Supreme Court (Chapter II Arbitration Amendment) Rules 2014

Authorised by the Chief Parliamentary Counsel Authorised Version i Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 TABLE OF PROVISIONS Rule Page PART 1—PRELIMINARY 1 1 Object 1 2 Authorising provisions 1 3 Commencement 1 4 Principal Rules 2 PART 2—AMENDMENT OF PRINCIPAL RULES 3 5 Order 9 substituted 3 ORDER 9 3 ARBITRATION RULES 3 PART 1—GENERAL 3 9.01 Definitions 3 9.02 Documents not in English language 4 PART 2—INTERNATIONAL COMMERCIAL ARBITRATION 4 9.03 Application for stay and referral to arbitration—foreign arbitration agreements 4 9.04 Application to enforce foreign award 5 9.05 Application for referral to arbitration—article 8 of the Model Law 5 9.06 Subpoenas 6 9.07 Application relating to evidence for arbitration 8 9.08 Application relating to disclosure of confidential information 8 9.09 Application for relief under miscellaneous provisions of the Model Law 9 9.10 Application to set aside award—Model Law 9 9.11 Enforcement of award under Model Law 11 9.12 Enforcement of Investment Convention award 11 -- 1 of 101 -- Rule Page ii Authorised by the Chief Parliamentary Counsel PART 3—DOMESTIC COMMERCIAL ARBITRATION 12 9.13 Application for referral to arbitration 12 9.14 Subpoenas 12 9.15 Application relating to evidence for arbitration 14 9.16 Application relating to disclosure of confidential information 15 9.17 Application for relief under miscellaneous provisions of Commercial Arbitration Act 16 9.18 Preliminary point of law 16 9.19 Application to set aside award 17 9.20 Appeal 19 9.21 Application to enforce award 21 6 New Forms inserted 22 Form 2–9A—Interlocutory Application For Stay and Referral to Arbitration—Foreign Arbitration Agreement 22 Form 2–9B—Originating Application to Enforce Foreign Award 24 Form 2–9C—Interlocutory Application for referral to arbitration under article 8 of the Model Law 27 Form 2–9D—Originating Application For Issue of Subpoena 29 Form 2–9E—Subpoena To Attend For Examination 32 Form 2–9F—Subpoena To Produce Documents 35 Form 2–9G—Subpoena To Attend for Examination and Produce Documents 39 Form 2–9H—Originating Application For Order to Give Evidence or Produce Documents 44 Form 2–9I—Originating Application To *Prohibit/*Allow Disclosure of Confidential Information 47 Form 2–9J—Originating Application For Relief under Certain Miscellaneous Provisions of the Model Law 49 Form 2–9K—Originating Application to Set Aside Award under article 34 of the Model Law 52 Form 2–9L—Originating Application to Enforce Award Under Article 35 of the Model Law 55 Form 2–9M—Originating Application For Leave To Enforce Award To Which Part IV of the International Arbitration Act 1974 of the Commonwealth Applies 57 -- 2 of 101 -- Rule Page iii Authorised by the Chief Parliamentary Counsel Form 2–9N—Interlocutory Application For Referral to Arbitration 59 Form 2–9O—Originating Application For Issue of Subpoena 62 Form 2–9P—Subpoena To Attend For Examination 64 Form 2–9Q—Subpoena To Produce Documents 67 Form 2–9R—Subpoena To Attend for Examination and Produce Documents 72 Form 2–9S—Originating Application for Order to Give Evidence or Produce Documents 77 Form 2–9T—Originating Application To *Prohibit/*Allow Disclosure of Confidential Information 79 Form 2–9U—Originating Application For Order under Certain Miscellaneous Provisions of The Commercial Arbitration Act 2011 82 Form 2–9V—Originating Application For Determination of A Question of Law 84 Form 2–9W—Originating Application to Set Aside Award 87 Form 2–9X—Originating Application For Leave to Appeal Against Award 90 Form 2–9Y—Originating Application To Enforce Award 93 PART 3—AMENDMENT OF CHAPTER I 96 7 Reference to arbitration 96 ═══════════════ ENDNOTES 98 -- 3 of 101 -- Authorised by the Chief Parliamentary Counsel Authorised Version 1 STATUTORY RULES 2014 S.R. No. 205/2014 Supreme Court Act 1986 Commercial Arbitration Act 2011 Supreme Court (Chapter II Arbitration Amendment) Rules 2014 The Judges of the Supreme Court make the following Rules: PART 1—PRELIMINARY 1 Object The object of these Rules is to— (a) substitute Order 9 of Chapter II of the Rules of the Supreme Court as a consequence of the enactment of the Commercial Arbitration Act 2011 and to provide for procedures and forms harmonised with other Australian jurisdictions; and (b) consequentially amend Chapter I of the Rules of the Supreme Court. 2 Authorising provisions These Rules are made under section 25 of the Supreme Court Act 1986, section 41 of the Commercial Arbitration Act 2011 and all other enabling powers. 3 Commencement These Rules come into operation on 1 December 2014. -- 4 of 101 -- Part 1—Preliminary Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 2 4 Principal Rules In these Rules, the Supreme Court (Miscellaneous Civil Proceedings) Rules 20081 are called the Principal Rules. __________________ r. 4 -- 5 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 3 PART 2—AMENDMENT OF PRINCIPAL RULES 5 Order 9 substituted For Order 9 of the Principal Rules substitute— "ORDER 9 ARBITRATION RULES PART 1—GENERAL 9.01 Definitions (1) In this Order— arbitration means an arbitration to which the Commercial Arbitration Act or the International Arbitration Act applies, as the case requires; Commercial Arbitration Act means the Commercial Arbitration Act 2011; International Arbitration Act means the International Arbitration Act 1974 of the Commonwealth; Model Law means the UNCITRAL Model Law on International Commercial Arbitration, adopted by the United Nations Commission on International Trade Law on 21 June 1985, as amended by the United Nations Commission on International Trade Law on 7 July 2006, the English text of which is set out in Schedule 2 to the International Arbitration Act. (2) Unless the contrary intention appears— (a) expressions used in this Part have the same meaning as in the International Arbitration Act or the Commercial Arbitration Act, as the case requires; r. 5 -- 6 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 4 (b) expressions used in Part 2 of this Order and in the Forms prescribed by that Part have the same meaning as in the International Arbitration Act; and (c) expressions used in Part 3 of this Order and in the Forms prescribed by that Part have the same meaning as in the Commercial Arbitration Act. 9.02 Documents not in English language A party to a proceeding to which this Order applies who seeks to rely on a document that is not in the English language shall provide a certified English translation of the document— (a) to the Court; and (b) to any other party to the proceeding. Note 1 Section 9 of the International Arbitration Act also deals with the translation of awards and arbitration agreements in proceedings to which Part II of the International Arbitration Act applies. Note 2 Section 35 of the Commercial Arbitration Act also deals with the translation of awards and arbitration agreements in proceedings to which the Commercial Arbitration Act applies. PART 2—INTERNATIONAL COMMERCIAL ARBITRATION 9.03 Application for stay and referral to arbitration—foreign arbitration agreements (1) An application under section 7 of the International Arbitration Act to stay the whole or part of a proceeding and refer the parties to arbitration shall be in Form 2–9A. r. 5 -- 7 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 5 (2) The application shall be accompanied by— (a) a copy of the arbitration agreement; and (b) an affidavit stating the material facts on which the application for relief is based. 9.04 Application to enforce foreign award (1) An application under section 8(2) of the International Arbitration Act to enforce a foreign award shall be in Form 2–9B. (2) The application shall be accompanied by— (a) the documents referred to in section 9 of the International Arbitration Act; and (b) an affidavit stating— (i) the extent to which the foreign award has not been complied with, at the date the application is made; and (ii) the usual or last-known place of residence or business of the person against whom it is sought to enforce the foreign award or, if the person is a company, the last- known registered office of the company. 9.05 Application for referral to arbitration— article 8 of the Model Law (1) An application under article 8 of the Model Law to refer parties to arbitration shall be in Form 2–9C. (2) The application shall be accompanied by— (a) a copy of the arbitration agreement; and r. 5 -- 8 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 6 (b) an affidavit stating the material facts on which the application for relief is based. 9.06 Subpoenas (1) An application for the issue of a subpoena under section 23(3) of the International Arbitration Act shall be in Form 2–9D. (2) The application shall be accompanied by— (a) a draft subpoena in accordance with paragraph (3); and (b) an affidavit stating the following— (i) the names of the parties to the arbitration; (ii) the name of the arbitrator or the names of the arbitrators constituting the arbitral tribunal conducting the arbitration; (iii) the place where the arbitration is being conducted; (iv) the nature of the arbitration; (v) the terms of the permission given by the arbitral tribunal for the application; (vi) the conduct money (if appropriate) to be paid to the addressee; and (vii) the witness expenses payable to the addressee. (3) For the purposes of paragraph (2)(a), the draft subpoena shall be— (a) for a subpoena to attend for examination before an arbitral tribunal—in Form 2–9E; r. 5 -- 9 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 7 (b) for a subpoena to produce to the arbitral tribunal the documents mentioned in the subpoena—in Form 2–9F; or (c) for a subpoena to attend for examination and produce documents— in Form 2–9G. (4) The Court may— (a) fix an amount that represents the reasonable loss and expense the addressee will incur in complying with the subpoena; and (b) direct that the amount be paid by the applicant to the addressee before or after the addressee complies with the subpoena. (5) An amount fixed under paragraph (4) may be in addition to any conduct money or witness expenses referred to in paragraph (2)(b). (6) A subpoena shall be— (a) for a subpoena to attend for examination before an arbitral tribunal—in Form 2–9E; (b) for a subpoena to produce to the arbitral tribunal the documents mentioned in the subpoena—in Form 2–9F; or (c) for a subpoena to attend for examination and produce documents— in Form 2–9G. (7) A