Waiver of Claim in Arbitration Proceedings: 2021 Sample

Essence and legal grounds for refusal

The plaintiff has the right to terminate the resolution of the dispute in court by withdrawing the statement of claim. Also, the victim may not waive all claims, but only some of them. In this case, the court will continue to consider the case, but its proceedings will only move on to the remaining claims.

In appellate arbitration, a refusal can be made before the final decision is made (according to paragraph 2 of Article 49 of the Arbitration Procedure Code of the Russian Federation).

IMPORTANT - filing a refusal does not mean its acceptance by the court if it violates the rights of other parties to the process.

In what cases is it served?

A refusal can be filed for various reasons and circumstances that changed the plaintiff’s opinion or attitude during the consideration of the case. The main waivers are if:

1. The defendant voluntarily settled all claims.
2. Circumstances changed during the judicial investigation - new facts were discovered, the plaintiff’s demands lost their relevance or became unfounded.

Actions of the court upon receipt

Having received from the plaintiff a withdrawn statement or an oral petition for refusal, the court must note this fact in the protocol and do the following:

• begins its consideration;
• the legality of the grounds is determined;
• absence of violations of the interests of third parties if it is adopted;
• after examining the petition or application, the court makes a decision to accept or reject the claim of the party to the proceeding.

When the refusal is submitted by a representative, the bailiffs must check the indication and the existence of the power of attorney.

Refund of state duty

In case of refusal of the claim of the arbitration process, the state fee is returned to the plaintiff, unless the refusal was caused by the satisfaction of the demands of the defendant. It is possible to collect a state fee in the case where the defendant satisfied the requirements before the court staff accepted the petition for revocation, if one was received, but was not assigned for consideration.

REFERENCE – the state fee is collected by the bailiffs from the defendant.

In the practice of arbitration courts, lawyers are not interested in the reasons for filing a refusal, and in order to return the state fee, it is enough to go to court with the appropriate application/petition, as well as to obtain a determination and submit an application for the return of funds to the tax service department.

Collection of legal expenses in arbitration proceedings

If the defendant voluntarily satisfies the claims, the following shall be collected from him:

• court expenses;
• payment of state duty;
• expenses for a representative (service for drawing up a statement of claim), at the request of the plaintiff.

According to the explanations of the Supreme Arbitration Court of the Russian Federation, paragraph 6 of the Letter from the Presidium of the Supreme Arbitration Court of the Russian Federation on “On certain issues of the practice of applying Chapter 25.3 of the Tax Code of the Russian Federation” states that the applicant is requesting cancellation due to the fact that the defendant, after the ruling, satisfied the claim voluntarily. Then the arbitration court begins to recover from the defendant in favor of the plaintiff the costs incurred by the latter to pay the state duty.

Expert opinion

Kozlov Nikita Vladimirovich

Practitioner lawyer with 7 years of experience. Specialization: family law. Legal expert.

When the request for revocation is not justified by the voluntary nature of the fulfillment of obligations, then the state fee is returned, but other legal costs are not.

Simplified proceedings in the arbitration process: main disadvantages and pitfalls in the post-virus period

After the easing of restrictive measures to combat coronavirus infection, the load on arbitration courts will increase many times over. Due to those cases that remained unconsidered due to restrictions in the work of the courts, as well as due to the large flow of applications that will certainly be filed in the next few months.

One of the institutions that makes it possible to optimize legal proceedings is the procedure for simplified consideration of disputes, provided for by Chapter 29 of the Arbitration Procedural Code of the Russian Federation (hereinafter referred to as the Arbitration Procedure Code of the Russian Federation).

According to the Judicial Department of the Supreme Court of the Russian Federation, the number of cases considered through summary proceedings has been steadily growing over the past three years: in 2017 - 624,099 cases, in 2021 - 633,536 cases, in 2021 - 670,671 cases.

This procedure has a number of advantages: shortened dispute resolution period; consideration of the case without calling the parties; there is no preliminary hearing; the court decision is subject to immediate execution; The court decision comes into force after 15 days from the date of its adoption, unless an appeal is filed.

At the same time, there are a number of risks that, unfortunately, neutralize the positive things that were originally built into this procedural institution. During the existence of this procedure, many lawyers have encountered the fact that it does not always bring the results that they would like.

The main risks that need to be taken into account include:

1. The court, solely on its own initiative, determines the order in which the case will be considered

When accepting a statement of claim, the court decides whether the case belongs to the categories of cases that are considered under simplified proceedings (parts 1 and 2 of Article 227 of the Arbitration Procedure Code of the Russian Federation).

Resolution of the Plenum of the Supreme Court of the Russian Federation dated 04/18/2017 N 10 “On some issues of the application by courts of the provisions of the Civil Procedure Code of the Russian Federation and the Arbitration Procedure Code of the Russian Federation on simplified proceedings” (hereinafter referred to as the Resolution of the Plenum of the Supreme Court of the Russian Federation dated 04/18/2017 N 10) specified, that the consent of the parties to consider this case in this manner is not required. Moreover, the indication of third parties in the statement of claim is not in itself an obstacle to its consideration in a simplified manner (clause 18).

