By: Olawumi Odeyinka- Apantaku, LLM, BL, LLB
Legal Officer (Research & Registry) NICArb
Introduction
In arbitral proceedings, there are basically two ways by which a party is made aware of the
case against him or the defense to the allegations he has made against the other party. 1 These
are (a) traditional pleadings and (b) statement of case. Traditional pleading is the more formal
approach and it is akin to pleadings which are used in court proceedings while statement of
case is essentially narrative in form.
In almost all international and domestic arbitration, once an arbitral tribunal has been
appointed and the procedure to be followed has been laid down, the next step would be for
the parties to exchange some form of written submissions, 2 and usually, this would be
traditional pleadings or statement of case.
Meaning of Pleadings
Ashaolu, Oduwole & Olabisi 3 offer a more general definition of pleadings as “a general word
for summary written statement of facts upon which each party, claimant and respondent,
seeks to rely in making his case”.
Functions of Pleadings in Arbitration
Pleadings in arbitration serve a variety of purposes, some of which are as follows:
(1) Pleadings help to define the issues in dispute between the parties.
(2) Pleadings in arbitration help to identify the scope of the arbitral tribunal’s mandate. 4
(3) Pleadings help the arbitral tribunal devise an appropriate procedural structure. 5
(4) Pleadings help to identify facts and arguments in support of parties’ positions. 6 It
should be noted that is possible in arbitration if its contents include a full argument on
issues of fact and law.
(5) Pleadings prevent the springing of surprises on the other party and enables that party
prepare adequately to meet the case against him. They serve as notice to the other
party as regards what to expect.
(6) Pleadings guide an arbitral tribunal in making its award as its award must be guided
by the issues in dispute as raised in the pleadings. If an award is not based on a matter
in dispute, it runs the risk of being set aside if challenged for being outside the
jurisdiction of the arbitral tribunal.
Contents of Pleadings
The contents of pleadings in arbitration will be guided by the purpose for which the pleadings
are meant. The arbitral tribunal ought to make clear to the parties the form of written
submissions to make. With this understanding of what is needed, the parties then prepare
their written submissions in line with the need. This will prevent delay occasioned by
inadequate pleadings. Usually, pleadings will contain the following:
(1) Particulars of the parties;
(2) Material facts necessary to establish each party’s claim or defence;
(3) Arguments on issues of facts and law; and
(4) Reliefs sought.
Types of Pleadings
(1) Points of Claim and Points of Defence
(2) Statement of Claim and Statement of Defence
(3) Reply
(4) Counter-claim
(5) Set off
(6) Reply to Counter-claim
Conclusion
Pleadings play an important role in the arbitral process, just as it does in litigation. Indeed,
there are many similarities between pleadings in arbitration and pleadings in litigation.
However, the rules that guide pleadings in arbitration are not as stringent as the rules that
guide pleadings in litigation. For instance, pleadings in arbitration can contain issues of law,
but this is not so in litigation. The reason for this is not farfetched. Arbitration is more
flexible in nature and approach, and not as technical as litigation.
References
1 International Centre for Arbitration and Mediation, Abuja (ICAMA) in collaboration with Chartered Institute of
Arbitrators (UK) (CIArb UK), Entry Course Handbook, 2016, p. 76
2 Blackaby, N and Partasides, C (Eds.): Redfern and Hunter, Law and Practice of International Commercial
Arbitration, Thomson, Sweet and Maxwell, London, 4 th Ed., 2004, p. 343.
3 Ashaolu, Oduwole & Olabisi, Commercial Arbitration and Conciliation In Nigeria, Law, Practice & Procedure,
Velma Publishers, Abuja, 2012, p. 150
4 Blackaby, N and Partasides, C (Eds.): Redfern and Hunter, Law and Practice of International Commercial
Arbitration, Thomson, Sweet and Maxwell, London, 4 th Ed., 2004, p. 344.
5 Ibid.
6 Ibid.