person served with a subpoena shall comply with the subpoena in accordance with its terms. (8) Order 42 of Chapter I applies so far as is practicable to a subpoena referred to in this Rule. r. 5 -- 10 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 8 9.07 Application relating to evidence for arbitration (1) An application for an order under section 23A(3) of the International Arbitration Act shall be in Form 2-9H. (2) An application under paragraph (1) shall be accompanied by an affidavit stating— (a) the name of the person against whom the order is sought; (b) the order sought; (c) the ground under section 23A(1) of the International Arbitration Act relied on; (d) the terms of the permission given by the arbitral tribunal for the application; and (e) the material facts relied on. 9.08 Application relating to disclosure of confidential information (1) An application under section 23F or 23G of the International Arbitration Act for an order prohibiting or allowing the disclosure of confidential information shall be in Form 2–9I. (2) An application under paragraph (1) shall be accompanied by an affidavit stating— (a) the name of the person against whom the order is sought; (b) the order sought; (c) the material facts relied on; (d) if the application is made under section 23F of the International Arbitration Act—the terms of the order of the arbitral tribunal allowing r. 5 -- 11 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 9 disclosure of the information and the date the order was made; and (e) if the application is made under section 23G of the International Arbitration Act either— (i) the date the arbitral tribunal's mandate was terminated; or (ii) the date and the terms— (A) of the request made to the arbitral tribunal for disclosure of the confidential information; and (B) of the arbitral tribunal's refusal to make the order. 9.09 Application for relief under miscellaneous provisions of the Model Law (1) An application for relief under article 11(3), 11(4), 13(3), 14, 16(3), 17H(3), 17I, 17J or 27 of the Model Law shall be in Form 2–9J. (2) The application shall be accompanied by an affidavit stating the material facts on which the application for relief is based. 9.10 Application to set aside award—Model Law (1) An application under article 34 of the Model Law to set aside an award shall be in Form 2–9K. (2) The application shall identify— (a) if the applicant relies on article 34(2)(a) of the Model Law—which subparagraph of article 34(2)(a) is relied upon; r. 5 -- 12 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 10 (b) if the applicant relies on article 34(2)(b) of the Model Law—which subparagraph of article 34(2)(b) is relied upon; and (c) brief grounds for seeking the order. (3) The application shall be accompanied by an affidavit— (a) exhibiting— (i) a copy of the arbitration agreement; and (ii) a copy of the award including the reasons of the arbitral tribunal for the award; and (b) identifying— (i) the detailed grounds for seeking the order; (ii) the material facts relied on; and (iii) the date on which the applicant received the award or, if a request was made under article 33 of the Model Law to the arbitral tribunal to correct the award, the date on which that request was disposed of by the arbitral tribunal. (4) The application and supporting affidavit shall be served on any person whose interest might be affected by the setting aside of the award. (5) Any application by a party to the arbitration under article 34(4) of the Model Law shall be made by summons in the proceeding commenced under paragraph (1). r. 5 -- 13 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 11 9.11 Enforcement of award under Model Law (1) An application under article 35 of the Model Law to enforce an award shall be in Form 2–9L. (2) The application shall be accompanied by an affidavit— (a) exhibiting the documents referred to in article 35(2) of the Model Law; and (b) stating— (i) the extent to which the award has not been complied with, at the date the application is made; and (ii) the usual or last-known place of residence or business of the person against whom it is sought to enforce the award or, if the person is a company, the last- known registered office of the company. 9.12 Enforcement of Investment Convention award (1) An application under section 35(2) of the International Arbitration Act for leave to enforce an award to which Part IV of the Act applies shall be in Form 2–9M. (2) The application shall be accompanied by an affidavit stating— (a) the extent to which the award has not been complied with, at the date the application is made; and (b) the usual or last-known place of residence or business of the person against whom it is sought to enforce the award or, if the person is a company, r. 5 -- 14 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 12 the last-known registered office of the company. PART 3—DOMESTIC COMMERCIAL ARBITRATION 9.13 Application for referral to arbitration (1) An application under section 8 of the Commercial Arbitration Act to refer the parties to arbitration shall be in Form 2–9N. (2) The application must be accompanied by an affidavit— (a) exhibiting a copy of the arbitration agreement; and (b) stating the material facts on which the application for relief is based. 9.14 Subpoenas (1) An application for the issue of a subpoena under section 27A of the Commercial Arbitration Act shall be in Form 2–9O. (2) The application shall be accompanied by— (a) a draft subpoena in accordance with paragraph (3); and (b) an affidavit stating— (i) the names of the parties to the arbitration; (ii) the name of the arbitrator or the names of the arbitrators constituting the arbitral tribunal conducting the arbitration; (iii) the place where the arbitration is being conducted; (iv) the nature of the arbitration; r. 5 -- 15 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 13 (v) the terms of the permission given by the arbitral tribunal for the application; (vi) the conduct money (if appropriate) to be paid to the addressee; and (vii) the witness expenses payable to the addressee. (3) For the purposes of paragraph (2)(a), the draft subpoena shall be— (a) for a subpoena to attend for examination before an arbitral tribunal—in Form 2–9P; (b) for a subpoena to produce to the arbitral tribunal the documents mentioned in the subpoena—in Form 2–9Q; or (c) for a subpoena to attend for examination and produce documents— in Form 2–9R. (4) The Court may— (a) fix an amount that represents the reasonable loss and expense the addressee will incur in complying with the subpoena; and (b) direct that the amount be paid by the applicant to the addressee before or after the addressee complies with the subpoena. (5) An amount fixed under paragraph (4) may be in addition to any conduct money or witness expenses referred to in paragraph (2)(b). (6) A subpoena shall be— (a) for a subpoena to attend for examination before an arbitral tribunal—in Form 2–9P; r. 5 -- 16 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 14 (b) for a subpoena to produce to the arbitral tribunal the documents mentioned in the subpoena—in Form 2–9Q; or (c) for a subpoena to attend for examination and produce documents— in Form 2–9R. (7) A person served with a subpoena shall comply with the subpoena in accordance with its terms. (8) Order 42 of Chapter I applies so far as is practicable to a subpoena referred to in this Rule. 9.15 Application relating to evidence for arbitration (1) An application for an order under section 27B of the Commercial Arbitration Act shall be in Form 2–9S. (2) An application under paragraph (1) shall be accompanied by an affidavit stating— (a) the name of the person against whom the order is sought; (b) the order sought; (c) the ground under section 27B of the Commercial Arbitration Act relied on; (d) the terms of the permission given by the arbitral tribunal for the application; and (e) the material facts relied on. r. 5 -- 17 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 15 9.16 Application relating to disclosure of confidential information (1) An application under section 27H or 27I of the Commercial Arbitration Act for an order prohibiting or allowing the disclosure of confidential information shall be in Form 2–9T. (2) An application under paragraph (1) shall be accompanied by an affidavit stating— (a) the name of the person against whom the order is sought; (b) the order sought; (c) the material facts relied on; (d) if the application is made under section 27H of the Commercial Arbitration Act—the terms of the order of the arbitral tribunal allowing disclosure of the information and the date the order was made; and (e) if the application is made under section 27I of the Commercial Arbitration Act either— (i) the date the arbitral tribunal's mandate was terminated; or (ii) the date and terms— (A) of the request made to the arbitral tribunal for disclosure of the confidential information; and (B) of the arbitral tribunal's refusal to make the order. r. 5 -- 18 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 16 9.17 Application for relief under miscellaneous provisions of Commercial Arbitration Act (1) An application for relief under section 11(3), 11(4), 13(4), 14, 16(9), 17H, 17I, 17J, 19(6) or 27 of the Commercial Arbitration Act shall be in Form 2–9U. (2) The application shall be accompanied by an affidavit stating the material facts on which the application for relief is based. 