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El. knyga: Guide to the HKIAC Arbitration Rules

Chiann Bao (Arbitrator, Arbitration Chambers), Michael J Moser (Arbitrator, 20 Essex Street)

Formatas: 568 pages
Išleidimo metai: 27-Apr-2022
Leidėjas: Oxford University Press
Kalba: eng
ISBN-13: 9780192594839

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Formatas: 568 pages
Išleidimo metai: 27-Apr-2022
Leidėjas: Oxford University Press
Kalba: eng
ISBN-13: 9780192594839

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The Hong Kong International Arbitration Centre (HKIAC) is one of the world's most highly sophisticated arbitration institutions, with a continuously growing annual caseload. Now in its second edition, this detailed commentary with its insider's perspective has firmly established itself as the
leading, authoritative guide to the HKIAC Administered Arbitration Rules.

The text has been updated to capture over 1,000 new cases since 2017. It begins with an introduction to the HKIAC, including a history with statistics and details of other services provided by the HKIAC. The commentary then examines each article of the Rules in depth, drawing on the authors' years
of experience administering arbitrations under earlier HKIAC Administered Arbitration Rules (2008 & 2013), and highlighting changes introduced by the 2018 Rules, including provisions on online dispute resolution, the use of technology for the determination of the arbitral process, use of alternative
dispute resolution techniques, early determination of proceedings, and concurrent proceedings.

Offering practical guidance, the book makes reference to the Hong Kong Arbitration Ordinance as well as drawing comparisons with other institutional rules and the UNCITRAL Model Rules to emphasize key issues to consider when drafting an arbitral clause or strategizing over the conduct of an
arbitration. Benefiting from the authors' previous experience with the HKIAC and with the support of the HKIAC Secretariat and other members of the HKIAC Rules Revision Committee, the book examines examples of anonymised cases handled at the HKIAC, and also discusses various issues arising from
arbitrations involving mainland parties or enforcing arbitration awards in mainland China. In particular, the book details HKIAC's experience in handling applications under the new Interim Measures Arrangement between Mainland China and Hong Kong.

The appendices include relevant supporting documents including recommended HKIAC Arbitration Clauses, the HKIAC Administered Arbitration Rules (2018), the UNCITRAL Arbitration Rules 2010, the amended Hong Kong Arbitration Ordinance, and updated practice notes and statistics.

Table of Cases

xxv

Table of Legislation

xxix

List of Abbreviations

xliii

1 Introduction to Arbitration in Hong Kong

(12)

A Hong Kong---Asia's World City'

(27)

1 Strategic location

(2)

2 Strong industry expertise

(4)

3 Developed legal framework

(3)

4 Independent judiciary

(2)

5 Free choice of arbitral procedures, legal representation, and arbitrators

(3)

6 Access to interim measures from the mainland Chinese courts

(7)

7 Worldwide enforceability of Hong Kong awards

(1)

B HKIAC

(4)

C The Hong Kong Arbitration Community

(6)

D Investor-State Disputes

(5)

E The `China Connection'

1 Insights on China-related disputes

2 The Legal Arbitration Framework

(16)

A The Hong Kong Arbitration Ordinance

(21)

1 Historical development of Hong Kong arbitration law

(16)

2 Structure and scope of the Arbitration Ordinance

(4)

3 Key features of the Arbitration Ordinance

(1)

B Arbitration-Related Court System

(5)

C Judicial Support of Arbitration

(5)

D Interim Measures in Hong Kong Arbitrations

(6)

E Enforcement of Hong Kong Arbitral Awards

(5)

F Sovereign and Crown Immunity in Hong Kong

3 Introduction to HKIAC

(30)

A History of HKIAC

(7)

B Organizational Structure

(5)

1 HKIAC management bodies

(4)

(a) Finance and Administration Committee

(1)

(b) Appointments Committee

(4)

(14)

2 Nominations Committee

(2)

3 HKIAC Secretariat

(4)

4 HKIAC Users' Council

(1)

5 HK45

(2)

C Arbitration at HKIAC

(4)

1 Administering arbitrations under the HKIAC Administered Arbitration Rules

(3)

(a) Use of technology

(3)

(b) Twin-track fee regime and standard terms of appointment

(2)

(d) Multiple-party and multiple-contract arbitrations

(1)

(e) Emergency arbitrator procedure

(1)

(f) Expedited procedure

(1)

(g) Early determination procedure

(2)

(h) Disclosure, costs, and confidentiality of third party funding

(1)

(i) Use of alternative means of dispute resolution

(1)

(j) Time of delivering arbitral awards

(1)

(k) No formal scrutiny process

(26)

