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Copyright © International Chamber of Commerce (ICC). All rights reserved. ( Source of the document: ICC Digital Library )
Introduction
The Standards are intended to facilitate the use of information technology (IT) in international arbitration by providing optional standardized solutions for using IT. The use of the Standards is always voluntary.
The Standards describe standard procedures that allow parties and arbitrators to exchange information regarding their IT capabilities that may be crucial for using IT such as:
- seeking agreement on using certain IT applications and exchanging the necessary information;
- dealing with technical problems that may arise during the arbitration.
The Standards are not intended to address any substantive or procedural legal issues that may arise during the arbitral proceedings, even if those issues are in some way connected to the use of IT in the arbitration. Rather, the Standards provide 'boilerplate' standard procedures for using IT in international arbitration.
To stay current with IT developments, the Standards will be updated from time to time. Accordingly, the most current version of the Standards should be used.
The Standards are not procedural rules. Rather, the Standards are 'boilerplate' procedures that can be custom-tailored for each specific arbitration. Therefore, any agreements of the parties, arbitration rules, and/or procedural directions issued by the arbitral tribunal take precedence over and supersede the Standards. Similarly, the parties and the tribunal may modify the Standards as appropriate to accommodate specific requirements or issues in an arbitration.
The Standards comprise an initial section concerning general procedures followed by four further sections concerning special procedures for specific IT solutions:[Page76:] paperless files, electronic communications, videoconferences and audioconferences.
Parties and/or arbitrators may use the standard procedures in any or all of the sections of the Standards, i.e. they may use all, some or only one of them. They may also modify the standard procedures in these sections as appropriate to better meet the requirements of a specific case. To avoid misunderstanding, we recommend that any such modifications should be documented.
The Standards include forms designed to elicit and collect information needed for their implementation. Copies of these forms should be provided to each participant.
The Standards should be brought into play as early as possible. If the parties refer to the Standards in the dispute resolution clause, they should verify that they have and/or will have at their disposal the information technology capabilities required to implement the Standards. This recommendation should be taken seriously because inadequate IT capabilities may seriously disrupt arbitral proceedings, thus resulting in delay and increased costs.
It is also possible for parties to agree to adopt the Standards when the arbitration is initiated. This may be appropriate when any of the IT procedures described in sections 1 to 3 are to be used. Again, parties should verify beforehand that they have and/or will have the IT capabilities required to implement the Standards.
Parties may not know whether the members of the arbitral tribunal have the necessary resources to implement the Standards until they have been identified and appointed. This should be kept in mind when selecting and appointing arbitrator(s).
The parties may agree to implement the Standards after the arbitral proceedings have begun. It is also possible for the arbitrators to initiate their implementation. In this case, they should be careful to assess the parties' and their own IT capabilities. In ICC arbitration, this could be done when preparing the Terms of Reference, for example. In other arbitral proceedings, these matters could be addressed at an early procedural conference once the arbitral tribunal has been fully constituted.
When preparing the Terms of Reference the parties and the arbitral tribunal should also consider whether to modify the Standards so as to better meet the requirements of the particular case.
Section 1 - General procedures ('G')
G1 The Standards are operational procedures for using IT in international arbitration. Unless otherwise agreed to by the parties or ordered by the arbitral tribunal [Page77:] in accordance with the applicable procedural rules, the Standards will not be considered as procedural rules. Any deviation from the Standards will not be considered to be a violation of procedural rules and thus should not invalidate any decision of the arbitral tribunal.
G2 Any express or implied reference to the Standards or reference to a party's willingness to voluntarily implement the Standards will not imply a submission to arbitration or waiver of any procedural and/or substantive right or remedy that any party may wish to exercise or enforce. Thus, parties may implement the Standards in circumstances where jurisdictional or other threshold issues are contentious.