Recommendations: If the trial is clearly controversial in nature, involves a large amount of evidence, which, in order to implement the legal strategy, must be presented to the court step by step and in a certain sequence, if the project involves or has the goal of direct interaction with the opponent, then to proceed to the consideration of the case on general rules of claim proceedings, it will be necessary to file a corresponding petition. This request must be substantiated.

In any case, in order to eliminate possible negative consequences, all lawyers today need to check whether there are grounds for the claim to be considered through summary proceedings. Based on this, the package of documents when going to court must be completely complete.

2. Shortened period for consideration of the case: no more than 2 months from the date of receipt of the statement of claim (application) to the arbitration court

Of course, simplified proceedings were introduced as a procedural structure back in 2012, in order to reduce the time required for consideration of cases. However, in the current situation, this may turn out to be a trap for the participants in the process.

The court sets two deadlines during which the parties can express their legal position and provide written evidence to support it:

• at least 15 days from the date of the ruling on acceptance of the statement (application) for proceedings - for the presentation of evidence and response to the statement of claim (application) by the defendant or other interested person;
• at least 30 days from the date of the ruling on accepting the statement of claim (application) for proceedings or the ruling on moving to consideration of the case in a simplified proceeding - to submit additional documents containing explanations on the merits of the stated requirements and objections in support of one’s position. Such documents must not contain references to evidence that was not disclosed within the time limit established by the court.

When setting deadlines for the submission of evidence, written explanations and objections, the court must be reasonable and take into account the time for delivery of postal correspondence and the general period for consideration of the case in summary proceedings (clause 22 of the Resolution of the Plenum of the Supreme Court of the Russian Federation dated April 18, 2017 N 10). However, this “reasonableness” in any case will be limited by the periods indicated above (Article 228 of the Arbitration Procedure Code of the Russian Federation).

Thus, the parties need to substantiate their position on the case and prepare the evidence base as soon as possible and exclusively in writing . In practice, the parties to a case are not always able to respond in a timely manner to the evidence presented by the opposing side. It must be borne in mind that the above deadlines are provided, among other things, in order to send the specified documents to the opposite party. If this obligation is not fulfilled, the relevant evidence is not accepted by the court and is subject to return, about which a ruling is made.

Recommendation: if the deadline established for the submission of procedural documents and evidence in the case is still missed by a party, it is possible to correct the current situation by sending the documents to the court before making a decision on the case and justifying the impossibility of submitting these documents within the deadline established by the court for reasons not depending on the submitter (Part 4 of Article 228 of the Arbitration Procedure Code of the Russian Federation).

The situation becomes especially unfavorable when the principal has problems receiving correspondence. This becomes an obstacle to effective support of the dispute, since simultaneously with the court’s decision to accept the statement of claim (application) for production and consideration of the case in a simplified proceeding, the parties are sent the data necessary to identify the parties in order to access the case materials in electronic form (Part. 2, Article 228 of the Arbitration Procedure Code of the Russian Federation).

This is what allows you to quickly track information on the case and timely gain access to documents presented by your opponent. If for some reason the specified determination was not received (and its storage period in the mail is only 7 days), the code can only be found out by directly familiarizing yourself with the case materials, which will take considerable time. In practice, unfortunately, such situations arise quite often. Many legal practitioners encounter this and try to find out the corresponding code from the assistant judge over the phone (not always to no avail), but it is prohibited to officially provide this information in this way. Therefore, it is unreasonable to rely on this method.

Recommendation: simultaneously with filing a statement of claim (application), which can be considered through summary proceedings, it makes sense to file a petition to send all correspondence regarding the case to the representative (if the principal has difficulties in this matter). The specified petition must be clearly highlighted in the text of the statement of claim (application or response) or must be drawn up as a separate document.

There is one more point. Despite the fact that the procedure under consideration involves precisely “simplifying” the judicial process, the judge may invite the parties to submit original documents. The court indicates this in the ruling on accepting the statement of claim for proceedings and considering the case in a simplified procedure. This in no way makes participation in the process any easier, since in this case the relevant party must submit to the court the originals of important documents, including primary documents, by mail or through the court office. Subsequently, the party will have to make additional efforts to obtain these documents back.

Recommendation: in order to minimize the possibility of such a request from the court, it makes sense to submit or duplicate a package of documents on paper. In this case, all copies of documents must be properly certified.

3. The case is considered under simplified proceedings without calling the parties ( clause 5 of Article 228 of the Arbitration Procedure Code of the Russian Federation)

This risk is closely related to the shortened processing time for the case.

The lack of verbal communication and short deadlines for submitting documents can be considered as an advantage only if we are talking about the passive position of the opponent. When there is an active legal procedural position on his part, the conduct of the case becomes more complicated, since there is a need to clearly and quickly respond to the presentation of procedural documents and evidence by the other party.

This can create serious problems if the controversial situation has existed for a long time, there is long-term and varied business correspondence, a large volume of primary documentation and other evidence in the case.

A significant problem is the fact that there is no opportunity to ask relevant questions to the opposing side. In addition, there is no way to assess the court’s position and predict the outcome of the case. The role of psychology in legal proceedings cannot be underestimated, and in this case, it will, unfortunately, be impossible to use this resource.