2 Administering arbitrations under other rules issued by HKIAC

(2)

3 Administering arbitrations under the UNCITRAL Rules

(5)

4 Processing applications under the Interim Measures Arrangement

(2)

5 Administering disputes as a permanent arbitral institution in Russia

(3)

6 Providing administrative services in investor-State arbitrations

(5)

7 Acting as appointing authority in ad hoc arbitrations seated in Hong Kong

(6)

8 Appointing experts

(2)

D Mediation at HKIAC

(11)

E Adjudication Services

(3)

F Domain Name Disputes at HKIAC

(5)

1 Generic Top-Level Domains (gTLDs)

(1)

(a) Uniform Domain Name Dispute Resolution Policy (UDRP)

(2)

(b) Uniform Rapid Suspension System (URS)

101

(2)

103

(1)

(d) Registrar Transfer Dispute Resolution Policy (TDRP)

104

(1)

(e) cTLDs

105

(4)

(f) Internet keywords and wireless keywords

109

(1)

G Other Services at HKIAC

110

(16)

1 Hearing facilities

110

(6)

2 Tribunal secretary service and training

116

(6)

3 Fundholding service

122

(2)

4 Authentication service

124

(1)

5 Secretariat support service

125

(1)

H Case Statistics

126

4 Model Arbitration Clauses

(16)

A The Purpose of a Model Clause

(4)

B HKIAC Model Clauses

(10)

1 Model clause providing for arbitration under the HKIAC Administered Arbitration Rules

(2)

2 Model clause providing for arbitration administered by HKIAC under the UNCITRAL Rules

(1)

3 Model clause providing for adhoc arbitration under the UNCITRAL Rules

(1)

4 Model clause providing for arbitration under the HKIAC Domestic Arbitration Rules

(5)

C Key Elements of the HKIAC Model Clause

(36)

1 Agreement to arbitrate

(2)

2 Scope of disputes covered

(3)

3 Selection of a seat of arbitration (or place of arbitration)

(6)

4 Designation of an arbitral institution and its rules

(10)

5 Number of arbitrators

(3)

6 Language of the arbitration

(3)

7 Law governing the arbitration agreement

(8)

D Other Considerations

(23)

1 Mandatory requirements under applicable laws

(3)

2 Conditions precedent

(2)

3 Procedural considerations

(18)

5 General Provisions (Articles 1-3)

(18)

A Article 1---Scope of Application

(1)

1 Article 1.1: Arbitration agreements to which the Rules apply

(1)

(a) Purpose

(2)

(b) Criteria

(20)

2 Article 1.2: Administration by HKIAC

(4)

3 Article 1.3: Arbitration agreements to which the Rules do not apply

(3)

4 Articles 1.4 and 1.5: Commencement of the Rules and grandfathering provisions

(5)

B Article 2---Interpretation of Rules

(2)

1 Article 2.1: Power to interpret the HKIAC Rules (2018)

(2)

2 Article 2.2: Reasons and finality of HKIAC's decisions

(1)

(a) Reasons

(1)

(b) Finality

(9)

3 Article 2.3: Designation of HKIAC

(3)

4 Article 2.4: Definition of HKIAC

(1)

5 Articles 2.5--2.16: Definitions of Other Key Terms

(1)

(a) `Claimant', `Respondent', `party', `additional party', `arbitral tribunal', `witness', `claim', `counterclaim', `arbitration agreement', and `language'

(2)

(b) `Award'

(2)

(d) `Written communications' and `communication'

(6)

6 Article 2.17: Schedules

(2)

7 Article 2.18: Practice notes and guidelines

(2)

8 Article 2.19: Prevailing language of the Rules

(1)

C Article 3---Written Communications and Calculation of Time Limits

(24)

1 Article 3.1: Receipt of written communications

(12)

2 Article 3.2: Attempted communication

(5)

3 Article 3.3: Date of receipt

(2)

4 Article 3.4: Communications to multiple recipients

(2)

5 Articles 3.5 and 3.6: Time limits

(1)

(a) Calculation of time limits

(3)

(b) Amendment of time limits

(18)

6 Commencement of the Arbitration (Articles 4 and 5, Schedule 1)

(30)

A Article 4---Notice of Arbitration

(1)

1 Article 4.1

(1)

(a) Delivery of the Notice of Arbitration

(4)

(b) Processing the Notice of Arbitration

(17)

2 Article 4.2

(11)

3 Article 4.3

(4)

(a) A request for arbitration

(3)

(b) Contact details of the parties and their representatives

(6)

(4)

(d) A copy of the contract(s) or other legal instrument(s) out of or in relation to which the dispute arises, or reference thereto