G3 The Standards are binding only if, when adopting them, the parties and/or the arbitral tribunal expressly incorporate them as procedural rules in accordance with G1. The parties will be deemed to have waived their right to object to any violation of the Standards and/or any incident or disruption relating to their implementation unless:
(i) the party has duly notified the other party or parties and the arbitral tribunal of its objection by transmitting the duly completed incident report form to the recipients identified in accordance with G8; and
the incident is not remedied within five business days from the date on which such incident report is deemed to have been received by the party with which the incident originated.
G4 Any party or arbitral tribunal may initiate implementation of the Standards by transmitting to each other party and the members of the arbitral tribunal one copy of the Standards together with a completed Standards Initiation Form (annexed below).
G5 Any recipient of a Standards Initiation Form will itself complete a Standards Initiation Form and send it without delay to each other party and the members of the arbitral tribunal. Response time should not exceed ten business days unless the Standards Initiation Form is attached to the request for arbitration or notice of arbitration. In that case, the same period of time is allowed for responding to the Standards Initiation Form as for responding to such request or notice.
G6 If a recipient fails or refuses to respond to the Standards Initiation Form, or if the information provided by a necessary participant demonstrates that the participant does not have the IT resources required to implement the section/s of the Standards that are to be implemented, the implementation shall not proceed until and unless:[Page78:]
(i) the shortcoming has been voluntarily remedied by the concerned participant with a notice under G5, and/or
(ii) the parties have reached consensus as to the steps required to overcome the obstacle, or
(iii) the arbitral tribunal has issued implementing instructions in accordance with the powers conferred upon it by the parties.
G7 After the exchange of Standards Initiation Forms has been completed, the participants shall consolidate the exchanged information in a Consolidated Form setting forth the definitive version to be implemented, unless the situations contemplated in the first half of G6 apply. In so doing the parties should informally discuss implementation of the Standards via available means or at a meeting.
G8 At all times, any incident or problem regarding the implementation of the Standards shall be promptly reported to the other party/parties and, if applicable, the arbitrator(s) by the party that notices the incident or problem. The incident should be reported using the Standards Incident Form (annexed below) or by supplying the information requested therein.
G9 Upon receipt of a Standards Incident Form or notice of incident or problem regarding the implementation of the Standards, each recipient shall promptly assess whether it contributed to the incident or problem or whether it needs to take action for other reasons. If this is the case, the recipient shall take reasonable steps to remedy the incident and to prevent its repetition, and shall inform the reporting party and all other recipients of the Standards Incident Form of the remedial steps taken. Any party or, if applicable, arbitrator that is aware of any temporary or long-term insurmountable obstacle regarding implementation of the Standards shall promptly inform all other parties and arbitrators thereof using the Standards Incident Form. Likewise, all participants should be promptly notified upon removal of the obstacle.
G10 Cooperation is essential: the parties shall cooperate in good faith and use reasonable efforts to overcome any incident or obstacle and apply the Standards flexibly to help resolve technical issues. Technical issues should in the first place be discussed and solved by the Technically Responsible Persons identified in the Standards Initiation Form. The arbitral tribunal may, within the powers conferred upon it by the parties, secure implementation by issuing implementing instructions at the request of a party or on its own initiative.
G11 IT-related difficulties should not disturb the arbitration. In the event of insurmountable temporary or long-term obstacles, the parties should cooperate in good faith and in any way reasonably required to allow the arbitration to proceed [Page79:] without using the IT that presents the problem. If this cooperation is not successful, or if the arbitral tribunal determines that there is not a sufficient likelihood of success or that success will be delayed, the arbitral tribunal may issue any order and/or directions it deems appropriate, even if this means abandoning or overriding the Standards.
G12 Changes or amendments to the Standards should be made with the consensus of all concerned entities/persons and documented with a copy for each participant. These changes or amendments should be concise, precise and indicate which (sub-)section of the Standards they affect.
G13 Changes or amendments to the Standards on which no consensus is reached within a reasonable period of time may be effectuated by the arbitrator/s in the form they deem appropriate.
