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Arbitrator Accreditation practice questions

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Question 1Arbitration practice and procedure

Which document normally governs the conduct of the arbitral proceedings where the parties have not agreed otherwise?

  1. The domestic procedural code of the respondent's home state
  2. The procedural law of the place where the contract was signed
  3. The internal case-management guidelines of the administering institution
  4. The arbitral tribunal's procedural rules adopted after consultation with the parties Correct answer.

Explanation

Where the parties have not agreed on procedure, the tribunal is generally empowered to conduct the arbitration in the manner it considers appropriate, subject to any mandatory rules of the seat and to equal treatment of the parties. Institutional rules may supplement this power, but the tribunal's adopted procedure is the operative framework.

Question 2Arbitration practice and procedure

A party wishes to challenge an arbitrator for alleged bias before the tribunal has issued any award. What is the usual first step under most institutional rules?

  1. Request the institution to replace the arbitrator without giving reasons
  2. Wait until the final award and raise bias as a ground to resist enforcement
  3. Commence annulment proceedings in the courts of the seat immediately
  4. File the challenge with the arbitral institution or tribunal within a short specified period after learning of the grounds Correct answer.

Explanation

Most institutional rules require a party to submit a reasoned challenge within a defined short period, typically fifteen to thirty days after learning of the circumstances, to the institution, the tribunal, or both. Failure to act promptly generally results in waiver of the objection.

Question 3Arbitration practice and procedure

Which principle requires that each party be given a full opportunity to present its case?

  1. The doctrine of functus officio
  2. The presumption of regularity
  3. The right to be heard Correct answer.
  4. The rule of party autonomy

Explanation

The right to be heard, often expressed as equal treatment and the opportunity to present one's case, is a fundamental procedural guarantee reflected in institutional rules and in the New York Convention's due process ground. Breach of it is a common basis for setting aside or refusing enforcement.

Question 4Arbitration practice and procedure

Under the IBA Rules on the Taking of Evidence in International Arbitration, what is the general position on document production?

  1. Document production is prohibited unless the parties expressly agree otherwise
  2. The tribunal may order disclosure only with the consent of both parties
  3. A party may request a narrow and specific category of documents that are relevant and material Correct answer.
  4. Each party must disclose all documents in its possession relevant to the dispute

Explanation

The IBA Rules permit requests for a narrow and specific category of documents that are relevant and material to the outcome, subject to objections such as privilege, confidentiality, and unreasonable burden. They do not impose broad common-law-style disclosure.

Question 5Arbitration practice and procedure

What is the standard consequence when a respondent fails to submit a statement of defence within the agreed time limit?

  1. The arbitration is automatically terminated in favour of the claimant
  2. The tribunal may treat the failure as an admission of the claimant's factual allegations and proceed Correct answer.
  3. The claim is dismissed for lack of prosecution
  4. The tribunal must extend the time limit by a further thirty days

Explanation

Most institutional rules provide that if a respondent fails to file a defence, the tribunal may proceed with the arbitration without treating the failure itself as an admission. In practice the tribunal continues and the respondent may still contest the claims, so the arbitration is not terminated.

Question 6Arbitration practice and procedure

Which of the following best describes the seat of arbitration?

  1. The location of the arbitral institution's headquarters
  2. The legal jurisdiction whose courts supervise the arbitration and whose law governs procedural matters Correct answer.
  3. The place where the respondent has its registered office
  4. The city where the hearings physically take place

Explanation

The seat is the juridical home of the arbitration; it determines the lex arbitri, the supervisory courts, and often the grounds for setting aside the award. Hearings may be held elsewhere without changing the seat.

Question 7Arbitration practice and procedure

What is the usual effect of a valid arbitration agreement on proceedings brought in court concerning the same dispute?

  1. The court may ignore the agreement if the claim exceeds a statutory threshold
  2. The court must stay proceedings for one year and then resume them
  3. The court must refer the parties to arbitration if a party so requests before submitting its first defence on the merits Correct answer.
  4. The court retains jurisdiction because arbitration agreements are unenforceable against consumers

Explanation

Article II(3) of the New York Convention and most national laws require a court seized of a dispute covered by a valid arbitration agreement to refer the parties to arbitration on a party's request. The request must usually be made before the first substantive defence.

Question 8Arbitration practice and procedure

Which of the following is generally true of an arbitral award under the New York Convention?

  1. It loses effect if the losing party appeals on the merits
  2. It must be confirmed by a court in the seat before it has any effect abroad
  3. It is enforceable in contracting states subject to limited grounds for refusal Correct answer.
  4. It is enforceable only in the state where it was rendered

Explanation

The New York Convention obliges contracting states to recognise and enforce foreign arbitral awards subject to a closed list of grounds for refusal, such as incapacity, lack of notice, or public policy. There is no appeal on the merits.

Question 9Arbitration practice and procedure

A tribunal seated in State A, whose law permits broad document disclosure, is asked to order production of internal emails. The parties' arbitration agreement is silent on evidence. What is the best analysis?

