Its purpose is to enable the Arbitrator to see the physical evidence, assess whether or not that evidence supports the written submissions, and if necessary ask questions.
16.	It is essential that you deal fully with each and every allegation made in the other Party's statement of case. If you do not challenge valid evidence put forward by the other Party, the Arbitrator will usually treat an allegation supported by that evidence as proved.
17.	Neither the Arbitrator nor the Institute can advise a Party as to the merits of its case or assist a Party in presenting its case. If necessary, advice should be sought from a solicitor, or, where appropriate, through the Musicians' Union.
18.	By agreeing to arbitration, the Parties are committing themselves to proceeding and to accepting the final and binding effect of the Award. Parties must, therefore, make sure that the Arbitrator has all the information and documentation needed to conduct the arbitration. If a Party chooses not to reply or provide documentation within the relevant time limits, the Arbitrator may make an Award on the basis of whatever documentation has been submitted to him.
19.	The mere fact that you may not like an Award made against you (or even in your favour but not for the total amount claimed) does not mean that the Award is wrong in law. Other than as refereed to in the Rules, the Arbitrator has no power to alter an Award.
20.	Although you are responsible for your own costs, the Arbitrator may order one Party to reimburse the other Party's registration fee and will generally order an unsuccessful Party to do so. However, a successful Party may be ordered to pay the other Party's costs if, for example, the successful Party has conducted the case in such a way as to put the other Party to unnecessary expenditure or has failed to accept an offer of settlement which equals or exceeds the Arbitrator's Award. The Arbitrator's fees and those of any expert or legal adviser appointed by him, shall be paid by the Parties in accordance with the Arbitrator's Award.
21.	By applying for arbitration, the Parties agree that they will not disclose the existence of the proceedings or the amount of any Award to any third Party except for the purposes of enforcing the Award.

B. GUIDANCE NOTES FOR CLAIMANTS

1.	Your statement of claim should set out in chronological order the events which have led to the claim and refer to each supporting document in respect of each allegation. The information included in the statement should include references to:
	(a)	The relevant parts of any contract;
	(b)	Any specific requirements;
	(c)	What was promised and what was received;
	(d)	Relevant dates;
	(e)	The names of persons concerned (e.g. Respondent's, employees or agents),
	(f)	Any amount(s) claimed, clearly and precisely quantified;
	(g)	The remedies sought, whether compensation, specific performance (i.e. performance or completion of a contract) or corrective works.

2.	Claimants must prove their case. Where appropriate each allegation or element of the claim should be set out in the form of a table. This will help the arbitrator to appreciate what the differences between the Parties really are.
3.	You should avoid merely sending a bundle of all documents in your possession and calling this bundle 'the claim'. The 'claim' is the written statement of claim and the bundle of documents is the supporting evidence.
4.	You should avoid 'dressing up' or exaggerating claims to add weight. Allegations that are not supported by evidence will not assist your case and may in fact damage it.
5.	It is not enough for you to show that your dealings with the Respondent led to disappointment. You must show that there was a breach of some term of the contract, express or implied, and that where appropriate, you took steps to reduce your loss. Allegations must therefore be set out precisely.
6.	When making comments on the Respondent's defence, you should restrict them to the matters dealt with in the defence and not raise any new points. You must also deal with any counter-allegations made in the defence.
7.	If you are represented by a lawyer or other professional adviser, you should communicate with the Institute or the Arbitrator only through your adviser. Direct communication may cause unnecessary work and thus delay.

C. GUIDANCE NOTES FOR RESPONDENTS

1.	The defence should answer each and every point raised by the other Party (the Claimant) clearly and precisely, giving details of any action taken to remedy defects or reduce losses. Remember, any points in the claim which remain unanswered, will normally be treated as having been admitted.
2.	A counterclaim must be supported by all relevant evidence and must be clearly and precisely quantified.
3.	You do not have an automatic right to reply to the Claimant's comments on your defence. If the Claimant raises new points or makes allegedly scandalous comments, you may submit a reply to those comments and the Arbitrator will decide whether they should be admitted as evidence. If you wish to reply to the Claimant's comments, you must telephone the Institute and follow this up in writing immediately.

D. CHECKLIST

Ask yourself the following questions before submitting the application for arbitration.

1.	Have I filled in all the information required by the form (name, address, telephone number, matters to be referred to arbitration and amounts or other remedy claimed)?
2.	Have I completed the form legibly (Please type or write in black ink).
3.	Have I signed and dated the form?
4.	Have I included the registration fee with the application'?

Failure to observe any of the above will cause delay in processing the application.

You should also ask yourself the following questions before submitting your statement of claim, defence or counterclaim.

5.	Exactly what am I claiming for or defending against?
6.	Why do I believe that something is due to me or nothing is due to the other Party?
7.	Have I clearly answered all points in the other Party's arguments with which I disagree?
8.	Am I submitting all the documents that the Arbitrator will need to consider; if in doubt include them.
9.	Have I complied with the time limits?

It is essential that you follow the Rules of the Musicians' Union Dispute Resolution Scheme and these Guidance Notes. Failure to do so may lead to delay and unnecessary costs.