Section 2 - Paperless files ('P')
P1 This section 2 is intended to apply only to submissions filed with the arbitral tribunal and/or an administering institution, as well as to the copies of those submissions provided to other participants, i.e. documents that would be included in the arbitrator's files or the file kept by the institution in paper-based arbitration.
P2 While the parties are free also to agree to use section 2 of the Standards for other document exchanges related to the arbitral proceedings, the volume and nature of the documents exchanged - for example in disclosure proceedings - may require a different approach, which should be implemented in accordance with G12.
P3 File sharing: when implementing section 2 of the Standards, each participant shall convert all documents that it normally would submit only in hard copy form (e.g. submissions, letters, witness statements, transcripts) into the machine readable and processable file format(s) specified in the Consolidated Form (see G 7).
P4 Each physical document ('original document') shall be reduced to one electronic file ('electronic document'), even if several pages constitute the original document. To the extent technically possible, each electronic document (i.e. file) shall allow a true reproduction 1 of the original document (i.e. when the file is opened and visualized on a display or is printed, separate pages in their original order and visual arrangement are generated). Only if technically required shall a document of several pages be saved in more than one file.
P5 To facilitate file identification and organization, participants shall use a coherent file naming system with a unique name/identifier for each electronic document. As a [Page80:] minimum, the unique name/identifier shall use acronyms or other combinations of letters and numbers to convey information as to:
(a) the participant who has introduced the file into the arbitration;
(b) the class of documents to which the file belongs (e.g. written submission, exhibit, etc.);
(c) place of the document in a given class of documents.
This file naming system shall be used throughout the arbitration for all electronic documents. The file name and the date of the original document (e.g. the date shown on a letter that is submitted as evidence) shall appear on the first page of the electronic document, either at the top right corner or at the bottom.
P6 The file naming system shall be implemented through one of the following mechanisms:
P6.1 Option 1: The participants agree on a common file naming system in accordance with G12.
P6.2 Option 2: Each participant establishes his/her own file naming system. A copy of a document setting forth the details of this file naming system will be communicated to each other participant as soon as practicable. This solution is discouraged.
P6.3 Option 3 - Default: Unless (i) one of the options set forth in P6.1 or P6.2 is selected or (ii) any of the computer systems used only supports eight-character file names, the participants shall be deemed, by virtue of their agreement to implement the Standards, to have chosen to use the following uniform and coherent file name structure:
(a) Originator:
- A file produced by claimant will begin with the character: c
- A file produced by respondent will begin with the character: r
In the event of more than one claimant or respondent, the first character will be followed by the unique identification number of the party producing the file (1,2,3,…10, etc.), which follows the order in which the parties are identified in the request for arbitration or by the administering institution. In the latter case, the sequence established by the institution will prevail if differences occur.
If more than one claimant or respondent is represented by the same counsel, only one digit shall be used, as selected by that counsel from the range of numbers assigned to the parties she/he is representing.
- A file produced by the arbitral tribunal will begin with the character: a
In the event of more than one arbitrator, if the document does not emanate from the whole tribunal, the character 'a' will be followed by the unique identification number of each arbitrator, i.e. 1 for the chairman, 2 for the co arbitrator appointed by or on behalf of the claimant and 3 for the co arbitrator appointed by or on behalf of the respondent.
- A file produced by the administering institution will begin with the character: i
[Page81:]
(b) Class of document and sequence number:
- The next character will indicate the class of document:
· a party submission or letter: s
· a document produced as evidence: e
· a witness statement: w
· an expert witness statement: x
· an expert report: r
· a document emanating from the arbitral tribunal to parties: t
· other document emanating from the arbitral tribunal: g
· a document emanating from the arbitration institution: i
· any other document: m
- The character indicating the class of document will be followed by a number reflecting the order in which the document is introduced into this class (1, 2, 3 and so on in ascending order).
- If a single document is spread over more than one file, a further number will be added (1, 2, 3 etc.), preceded by a separator '_', to indicate which part of the document is contained in the file.