(4)

(e) A description of the general nature of the claim and an indication of the amount involved, if any

(3)

(f) The relief or remedy sought

(3)

(g) A proposal as to the number of arbitrators

(4)

(h) The claimant's proposal and comments regarding the designation of an arbitrator

(7)

(i) The existence of any funding agreement and the identity of any third party hinder

(4)

(j) Confirmation of delivery

(23)

4 Article 4.4

(6)

5 Article 4.5

(2)

6 Article 4.6

(5)

7 Article 4.7

(5)

8 Article 4.8

(3)

B Article 5---Answer to the Notice of Arbitration

(2)

1 Article 5.1

(1)

(a) Time limit for submitting the Answer

(2)

(b) Form requirement

(3)

(2)

(d) Any plea that an arbitral tribunal constituted under these Rules lacks jurisdiction

(2)

(e) The respondent's comments on the nature of the claim and the amount in dispute

(2)

(f) The respondent's answer to the claimant's relief or remedy

(1)

(g) The respondent's proposal as to the number of arbitrators

100

(3)

(h) The respondent's proposal and comments regarding the designation of an arbitrator

103

(4)

(i) The existence of any funding agreements and the identity of any third party hinder

107

(1)

(j) Confirmation of delivery

108

(12)

2 Article 5.2

110

(2)

3 Article 5.3

112

(3)

4 Article 5.4

115

(5)

C Schedule 1---Registration and Administrative Fees

120

(3)

1 Schedule 1---paragraph 1.1

121

(3)

2 Schedule 1---paragraph 1.2

124

(1)

3 Schedule 1---paragraph 1.3

125

(2)

4 Schedule 1---paragraph 2.1

127

(4)

5 Schedule 1---paragraph 2.2

131

(1)

6 Schedule 1---paragraph 2.3

132

(2)

7 Schedule 1---paragraph 2.4

134

(2)

8 Schedule 1---paragraph 2.5

136

(4)

9 Schedule 1---paragraph 2.6

140

(1)

10 Schedule 1---paragraph 2.7

141

(1)

11 Schedule 1---paragraph 2.8

142

7 Arbitral Tribunal (Articles 6--12, Schedules 2 and 3)

123

(54)

A Article 6---Number of Arbitrators

(4)

1 Article 6.1

(1)

(a) The parties' agreement on the number of arbitrators

(7)

(b) Determination of the number of arbitrators by HKIAC

(7)

2 Article 6.2

(2)

B Article 7---Appointment of a Sole Arbitrator

(9)

1 Article 7.1

(3)

2 Article 7.2

(2)

(a) Procedure for the appointment of a sole arbitrator by HKIAC

(1)

(b) Considerations for appointing a sole arbitrator

(3)

3 Article 7.3

(1)

C Article 8---Appointment of Three Arbitrators

(5)

1 Article 8.1

(1)

(a) Appointment of co-arbitrators

(6)

(b) Appointment of the third and presiding arbitrator

(7)

2 Article 8.2

(2)

(a) Regular appointment procedure

(2)

(b) HKIAC's power to appoint all arbitrators

(17)

3 Article 8.3

(2)

D Article 9---Confirmation of the Arbitral Tribunal

(16)

1 Article 9.1

(10)

2 Article 9.2

(1)

3 Article 9.3

(2)

E Article 10, Schedules 2 and 3---Fees and Expenses of the Arbitral Tribunal

(65)

1 Article 10.1

(6)

2 Article 10.2

101

(4)

3 Article 10.3

105

(4)

4 Schedule 2---section 1

109

(5)

5 Schedule 3---section 1

114

(4)

6 Schedules 2 and 3---section 2

118

(6)

7 Schedule 2---section 3

124

(3)

8 Schedule 3---section 3

127

(2)

9 Schedules 2 and 3---section 4

129

(1)

10 Schedules 2 and 3---section 5

130

(2)

11 Schedule 2---section 6

132

(2)

12 Schedule 3---section 6

134

(8)

13 Schedules 2 and 3---section 7

142

(2)

14 Schedules 2 and 3---section 8

144

(2)

15 Schedule 2---section 9

146

(6)

16 Schedule 2---section 10

152

(4)

F Article 11---Qualifications and Challenge of the Arbitral Tribunal

156

(4)

1 Article 11.1

160

(1)

(a) Duty of impartiality and independence

160

(3)

(b) Ongoing duty throughout the arbitration

163

(1)

2 Article 11.2

164

(1)

(a) The nationality requirement

164

(3)

(b) Determination of nationality

167

(4)