9.18 Preliminary point of law (1) An application under section 27J of the Commercial Arbitration Act for leave to apply for determination of a question of law arising in the course of an arbitration and, if leave is granted, for the determination of the question of law, shall be in Form 2–9V. (2) The application shall be accompanied by an affidavit— (a) exhibiting— (i) a copy of the arbitration agreement; and (ii) evidence of the consent of the arbitrator or the consent of all the other parties as required by section 27J(2) of the Commercial Arbitration Act; and (b) identifying— (i) the name and usual or last known place of residence or business of any person whose interest might be affected by the proposed determination of the question of law or, if the person is a company, the last known registered office of the company; r. 5 -- 19 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 17 (ii) the nature of the dispute with sufficient particularity to give an understanding of the context in which the question of law arises; (iii) the facts on the basis of which the question of law is to be determined and the basis on which those facts are stated, including whether they are agreed, assumed, found by the arbitral tribunal or otherwise; and (iv) the detailed grounds on which it is contended that leave should be granted. (3) The application and supporting affidavit shall be served on any person whose interest might be affected by determination of the question of law. (4) The Court may, if it thinks fit, hear and determine the question of law at the same time as the application for leave to apply for the determination of the question. (5) If the Court first hears and grants the application for leave, it may make such orders as it thinks fit for the hearing and determination of the question of law. 9.19 Application to set aside award (1) An application under section 34 of the Commercial Arbitration Act to set aside an award shall be in Form 2–9W. (2) The application shall identify— (a) if the applicant relies on section 34(2)(a) of the Commercial Arbitration Act—which subparagraph of section 34(2)(a) is relied upon; r. 5 -- 20 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 18 (b) if the applicant relies on section 34(2)(b) of the Commercial Arbitration Act—which subparagraph of section 34(2)(b) is relied upon; and (c) brief grounds for seeking the order. (3) The application shall be accompanied by an affidavit— (a) exhibiting— (i) a copy of the arbitration agreement; and (ii) a copy of the award including the reasons of the arbitral tribunal for the award; and (b) identifying— (i) the detailed grounds for seeking the order; (ii) the material facts relied on; and (iii) the date on which the applicant received the award or, if a request was made under section 33 of the Commercial Arbitration Act to the arbitral tribunal to correct the award, the date on which that request was disposed of by the arbitral tribunal. (4) The application and supporting affidavit shall be served on any person whose interest might be affected by the setting aside of the award. (5) Any application by a party to the arbitration under section 34(4) of the Commercial Arbitration Act shall be made by interlocutory application in the proceeding commenced under paragraph (1). r. 5 -- 21 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 19 9.20 Appeal (1) An application under section 34A of the Commercial Arbitration Act for leave to appeal on a question of law arising out of an award shall be in Form 2–9X. (2) The application shall state— (a) the question of law to be determined; and (b) the grounds on which it is alleged that leave to appeal should be granted. (3) The application shall be accompanied by an affidavit showing that, before the end of the appeal period referred to in section 34A(1) and (6) of the Commercial Arbitration Act, the parties agreed that an appeal may be made under section 34A of that Act. (4) The affidavit shall exhibit— (a) a copy of the arbitration agreement; and (b) a copy of the award, including the reasons of the arbitral tribunal for the award. (5) The application shall be accompanied by a submission setting out— (a) the name and usual or last known place of residence or business of any person whose interest might be affected by the proposed appeal or, if the person is a company, the last known registered office of the company; (b) the nature of the dispute with sufficient particularity to give an understanding of the context in which the question of law arises; r. 5 -- 22 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 20 (c) when and how the arbitral tribunal was asked to determine the question of law and where in the award or the reasons, and in what way, the arbitral tribunal determined it; (d) the relevant facts found by the arbitral tribunal on the basis of which the question of law is to be determined by the Court; (e) the basis on which it is contended that the determination of the question of law will substantially affect the rights of one or more parties; (f) the basis on which it is contended that— (i) the decision of the arbitral tribunal on the question of law is obviously wrong; or (ii) the question of law is of general public importance and the decision of the arbitral tribunal is open to serious doubt; (g) the basis on which it is contended that, despite the agreement of the parties to resolve the matter by arbitration, it is just and proper in the circumstances for the Court to determine the question; and (h) a succinct statement of the argument in support of the application for leave and the appeal if leave is granted. (6) The application and the supporting material shall be served on any person whose interest might be affected by the proposed appeal. r. 5 -- 23 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 21 (7) Within 14 days after service on a party or within such further period as the Court may allow, that party shall file and serve any answering material, including a succinct statement of any argument in opposition to the application for leave and the appeal if leave is granted. (8) If it appears to the Court that an oral hearing of the application for leave to appeal is required, the Court may, if it thinks fit, hear and determine the appeal on the question of law at the same time as it hears the application for leave to appeal. (9) If the Court grants the application for leave before hearing the appeal, it may make such orders as it thinks fit for the hearing and determination of the appeal. (10) When an application for leave to appeal is brought or leave to appeal is granted, the Court may suspend or discharge any enforcement order made in respect of the award the subject of the proposed appeal. 9.21 Application to enforce award (1) An application under section 35 of the Commercial Arbitration Act to enforce an award shall be in Form 2–9Y. (2) The application shall be accompanied by— (a) the documents referred to in section 35 of the Commercial Arbitration Act; and (b) an affidavit stating— (i) the extent to which the award has not been complied with, at the date the application is made; and r. 5 -- 24 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 22 (ii) the usual or last-known place of residence or business of the person against whom it is sought to enforce the domestic award or, if the person is a company, the last-known registered office of the company. __________________". 6 New Forms inserted After Form 2–1A of the Principal Rules insert— "FORM 2–9A Rule 9.03 [heading as in relevant proceeding] INTERLOCUTORY APPLICATION FOR STAY AND REFERRAL TO ARBITRATION—FOREIGN ARBITRATION AGREEMENT (Section 7 of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE [role of party]: [name] of [address]. The [role of party] [name], being a party to an arbitration agreement, applies for an order under section 7 of the International Arbitration Act 1974 of the Commonwealth to stay the whole/part [delete whichever is inapplicable] of this proceeding and to refer the parties to arbitration and for the other relief set out in this application. r. 6 -- 25 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 23 ACTION REQUIRED The Court will hear this application, or make orders for the hearing of the application, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 7 of the International Arbitration Act 1974 of the Commonwealth staying the whole/part [delete whichever is inapplicable] of this proceeding and referring [identify parties and dispute to be referred] to arbitration; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by— 1. a copy of the arbitration agreement; and 2. an affidavit stating the material facts on which the application for relief is based. SERVICE ON THE OTHER PARTIES [Select one of these three options and delete the others] *It is intended to serve this application on all other parties. *It is intended to serve this application on the following other parties: [insert name of each party on whom application is to be served]. *It is not intended to serve this application on any party. r. 6 -- 26 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 24 Date: ............................................. Signed by [name] [insert capacity: e.g. applicant, lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9B Rule 9.04 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION TO ENFORCE FOREIGN AWARD (Section 8(2) of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address]. r. 6 -- 27 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 25 The applicant [name of applicant], being a party to an arbitration agreement, applies for an order under section 8(2) of the International Arbitration Act 1974 of the Commonwealth to enforce a foreign award and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 8(2) of the International Arbitration Act 1974 of the Commonwealth that [state details of award and how it is sought to be enforced]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by— 1. the documents referred to in section 9 of the International Arbitration Act 1974 of the Commonwealth; and r. 6 -- 28 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 26 2. an affidavit stating— (a) the extent to which the foreign award has not been complied with, at the date this application is made; and (b) the usual or last-known place of residence or business of the person against whom it is sought to enforce the foreign award or, if the person is a company, the last- known registered office of the company. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ r. 6 -- 29 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 27 FORM 2–9C Rule 9.05 [heading as in relevant proceeding] INTERLOCUTORY APPLICATION FOR REFERRAL TO ARBITRATION UNDER ARTICLE 8 OF THE MODEL LAW (International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address]. The applicant [name of applicant], being a party to an arbitration agreement, applies for an order under article 8 of the Model Law to refer parties to arbitration and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the hearing of the application, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. r. 6 -- 30 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 28 [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT: The applicant seeks— 1. an order under article 8 of the Model Law that [identify parties and dispute to be referred] to arbitration; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application must be accompanied by— 1. a copy of the arbitration agreement; and 2. an affidavit stating the material facts on which the application for relief is based. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. r. 6 -- 31 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 29 Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9D Rule 9.06 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR ISSUE OF SUBPOENA (Section 23(3) of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: r. 6 -- 32 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 30 TO: THE RESPONDENT [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for the issue of a subpoena under section 23(3) of the International Arbitration Act 1974 of the Commonwealth and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may proceed in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. the issue of a subpoena under section 23(3) of the International Arbitration Act 1974 of the Commonwealth to [identify person to whom subpoena is sought and type of subpoena]; 2. [State briefly but specifically any other relief sought]. ACCOMPANYING DOCUMENTS This application is accompanied by— 1. a draft subpoena in accordance with *Form 2–9E/ *Form 2–9F/*Form 2–9G; 2. an affidavit stating— (a) the names of the parties to the arbitration; (b) the name of the arbitrator or the names of the arbitrators constituting the arbitral tribunal conducting the arbitration; r. 6 r. 6 -- 33 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 31 (c) the place where the arbitration is being conducted; (d) the nature of the arbitration; (e) the terms of the permission given by the arbitral tribunal for the application; (f) the conduct money (if appropriate) to be paid to the addressee; and (g) the witness expenses payable to the addressee. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9E Rule 9.06(3)(a) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT r. 6 -- 34 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 32 ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent SUBPOENA TO ATTEND FOR EXAMINATION (Section 23(3) of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: [name] of [address] You are ordered to attend for examination. See below for details. Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 8 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary r. 6 -- 35 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 33 Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA Date, time and place at which you must attend for examination, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrators(s) constituting arbitral tribunal] at [address]. You must continue to attend from day to day unless excused by the arbitral tribunal or the Court or until the hearing of the matter is completed. NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend for examination unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. r. 6 r. 6 -- 36 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 34 Applications in relation to subpoena 5. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 6. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 7. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. 8. Note 7 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ FORM 2–9F Rule 9.06(3)(b) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 37 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 35 SUBPOENA TO PRODUCE DOCUMENTS (Section 23(3) of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: [name] of [address] You are ordered to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents. See below for details. Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 15 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA You must comply with this subpoena— (a) by attending to produce this subpoena or a copy of it and the documents or things specified in the schedule r. 6 r. 6 -- 38 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 36 of documents below at the date, time and place specified for attendance and production; or (b) by delivering or sending this subpoena or a copy of it and the documents or things specified in the schedule of documents below to the arbitral tribunal at the address below, or if there is more than one address below, at any one of those addresses, so that they are received not less than 2 clear business days before the date specified for attendance and production. (See Notes 5 to 11). Date, time and place at which you must attend to produce the subpoena or a copy of it and documents or things, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. Address, or any address, to which the subpoena (or copy) and documents or things may be delivered or posted— [Name] at [address]. SCHEDULE OF DOCUMENTS The documents and things you must produce are as follows— [List the documents or things. Attach list if insufficient space]. NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. r. 6 -- 39 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 37 Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend to produce the subpoena (or a copy of it) and the document or thing unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. Production of subpoena or copy of it and documents or things by delivery or post 5. If this subpoena requires production of the subpoena (or a copy of it) and a document or thing, instead of attending to produce the subpoena (or a copy of it) and the document or thing, you may comply with the subpoena by delivering or sending the subpoena (or a copy of it) and the document or thing to the arbitral tribunal— (a) at the address specified in the subpoena for the purpose; or (b) if more than one address is specified—at any of those addresses— so that they are received not less than 2 clear business days before the date specified in the subpoena for attendance and production, or if you receive notice of a later date from the issuing party, before the later date or time. Objection to inspection of the document or thing produced 6. If you object to a document or thing produced in response to this subpoena being inspected by a party to the proceeding or any other person, you must, at the time of production, notify the arbitral tribunal in writing of your objection and of the grounds of your objection. 7. Unless the Court otherwise orders, if you do not object to a document or thing produced by you in response to the subpoena being inspected by any party to the proceeding, the arbitral tribunal may permit the parties to the proceeding to inspect the document or thing. r. 6 -- 40 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 38 Production of a number of documents or things 8. If you produce more than one document or thing, you must, if requested by the arbitral tribunal, produce a list of the documents or things produced. Production of copy instead of original 9. You may, with the consent of the issuing party, produce a copy, instead of the original, of any document that the subpoena requires you to produce. 9A. The copy of a document may be: (a) a photocopy; or (b) in an electronic form that the issuing party has indicated will be acceptable (and otherwise in PDF format on a CD-ROM). Return or destruction of documents or copies 10. You may, at the time of production, inform the arbitral tribunal that any document or copy of a document produced need not be returned and may be destroyed. 11. If you have so informed the arbitral tribunal, the arbitral tribunal may destroy the document or copy instead of returning it to you. Applications in relation to subpoena 12. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 13. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 14. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. r. 6 r. 6 -- 41 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 39 15. Note 14 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ FORM 2–9G Rule 9.06(3)(c) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent SUBPOENA TO ATTEND FOR EXAMINATION AND PRODUCE DOCUMENTS (Section 23 of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: [name] of [address] r. 6 -- 42 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 40 You are ordered to attend for examination and to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents. See below for details. Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 15 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA In so far as you are required by this subpoena to attend for examination, you must attend as follows, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. You must continue to attend from day to day unless excused by the Court or the person authorised to take evidence in this proceeding or until the hearing of the matter is completed. In so far as you are required by this subpoena to produce the subpoena or a copy of it and documents or things, you must comply with this subpoena— (a) by attending to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents below at the date, time and place specified for attendance and production; or (b) by delivering or sending this subpoena or a copy of it and the documents or things specified in the schedule of documents below to the arbitral tribunal at the address below, or if there is more than one address below, at any one of those addresses, so that they are r. 6 -- 43 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 41 received not less than 2 clear business days before the date specified for attendance and production. (See Notes 5 to 11). Date, time and place at which you must attend to produce the subpoena or a copy of it and documents or things, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. Address, or any address, to which the subpoena (or copy) and documents or things may be delivered or posted— [Name] at [address]. SCHEDULE OF DOCUMENTS The documents and things you must produce are as follows— [List the documents or things. Attach list if insufficient space]. NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. r. 6 -- 44 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 42 Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend for examination unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. Production of subpoena or copy of it and documents or things by delivery or post 5. In so far as this subpoena requires production of the subpoena (or a copy of it) and a document or thing, instead of attending to produce the subpoena (or a copy of it) and the document or thing, you may comply with that part of the subpoena by delivering or sending the subpoena (or a copy of it) and the document or thing to the arbitral tribunal— (a) at the address specified in the subpoena for the purpose; or (b) if more than one address is specified—at any of those addresses— so that they are received not less than 2 clear business days before the date specified in the subpoena for attendance and production, or if you receive notice of a later date from the issuing party, before the later date or time. Objection to inspection of the document or thing produced 6. If you object to a document or thing produced in response to this subpoena being inspected by a party to the proceeding or any other person, you must, at the time of production, notify the arbitral tribunal in writing of your objection and of the grounds of your objection. 