P7 Each participant transmitting more than one document shall create and transmit at the same time a file containing a table of contents that will include the names of all files transmitted and a short description thereof.2 Unless all participants have agreed on a different procedure (G12) or the arbitral tribunal issues other directions, no participant will be required to include with the files any additional description and/or information to help categorize or itemize the information contained in the file. Nevertheless, participants are free to agree on reasonable additional descriptions to enhance the overall efficiency of the process.
P8 Any participant who has submitted files in electronic form shall ensure that the physical originals from which the electronic copies have been made are available throughout the arbitration and, to the extent required by any rules or other applicable law, for a subsequent period.3
P9 Extended file sharing: if the participants wish to collaborate by sharing certain files with structured information (e.g. Excel, or customized databases containing additional information on documents), the Technically Responsible Persons identified in the Standards Initiation Forms shall informally establish contact as early as practicable to identify the technical requirements and necessary steps and shall make any reasonable good-faith effort that may be necessary to overcome compatibility issues.
P10 Once the Technically Responsible Persons have resolved all relevant technical issues and specific procedures for the sharing of files containing structured information, they shall jointly prepare a supplementary protocol recording the outcome (pursuant to G12). This protocol will be submitted to the legal representatives of the parties and the arbitral tribunal for approval.[Page82:]
P11 As soon as the protocol described in P10 has been approved and the participants have received notice of such approval, the scheme recorded in the supplementary protocol will be implemented.
P12 Exchange of files and hard copies - Default: Unless the parties have agreed on another procedure, such as section 3 of the Standards, or the arbitral tribunal has issued other directions, each participant should submit with the paper copies of its written submissions and exhibits a CD or (if agreed) DVD on which these documents are stored, as set forth in P5-P7. All participants shall receive the CD/DVD regardless of whether they have agreed to implementation of the Standards.
P13 Exchange of file copies only - Option: The participants or some of the participants may opt to receive all or some categories of documents in electronic form only, with the exception of arbitral awards and other decisions to be enforced.
This option should be exercised with caution:4 an agreement should be produced in writing in a physical document and signed by the participant(s) wishing to exercise this option (G12).
This option may be applied to the receipt of files on CD/DVD in accordance with this section 2 and section 3 or pursuant to section 3 only.
P14 Each participant shall promptly verify that the files stored on the CD/DVD or received otherwise can be opened, are machine-readable and conform to the requirements of section 2. If files are damaged, non-conforming or illegible when displayed or printed (garbled characters, etc.), the receiving participant will promptly issue a notice in accordance with G8. The party that has created the CD/DVD or files shall promptly address the problem and provide the recipient(s) with a CD/DVD or files that conform within seven working days of the notice.
P15 Throughout the arbitration, each participant shall use reasonable efforts to maintain its own files and those it has received so that they are not corrupted, damaged or destroyed. Back-up copies of these files (whether electronic, printed or both) should be stored in a secure place.
P16 If data loss occurs and the affected participant cannot itself reconstitute the lost electronic documents, the other participants shall help to reconstitute the electronic file(s) by providing copies of the pertinent files that they control.
Section 3 - Electronic communications ('E')
E1 Electronic communications shall be made through the Internet by normal e-mail and/or through a dedicated web site accessible via the World Wide Web using a browser such as Internet Explorer, Netscape or their equivalents.[Page83:]
E2 Each participant shall promptly inform the other participants by e-mail or, if e-mail is unavailable, by any other expedient means of communication of any change to its valid e-mail, internet address (URL) and/or IP-address, or of any other technical change under its control that might disrupt or impede the implementation of this section. Incidents shall be reported in accordance with G8.
E3 This subsection 3.2 shall apply whenever the participants have decided to use e-mail for communication.
E4 Unless all participants have agreed on a different procedure (G12) or the arbitral tribunal directs otherwise, each participant may use e-mail communications (with or without attachments), to be sent to the e-mail addresses indicated in the Standards Initiation Form.
E5 Each participant shall maintain at all times during the arbitration and for a reasonable period thereafter a full electronic and printed record of the e-mails sent and received under the Standards.