3 Article 11.3

168

(2)

4 Article 11.4

170

(1)

(a) Content of the Declaration

171

(7)

(b) Duty of disclosure

178

(4)

182

(12)

5 Article 11.5

185

(7)

6 Article 11.6

192

(2)

(a) Justifiable doubts as to an arbitrator's impartiality or independence

194

(4)

(b) Lack of qualifications agreed by the parties

198

(2)

200

(13)

7 Article 11.7

203

(7)

8 Article 11.8

210

(3)

9 Article 11.9

213

(1)

(a) Determination of the challenge by HKIAC

213

(6)

(b) Finality of HKIAC decision on challenge under Hong Kong law

219

(2)

221

(5)

10 Article 11.10

224

(2)

G Article 12---Replacement of an Arbitrator

226

1 Article 12.1

227

(3)

2 Article 12.2

230

(3)

3 Article 12.3

233

8 Emergency Relief and Interim Measures of Protection (Articles 23 and 24, Schedule 4)

177

(34)

A Article 23.1 and Schedule 4---Emergency Relief from an Emergency Arbitrator

(3)

1 Article 23.1---application for emergency relief

(1)

(a) The need for emergency relief

(4)

(b) Definition of emergency relief

(2)

(3)

(d) Types of emergency relief that can be granted by an emergency arbitrator

(6)

2 Schedule 4---paragraph 1

(4)

3 Schedule 4---paragraphs 2--3

(1)

(a) Service of an application for emergency relief

(2)

(b) Components of an application for emergency relief

(51)

4 Schedule 4---paragraph 4

(5)

5 Schedule 4---paragraph 5

(4)

6 Schedule 4---paragraph 6

(1)

7 Schedule 4---paragraph 7

(6)

8 Schedule 4---paragraph 8

(3)

9 Schedule 4---paragraph 9

(1)

10 Schedule 4---paragraph 10

(5)

11 Schedule 4---paragraph 11

(1)

12 Schedule 4---paragraphs 12 and 13

(3)

13 Schedule 4---paragraph 14

(4)

14 Schedule 4---paragraph 15

(6)

15 Schedule 4---paragraph 16

(3)

16 Schedule 4---paragraph 17

(1)

17 Schedule 4---paragraphs 18 and 19

(2)

18 Schedule 4---paragraph 20

(2)

19 Schedule 4---paragraph 21

(1)

20 Schedule 4---paragraph 22

(1)

B Articles 23.2--23.8---Interim Relief from an Arbitral Tribunal

(5)

1 Article 23.2---tribunal may order interim measures

(2)

2 Article 23.3---types of interim measures

(1)

(a) Definition of interim measures

(1)

(b) Types and forms of interim measures

(5)

(16)

3 Article 23.4---factors to consider before ordering interim measures

(5)

4 Article 23.5---modification, suspension, or termination of interim measures

(2)

5 Article 23.6---security in connection with an interim measure

100

(2)

6 Article 23.7---material change in circumstances

102

(1)

7 Article 23.8---liability for costs and damages

103

(2)

C Article 23.9---Interim Relief from a Competent Authority

105

(1)

1 Article 23.9---request for interim measures by a court

105

(1)

(a) Advantages and disadvantages of seeking interim relief from courts and arbitral tribunals

106

(2)

(b) Statutory power of the Hong Kong courts to issue interim relief

108

(11)

D Article 24---Security for Costs

119

(92)

1 Article 24---order for security for costs

119

(92)

9 Conduct of the Arbitration (Articles 13--22, 25--26, 31--32)

211

(56)

A Article 13---General Provisions

(1)

1 Article 13.1---arbitral tribunal's power to adopt suitable procedures

(1)

(a) The arbitral tribunal's power to determine the procedures

(4)

(b) Subject to the HKIAC Rules

(1)

(2)

(d) Having regard to the complexity of the issues, the amount in dispute, and the effective use of technology

(4)

(e) Ensuring equal treatment of the parties and a reasonable opportunity to present their case

(16)

2 Article 13.2---provisional timetable

(3)

3 Article 13.3---communication of documents or information

(4)

4 Article 13.4---appointment of a tribunal secretary

(1)

(a) Need for tribunal secretaries

(4)

(b) Appointment of a tribunal secretary

(4)

(5)

(d) Impartiality and independence of a tribunal secretary

(2)

(e) Role of a tribunal secretary

(5)

(f) Remuneration of a tribunal secretary

(7)

5 Article 13.5---ensuring the fair and efficient conduct of the arbitration

(4)

6 Article 13.6---party representation

(1)

(a) Free choice of legal representation

(2)