According to Part 2 of Art. 227 of the Arbitration Procedure Code of the Russian Federation, regardless of the cost of the claim, according to the rules of simplified proceedings, cases are considered on claims based on documents submitted by the plaintiff establishing the monetary obligations of the defendant, which are recognized by the defendant but not fulfilled, and (or) on documents confirming the debt under the contract.

This is a fairly large category of cases. And based on these provisions of the law, it is understood that such cases are essentially indisputable. However, in practice there are often cases when, as a result of considering such a dispute, the court makes a decision to refuse to satisfy the Claimant’s claims, citing insufficient evidence. There were many such examples when the courts were working as usual, and now, I am sure, their number will increase

When such situations arise, it is difficult to deny that the procedure for resolving disputes in a simplified manner limits the freedom of choice of persons participating in the case, procedural means of proving their position in the case, and the principle of adversarial arbitration process is not implemented.

Recommendation: if necessary, it makes sense to apply to the court with a reasoned request to proceed to consideration of the case according to the general rules of litigation. The grounds for this are provided for in Part 5 of Art. 227 Arbitration Procedure Code of the Russian Federation.

3. The transition to consideration of the case according to the rules of general claim proceedings depends entirely on the discretion of the court

An analysis of judicial practice shows that arbitration procedural legislation does not provide for the obligation of the court to proceed to the consideration of the case according to the general rules of claim proceedings , but only a right that is exercised if there are procedural grounds for this:

— Resolution of the Arbitration Court of the West Siberian District dated February 26, 2020 N F04-11/2020 in case N A27-16463/2019;

— Resolution of the Arbitration Court of the North Caucasus District dated 02/04/2020 N F08-10910/2019 in case N A63-4854/2019;

— Resolution of the Arbitration Court of the West Siberian District dated July 17, 2019 N F04-1938/2019 in case N A03-18152/2018;

— Resolution of the Arbitration Court of the West Siberian District dated July 31, 2019 N F04-3175/2019 in case N A70-18903/2018;

— Resolution of the Arbitration Court of the Central District dated November 27, 2018 N F10-5090/2018 in case N A62-2228/2018;

— Resolution of the Arbitration Court of the North-Western District dated April 2, 2018 N F07-2047/2018 in case N A56-47586/2017

- and etc.

Recommendation: in order to move from simplified proceedings to consideration of the case according to the general rules, it is necessary to submit a petition, which must be motivated (Part 5 of Article 227 of the Arbitration Procedure Code of the Russian Federation). The petition of a party to the dispute in itself does not constitute grounds for proceeding to consideration of the case according to the general rules of claim proceedings.

4. An appeal against the court’s refusal to transfer the consideration of a case from a simplified procedure to a general one is possible only when appealing a court decision on the merits.

According to the Ruling of the Supreme Court of the Russian Federation dated 07/05/2018 N 306-ES18-9499(2) in case N A12-42711/2017, “when returning the appeal against the Ruling of 12/20/2017, the courts were guided by the provisions of clause 2, part 1 of Art. 264 of the Arbitration Procedural Code of the Russian Federation and proceeded from the fact that the ruling refusing to satisfy the petition to proceed to consideration of the case according to the general rules of claim proceedings is not subject to appeal.”

5. A reasoned decision is made only upon the application of a party to the dispute

The decision on a case considered through summary proceedings is made by presenting the operative part. The court is obliged to make a reasoned decision in two cases: upon the application of a person participating in the case, or upon receipt of an appeal.

Persons participating in the case should be given an easily implemented opportunity to apply to the court to draw up a reasoned decision. Such ease and accessibility of the application is ensured by the period during which the application is submitted and the moment of calculation of its beginning.

An application for drawing up a reasoned decision of the arbitration court can be submitted within 5 days from the date of publication of the decision adopted in the simplified procedure on the official website of the arbitration court on the Internet.

It must be borne in mind that the court is not obliged to draw up a reasoned decision if an application for this is submitted before the operative part of the decision is made, and is contained, for example, in the text of the statement of claim/response to the statement of claim (clause 41 of the Resolution of the Plenum of the Supreme Court of the Russian Federation dated 04/18/2017 N 10).

Recommendation: If you are afraid of missing the deadline for filing an application for drawing up a reasoned decision, or if this deadline has already been missed, you must file an appeal within a period not exceeding 15 days from the date of adoption of the operative part of the decision. The complaint, of course, will be brief and incomplete, but on its basis the court will be obliged to make a reasoned decision. In this case, he will be forced to leave the complaint without progress and provide a period for eliminating the shortcomings (to provide reasons for disagreement with the decision in the complaint). This recommendation does not help speed up or optimize the process of considering a case, but it allows you to eliminate shortcomings in the work of a lawyer or overcome procedural violations on the part of the court.

6. To add additional evidence during an appeal of a judicial act in an appellate court, confirmation of the validity of the reasons for not presenting the said evidence in the court of first instance is not enough

Additional evidence in cases considered in summary proceedings is not accepted by the arbitration court of appeal, except in cases where, in accordance with the provisions of Part 6.1 of Art. 268 of the Arbitration Procedure Code of the Russian Federation, the arbitration court of appeal considers cases according to the rules established for the consideration of cases in the arbitration court of first instance.