E6 Each participant shall manually reply to each e-mail received, in order to confirm receipt. The reply should contain the full text (without attachments) of the received e-mail. No reply needs to be sent to a message that is a merely a reply sent as an acknowledgement of receipt of another message.
E7 A participant who sends an e-mail ('the sender') shall check or have checked on a regular basis (at least every other public working day) whether the required acknowledgements have been received. In the event of a delay of more than two working days, the sender shall issue a notice in accordance with G8.
E8 Throughout the period during which the Standards are being used in the arbitration, all participants shall check their mailboxes for inbound messages at least once every other public working day. If a set period of time for the communication of an e-mail has elapsed without the mail having been received, or if a participant learns through other means that an e-mail has been addressed to it and not received, it shall issue a notice in accordance with G8.
E9 Upon receiving a G8 notice, the sender shall promptly re-send the e-mail to the intended recipient via e-mail and/or other reliable means (such as fax or courier) and take the steps that are necessary to cure the incident and to prevent its recurrence.
E10 Unless agreed otherwise in accordance with G12, the body of any e-mail sent under the Standards shall be in plain ASCII text and not HTML or another format. It shall include a clear reference to the case, the date on which it was sent, and the [Page84:] name and postal address of the sender. File attachments shall be itemized in the body of the e-mail.
E11 Any file attached to an e-mail shall conform to section 2 of the Standards, unless otherwise agreed by the participants (G12) or provided in the applicable rules of arbitration or in procedural directions issued by the arbitral tribunal.
E12 Each participant shall ensure that all e-mails received (i.e. in the participant's mailbox) and their file attachments are promptly opened when the mailbox is checked at least every other public working day (E8). If the body of the message is illegible (garbled characters, etc.) and/or a file attachment cannot be opened and/or the content of the message is damaged and/or illegible, the participant shall promptly issue a G8 notice. E9 will apply.
E13 If participants wish to use encryption and/or electronic signatures to protect confidentiality and authenticity, the Technically Responsible Persons identified in the Standards Initiation Forms shall establish contact as early as practicable to identify the technical requirements and necessary steps. They shall make a reasonable good-faith effort to overcome compatibility issues and shall safely exchange public keys and/or certificates required for the implementation of a scheme for encryption and electronic signature.
E14 When the Technically Responsible Persons have resolved all technical issues and specific procedures for encryption and/or electronic signature, they shall jointly draw up a supplementary protocol recording the outcome. This supplementary protocol shall be submitted to the legal representatives of the participants for approval (G12).
E15 As soon as the protocol described in E14 has been approved, all further electronic communications shall use the encryption/electronic signature scheme recorded in the protocol.
E16 If a participant insists on encrypted electronic communications and/or electronic signatures, failure to obtain an approved protocol (E14) shall be deemed an insurmountable obstacle to the use of electronic communications, unless the arbitral tribunal finds that, under an agreement, applicable procedural rules or any procedural directions issued by it, encrypted electronic communications and/or electronic signatures are not reasonably necessary in the circumstances of the particular arbitration and given the nature of the electronic communications that are anticipated in connection with the arbitration. If the failure is insurmountable, the arbitral tribunal should issue appropriate directions in light of the facts and circumstances presented.
E17 This subsection 3.3 will apply whenever the participants have decided to use a web site (virtual case/data-room) for communication.[Page85:]
E18 Unless all participants have agreed on a different procedure or the arbitral tribunal directs otherwise, the web site shall be hosted by a neutral entity under the control of all the parties or, preferably, the arbitral tribunal or the arbitration institution. The host should create records of any access, upload and download by any participant and maintain them and make them accessible to any party throughout the arbitration and thereafter for a period to be determined. Access to the web site shall be protected by requiring user identification and password.
E19 If participants wish to use a web site for communication, the Technically Responsible Persons identified in each participant's Standards Initiation Form shall establish contact as early as practicable to identify the technical requirements and required steps. They shall make a reasonable good-faith effort to overcome compatibility issues. In consultation with the parties and the arbitral tribunal, they shall identify the appropriate host/service-provider and prepare arrangements with this entity.