(b) Subject to Article 13.5

(2)

(1)

(d) Proof of authority

(8)

7 Article 13.7---changes or additions to a party's legal representatives

(1)

8 Article 13.8--- parties' agreement to pursue other means of settling their dispute

(1)

9 Article 13.9---matters not expressly provided for in the Rules

(2)

10 Article 13.10---ensuring that an award is valid

(2)

B Article 14---Seat and Venue of the Arbitration

(1)

1 Article 14.1---seat of the arbitration

(1)

(a) Parties are free to agree on any seat of arbitration

(8)

(b) Hong Kong as the default seat

(4)

(7)

2 Article 14.2---venue of hearings and meetings

(5)

C Article 15---Language of the Arbitration

(2)

1 Article 15.1 ---communications in English or Chinese prior to determining the language of the arbitration

(1)

2 Article 15.2---arbitral tribunal's power to determine the language of the arbitration

(1)

(a) Parties are free to agree on any language of arbitration

(2)

(b) Languages used by HKIAC

(4)

(7)

3 Article 15.3---translation of supporting materials

100

(5)

D Article 19---Jurisdiction of the Arbitral Tribunal

105

(24)

1 Article 19.1 ---arbitral tribunal's power to rule on its own jurisdiction

107

(4)

2 Article 19.2---separability of the arbitration agreement

111

(2)

3 Article 19.3---plea of lack of jurisdiction

113

(5)

4 Article 19.4---jurisdictional questions raised prior to the constitution of the arbitral tribunal

118

(3)

5 Article 19.5---HKIAC's decision concerning jurisdictional questions

121

(7)

6 Article 19.6---effect of the HKIAC's decision regarding jurisdictional questions

128

(1)

E Articles 16-18 and 20-21---Written Submissions

129

(4)

1 Article 16.1 ---filing a Statement of Claim

133

(1)

(a) Form of the Statement of Claim

133

(2)

(b) The time limit for filing the Statement of Claim

135

(2)

137

(7)

2 Article 16.2---contents of the Statement of Claim

138

(2)

3 Article 16.3---supporting materials annexed to the Statement of Claim

140

(2)

4 Article 16.4---varying the Statement of Claim's requirements

142

(1)

5 Article 17.1---filing a Statement of Defence

143

(1)

6 Article 17.2---contents of the Statement of Defence

144

(1)

(a) Basic contents of the Statement of Defence

144

(2)

(b) Objection to the arbitral tribunal's jurisdiction or the proper constitution of the tribunal

146

(19)

7 Article 17.3---counterclaims, set-off defences, and cross-claims

148

(1)

8 Article 17.4---supporting materials annexed to the Statement of Defence

149

(1)

9 Article 17.5---varying the Statement of Defence's requirements

150

(1)

10 Article 18.1 ---amendments and supplements to claims or defences

151

(6)

11 Article 18.2---adjustment of HKIAC's Administrative Fees and the arbitral tribunal's fees

157

(1)

12 Article 20---further written statements

158

(3)

13 Article 21.1---time limits for written statements

161

(1)

14 Article 21.2---extension of time limits for written statements

162

(3)

F Article 22---Evidence and Hearings

165

(6)

1 Article 22.1---burden of proof

166

(2)

2 Article 22.2---assessment of evidence

168

(3)

3 Article 22.3---production of documents

171

(1)

(a) Document production process

171

(5)

(b) Documents that are relevant to the case and material to its outcome

176

(2)

178

(4)

4 Article 22.4---hearings

181

(1)

(a) The arbitral tribunal's power to hold oral hearings

182

(5)

(b) Notice of hearing

187

(6)

5 Article 22.5---witnesses and experts

189

(4)

6 Article 22.6---translation and transcript

193

(1)

(a) Translation of oral statements

193

(2)

(b) Record of the hearing

195

(2)

7 Article 22.7---privacy of hearings and cross-examination

197

(1)

(a) Privacy of hearings

197

(2)

(b) Sequestration of witnesses or experts

199

(2)

G Article 25---Tribunal-Appointed Experts

201

(2)

1 Article 25.1 ---appointment of an expert by the arbitral tribunal

203

(1)

(a) Arbitral tribunal's powers to appoint experts

203

(4)

(b) Terms of reference

207

(1)

208

(14)

2 Article 25.2---provision of information to tribunal-appointed expert

212

(2)

3 Article 25.3---communication of tribunal-appointed expert report to the parties

214

(3)

4 Article 25.4---examination of tribunal-appointed expert by the parties

217

(3)

5 Article 25.5---impartiality and independence of tribunal-appointed expert

220

(2)

H Article 26---Default

222

(13)

