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Additional Procedural Rules

Appendix A : CHECK LIST FOR SUBMISSION


Statements of Case and Response to (SOC and RSOC) shall clearly state the scope and nature of the
dispute and specify the time claimed and/or the time extension requested or what other relief is sought.
The contractual justification for the claim (referring Party) or defence (responding Party) should be stated
together with the reasoning as to why the other party's case (as far as it is known at the time) is incorrect.
The SOC and RSOC should be stand-alone documents and therefore contain all documentation upon
which a party relies. If possible, a 'common bundle' of exhibits should be prepared jointly by the Parties for
submission to the DB. The SOC and RSOC can then refer to exhibits in the common bundle. Where this is
not possible, separate bundles should be prepared but, to save duplication of documentation, there is no
reason why the RSOC cannot refer to documents appended to the SOC.
In particular the SOC and the RSOC should set out the following:
1.

All claims made under the terms of the Contract, identifying in each case the terms relied upon and
the nature and amount of the claim(s);

2.

All claims made for damages for breach of the Contract identifying in each case the term(s) breached
and the nature and amount of the claim (s);

3.

All other monetary or other claims made, setting out in each case the basis of the legal entitlement
thereto and the nature and amount of the claim(s);

4.

The Statements of Case shall identify the claim explaining the basis of any calculations and showing
precisely how that claim is calculated;

5.

If and to the extent that the claim is based upon measurement and valuation of the works carried out,
the sum claimed in respect of each measured item and each other head of the claim shall be set out
individually, showing how it is calculated;

6.

To the extent that additional sums are claimed in respect of variations, prolongation or disruption,
those variations and prolonging and disrupting events shall be identified and (in the case of
variations) the sums claimed for each shall be separately identified;

7.

If and to the extent that the claim is based upon "cost", the cost claimed shall be fully itemised and
any uplift sought in respect of overheads and/or profit shall be identified;

8.

The narrative of the claim(s) shall be set out in the body of the Statement of Case (SOC), and
supporting details and calculations shall be set out in Appendices;

9.

The Statements of Case shall contain a summary of that Party's evidence and shall address all matters
known by that Party to be in issue between the Parties in the referral;

10. The Statements of Case shall include a list of the documents which are relied upon and shall contain
copies of the Experts Reports, if any;
11. All material facts upon which a Party intends to rely must be contained in the Statement of Case
(SOC) and in the Response to the Statement of Case (RSOC) respectively;
5.

Procedure for the referral of a matter to the Dispute Board for an opinion
5.1

The parties must jointly refer a matter to the DB for an opinion. A unilateral referral is not
allowed.

5.2

Referrals for an opinion are normally made on a documents-only basis.

5.3

Due to the nature of the procedure the parties are advised that submissions should be
short and limited in content. Extensive supporting documentation should be avoided if at
all possible and should be limited to that which has a direct and specific bearing on the
referral.

5.4

The request for an opinion should take the form shown in Appendix B.

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