It is necessary to clearly understand that additional evidence can be accepted by the appellate court only if the court proceeds to consider the case according to the rules for the consideration of cases in the arbitration court of first instance . If this transition did not occur, but the court accepted additional evidence from one of the parties, this will become an unconditional basis for canceling the judicial act.

In turn, to proceed to consideration of the case according to the rules of the court of first instance, the Arbitration Procedure Code of the Russian Federation provides for a narrow list of grounds:

— consideration of the case by an arbitration court in an illegal composition;

— violation of language rules when considering a case;

— adoption by the court of a decision on the rights and obligations of persons not involved in the case;

— failure to sign the decision by a judge or one of the judges if the case was considered by a collegial panel of judges, or signing of the decision by judges other than those indicated in the decision;

— violation of the rule on the secrecy of the meeting of judges when making a decision.

Warning: the admission of additional evidence in the case (which was not provided to the court of first instance) is of an exceptional nature and is closely related to the presence of gross procedural violations on the part of the court of first instance.

CONCLUSION: I believe that the participants in the process have a very high chance of encountering difficulties of a legal and organizational nature when considering cases through summary proceedings in conditions of a large shortage of time and the influx of court cases that is expected in the near future. To overcome possible problems, it is necessary to take into account all the positive and negative aspects of this procedural structure and not be deluded by the name “simplified proceedings”, since to a greater extent this procedure for resolving disputes is not aimed at simplifying the process, but at increasing the procedural responsibility of the parties.

Consequences of refusing a claim

The consequences of failure are represented by the following actions:

1. Termination of consideration of the case.
2. Reimbursement of legal costs.

Termination of court proceedings mostly concerns financial disputes. If the defendant, after initiating the case, independently pays off the claims and obligations to the applicant’s side, who has no claims left, further consideration of the case loses practical meaning.

The legal process is terminated when the plaintiff withdraws the statement of claim, and there must be no circumstances affecting and limiting the rights of the remaining participants in the process. Once the statement of claim is accepted, any claims against the defendant are released.

It is possible to draw up a waiver of a claim in the arbitration process if there are grounds that do not interfere with the law and do not affect the interests of third parties. The plaintiff, when filing an application, must remember the consequences and take them into account.

If the bailiff accepts the application, then under certain conditions it obliges the defendant to compensate the plaintiff for the costs incurred in legal proceedings.

Refusal of a claim in the arbitration process represents a partial or complete refusal by the plaintiff to protect his own rights in court. Thus, after its implementation, various unfavorable situations may arise for the plaintiff (for example, he is prohibited from repeatedly filing a similar claim against the first defendant in court again).

That is why experienced lawyers recommend carefully considering your desire to file an application to the court to return the statement of claim. After all, otherwise, you may lose the opportunity to further defend your position in court.

In what cases should you file a claim in arbitration court?

Arbitration courts hear cases of an economic nature. These institutions were created specifically to speed up the procedure and be able to attract judges with a narrower specialization. In addition to economic disputes involving entrepreneurs (individuals and legal entities), these courts also hear bankruptcy cases of individuals. At the same time, if you want to find a definition of an economic dispute, you will not be able to - the legislator has not given it.

Although arbitration courts are often called arbitrations, in essence they are not them. Arbitration is an arbitration court. It is not public, but private, and considers a narrower category of economic disputes - for example, an application for bankruptcy cannot be filed with an arbitration court.

So, on what issues can you file a claim in arbitration court? Here the jurisdiction is exclusive, which means that you can apply only to resolve those disputes that are defined by law. Cases directly within the competence of such courts:

• about bankruptcy;
• related to the creation, reorganization, liquidation of legal entities and individual entrepreneurs.
• disputes between participants of a legal entity and with the legal entity (corporate);
• related to the activities of depositories - persons who carry out activities to record rights to securities;
• related to the activities of state companies, state corporations, public companies;
• on the protection of intellectual rights - they are considered by a special court for intellectual rights (SIP);
• on the protection of business reputation.

In exceptional cases, claims can also be filed for other types of disputes. These include cases:

• on the establishment of legally significant facts in entrepreneurial activity - are considered not as a claim, but as a special proceeding;
• arising from administrative and other public legal relations in business activities - for example, disputes between entrepreneurs and the tax authorities;
• for the award of compensation for violation of reasonable deadlines for legal proceedings and execution of a court decision - compensatory proceedings;
• on assistance to arbitration courts.

If your claim contains several claims, at least one of which does not fall into the categories listed above, then the claims must be separated and considered in an arbitration court and a court of general jurisdiction separately. If it is not possible to separate them, they will all be considered by a court of general jurisdiction—there is no need to file for arbitration.

Legal basis, as well as the nature of the refusal

According to current legislation, in 2021, the plaintiff has the right to terminate the legal dispute by withdrawing his application. At the same time, the victim may waive either part of the stated claims or completely renounce the claim. In the first case, the court will continue to consider the case, however, only the remaining claims of the plaintiff will be examined further.