1 Article 26.1---claimant's failure to submit its written statement

225

(4)

2 Article 26.2---respondent's failure to submit its written statement

229

(3)

3 Article 26.3---failure to present case

232

(3)

I Article 31---Closure of Proceedings

235

(9)

1 Article 31.1---closing the proceedings

236

(4)

2 Article 31.2---anticipated date for rendering an award

240

(1)

3 Article 31.3---anticipated date for rendering an award inapplicable to the Expedited Procedure

241

(1)

4 Article 31.4---reopening the proceedings

242

(2)

J Article 32---Waiver

244

(23)

1 Article 32.1---waiver of the right to object

245

(5)

2 Article 32.2---waiver of the objection to the validity and/or enforcement of an award

250

(17)

10 Complex Arbitrations (Articles 27--30)

267

(44)

A Article 27---Joinder of Additional Parties

(6)

1 Article 27.1 ---power of the arbitral tribunal and HKIAC to order joinder

(1)

(a) Definition of `additional party'

(5)

(b) Where constituted, the arbitral tribunal decides requests for joinder

(2)

(4)

(d) Prima facie basis for decision

(1)

(e) Definition of `an arbitration agreement under these Rules giving rise to the arbitration'

(1)

(f) `Including any arbitration under Articles 28 or 29'

(4)

(g) `All parties, including the additional party, expressly agree'

(8)

2 Article 27.2---effect of any decision to order joinder

(2)

3 Article 27.3---time limit for raising a Request for Joinder

(1)

4 Article 27.4--- submission of Request for Joinder prior to the constitution of the arbitral tribunal

(3)

5 Article 27.5---submission of Request for Joinder after the constitution of the arbitral tribunal

(1)

6 Article 27.6---content of Request for Joinder

(1)

(a) Content of Request

(3)

(b) Express Request for Joinder

(1)

(d) Existence of any funding agreement and the identity of any third party funder

(1)

(e) Confirming the communication of the Request for Joinder

(2)

7 Article 27.7---Answer to the Request for Joinder

(1)

(a) Not applicable where Request for Joinder submitted under Article 27.9

(1)

(b) Content of Answer

(1)

(d) Objections to jurisdiction

(1)

(e) Objections to the constitution of the tribunal

(3)

(f) Additional party's comments on particulars in the Request for Joinder

(5)

(g) Additional party's answer to the relief or remedy sought in the Request for Joinder

(1)

(h) Claims by the additional party against any other party to the arbitration

(1)

(i) Existence of any funding agreement and the identity of any third party hinder

(1)

(j) Confirming the communication of the Answer to the Request for Joinder and any supporting materials

(13)

8 Article 27.8---power to vary the content requirements

(1)

9 Article 27.9---additional party wishing to be joined to the arbitration

(3)

10 Article 27.10---parties' comments on Request for Joinder

(3)

11 Article 27.11 ---date of commencement of arbitration against joined party

(2)

12 Article 27.12---waiver of the right to designate an arbitrator

(2)

13 Article 27.13---appointment of arbitrators

(1)

(a) `HKIAC may revoke any confirmation or appointment of an arbitrator'

(5)

(b) HKIAC `shall appoint the arbitral tribunal with or without regard to any party's designation'

(6)

14 Article 27.14---consequences of revocation of confirmation or appointment

(1)

(a) Act or order before appointment revoked

(3)

(b) Entitlement to fees

(1)

(3)

15 Article 27.15---adjustment of Administrative Fees or arbitral tribunal's fees

(2)

B Article 28---Consolidation of Arbitrations

(9)

1 Article 28.1---conditions for consolidation

105

(1)

(a) Power to consolidate

105

(3)

(b) Article 28.1(a): consolidation with party agreement

108

(4)

112

(3)

(d) Article 28.1(c): claims under more than one arbitration agreement

115

(18)

(e) Consolidation under Schedule 2 of the Arbitration Ordinance

133

(19)

2 Article 28.2---service of the Request for Consolidation

136

(2)

3 Article 28.3---content of the Request for Consolidation

138

(5)

4 Article 28.4---HKIAC's power to vary the content requirements of the Request for Consolidation

143

(1)

5 Article 28.5---comments on the Request for Consolidation

144

(3)

6 Article 28.6---decision on Request for Consolidation

147

(3)

7 Article 28.7---consolidation without prejudice to earlier acts by a competent authority

150

(2)

8 Article 28.8---appointment of arbitrators

152

(1)

(a) Deemed waiver of right to designate arbitrators

152

(3)

(b) `HKIAC shall appoint the arbitral tribunal in respect of the consolidated proceedings with or without regard to any party's designation'