E20 Once the Technologically Responsible Persons have resolved all relevant technical issues and specific procedures referred to in E19, they shall jointly prepare a supplementary protocol recording the outcome, to which any standard procedures or rules issued by the host concerning use of the web site shall be attached (G12). This supplementary protocol shall be submitted to the legal representatives of the parties and the arbitrators for approval.
E21 As soon as the supplementary protocol described in E20 has been approved, all further electronic communications shall implement the scheme recorded in the supplementary protocol.
E22 Failure to obtain an approved supplementary protocol (E20) shall be deemed an insurmountable obstacle to the use of a web site for communication, unless the arbitral tribunal finds that, under an agreement, applicable procedural rules or any procedural directions issued by it, the failure is irrelevant and may be overlooked. If the failure is insurmountable, the tribunal should issue appropriate directions in light of the facts and circumstances presented.
E23 Unless all participants have agreed on a different procedure (G12/E19) or the arbitral tribunal directs otherwise, each participant may effect communications with or without attachments by uploading them to the web site(s) indicated in the Standards Initiation Form.
E24 Throughout the period during which the Standards are being used in the arbitration, all participants shall check the web site for new messages and files at least once every other public business day. If a period of time for the posting of a message or file on the web site has elapsed and the expected information cannot be found there, the participant shall issue a G8 notice.[Page86:]
V1 This section 4 will apply whenever the participants have decided to use videoconferencing, unless all participants have agreed on a different procedure or the arbitral tribunal directs otherwise.
V2 The arbitral tribunal, in consultation with the parties, will issue directions giving details for the videoconference, such as:
(i) day and hour and applicable time zone;
(ii) places where a videoconference front-end is required;
(iii) who shall participate and number of persons at each front-end;
(iv) special requirements, such as visualization of documents;
(v) any other requirements.
These directions should be issued a reasonable time in advance of the scheduled conference date.
V3 The procedural directions issued under V2 shall be referred to the respective Technologically Responsible Persons identified in the Standards Initiation Forms, who will informally establish contact as early as practicable to identify the technical requirements and necessary steps. The issues to be addressed shall include, inter alia:
(i) whether the parties possess the required technical resources to set up the necessary videoconference front-ends and the capability to set up and manage a point-to-point or multicast videoconference of good quality, or whether service providers must be contacted;
(ii) costs of videoconferencing and their (provisional) allocation;
(iii) whether there are any additional requirements and, if so, how to meet them.
The Technologically Responsible Persons will make a reasonable good-faith effort to overcome compatibility issues.
V4 Once the Technologically Responsible Persons have resolved all relevant technical issues and specific procedures for the videoconference, they shall jointly draw up a protocol recording the outcome. This protocol shall be submitted to counsel and the arbitrators for consideration and, if necessary, approval. The arbitral tribunal may, in consultation with the parties, refer the protocol back for modifications or improvements.
V5 As soon as the protocol described in V4 has been approved, the scheme recorded in the protocol shall be implemented. Implementation shall include an appropriate test before the scheduled date.
V6 Any disruption or malfunction shall be directly reported to the arbitral tribunal (by way of a G8 notice), which will oversee implementation and issue directions in consultation with the parties.[Page87:]
A1 This section 5 will apply whenever the participants have decided to use audioconferencing, unless all participants have agreed on a different procedure or the arbitral tribunal directs otherwise.
A2 The arbitral tribunal, in consultation with the parties, will issue directions giving details for the audioconference, such as:
(ii) whether participants have to dial in or will be called, and all information needed in this regard (e.g. dial-in number and access code)
(iii) who will participate;
(iv) number of persons at each front-end;
(v) special requirements, such as availability of documents at each front-end;
(vi) any other requirement.
A3 Each participant shall assure that he/she is reachable at the time indicated and that lines are not busy. In the event of a dial-in conference, she/he shall punctually connect to the conference.