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According to paragraph 2 of Article 49 of the Arbitration Procedure Code of the Russian Federation, the plaintiff has the right to abandon the claim in the appellate arbitration court before the court makes a final decision.

Also, it is worth noting the fact that filing a refusal does not mean that the application will be accepted by the court, which may reject it if the rights of other parties to the trial are violated.

When to file an application to withdraw a claim

Refusal of a statement of claim can be carried out for various circumstances and reasons that arose during the consideration of the case or were revealed to the plaintiff during the process. At the same time, failures are considered major (that is, complete) if:

• the defendant paid off all claims voluntarily;
• During the trial, new facts or circumstances were discovered as a result of which the plaintiff’s demands became unfounded or lost their relevance.

In addition, in the arbitration process there are situations when the defendant “puts pressure” on the applicant or, after the start of the trial, a transaction is made as a result of which the owners of the defendant-legal entity are changed, which actually then comes under the control of the applicant himself.

What actions does the court take when receiving a document?

Having received from the injured party an oral request for refusal or a revocable statement, the court is obliged to record this fact in the protocol, and then take the following actions:

1. consider the application;
2. determine the legality of the grounds for refusal;
3. check whether interests are not violated when accepting the refusal of third parties;
4. after all the above actions, the court makes a decision to reject or accept the claims of the party to the proceeding.

If a representative submits a refusal, bailiffs are obliged to check whether the citizen has the appropriate power of attorney.

Most common requests

Practice shows that most often petitions are of the following types.

On termination of proceedings in a case of an administrative offense

This petition is usually sent in the following situations :

• signs of an offense have not been identified;
• the period for studying the case of an administrative offense has come to an end;
• the regulatory act on the basis of which the case was initiated was cancelled;
• the person involved has died (or the organization involved has been liquidated).

In addition, the authorized bodies have the right to terminate the case if it is insignificant.

The court will issue a reasoned ruling on whether to grant the petition or refuse it.

A sample application is available at this link.

On securing a claim

Often, unscrupulous defendants seek to hide disputed property, withdraw funds, and urgently transfer assets. They have time to do this while the trial is ongoing in court. To prevent such a situation, the plaintiff can file a motion to secure the claim, after which the court will take all necessary measures.

A sample document is available at this link.

On adjournment of the court hearing

If the plaintiff or defendant does not have the opportunity to participate in the meeting on the established date, then the interested person has the right to draw up a corresponding petition.

An application to postpone a court hearing may be made either orally (for example, when visiting an arbitration court) or in writing. As a result, the court hearing will not be held on the specified day. The court will set a date for the next hearing.

The reason for postponing the hearing may be the fact that the applicant needs to prepare additional evidence and submit it to the court. There are also other circumstances in which a case may be postponed.

An example of writing a petition is available at this link.

About the examination

Such a petition is sent in order to clarify issues that arise during the study of the case. These explanations require special knowledge. The arbitration court will order an examination at the request of a participant in the case or with the consent of the participants.

After accepting the petition, the court issues a ruling to conduct an examination.

A sample application form is posted here.

On requesting evidence

If a participant in a trial needs evidence that is in the possession of a specific person and does not have the opportunity to obtain it on his own, then he can request this evidence from the court in the form of a petition.

Typically, a similar problem arises if the requested documents contain information protected by law (information about loans, health status, materials of a criminal investigation).

Such a request will need to reflect:

• required evidence;
• circumstances significant to the case that can be established by missing evidence;
• reasons why it is not possible to obtain evidence;
• location of the evidence.

An approximate plan for drawing up a petition can be found at this link.

If the court makes a decision to satisfy the petition, then it will request evidence from the person who has it - for example, the judicial authority may issue a decision on the inclusion of documents.

On transferring the case to court at the defendant’s residential address

If the defendant, whose residential address was not known before, sends a petition to transfer the case to the arbitration court at his own place of residence, then the current judicial authority will satisfy this petition.
An example of drawing up a petition is available at this link.

About calling a witness

A witness can be any person who has information and circumstances that are important for making a fair decision by the arbitration court. In the process of testifying, he must indicate the source of information - otherwise his evidence will not be accepted by the court for consideration.

This request may be expressed either orally or in writing. An oral petition, if it was addressed to the court during the hearing, is recorded in the minutes.

If the testimony does not have legal significance because it is inadmissible, then the court will refuse to satisfy the petition.

A sample application form can be found at this link.

On consideration of a case in the absence of the plaintiff or defendant

A document on the consideration of a case in the absence of the defendant or applicant is usually sent to the arbitration court in the following circumstances :

• the person does not have the opportunity to be at the meeting, but does not want it to be postponed (for example, he is in another city);
• the person wishes to exclude the possibility of adjourning the meeting;
• the applicant saves time.

Thanks to this petition, the court examines the case materials and makes a decision without wasting time trying to find out the reasons for the participant’s absence or checking the notice. The petition will serve as evidence of the fact that the applicant does not plan to delay the judicial proceedings.

A sample application form is available at this link.

Attention! If the applicant has submitted such a petition, then he is deprived of the opportunity to challenge the court decision. A person will not be able to indicate the fact of his absence, since he refused to take part in it at his own discretion.

When is the state fee for refusal refunded?