7. Unless the Court otherwise orders, if you do not object to a document or thing produced by you in response to the subpoena being inspected by any party to the proceeding, the arbitral tribunal may permit the parties to the proceeding to inspect the document or thing. Production of a number of documents or things 8. If you produce more than one document or thing, you must, if requested by the arbitral tribunal, produce a list of the documents or things produced. r. 6 -- 45 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 43 Production of copy instead of original 9. You may, with the consent of the issuing party, produce a copy, instead of the original, of any document that the subpoena requires you to produce. 9A. The copy of a document may be— (a) a photocopy; or (b) in an electronic form that the issuing party has indicated will be acceptable (and otherwise in PDF format on a CD-ROM). Return or destruction of documents or copies 10. You may, at the time of production, inform the arbitral tribunal that any document or copy of a document produced need not be returned and may be destroyed. 11. If you have so informed the arbitral tribunal, the arbitral tribunal may destroy the document or copy instead of returning it to you. Applications in relation to subpoena 12. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 13. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 14. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. 15. Note 14 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ r. 6 -- 46 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 44 FORM 2–9H Rule 9.07 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR ORDER TO GIVE EVIDENCE OR PRODUCE DOCUMENTS (Section 23A of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for an order under section 23A(3) of the International Arbitration Act 1974 of the Commonwealth that [identify person against whom order is sought] *attend before the Court for examination/*produce certain documents to the Court/*do certain things and for the other relief set out in this application. r. 6 -- 47 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 45 ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 23A(3) of the International Arbitration Act 1974 of the Commonwealth that [identify person against whom order is sought]*attend before the Court for examination/*produce the following documents to the Court [specify]/*do the following things [specify]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating— 1. the name of the person against whom the order is sought; 2. the order sought; 3. the ground under section 23A(1) of the International Arbitration Act 1974 of the Commonwealth relied on; 4. the terms of the permission given by the arbitral tribunal for the application; and 5. the material facts relied on. r. 6 -- 48 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 46 APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *delete if inapplicable. __________________ FORM 2–9I Rule 9.08 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 49 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 47 ORIGINATING APPLICATION TO *PROHIBIT/*ALLOW DISCLOSURE OF CONFIDENTIAL INFORMATION (*Section 23F/*Section 23G of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for an order under section *23F/*23G of the International Arbitration Act 1974 of the Commonwealth *prohibiting/*allowing the disclosure of confidential information and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary r. 6 -- 50 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 48 ORDERS SOUGHT The applicant seeks— 1. an order under section *23F/*23G of the International Arbitration Act 1974 of the Commonwealth that the disclosure of confidential information [insert details of the confidential information] be *prohibited/*allowed *absolutely/*on the following terms. [insert any terms sought]; 2. [State briefly but specifically any other relief sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating— 1. the name of the person against whom the order is sought; 2. the order sought; 3. the material facts relied on; and *4. [For an application under section 23F] the terms of the order of the arbitral tribunal allowing disclosure of the information and the date the order was made. *4. [For an application under section 23G]— *the date the arbitral tribunal's mandate was terminated. *the date and terms— (a) of the request made to the arbitral tribunal for disclosure of the confidential information; and (b) of the arbitral tribunal's refusal to make the order. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. r. 6 r. 6 -- 51 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 49 *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *delete if inapplicable. __________________ FORM 2–9J Rule 9.09 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR RELIEF UNDER CERTAIN MISCELLANEOUS PROVISIONS OF THE MODEL LAW (International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: r. 6 -- 52 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 50 DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for an order under article 11(3), 11(4), 13(3), 14, 16(3), 17H(3), 17I, 17J, or 27 [delete whichever is inapplicable] of the Model Law that [specify details of order sought] and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under article 11(3), 11(4), 13(3), 14, 16(3), 17H(3), 17I, 17J, or 27 [delete whichever is inapplicable] of the Model Law that [insert details of the specific order sought]; 2. [State briefly but specifically any other orders sought]. r. 6 -- 53 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 51 ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating the material facts on which the application for relief is based. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ r. 6 -- 54 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 52 FORM 2–9K Rule 9.10 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION TO SET ASIDE AWARD UNDER ARTICLE 34 OF THE MODEL LAW (International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address]. The applicant, [name], being a party to an arbitration agreement, applies for an order under article 34 of the Model Law to set aside an award and for the other relief set out in this application. The applicant relies on [identify subparagraphs of article 34(2)(a) or (b) of the Model Law relied on]. In brief, the grounds relied on are: [set out the grounds briefly]. r. 6 -- 55 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 53 ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under article 34(2) of the Model Law setting aside the award [identify award]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by an affidavit— 1. exhibiting— (a) a copy of the arbitration agreement; and (b) a copy of the award, including the reasons of the arbitral tribunal for the award; and 2. identifying— (a) the detailed grounds for seeking the order; (b) the material facts relied on; and (c) the date on which the applicant received the award or, if a request was made under article 33 of the Model Law to the arbitral tribunal to correct the award, the date on which that request was disposed of by the arbitral tribunal. r. 6 -- 56 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 54 APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9L Rule 9.11 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 57 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 55 ORIGINATING APPLICATION TO ENFORCE AWARD UNDER ARTICLE 35 OF THE MODEL LAW (International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name], [address] The applicant [name], being a party to an arbitration agreement, applies for an order under article 35 of the Model Law to enforce an award and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary r. 6 -- 58 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 56 ORDERS SOUGHT The applicant seeks— 1. an order under article 35 of the Model Law enforcing an award [insert details of the award and how it is sought to be enforced]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit— 1. exhibiting the documents referred to in article 35(2) of the Model Law; and 2. stating— (a) the extent to which the award has not been complied with at the date the application is made; and (b) the usual or last-known place of residence or business of the person against whom it is sought to enforce the award or, if the person is a company, the last-known registered office of the company. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. r. 6 -- 59 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 57 *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9M Rule 9.12 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR LEAVE TO ENFORCE AWARD TO WHICH PART IV OF THE INTERNATIONAL ARBITRATION ACT 1974 OF THE COMMONWEALTH APPLIES (Section 35(2) of the International Arbitration Act 1974 of the Commonwealth) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: r. 6 -- 60 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 58 Email: Ref: TO THE RESPONDENT: [name], [address] The applicant [name], applies for leave under section 35(2) of the International Arbitration Act 1974 of the Commonwealth to enforce an award to which Part IV of that Act applies and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may proceed in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 35(2) of the International Arbitration Act 1974 of the Commonwealth granting leave to enforce an award to which Part IV of that Act applies [insert details of the award and how it is sought to be enforced]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating— 1. the extent to which the award has not been complied with at the date the application is made; and r. 6 -- 61 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 59 2. the usual or last-known place of residence or business of the person against whom it is sought to enforce the award or, if the person is a company, the last-known registered office of the company. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9N Rule 9.13 [heading as in relevant proceeding] INTERLOCUTORY APPLICATION FOR REFERRAL TO ARBITRATION (Section 8 of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: r. 6 -- 62 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 60 Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE [role of party]: [name], [address] The [role of party] [name of party], being a party to an arbitration agreement, applies for an order under section 8 of the Commercial Arbitration Act 2011 to refer the parties to arbitration and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the hearing of the application, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 8 of the Commercial Arbitration Act 2011 referring [identify parties and dispute sought to be referred] to arbitration; 2. [State briefly but specifically any other orders sought]. r. 6 -- 63 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 61 ACCOMPANYING DOCUMENTS This application is accompanied by an affidavit— 1. exhibiting a copy of the arbitration agreement; and 2. stating the material facts on which the application for relief is based. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ r. 6 -- 64 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 62 FORM 2–9O Rule 9.14 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR ISSUE OF SUBPOENA (Section 27A of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: THE RESPONDENT [address of respondent]: The applicant [name], being a party to an arbitration agreement, applies for the issue of a subpoena under section 27A of the Commercial Arbitration Act 2011 and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may proceed in your absence and without further notice. r. 6 -- 65 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 63 HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. the issue of a subpoena under section 27A of the Commercial Arbitration Act 2011 to [identify person to whom subpoena is sought and type of subpoena]; 2. [State briefly but specifically any other relief sought]. ACCOMPANYING DOCUMENTS This application is accompanied by— 1. a draft subpoena in accordance with *Form 2–9P/ *Form 2–9Q/*Form 2–9R; 2. an affidavit stating— (a) the names of the parties to the arbitration; (b) the name of the arbitrator or the names of the arbitrators constituting the arbitral tribunal conducting the arbitration; (c) the place where the arbitration is being conducted; (d) the nature of the arbitration; (e) the terms of the permission given by the arbitral tribunal for the application; (f) the conduct money (if appropriate) to be paid to the addressee; and (g) the witness expenses payable to the addressee. r. 6 -- 66 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 64 SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9P Rule 9.14(3)(a) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent SUBPOENA TO ATTEND FOR EXAMINATION (Section 27A of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: r. 6 r. 6 -- 67 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 65 Lawyer Code: DX: Tel: Email: Ref: TO: [name], [address] You are ordered to attend for examination. See below for details. Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 8 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA Date, time and place at which you must attend for examination, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. You must continue to attend from day to day unless excused by the arbitral tribunal or the Court or until the hearing of the matter is completed. r. 6 -- 68 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 66 NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend for examination unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. Applications in relation to subpoena 5. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 6. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 7. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. r. 6 -- 69 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 67 8. Note 7 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ FORM 2–9Q Rule 9.14(3)(b) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent SUBPOENA TO PRODUCE DOCUMENTS (Section 27A of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: [name], [address] r. 6 -- 70 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 68 You are ordered to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents. See below for details. Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 15 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA You must comply with this subpoena— (a) by attending to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents below at the date, time and place specified for attendance and production; or (b) by delivering or sending this subpoena or a copy of it and the documents or things specified in the schedule of documents below to the arbitral tribunal at the address below, or if there is more than one address below, at any one of those addresses, so that they are received not less than 2 clear business days before the date specified for attendance and production. (See Notes 5 to 11). Date, time and place at which you must attend to produce the subpoena or a copy of it and documents or things, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. r. 6 r. 6 -- 71 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 69 Address, or any address, to which the subpoena (or copy) and documents or things may be delivered or posted— [Name] at [address]. SCHEDULE OF DOCUMENTS The documents and things you must produce are as follows— [List the documents or things. Attach list if insufficient space]. NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend for examination unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. Production of subpoena or copy of it and documents or things by delivery or post 5. If this subpoena requires production of the subpoena (or a copy of it) and a document or thing, instead of attending to produce the subpoena (or a copy of it) and the document or r. 6 -- 72 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 70 thing, you may comply with the subpoena by delivering or sending the subpoena (or a copy of it) and the document or thing to the arbitral tribunal— (a) at the address specified in the subpoena for the purpose; or (b) if more than one address is specified—at any of those addresses— so that they are received not less than 2 clear business days before the date specified in the subpoena for attendance and production, or if you receive notice of a later date from the issuing party, before the later date or time. Objection to inspection of the document or thing produced 6. If you object to a document or thing produced in response to this subpoena being inspected by a party to the proceeding or any other person, you must, at the time of production, notify the arbitral tribunal in writing of your objection and of the grounds of your objection. 7. Unless the Court otherwise orders, if you do not object to a document or thing produced by you in response to the subpoena being inspected by any party to the proceeding, the arbitral tribunal may permit the parties to the proceeding to inspect the document or thing. Production of a number of documents or things 8. If you produce more than one document or thing, you must, if requested by the arbitral tribunal, produce a list of the documents or things produced. Production of copy instead of original 9. You may, with the consent of the issuing party, produce a copy, instead of the original, of any document that the subpoena requires you to produce. 9A. The copy of a document may be: (a) a photocopy; or (b) in an electronic form that the issuing party has indicated will be acceptable (and otherwise in PDF format on a CD-ROM). r. 6 -- 73 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 71 Return or destruction of documents or copies 10. You may, at the time of production, inform the arbitral tribunal that any document or copy of a document produced need not be returned and may be destroyed. 11. If you have so informed the arbitral tribunal, the arbitral tribunal may destroy the document or copy instead of returning it to you. Applications in relation to subpoena 12. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 13. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 14. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. 15. Note 14 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ r. 6 -- 74 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 72 FORM 2–9R Rule 9.14(3)(c) IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent SUBPOENA TO ATTEND FOR EXAMINATION AND PRODUCE DOCUMENTS (Section 27A of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO: [name], [address] You are ordered to attend for examination and to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents. See below for details. r. 6 -- 75 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 73 Failure to comply with this subpoena without lawful excuse is a contempt of court and may result in your arrest. Please read Notes 1 to 15 at the end of this subpoena. The last date for service of this subpoena is [date]. (See Note 1). FILED: Prothonotary Issued at the request of [role of party], [name], whose address for service is: Place: Email: DETAILS OF SUBPOENA In so far as you are required by this subpoena to attend for examination, you must attend as follows, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. You must continue to attend from day to day unless excused by the arbitral tribunal or the Court or until the hearing of the matter is completed. In so far as you are required by this subpoena to produce the subpoena or a copy of it and documents or things, you must comply with this subpoena— (a) by attending to produce this subpoena or a copy of it and the documents or things specified in the schedule of documents below at the date, time and place specified for attendance and production; or (b) by delivering or sending this subpoena or a copy of it and the documents or things specified in the schedule of documents below to the arbitral tribunal at the address below, or if there is more than