A4 Unless agreed otherwise, the sole arbitrator or chairman of the tribunal will direct the conference and verify at the beginning of the conference that each participant is connected. Each participant shall mention his/her name before making a statement. A participant shall not be interrupted while making a statement. No participant shall disconnect before the conference is declared closed.
A5 If, during the conference, a participant is unable to understand what is being said for technical reasons (interferences, garbled sound, etc.), or if his/her connection to the conference breaks down, he/she shall immediately notify the sole arbitrator/chairman by all appropriate means (e.g. telephone, e-mail, fax) and indicate the moment at which the disruption occurred. The sole arbitrator/chairman will give appropriate directions in light of the facts and circumstances.[Page88:]
Standards Initiation Form
Case ref. Our ref.
From: Date:
Via fax/e-mail/confirmation by post to:
1)
2)
3)
4)
5)
6)
A) This Standards Initiation Form is provided on behalf of: (hereinafter referred to as 'we')
Full name of participant
Name of person
Street
City, ZIP
Country
Telephone
Facsimile
e-mail
B) The other entities concerned that will receive this form are identified in Attachment 1 consisting of ____ pages (total).
C) Until further notice, we designate as Technically Responsible Person (technical contact - Standards, section 1, G10):
Name of Technically Responsible Person
[Page89:]
We propose to implement the Standards in regard to section 1 (G) thereof and/or
? Section 2 - Paperless files (P) ? tick box, if NOT applicable
and/or
? Section 3 - Electronic communications (E) ? tick box, if NOT applicable
? Section 4 - Videoconferences (V) ? tick box, IF applicable
? the customized conventions and procedures (see Standards G12) as set forth in Attachment 2 hereto ? tick box, IF applicable
A) We propose to implement the Standards in regard to section 2 thereof by using (any of) the file format(s) indicated below:
Typical recommendable formats:
'pdf': Portable Document Format, a proprietary format developed by Adobe Systems, Inc., which allows formatted documents to be transferred so as to appear identically on any computer (file type: binary).
'tiff': a high-resolution image format, which could be described as a digital photocopy (file type: binary).
'zip': a standard compression format, which may be used for any of the file formats listed.
*.pdf ? tick box, if NOT applicable
*.tiff ? tick box, if NOT applicable
*.zip ? tick box, if NOT applicable
Other formats:
'xml': eXtensible Markup Language.
'doc' : a common PC format for formatted text files (filetype: ASCII; usually MS-Word).
'rtf': Rich Text Format allowing portability (type: ASCII).
'xls': MS Excel spreadsheet format.
'pps/ppt': file formats used by MS PowerPoint for presentations.
'txt': plain (ASCII) text file format.
'html/htm': HyperText Markup Language, in which Web documents are generated (file type: ASCII).
'mpeg/mp3': compressed sound/video formats.
'avi': video file format.
For information on other formats see <http://www.learnthenet.com/english/html/34filext.htm>.
XML ? tick box, IF applicable
*.doc ? tick box, IF applicable
*.rtf ? tick box, IF applicable
*.xls ? tick box, IF applicable
*.ppt ? tick box, IF applicable
*.txt ? tick box, IF applicable
[Page90:]
*.htm (html) ? tick box, IF applicable
*.mpeg / *.mp3 ? tick box, IF applicable
*.avi ? tick box, IF applicable
*.<other> ? tick box, IF applicable
(attach sheet listing these formats)
NOTE: Failure to agree on at least one format for a specific use in the Standards Initiation Form(s) - see Standards G7 - makes file sharing and exchange impossible and constitutes an insurmountable obstacle.
B) We process the file formats proposed above with the following software:
Name of software Version number e.g. Open Office, WordPerfect, Word for Windows, e.g. 1.0.1, 2002, 5.0 Adobe Acrobat
___________________________________________________ ___________________________________________________
1
2
3
4
5
NOTE: While interoperability normally will work if the same file formats are used, problems may sometimes occur if one participant uses older software than was used to create the file. This may even occur between older and newer versions of the same software brand. The information required above will help to prevent or detect this problem. It will be sufficient to indicate the software that will normally be used in relation to the case. It is not necessary to provide a full list of all available software.