If the refusal was not approved by the court, the plaintiff has the right to receive back the amount of the state duty that he paid. At the same time, the state fee can also be collected when the defendant satisfied the demands made by the plaintiff before the court accepted the petition for withdrawal, which was received but not scheduled for consideration.

The established state duty is collected exclusively from the defendant by bailiffs.

Expert opinion

Kozlov Nikita Vladimirovich

Practitioner lawyer with 7 years of experience. Specialization: family law. Legal expert.

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It is worth noting that in the practice of arbitration courts, lawyers do not care about the actual reasons for filing a refusal, and in order to return the state fee, they only need to submit a corresponding petition or application to the court, as well as to submit an application for submitting funds to the tax office.

The procedure for collecting legal expenses in arbitration proceedings

In case of voluntary satisfaction of the demands that were stated in the statement of claim, the defendant will have to pay:

1. state duty (in full);
2. all legal expenses;
3. financial expenses spent on a representative who helped draw up a statement of claim (according to the plaintiff).

Thus, in accordance with the provisions of the Supreme Arbitration Court of Russia, the applicant requests an annulment, due to the fact that after the ruling, all the stated claims in the claim were satisfied voluntarily. In this case, the arbitration court begins to recover in favor of the plaintiff from the defendant the costs incurred by the plaintiff to pay the state duty.

It is worth noting that in a situation where the request for revocation is not justified by the voluntary nature of the fulfillment of obligations, only the state fee is returned, but other legal expenses are not.

How to draw up a waiver of claim in arbitration proceedings - sample 2021

In order for the waiver of a claim in the arbitration process to be accepted by the court and considered by it, the document must contain the following information:

• the exact name of the judicial department where it will be transferred for consideration;
• case number and full name of the plaintiff;
• composition of the application;
• the requirement, supported by Article 49 of the Arbitration Procedure Code of the Russian Federation, to refuse further consideration of the dispute;
• the actual consequences of the revocation, as well as the termination of judicial review, in general;
• a list of additional documents (for example, a power of attorney);
• plaintiff's signature.

You can read the statements here

The court may not accept the application

There are several conditions due to which, if the plaintiff files a waiver of the claim, the court may reject the application. In particular:

1. The court will not approve the waiver of the claim and the settlement agreement of the parties if civil rights are violated or this decision is contrary to the law;
2. A refusal in the court of cassation is not accepted - a petition can only be sent to the courts of first and appellate instances.
3. The application was made with errors or was not in proper form.

The applicant must make a decision to withdraw claims against the defendant independently, without outside pressure. The appeal does not have to indicate the reasons for moving to a peace agreement, however, these provisions will simplify the decision on the current legal proceedings. If it is revealed that the person was forced to file the relevant application, the request may be rejected by the judge.

AIC Russia

Refusal of the APC claim is accepted by the arbitration court exclusively in writing; the paper records such parameters as:

• time and exact address, place of presentation;
• name of the court;
• also the subject of the basis and personal information of the parties to the proceedings;
• price of the submitted document;
• calculation of the recovered property;
• information about prescribed measures;
• list of documentation that is attached to the refusal.

An appeal against the APC gives the injured party the right to make adjustments to the basis and subject of the claim document before the act is adopted. Also, the completed APC form allows the plaintiff, before making a decision on the application, to refuse it or, on the contrary, to recognize it in full or in part.

A Russian appellate court may refuse to satisfy a victim's needs under Article 49 if:

• he abuses a constitutional right or hides facts in an open case;
• the claim was filed at the wrong time or infringes the rights of third parties.

Let's sum it up

A petition may be submitted regardless of the stage of the proceedings. The content of some requests is permitted only under certain circumstances. There are several ways to submit a petition - orally, electronically, during a personal visit to the court office or by mail.

The written petition will need to reflect the case number, the procedural position of the person applying, and the name of the judge. After receiving the petition, the judge reads it and either grants the applicant’s request or denies it.

Rules for preparing an application to clarify requirements

Preparation rules

When preparing an application to clarify the requirements, several important points must be taken into account:

• the document should begin with a list that lists all participants;
• Next, you should indicate the essence of the controversial issues that led to the court;
• clarify the circumstances that caused the need to make adjustments;
• for example, if the plaintiff decided to reduce the claims, he must justify them by reference to legislative acts or other documents that provide the possibility of such changes;
• subsequently, it is necessary to set out the new requirements in a list;
• specify applications.

The attached documents are signed by the plaintiff and his representative if the latter has the appropriate authority.

Sample application for clarification of requirements for a claim

Clarification to an administrative claim to the court - sample

Such a statement regarding clarification of an administrative claim to the court has a sample formed in any form, but it would not be superfluous to observe the literacy and logic of positions when drawing it up, then the judges will quickly consider it and complete the entire process.

What is the Arbitration Procedure Code of the Russian Federation? Waiver of a claim

To refuse a submitted petition in full or in part means to refuse to protect one’s own rights in the legal process. Refusing to satisfy the claim needs of the victim means that he will have to face a number of consequences, therefore it is necessary to refuse his submitted application only if there is a need for this, otherwise the applicant will be deprived of the opportunity to protect the violated right, relying on the powers of the judicial panel.