155

(1)

156

(2)

9 Article 28.9---revocation of appointment is without prejudice

158

(1)

(a) Act or order before confirmation or appointment revoked

158

(1)

(b) Entitlement to fees

159

(1)

160

(1)

10 Article 28.10---adjustment of Administrative Fees and tribunal's fees

161

(1)

(a) HKIAC's Administrative Fees

161

(1)

(b) Tribunal's fees

162

(3)

165

(1)

C Article 29---Single Arbitration under Multiple Contracts

166

(11)

1 Article 29.1---single arbitration under multiple contracts

169

(8)

D Article 30---Concurrent Arbitrations

177

(4)

1 Article 30.1 ---arbitral tribunal's power to conduct two or more arbitrations concurrently

179

(2)

(a) Meaning of `concurrently'

181

(2)

(b) Criteria for concurrent arbitrations

183

(128)

2 Article 30.2---HKIAC's power to adjust its Administrative Fees and the arbitral tribunal's fees

188

(123)

11 Awards, Decisions, and Orders of the Arbitral Tribunal (Articles 33-40)

311

(36)

A Article 33---Decisions

(2)

1 Article 33.1---majority rulings

(1)

2 Article 33.2---procedural rulings

(1)

B Article 34---Costs of the Arbitration

(2)

1 Article 34.1---definition of costs

(2)

(a) Preliminary issues

(3)

(b) Heads of costs

(1)

(9)

2 Article 34.2---limiting recoverable legal fees

(3)

3 Article 34.3---apportionment of costs

(1)

(a) Costs follow the event

(1)

(b) Costs lie where they fall

(1)

(8)

4 Article 34.4---third party funding agreements and determination of the costs of the arbitration

(2)

5 Article 34.5---consolidated proceedings

(1)

6 Article 34.6---determination of costs following termination of proceedings prior to issuance of award

(3)

C Article 35---Form and Effect of the Award

(1)

1 Article 35.1---type of award

(1)

2 Article 35.2---form and binding nature of an award

(1)

(a) Final and binding effect of awards

(3)

(b) Waiver

(4)

3 Article 35.3---compliance with an award by the parties

(2)

4 Article 35.4---reasoning

(1)

(a) Duty to give reasons

(4)

(b) Form of reasons

(1)

(4)

5 Article 35.5---execution of the award

(1)

(a) Signatures of arbitral tribunal

(2)

(b) Date of the arbitral award

(1)

(6)

6 Article 35.6---transmission of the award

(4)

D Article 36---Applicable Law, Amiable Compositeur

(2)

1 Article 36.1---applicable law

(2)

(a) Parties' choice of law

(3)

(b) Consequence of parties' failure to designate a law

(11)

2 Article 36.2---amiable compositeur

(3)

3 Article 36.3---applicable contractual terms and trade usages

(5)

E Article 37---Settlement or Other Grounds for Termination

(2)

1 Article 37.1 ---termination of the arbitration prior to the constitution of the arbitral tribunal

(1)

2 Article 37.2---settlement of the dispute/continuation of the arbitration becomes unnecessary or impossible

(1)

(a) Article 37.2(a)---Settlement of the arbitration

(7)

(b) Article 37.2(b)---Continuation of the arbitration is unnecessary or impossible

(4)

3 Article 37.3---communication of the termination order or consent award

(1)

(a) Termination order

(2)

(b) Consent award

(2)

F Article 38---Correction of the Award

(10)

1 Article 38.1---request for correction of an award by a party

(3)

2 Article 38.2---time limit within which a correction may be made

(2)

3 Article 38.3---corrections initiated by the arbitral tribunal

(1)

4 Article 38.4---further corrections

(2)

5 Article 37.5---form of corrections

(2)

G Article 39---Interpretation of the Award

(9)

1 Article 39.1---request for interpretation of an award by a party

(3)

2 Article 39.2---time period within which an interpretation maybe made

100

(2)

3 Article 39.3---further interpretation

102

(2)

4 Article 39.4---form of interpretation

104

(2)

H Article 40---Additional Award

106

(8)

1 Article 40.1---request for an additional award by a party

106

(3)

2 Article 40.2---time limit within which an additional award may be made

109

(2)

3 Article 40.3---additional award as a result of a correction or interpretation

111

(2)

3 Article 40.4---form

113

(1)

I Article 41---Deposits for Costs

114

(1)

1 Article 41.1---request for initial deposits

114

(1)

(a) Purpose of the request for initial deposits

114

(1)

(b) Timing of the request

115

(1)

116

(5)

(d) Payment of the initial deposit

121

(226)

