ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - CHAPTER 341B ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - LONG TITLE Empowering section VerDate:30/06/1997 (Cap 341 sections 12 and 34C) [16 May 1997] (L.N. 270 of 1997) ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 1 Interpretation VerDate:30/06/1997 PART I INTERPRETATION AND APPLICATION In these Rules, unless the context otherwise requires- "Appointment Advisory Board" (委任諮詢委員會) means the board established under section 3; "Council" (理事會) means the Council of HKIAC. "Appointment Advisory Board" (委任諮詢委員會) "Council" (理事會) ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 2 Application VerDate:30/06/1997 These Rules apply to the appointment of arbitrators and umpires under sections 12 and 34C of the Ordinance. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 3 Constitution of Appointment Advisory Board VerDate:30/06/1997 PART II APPOINTMENT ADVISORY BOARD (1) The Council shall establish an Appointment Advisory Board comprising one member nominated by each of the persons or organizations referred to in subrule (2), none of whom may be appointed as arbitrators by HKIAC during his or her term of office. (2) The Council shall invite the following to nominate one person each to be a member of the Appointment Advisory Board- (a) the Chief Justice of Hong Kong; (b) the Chairman of the Hong Kong Bar Association; (c) the President of The Law Society of Hong Kong; (d) the Hong Kong General Chamber of Commerce; (e) the Chinese General Chamber of Commerce; (f) the President of The Hong Kong Institution of Engineers; (g) the President of The Hong Kong Institute of Surveyors; (h) the President of The Hong Kong Institute of Architects; (i) the Hong Kong Shipowners Association; (j) the Hong Kong Federation of Insurers. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 4 Appointments to Appointment Advisory Board VerDate:30/06/1997 (1) The Council shall appoint persons to the Appointment Advisory Board, for a term not exceeding 3 years. (2) The Council may re-appoint a person to the Appointment Advisory Board but not until 2 years have expired since that person was last a member of it. (3) Where there is a vacancy for any reason in the Appointment Advisory Board, HKIAC shall invite further nominations from the appropriate person or organization under rule 3(2). The Appointment Advisory Board may continue to function while there is a vacancy as long as there are at least 6 members on it. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 5 Appointment Advisory Board to be consulted VerDate:30/06/1997 Before making a final decision on the appointment of an arbitrator or umpire or on the number of arbitrators that are appropriate for any particular dispute, HKIAC shall consult with at least 3 available members of the Appointment Advisory Board and shall consider their advice but is not bound by it. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 6 Procedure for applying for appointment of arbitrator or umpire VerDate:30/06/1997 PART III PROCEDURE FOR APPOINTMENT OF AN ARBITRATOR OR UMPIRE (1) Any party seeking the appointment of an arbitrator or umpire under section 12 of the Ordinance or under article 11 of the UNCITRAL Model law shall serve on HKIAC a document in Form 1 in the Schedule. The document shall be signed by the party or by a person authorized to sign on his behalf certifying that the details contained therein are true and accurate. (2) The party seeking the appointment of the arbitrator or umpire shall serve a copy of the document on the other party at his last known address and shall lodge with HKIAC documentary verification of service and, for the purposes of this subrule, double registered post shall constitute good service. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 7 Nomination of suitable persons by HKIAC VerDate:30/06/1997 (1) Subject to subrule (2), on receipt of an application to appoint an arbitrator or umpire pursuant to these rules, HKIAC shall appoint a suitable person, having regard to- (a) the nature of the dispute; (b) the availability of arbitrators or umpires, as the case may be; (c) the identity of the parties; (d) the independence and impartiality of the arbitrator or umpire; (e) any stipulation in the relevant arbitration agreement; and (f) any suggestions made by the parties themselves. (2) Before appointment of an arbitrator or umpire, HKIAC shall allow the other party or parties to serve on HKIAC any information he or they consider relevant to the application, including reasons why no arbitrator or umpire should be appointed, and if such reasons are given and if HKIAC is satisfied that no arbitrator or umpire should be appointed it may decline to appoint one. Where no such information is served on HKIAC within 14 days of the party being served under rule 6(2), HKIAC may proceed to make an appointment. (3) When HKIAC has made a decision, it shall notify the parties. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 8 Procedure for applying to HKIAC for decision as to number of arbitrators VerDate:30/06/1997 PART IV NUMBER OF ARBITRATORS (1) Any party to an arbitration agreement who is, under section 34C(5) of the Ordinance, seeking a decision as to the number of arbitrators who are to determine a dispute arising under such agreement shall serve on HKIAC a document in Form 2 in the Schedule. The document shall be signed by the party or a person authorized to sign on his behalf certifying that the details contained therein are true and accurate. (2) The party seeking such a decision as to the number of arbitrators shall serve a copy of the document on the other party at his last known address and shall lodge with HKIAC documentary verification of service and, for the purposes of this subrule, double registered post shall constitute good service. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 9 Factors to be considered by HKIAC in deciding VerDate:30/06/1997 When deciding the number of arbitrators appropriate for any particular dispute, HKIAC shall take into account the following factors- (a) the amount in dispute; (b) the complexity of the claim; (c) the nationalities of the parties; (d) any relevant customs of the trade, business or profession involved in the said dispute; (e) the availability of appropriate arbitrators; (f) the urgency of the case. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 10 Decision by HKIAC VerDate:30/06/1997 (1) Before deciding on the number of arbitrators to be appointed, HKIAC shall allow the other party or parties to the arbitration agreement to serve on HKIAC brief written reasons in support of their contention as to the number of arbitrators appropriate for their dispute. Where no such reasons are served on HKIAC within 14 days of the party being served under rule 6(2), HKIAC may proceed with the decision. (2) HKIAC may request further information from the parties which they shall supply within 14 days of such request. Where a party fails or refuses to supply the information within the specified time, HKIAC may make a decision on the basis of the information it has. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 11 Additional forms VerDate:30/06/1997 HKIAC may establish additional forms for use under these rules. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SECT 12 Fees VerDate:30/06/1997 (1) The fee for filing an application under rule 6 shall be $4000. (2) The fee for filing an application under rule 8 shall be $4000. ARBITRATION (APPOINTMENT OF ARBITRATORS AND UMPIRES) RULES - SCHEDULE SCHEDULE VerDate:30/06/1997 [sections 6 & 8] FORM 1 Hong Kong International Arbitration Centre APPLICATION FOR THE APPOINTMENT OF AN ARBITRATOR OR UMPIRE This form shall be used to apply to Hong Kong International Arbitration Centre (HKIAC) pursuant to the Arbitration Ordinance (Cap 341) for the appointment of an arbitrator or umpire. 1. THE UNDERSIGNED HEREBY APPLIES TO HKIAC FOR THE APPOINTMENT OF: __________________________________________________________________ __________________________________________________________________ 2. DETAILS OF PARTIES: CLAIMANT: RESPONDENT: Name _______________________ ____________________________ Name __________________________ _______________________________ Address ______________________ ____________________________ ____________________________ ____________________________ Address ________________________ _______________________________ _______________________________ _______________________________ Tel. No. ______________________ Tel. No. ________________________ Fax. No. _____________________ Fax. No. ________________________ Nationality ____________________ ____________________________ Nationality ______________________ _______________________________ Solicitor/Adviser (If Any): Solicitor/Adviser (If Any): Name _______________________ Name __________________________ Address ______________________ ____________________________ ____________________________ ____________________________ Address ________________________ _______________________________ _______________________________ _______________________________ Tel. No. ______________________ Tel. No. ________________________ Fax. No. _____________________ Fax. No. ________________________ 3. CONTRACT/AGREEMENT: (Enclose a copy or summarize briefly.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 4. ARBITRATION CLAUSE OR AGREEMENT: (A copy is attached to this application.) 5. DISPUTE: (Brief particulars of nature, circumstances and location of dispute, issue for arbitration and amount at issue are all that are required.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 6. OTHER RELEVANT DETAILS: (If applicable, give date on which party was requested to concur in appointment of arbitrator under the contract/agreement, names of arbitrators proposed, whether the party has responded or not and, if so, in what terms, etc.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 7. APPOINTMENT FEE: A cheque payable to "Hong Kong International Arbitration Centre" for $4000 for payment of the appointment fee is enclosed. 8. CERTIFICATE: I hereby certify that the details contained herein are true and accurate. (SIGNED) _______________________________ Date: __________________________ Name and Capacity _______________________________________________________ ______________________________________________________________________ FORM 2 Hong Kong International Arbitration Centre APPLICATION FOR A DECISION AS TO THE NUMBER OF ARBITRATORS This form shall be used to apply to Hong Kong International Arbitration Centre (HKIAC) pursuant to the Arbitration Ordinance (Cap 341) to apply for a decision as to the number of arbitrators. 1. THE UNDERSIGNED HEREBY APPLIES TO HKIAC FOR A DECISION AS TO WHETHER THERE SHALL BE 1 OR 3 ARBITRATORS: __________________________________________________________________ __________________________________________________________________ 2. DETAILS OF PARTIES: CLAIMANT: RESPONDENT: Name _______________________ Name __________________________ Address ______________________ ____________________________ ____________________________ ____________________________ Address ________________________ _______________________________ _______________________________ _______________________________ Tel. No. ______________________ Tel. No. ________________________ Fax. No. _____________________ Fax. No. ________________________ Nationality ____________________ ____________________________ Nationality ______________________ _______________________________ Solicitor/Adviser (If Any): Solicitor/Adviser (If Any): Name _______________________ ____________________________ Name __________________________ _______________________________ Address ______________________ ____________________________ ____________________________ ____________________________ Address ________________________ _______________________________ _______________________________ _______________________________ Tel. No. ______________________ Tel. No. ________________________ Fax. No. _____________________ Fax. No. ________________________ 3. CONTRACT/AGREEMENT: (Enclose a copy or summarize briefly.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 4. ARBITRATION CLAUSE OR AGREEMENT: (A copy is attached to this application.) 5. DISPUTE: (Brief particulars of nature, circumstances and location of dispute, issue for arbitration and amount at issue are all that are required.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 6. OTHER RELEVANT DETAILS: __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 7. APPOINTMENT FEE: A cheque payable to “Hong Kong International Arbitration Centre” for $4000 for payment of the decision fee is enclosed. 8. CERTIFICATE: I hereby certify that the details contained herein are true and accurate. (SIGNED) _______________________________ Date: __________________________ Name and Capacity _______________________________________________________ ______________________________________________________________________ The Council of Hong Kong International Arbitration Centre has resolved that the Rules be made this 14th day of May 1997. Peter CALDWELL, Secretary General and Council member of Hong Kong International Arbitration Centre.