Appeal in the Code of Criminal Procedure (CPC)

The form in question is submitted by the applicant to arbitration if interest in finding a solution to the problem in court has been lost.

Important! When filing it with the court, the applicant must send copies of the appeal and accompanying documents to all participants in the legal proceedings in the form of a registered letter with mandatory notification of receipt of the package of papers for the current legal proceedings.

How to avoid possible problems?

It would seem that correctly filing a refusal of a previously filed petition is not difficult and does not require professional legal knowledge. In practice, everything looks far from so clear. First of all, from the point of view of the correctness of execution and timely submission of the document. Both issues require careful consideration, since failure to comply with legal requirements makes filing a refusal simply useless.

That is why it makes sense to take the help of professionals. For example, from the company Dignus. This approach to solving the problem simultaneously eliminates many potential problems - with the correctness of the document, the timeliness of its submission, with identifying the addressee of the application, etc. You should not skimp on the services of a professional lawyer if we are talking about really important issues and cases. Typically, such savings result in nothing more than additional costs.

What does the addition to the statement of claim contain?

The main reason for using additions to claims is the right of the participants in the problem under consideration to give explanations, present arguments, and also to express claims against the arguments of the other party.

In accordance with the provisions of Article 151 of the Civil Code of the Russian Federation, in cases where a citizen is harmed of a moral nature by actions that may violate his rights, the court may impose certain requirements on the defendant, according to which the latter will be obliged to pay the plaintiff certain monetary compensation.

Form for filling out a petition to terminate proceedings

Completed sample application

When filing an appeal to terminate claims, the representative must complete a document in accordance with the general rules of general jurisdiction, namely:

• indicate in the header of the document: the name and exact address of the arbitration court, personal information of the two parties and the number of the proceedings;
• in the descriptive section you should indicate: the name of the document, the scope of waiver of the initial requirements.

Attention! If the victim has decided to waive the initial requirements in part, then he must emphasize in which part the adjustment is being made, referring to the regulations of the legal document Article 49 of the APC.

Also, when choosing a partial amendment of the requirements, the victim is obliged to list the attachments that are submitted with the claim and provide a power of attorney in the event that the documentation is submitted by an authorized person and not by the applicant personally:

• circumstances confirming the need to file a claim;
• the total amount of the application, if it can be assessed;
• calculation of the recovered property from the defendant;
• information about the applicant’s correct compliance with pre-trial proceedings;
• conclusion on the measures taken to satisfy the claims before submitting the document;
• date and resolution.

The document under consideration can be submitted in several versions:

• a written application completed in your own hand;
• a form filled out through the automated platform of the arbitration court.

Important! When filling out an electronic application through the official website, the user of the system is required to sign the application with an enhanced qualified online resolution.

How can I improve my chances of winning by petitioning?

When preparing an appeal to a judge, you should proceed from the following: he considers dozens of cases every day; because of this, you have to read and view hundreds and thousands of pages of text; the nuances of each case are erased, he does not pay close attention to them, which can be fatal when making a decision.

For reference! As a rule, many judges have already developed some kind of consensus on similar issues. To change his point of view, it is necessary to pay attention to important details, special circumstances, and the significance of the issue.

To reverse the practice, it is necessary to pay attention to both the claim and the petition itself. Therefore, you need to draw up an appeal adhering to the following requirements:

1. Concise presentation of the text;
2. One paragraph flows logically into another;
3. Write in blocks, use lists, subheadings, highlighting important points - this allows you to use alternative reading, easily find key points, and pay attention to them;
4. When referring to any document in the file, you should clearly indicate where it is located - volume and page number. In 90% of cases, judges are convinced that this is a mandatory requirement for appeal;
5. You need to enter those norms that relate to the stated circumstances, conclusions and requests;
6. If calculations, diagrams, tables are required, they should be attached in addition to the application, without loading the main text.

It is important to know! To make the task easier for the judge, it is recommended to make the text light, convincing and simple. The same applies to claims and other statements.

An abundance of technical terms may flatter the drafter of an arbitration petition, but may complicate the communication of its meaning. And this negatively affects his satisfaction. Regarding the use of diagrams, figures and tables, this is also allowed in the text. It is especially acceptable to do this if the text of the petition is drawn up using the Minto pyramid.

Its main principle is that paragraphs with main points are shifted to the left, and with secondary ones - to the right. This type of writing prevents the monotony of the document; the main ideas are written first, they are always noticeable. Graphic elements in such text additionally draw the judge’s attention and allow them to focus attention on important points.

Sample statement of claim to the arbitration court

6. Copies of the decision of the Chairman of the Arbitration Court on accepting the statement of claim for the proceedings of the Arbitration Court and the appointment of an Arbitration Judge, as well as the decision of the appointed Arbitration Judge on accepting the case for his proceedings, are sent to the persons participating in the case no later than the next day after the day of its issuance.