one address below, at any one of those addresses, so that they are received not less than 2 clear business days before the date specified for attendance and production. (See Notes 5 to 11). r. 6 -- 76 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 74 Date, time and place at which you must attend to produce the subpoena or a copy of it and documents or things, unless you receive notice of a later date or time from the issuing party, in which case the later date or time is substituted: Date: Time: Place: [Name(s) of arbitrator(s) constituting arbitral tribunal] at [address]. Address, or any address, to which the subpoena (or copy) and documents or things may be delivered or posted— [Name] at [address]. SCHEDULE OF DOCUMENTS The documents and things you must produce are as follows— [List the documents or things. Attach list if insufficient space]. NOTES Last day for service 1. You need not comply with the subpoena unless it is served on you on or before the date specified in the subpoena as the last date for service of the subpoena. Informal service 2. Even if this subpoena has not been served personally on you, you must, nevertheless, comply with its requirements, if you have, by the last date for service of the subpoena, actual knowledge of the subpoena and of its requirements. Addressee a company 3. If the subpoena is addressed to a company, the company must comply with the subpoena by its appropriate or proper officer. r. 6 -- 77 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 75 Conduct money 4. You need not comply with the subpoena in so far as it requires you to attend for examination unless conduct money sufficient to meet your reasonable expenses of attending as required by the subpoena is handed or tendered to you a reasonable time before the date your attendance is required. Production of subpoena or copy of it and documents or things by delivery or post 5. In so far as this subpoena requires production of the subpoena (or a copy of it) and a document or thing, instead of attending to produce the subpoena (or a copy of it) and the document or thing, you may comply with that part of the subpoena by delivering or sending the subpoena (or a copy of it) and the document or thing to the arbitral tribunal— (a) at the address specified in the subpoena for the purpose; or (b) if more than one address is specified—at any of those addresses— so that they are received not less than 2 clear business days before the date specified in the subpoena for attendance and production, or if you receive notice of a later date from the issuing party, before the later date or time. Objection to inspection of the document or thing produced 6. If you object to a document or thing produced in response to this subpoena being inspected by a party to the proceeding or any other person, you must, at the time of production, notify the arbitral tribunal in writing of your objection and of the grounds of your objection. 7. Unless the Court otherwise orders, if you do not object to a document or thing produced by you in response to the subpoena being inspected by any party to the proceeding, the arbitral tribunal may permit the parties to the proceeding to inspect the document or thing. Production of a number of documents or things 8. If you produce more than one document or thing, you must, if requested by the arbitral tribunal, produce a list of the documents or things produced. r. 6 -- 78 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 76 Production of copy instead of original 9. You may, with the consent of the issuing party, produce a copy, instead of the original, of any document that the subpoena requires you to produce. 9A. The copy of a document may be— (a) a photocopy; or (b) in an electronic form that the issuing party has indicated will be acceptable (and otherwise in PDF format on a CD-ROM). Return or destruction of documents or copies 10. You may, at the time of production, inform the arbitral tribunal that any document or copy of a document produced need not be returned and may be destroyed. 11. If you have so informed the arbitral tribunal, the arbitral tribunal may destroy the document or copy instead of returning it to you. Applications in relation to subpoena 12. You have the right to apply to the Court— (a) for an order setting aside the subpoena (or a part of it) or for relief in respect of the subpoena; and (b) for an order with respect to any claim you may have for privilege, public interest immunity or confidentiality. Loss or expense of compliance 13. You may apply to the Court for an order that the issuing party pay an amount (in addition to conduct money and any witness's expenses) in respect of the loss or expense, including legal costs, reasonably incurred in complying with the subpoena. Contempt of court—arrest 14. Failure to comply with a subpoena without lawful excuse is a contempt of court and may be dealt with accordingly. 15. Note 14 is without prejudice to any power of the Court under any rules of the Court (including any rules of the Court providing for the arrest of an addressee who defaults in attendance in accordance with a subpoena) or otherwise, to enforce compliance with a subpoena. __________________ r. 6 -- 79 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 77 FORM 2–9S Rule 9.15 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR ORDER TO GIVE EVIDENCE OR PRODUCE DOCUMENTS (Section 27B of the Commercial Arbitration 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for an order under section 27B of the Commercial Arbitration Act 2011 that [identify person against whom order sought] *attend before the Court for examination/*produce certain documents to the Court/*do certain things and for the other relief set out in this application. r. 6 -- 80 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 78 ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 27B of the Commercial Arbitration Act 2011 that [identify person against whom order sought] *attend before the Court for examination/*produce the following documents to the Court [specify]/*do the following things [specify]; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating— 1. the name of the person against whom the order is sought; 2. the order sought; 3. the ground under section 27B(1) of the Commercial Arbitration Act 2011 relied on; 4. the terms of the permission given by the arbitral tribunal for the application; and 5. the material facts relied on. r. 6 -- 81 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 79 APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *delete if inapplicable __________________ FORM 2–9T Rule 9.16 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 82 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 80 ORIGINATING APPLICATION TO *PROHIBIT/*ALLOW DISCLOSURE OF CONFIDENTIAL INFORMATION (*Section 27H/*Section 27I of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies for an order under section *27H/*27I of the Commercial Arbitration Act 2011 *prohibiting/*allowing the disclosure of confidential information and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary r. 6 -- 83 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 81 ORDERS SOUGHT The applicant seeks— 1. an order under section *27H/*27I of the Commercial Arbitration Act 2011 that the disclosure of confidential information [insert details of the confidential information ] be *prohibited/*allowed *absolutely/*on the following terms [insert any terms sought]; 2. [State briefly but specifically any other relief sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating— 1. the name of the person against whom the order is sought; 2. the order sought; 3. the material facts relied on; and *4. [For an application under section 27H] the terms of the order of the arbitral tribunal allowing disclosure of the information and the date the order was made. *4. [For an application under section 27I]— *the date the arbitral tribunal's mandate was terminated. *the date and terms— (a) of the request made to the arbitral tribunal for disclosure of the confidential information; and (b) of the arbitral tribunal's refusal to make the order. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. r. 6 -- 84 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 82 *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *delete if inapplicable __________________ FORM 2–9U Rule 9.17 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR ORDER UNDER CERTAIN MISCELLANEOUS PROVISIONS OF THE COMMERCIAL ARBITRATION ACT 2011 Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: r. 6 -- 85 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 83 TO THE RESPONDENT: The applicant [name], being a party to an arbitration agreement, applies for an order under section 11(3), 11(4), 13(4), 14, 16(9), 17H, 17I, 17J, 19(6) or 27 of the Commercial Arbitration Act 2011 [delete whichever is inapplicable] that [specify details of the order sought] and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDER SOUGHT The applicant seeks— 1. an order under section 11(3), 11(4), 13(3), 14, 16(3), 17H(4), 17I, 17J or 27 of the Commercial Arbitration Act 2011 [delete whichever is inapplicable] that [specify details of order sought]; 2. [State briefly but specifically any other relief sought]. ACCOMPANYING AFFIDAVIT This application is accompanied by an affidavit stating the material facts on which the claim for relief is based. r. 6 -- 86 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 84 APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9V Rule 9.18 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 87 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 85 ORIGINATING APPLICATION FOR DETERMINATION OF A QUESTION OF LAW (Section 27J of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies under section 27J of the Commercial Arbitration Act 2011 for leave to apply for the determination of a question of law arising in the course of an arbitration and, if leave is granted, for determination of that question of law and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary r. 6 -- 88 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 86 Arbitration subject of application to determine question of law [identify the arbitration to which the question relates] Question of law [set out succinctly the question of law] ORDERS SOUGHT The applicant seeks— 1. an order under section 27J of the Commercial Arbitration Act 2011 granting leave to apply for the determination of a question of