Module 6 Assessment Quiz | CAM

Q1 Part 1: Empanelment

Which of the following institutions does NOT maintain a traditional panel of arbitrators but instead appoints based on case-specific requirements?

A.IIAM (Indian Institute of Arbitration and Mediation) B.SIAC (Singapore International Arbitration Centre) C.ICC (International Chamber of Commerce) D.ICA (Indian Council of Arbitration)

Explanation

ICC does not maintain a traditional panel. Instead, it maintains a database of potential arbitrators and appoints based on case requirements through its National Committees or directly by the ICC Court.

Q2 Part 2: Institutional vs Ad-hoc

Which procedural rules are most commonly adopted for ad-hoc international arbitration?

A.ICC Rules B.UNCITRAL Arbitration Rules C.SIAC Rules D.Indian Arbitration Act Schedule

Explanation

The UNCITRAL Arbitration Rules (2013 revision) are the most widely used framework for ad-hoc international arbitration. They provide a complete procedural framework without requiring institutional administration.

Q3 Part 2: Institutional vs Ad-hoc

What is a key advantage of institutional arbitration over ad-hoc arbitration when one party is uncooperative?

A.Institution ensures tribunal constitution proceeds despite party obstruction B.Lower overall costs C.Greater procedural flexibility D.No need for legal representation

Explanation

Institutional arbitration ensures tribunal constitution proceeds even if a party refuses to participate. The institution can appoint the entire tribunal if necessary. In ad-hoc arbitration, party obstruction may require court intervention.

Q4 Part 3: Fee Structure

Which major arbitration institution uses hourly rates for both administrative charges and arbitrator fees, rather than ad-valorem (value-based) fees?

A.ICC B.SIAC C.MCIA D.LCIA

Explanation

LCIA (London Court of International Arbitration) uniquely uses hourly rates for both administrative charges and arbitrator fees, rather than the ad-valorem scales used by ICC and SIAC. This can be advantageous for high-value but straightforward cases.

Q5 Part 3: Fee Structure

Which of the following is PROHIBITED for arbitrators and mediators regarding fee arrangements?

A.Hourly rate billing B.Requesting advance deposits C.Contingent fees based on outcome D.Fixed fee arrangements

Explanation

Contingent fees based on outcome are strictly prohibited for arbitrators and mediators. Such arrangements would compromise neutrality and create bias toward particular results. This is a fundamental ethical rule.

Q6 Part 4: Ethics

Under the IBA Guidelines on Conflicts of Interest, which list describes situations where the arbitrator must decline regardless of party consent?

A.Green List B.Non-Waivable Red List C.Orange List D.Waivable Red List

Explanation

The Non-Waivable Red List describes situations where no disclosure can cure the conflict - the arbitrator must decline appointment regardless of whether parties consent. Examples include the arbitrator being a party or having significant financial interest in outcome.

Q7 Part 4: Ethics

Scenario

An arbitrator discovers after the first procedural hearing that the same law firm representing the Claimant has appointed him twice in other cases during the past two years.

What should the arbitrator do?

A.Disclose to all parties immediately and allow them to decide B.No disclosure needed - this is on the Green List C.Immediately resign from the tribunal D.Disclose only to the Respondent

Explanation

Repeat appointments by the same counsel within three years are on the Orange List and require disclosure. The arbitrator should disclose to all parties and allow them to decide whether to continue. Disclosure must always be to all parties, not selectively.

Q8 Part 4: Ethics

Which statement about party-appointed arbitrators is CORRECT?

A.They may advocate for the appointing party's position B.They owe duties only to the appointing party C.They may communicate ex-parte with the appointing party D.They must be independent and impartial toward all parties

Explanation

Party-appointed arbitrators must be independent and impartial toward all parties. Being appointed by a party does not make the arbitrator that party's advocate. All arbitrators owe equal duties to both parties and must decide based on the merits.

Q9 Part 5: Practice Building

What is the most common source of first arbitrator appointments for new practitioners?

A.Direct appointment by arbitration institutions B.Nomination as co-arbitrator by parties or counsel C.Presiding arbitrator appointments D.Emergency arbitrator appointments

Explanation

First appointments typically come as co-arbitrator nominations by parties or their counsel. Building relationships with arbitration counsel is essential - today's counsel may recommend you as co-arbitrator to their clients.

Q10 Part 5: Practice Building

Which of the following is essential for a conflict-checking system in ADR practice?

A.Marketing automation software B.Social media management tools C.Searchable database of parties, counsel, and co-arbitrators from past cases D.Video conferencing equipment

Explanation

A searchable database of parties, counsel, and co-arbitrators from past appointments is essential for conflict checking and disclosure. Before accepting each appointment, you must check for potential conflicts - this requires comprehensive records.

Module 6: Practice Building & Ethics

Instructions