1. statement of claim, 2. calculation of the principal debt, 3. calculation of interest, 4. power of attorney, or other documents confirming the authority of the person signing the statement of claim, 5. copies of documents confirming payment of the arbitration fee, 6.

extract from the applicant's personal account, 7. copies of the certificate of assignment of OGRN, TIN, 8. evidence of delivery to the defendant of the statement of claim and documents attached thereto9. a copy of the document containing the arbitration clause or a written agreement of the parties to submit the dispute to the arbitration court10.

documents indicating the name and surname of the judge elected by the plaintiff, or a request that the judge be appointed Chairman of the Arbitration Court; the plaintiff may nominate a substitute judge11. act of reconciliation of mutual settlements, 12. primary documents, 13. other evidence supporting the claims.

Preparing to send documents.

To submit documents using the “My Arbitrator” service, the applicant must have a confirmed account of an individual ESIA. You can read more about account registration and confirmation on the Official Internet Portal of Public Services (https://esia.gosuslugi.ru).

For some requests, it is necessary not only to have a confirmed ESIA record, but also to have the sender have an enhanced qualified electronic signature. Thus, only with the specified signature is it possible to send the following documents:

• application for securing evidence (part 3 of article 72 of the Arbitration Procedure Code of the Russian Federation);
• application for securing a claim (Article 92 of the Arbitration Procedure Code of the Russian Federation);
• statement on securing property interests (Article 99 of the Arbitration Procedure Code of the Russian Federation);
• application for ensuring the execution of a judicial act (Article 100 of the Arbitration Procedure Code of the Russian Federation);
• a petition to suspend the execution of a decision of a state body;
• local government body, other body, official (part 3 of article 199 of the Arbitration Procedure Code of the Russian Federation);
• a petition to suspend the execution of a court decision (part 1 of Article 2651, 283 of the Arbitration Procedure Code of the Russian Federation);
• statement of claim, statement, appeal, cassation complaint, containing a petition for interim measures (Part 1 of Article 125, 2651, 283 of the Arbitration Procedure Code of the Russian Federation).

Legal advice:

In the event that obtaining an enhanced qualified electronic signature is not suitable for the applicant for some reason (for example, documents need to be submitted urgently or there is no desire to pay for obtaining a signature), it is better to submit these documents in person or by mail

You can submit documents electronically either independently or through a representative. In the latter case, the powers of the representative must, in accordance with Part 2 of Article 62 of the Arbitration Procedure Code of the Russian Federation, be confirmed by a power of attorney, which must contain a reference to the authority to sign and send documents to the arbitration court.

Legal advice:
If documents are to be submitted as part of a bankruptcy case, the power of attorney must contain special powers in accordance with Article 36 of the Federal Law “On Insolvency (Bankruptcy)”.
In their absence, the court may refuse to accept the documents. If the powers of the applicant’s representative are not based on a power of attorney, but are available to him by force of law, documents must be attached to the form, from which it follows that the sender of the form has the appropriate status. For example, if the general director submits documents on behalf of a legal entity, he will need to add to the annexes a copy of an extract from the Unified State Register of Legal Entities in relation to the applicant company, an order on his appointment and a copy of the company’s charter.

A number of documents have their own specifics. So, if the applicant files a statement of claim or an application for the issuance of a court order, and the law or contract establishes the obligation to comply with mandatory pre-trial procedure, evidence of compliance with the pre-trial procedure must be attached to the documents to the court - for example, evidence of sending the claim to the other party. Also, if the document is not of a technical nature (such as a request to familiarize itself with the case), but is aimed at presenting the party’s position regarding the subject of the dispute, sending its copies to other persons participating in the case is mandatory.

As in the case of pre-trial compliance, here it is necessary to provide evidence of sending or serving copies of the parties.

The procedure for submitting electronic documents to the arbitration court is also regulated by technical nuances. The documents provided must be of good quality and readable (recommended resolution 200-300 dpi). Document format: PDF files no larger than 30 megabytes. In addition, you can attach a text copy of it to the document (for example, in RTF format). The file name should allow you to identify the electronic document and the number of sheets in it (for example: Sales and purchase agreement 548 dated 16041996 4l.pdf).

Legal advice:
When scanning documents, it is important that the signatures and seals affixed to them are displayed without distortion. Otherwise, the document may be rejected upon acceptance.

Alternative Item

It is provided in cases where the applicant is given the opportunity by law to choose from several methods of protection. The most illustrative example is Article 475 of the Civil Code. According to the norm, if the seller has not notified the buyer about the defects of the product, the latter has the opportunity to demand:

1. Reducing the cost of goods.
2. Free elimination of defects within a reasonable period.
3. Compensation of costs for independent elimination of deficiencies.

If the seller has committed significant violations of the product quality requirements, the buyer may:

1. Refuse the contract and insist on the return of the amount paid.
2. Demand that the product be replaced with another, but of adequate quality.

Changing the amount of claims

When considering a dispute in arbitration, the plaintiff, under Art. 49 of the Arbitration Procedure Code of the Russian Federation, may increase or decrease the amount of requirements. He can exercise this right before a court ruling is made, which ends the proceedings on the merits.

An increase in the size of claims, in particular, is an increase in the cost of the claim while maintaining the content of the claim. This action cannot be associated with the presentation of additional claims that were not previously stated.

For example, a request for monetary sanctions cannot be considered as a change in the amount of claims in a claim for collection of the principal debt. This kind of requirement, according to general rules, must be stated separately.