2 Article 41.2---separate deposits

127

(2)

3 Article 41.3---supplementary deposits

129

(2)

4 Article 41.4---failure to pay

131

(3)

5 Article 41.5---payment on behalf of another party

134

(1)

5 Article 41.6---accounting in final award

135

(1)

6 Article 41.7---deposit holding accounts

136

(211)

12 Expedited Procedure and Early Determination Procedure (Articles 42--43)

347

(22)

A Article 42---Expedited Procedure

(12)

1 Article 42.1---application for the Expedited Procedure

(5)

(a) Amount in dispute

(4)

(b) Agreement by the parties

(4)

(6)

(d) Discretion

(6)

2 Article 42.2---Expedited Procedure rules

(1)

(a) Number of arbitrators

(7)

(b) Time limits

(1)

(d) Hearings

(2)

(e) Arbitral award

(4)

(f) Reasons for the arbitral award

(7)

3 Article 42.3---Disapplying the Expedited Procedure

(4)

B Article 43---Early Determination Procedure

(313)

1 Article 43.1---tribunal's power to decide by way of EDP

(8)

2 Article 43.2---communicating the request for EDP

(1)

3 Article 43.3---timeliness of the request for EDP

(2)

4 Article 43.4---contents of the request for EDP

(2)

5 Article 43.5---decision on whether to proceed

(2)

6 Article 43.6---order/award on the points of law or fact

(3)

7 Article 43.7---decision as to whether the arbitration shall proceed

(287)

13 Other Provisions (Articles 44-46)

369

(14)

A Article 44---Disclosure of Third Party Funding of Arbitration

(25)

1 Article 44.1---duty of disclosure

(4)

2 Article 44.2---time of disclosure

(8)

3 Article 44.3---disclosure of changes

(4)

B Article 45---Confidentiality

(20)

1 Article 45.1 and 45.2---duty of confidentiality

(4)

2 Article 45.3---exceptions to the duty of confidentiality

(10)

3 Article 45.4 and 45.5---confidentiality of deliberations and awards

(3)

C Article 46---Exclusion of Liability

(336)

1 Article 46.1---exclusion of liability

(5)

2 Article 46.2---no duty to testify in legal or other proceedings

(329)

Appendix 1 Summary of Advantages of Arbitrating in Hong Kong

383

(2)

Appendix 2 Summary of Advantages of Arbitrating at HKIAC

385

(2)

Appendix 3 Administered Arbitration Rules 2018

387

(32)

Appendix 4 HKIAC Practice Notes

419

(12)

Appendix 5 Arbitrators Declaration of Acceptance and Statement of Availability, Impartiality, and Independence

431

(2)

Appendix 6 HKIAC Model Arbitration Clauses

433

(4)

Appendix 7 Hong Kong International Arbitration Centre Procedures for the Administration of Arbitration under the UNCITRAL Arbitration Rules

437

(8)

Appendix 8 HKIAC Guidelines on the Use of a Secretary to the Arbitral Tribunal

445

(6)

Appendix 9 Hong Kong Arbitration Ordinance (Cap 609)

451

(72)

Appendix 10 Arbitration (Appointment of Arbitrators and Mediators and Decisions on Number of Arbitrators) Rules (Cap 609C)

523

(12)

Appendix 11 HKIAC Case Statistics

535

(2)

Appendix 12 Statistics on Enforcement of Arbitral Awards in Hong Kong (2009 to 2020)

537

(12)

Index

549

Dr Michael J Moser is an international arbitrator, mediator, and attorney-at-law. He is currently an arbitrator member of 20 Essex Street Chambers in London, also maintaining offices in Hong Kong and Beijing. He is Honorary Past Chairman of the Hong Kong International Arbitration Centre, Vice President of APRAG, a past Court Member of the London Court of International Arbitration, and a Board Member of the Arbitration Institute of the Stockholm Chamber of Commerce. Dr Moser has been advising foreign clients in the Asia-Pacific region and the People's Republic of China since 1980. He was the first foreign national to be appointed as an arbitrator in China.

Chiann Bao is an international arbitrator at Arbitration Chambers, with offices in Hong Kong, London and New York. From 2010 to 2016, she served as the Secretary General of the HKIAC and was subsequently appointed as a Council Member of the HKIAC. She is currently Vice President of the ICC Court of Arbitration, Chair of the ICC Commission's Task Force on ADR and Arbitration and Vice Chair of the IBA Arbitration Committee. She is an honorary senior fellow at the British Institute of International and Comparative Law, a fellow of the Chartered Institute of Arbitrators, and a CEDR-accredited mediator.

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