law arising in the course of an arbitration and, if leave is granted, for determination of that question of law; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by an affidavit— 1. exhibiting a copy of the arbitration agreement and evidence of the consent of all other parties to the determination of the question of law under section 27J of the Commercial Arbitration Act; and 2. identifying— (a) the name and usual or last known place of residence or business of any person whose interest might be affected by the proposed appeal or, when that person is a company, its last known registered office or address for service in the arbitration; (b) the nature of the dispute with sufficient particularity to give an understanding of the context in which the question of law arises; (c) the facts on the basis of which the question of law is to be determined and the basis on which those facts are stated, including whether they are agreed, assumed, found by the arbitral tribunal or otherwise; and (d) the detailed grounds on which it is contended that leave should be granted. r. 6 -- 89 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 87 APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9W Rule 9.19 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent r. 6 -- 90 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 88 ORIGINATING APPLICATION TO SET ASIDE AWARD (Section 34 of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] of [address]. The applicant [name], being a party to an arbitration agreement, applies for an order under section 34 of the Commercial Arbitration Act 2011 to set aside an award and for the other relief set out in this application. The applicant relies on [identify subparagraphs of section 34(2)(a) or (b) of the Act relied on]. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary Award subject of application to set aside [identify the award] r. 6 -- 91 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 89 ORDERS SOUGHT The applicant seeks— 1. an order under section 34 of the Commercial Arbitration Act 2011 setting aside the award; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by an affidavit— 1. exhibiting a copy of the arbitration agreement and a copy of the award, including the reasons of the arbitral tribunal for the award; and 2. identifying— (a) the detailed grounds for seeking the order; (b) the material facts relied on; and (c) the date on which the applicant received the award or, if a request was made under section 33 of the Act to the arbitral tribunal to correct the award, the date on which that request was disposed of by the arbitral tribunal. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. r. 6 -- 92 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 90 *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ FORM 2–9X Rule 9.20 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION FOR LEAVE TO APPEAL AGAINST AWARD (Section 34A of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: r. 6 -- 93 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 91 Ref: TO THE RESPONDENT: [name] of [address] The applicant [name], being a party to an arbitration agreement, applies under section 34A of the Commercial Arbitration Act 2011 for leave to appeal on a question of law arising out of an award and for the other relief set out in this application. ACTION REQUIRED You must file a notice of address for service (Form 2–1A) before taking any other step in the proceeding. In accordance with section 34A(5) of the Commercial Arbitration Act 2011, the Court will determine the application for leave to appeal without a hearing unless it appears to the Court that a hearing is required. Set out below are the details of this application and of the accompanying material relied on by the applicant. If you wish to oppose any of the orders or relief sought by the applicant, you must, within 14 days after service of this application on you or within such further time as the Court may allow, file and serve any answering material, including a succinct statement of any argument in opposition to the application for leave and the appeal if leave is granted. FILED: Prothonotary A: Question of law to be determined [set out succinctly the question of law to be determined]. B: Grounds on which it is alleged leave to appeal should be granted [set out grounds in numbered paragraphs]. ORDERS SOUGHT The applicant seeks— 1. an order under section 34A of the Commercial Arbitration Act 2011 granting leave to appeal on a question of law arising out of the award referred to above; 2. if leave to appeal is granted, an order that the appeal be allowed and [set out the substantive orders sought on the proposed appeal]; 3. [State briefly but specifically any other orders sought]. r. 6 -- 94 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 92 ACCOMPANYING DOCUMENTS This application is accompanied by— 1. an affidavit— (a) showing that, before the end of the appeal period referred to in section 34A(1) and (6) of the Commercial Arbitration Act, the parties agreed that an appeal may be made under section 34A of that Act; and (b) exhibiting a copy of the arbitration agreement and a copy of the award, including the reasons of the arbitral tribunal for the award; and 2. a submission setting out the matters referred to in Rule 9.20(5) of Chapter II of the Rules of the Supreme Court. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________ r. 6 -- 95 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 93 FORM 2–9Y Rule 9.21 IN THE SUPREME COURT OF VICTORIA AT COMMERCIAL COURT ARBITRATION LIST S CI No. BETWEEN Applicant AND Respondent ORIGINATING APPLICATION TO ENFORCE AWARD (Section 35 of the Commercial Arbitration Act 2011) Date of Document: Filed on behalf of: Prepared by: Lawyer Code: DX: Tel: Email: Ref: TO THE RESPONDENT: [name] or [address] The applicant [name of applicant], being a party to an arbitration agreement, applies for an order under section 35 of the Commercial Arbitration Act 2011 to enforce an award and for the other relief set out in this application. ACTION REQUIRED The Court will hear this application, or make orders for the conduct of the proceeding, at the time and place stated below. If you or your lawyer do not attend, the Court may make orders in your absence and without further notice. r. 6 -- 96 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 94 You must file a notice of address for service (Form 2–1A) before attending Court or taking any other steps in the proceeding. HEARING The application will be heard before ………………………… in Court No…., Supreme Court of Victoria, [insert address], Melbourne on [insert date] at [insert time] or so soon afterwards as the business of the Court allows. [If applicable] The Court has ordered that the time for serving this application be abridged to [Court to insert date]. FILED: Prothonotary ORDERS SOUGHT The applicant seeks— 1. an order under section 35 of the Commercial Arbitration Act 2011 that the following award [specify] be enforced; 2. [State briefly but specifically any other orders sought]. ACCOMPANYING DOCUMENTS This application is accompanied by an affidavit— 1. exhibiting the documents referred to in section 35 of the Commercial Arbitration Act 2011; and 2. stating— (a) the extent to which the award has not been complied with at the date the application is made; and (b) the usual or last-known place of residence or business of the person against whom it is sought to enforce the award or, if the person is a company, the last-known registered office of the company. APPLICANT'S ADDRESS The applicant's address for service is: Place: Email: The applicant's address is [if the applicant is an individual, place of residence or business; if the applicant is a company, principal place of business] r. 6 -- 97 of 101 -- Part 2—Amendment of Principal Rules Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 95 SERVICE ON THE RESPONDENT [Select one of these three options and delete the others] *It is intended to serve this application on the respondent/*all respondents. *It is intended to serve this application on the following respondents: [insert name of each respondent on whom application is to be served]. *It is not intended to serve this application on *the respondent/*any respondent. Date: ............................................. Signed by [name] [insert capacity: e.g. applicant lawyer for the applicant] *Delete if inapplicable. __________________". __________________ r. 6 -- 98 of 101 -- Part 3—Amendment of Chapter I Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 96 PART 3—AMENDMENT OF CHAPTER I 7 Reference to arbitration (1) For Rule 50.08(2) of the Supreme Court (General Civil Procedure) Rules 20052 substitute— "(2) The order shall specify either— (a) that the provisions of the Commercial Arbitration Act 2011 shall apply, so far as practicable, to the arbitration; or (b) that the provisions of the International Arbitration Act 1974 of the Commonwealth shall apply, so far as practicable, to the arbitration— and the order shall have effect accordingly.". (2) In Rule 50.08(3) of the Supreme Court (General Civil Procedure) Rules 2005 for "Commercial Arbitration Act 1984" substitute "Commercial Arbitration Act 2011 or the International Arbitration Act 1974 of the Commonwealth, as the case requires,". Dated: 30 October 2014 M. L. WARREN, C.J. CHRISTOPHER MAXWELL, P. ROBERT REDLICH, J.A. MARK WEINBERG, J.A. SIMON P. WHELAN, J.A. J. G. SANTAMARIA, J.A. DAVID F. R. BEACH, J.A. K. WILLIAMS, J. STEPHEN KAYE, J. ELIZABETH HOLLINGWORTH, J. KEVIN H. BELL, J. r. 7 -- 99 of 101 -- Part 3—Amendment of Chapter I Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 97 BETTY JUNE KING, J. ANTHONY CAVANOUGH, J. JACK FORREST, J. JAMES JUDD, J. TERRY FORREST, J. KARIN EMERTON, J. CLYDE CROFT, J. M. L. SIFRIS, J. JOHN DIXON, J. KATE McMILLAN, J. GREG GARDE, J. JAMES D. ELLIOTT, J. T. J. GINNANE, J. MELANIE SLOSS, J. M. J. CROUCHER, J. CHRISTOPHER W. BEALE, J. MICHAEL McDONALD, J. ═══════════════ r. 7 -- 100 of 101 -- Supreme Court (Chapter II Arbitration Amendment) Rules 2014 S.R. No. 205/2014 Authorised by the Chief Parliamentary Counsel 98 ENDNOTES 1 Rule 4: S.R. No. 94/2008. Reprint No. 1 as at 1 April 2012. Reprinted to S.R. No. 109/2009. Subsequently amended by S.R. No. 47/2014. 2 Rule 7(1): S.R. No. 148/2005. Reprint No. 5 as at 11 October 2013. Reprinted to S.R. No. 119/2013. Subsequently amended by S.R. Nos 146/2013, 147/2013, 148/2013 and 48/2014. Endnotes -- 101 of 101 --