C) Files containing text (ASCII files) produced by our word processors will use the following fonts and font subsets:
Fonts Font subsets Font sizes e.g. Times New Roman, Arial, e.g. ISO 8859-3 Latin 3, e.g. 6, 10, 11, 12, 16, 24 pt Courier New ANSI - Latin I
___________________________________________________ ___________________________________________________ ___________________________________________________
NOTE: Interoperability will work if the font sets used are installed on your computer. If you use a font that other participants rarely use and therefore have not installed on their computers, your computer's automatic font substitution may lead to the display and printing of garbled text. Depending on your computer's font regional settings, the font subset to which the file's font belongs may be different from that installed on your computer, which may lead to similar difficulties. (If your computer uses Windows, you can find the required information in your system control panel under regional and language options.) The information requested above will help to prevent or detect the problem.[Page91:]
A We confirm that for implementation of the sections of the Standards identified in section II above we have at our disposal the IT resources and capabilities indicated below and are willing to maintain their availability throughout the arbitral proceedings. We will inform you of any change that may affect interoperability and/or compatibility.
B To enable you to assess your and our IT resources with a view to ensuring interoperability and/or compatibility, we provide you with the following information on the IT resources and capabilities that are at our disposal for this matter:
B.1 Computers
[Page92:]
B.2 Network connectivity
B.3 Other software
[Page93:]
B.4 Electronic signature & encryption (Optional - complete if use is desired.)
We currently have at our disposal the above IT resources allowing e-mails and files to be sent via the Internet and will maintain access to these resources throughout the arbitral proceedings for which we are initiating the implementation of the Standards.
? tick box, if NOT applicable
Note: If you do not have a fast Internet connection and an e-mail account that allows you to receive files exceeding a certain size, then you may be unable to receive and send file attachments as would be required if using communication via the Internet. In this event, it may still be possible to exchange files by storing them on CD or DVD and sending them by post or courier service. If you cannot write files on a CD or DVD either, exchange of electronic files will not be a workable option for you.[Page94:]
B.5 Videoconferencing equipment (This is optional and may be dealt with if and when a videoconference is scheduled.)
We currently have at our disposal the videoconferencing equipment and required communication bandwidth and will maintain access to these throughout the arbitral proceedings for which we are initiating the implementation of the Standards.
? tick box, IF applicable
Issued on ............................ By ............................................
[Page95:]
Particulars of other entities
(a) Full name:
Full address:
Telephone:
Fax: e-mail:
(b) Full name:
(c) Full name:
Full address: Telephone:
Fax: e-mail: (Add separate sheet for additional parties, if required.) [Page96:]
Specify sections and/or paragraphs of the Standards concerned.
Mention any point upon which it would be helpful to agree in order to enhance ease of use and interoperability (e.g. use of special character sets and fonts so as to ensure that accented characters such as ä, è and ñ can be displayed everywhere as intended).[Page97:]
Standards Incident Form
From: Date: Time:
A. The incident was detected on ……………. (dd/mm/yyyy) at …………..( hour) by …………….………………… (name).
B. The incident relates to the implementation of the following sections of the Standards.
Tick box below where applicable.
- Section 1 ?
- Section 2 ?
- Section 3 ?
- Section 4 ?
C. We are of the view that the incident originated as a result of (specify software/hardware)
controlled by (specify entity concerned and system identifier, if applicable)
D. The incident can be described as follows (Describe as precisely as you can. If applicable, state login identification. Also state whether incident is reproducible. Use extra sheet, if necessary.):
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E. We believe that the incident may/may not (delete whichever is not applicable) be cured as follows (Describe as precisely as you can. Use extra sheet, if necessary.):
F. We suggest proceeding as follows (e.g. telephone conference, referral to arbitrator. Describe your suggested way of proceeding as precisely as possible. Use extra sheet, if necessary.):
(signature)