  1. The tribunal must apply the disclosure rules of the respondent's home state
  2. The tribunal must obtain court approval in State A before ordering production
  3. The tribunal may order production if the documents are relevant and material, guided by the parties' expectations and any applicable IBA Rules Correct answer.
  4. The tribunal must refuse because the arbitration agreement is silent

Explanation

Tribunals enjoy procedural discretion in evidence-taking, commonly guided by relevance and materiality and, where adopted, the IBA Rules. Silence in the arbitration agreement does not disable the tribunal from ordering targeted production.

Question 10Arbitration practice and procedure

An arbitrator discovers that her former law firm represented the claimant in an unrelated matter three years ago. She discloses this to the parties. Which statement best reflects the applicable standard?

  1. Disclosure is unnecessary because the prior representation was unrelated and stale
  2. The arbitrator must resign automatically upon any prior professional contact
  3. The parties must obtain court approval before the arbitrator may continue
  4. The disclosure is prudent because the test is whether circumstances give rise to justifiable doubts as to impartiality or independence Correct answer.

Explanation

The prevailing standard asks whether a reasonable third party would have justifiable doubts about the arbitrator's impartiality or independence. Timely disclosure of potentially relevant facts supports that standard and protects the award from later challenge.

Question 11Arbitration practice and procedure

The parties agree that hearings will be held in City X, but designate City Y as the seat. A dispute arises over which courts may set aside the award. Which answer is correct?

  1. Either set of courts, at the claimant's election
  2. Neither, because the parties created a conflict that invalidates the clause
  3. The courts of City Y, because the seat determines the supervisory jurisdiction Correct answer.
  4. The courts of City X, because hearings took place there

Explanation

The seat is the juridical location of the arbitration and fixes the courts competent to supervise and annul the award. Holding hearings elsewhere is a logistical choice that does not shift supervisory jurisdiction.

Question 12Arbitration practice and procedure

A claimant seeks interim relief from a national court while arbitration is pending. The respondent argues this breaches the arbitration agreement. What is the prevailing position?

  1. Any court application automatically terminates the arbitration agreement
  2. Seeking interim measures from a court is generally compatible with arbitration and does not waive the right to arbitrate Correct answer.
  3. The respondent's objection succeeds because courts lack jurisdiction once arbitration begins
  4. Interim relief is available only if the tribunal has already been constituted

Explanation

Most arbitration laws and institutional rules expressly preserve the parties' right to seek interim measures from courts without waiving the arbitration agreement. Such applications are treated as complementary to, not inconsistent with, arbitration.

Question 13Arbitration practice and procedure

During deliberations, the presiding arbitrator refuses to share a key document with the co-arbitrators and decides the issue alone. Which ground for challenge is most directly engaged?

  1. Non-arbitrability of the subject matter
  2. Lack of jurisdiction ratione temporis
  3. Incapacity of a party at the time of the arbitration agreement
  4. Failure to deliberate collectively and breach of the duty of equal treatment Correct answer.

Explanation

Arbitrators are expected to deliberate together and to give each member a genuine opportunity to participate. A presiding arbitrator who excludes co-arbitrators from decision-making undermines the tribunal's collective function and may support a challenge or an annulment application.

Question 14Arbitration practice and procedure

An award orders the respondent to pay a sum but contains no reasons. The applicable arbitration law requires a reasoned award unless the parties agree otherwise. What is the likely consequence?

  1. The tribunal becomes functus officio and cannot be asked to correct the omission
  2. The award is automatically valid because reasons are never mandatory
  3. The award is valid but the sum is reduced by half
  4. The award may be set aside or refused enforcement for failure to state reasons, subject to any cure or waiver Correct answer.

Explanation

Where the law or rules require reasons, a failure to give them is a recognised ground for setting aside or refusing enforcement, though some laws permit correction or remission to the tribunal. The omission is not automatically fatal if it can be cured.

Question 15Arbitration practice and procedure

A party learns that the sole arbitrator is a shareholder in the claimant company only after the award is issued. What is the best description of the available remedy?

  1. The party may seek to set aside or resist enforcement on grounds of lack of independence, subject to proving it could not have discovered the conflict earlier Correct answer.
  2. The party may appeal to the institution's board on the merits
  3. The party must commence a fresh arbitration before the same arbitrator
  4. The party has no remedy because the award is final

Explanation

Undisclosed conflicts going to independence can ground annulment or resistance to enforcement, particularly where the affected party could not reasonably have discovered the facts earlier. The finality of awards does not insulate them from such limited review.

Question 16Arbitration practice and procedure

The tribunal issues a partial award on liability and reserves quantum. Which statement best describes its effect?

  1. It has no effect until the final award is issued
  2. It is binding on the parties on the issues it decides and may be enforced, while the tribunal retains jurisdiction over reserved matters Correct answer.
  3. It terminates the tribunal's mandate as to all issues
  4. It must be re-litigated in full at the final stage

Explanation

A partial award finally determines the issues it covers and is generally binding and enforceable, while the tribunal remains seized of the reserved issues. It is distinct from an interim or procedural order.

Question 17Arbitration practice and procedure

A contract contains a clause referring disputes to arbitration under the rules of an institution that has since ceased to exist. The clause names no substitute. What is the most likely approach of a court asked to enforce the clause?

  1. The clause may still be enforceable if the parties' intention to arbitrate can be given effect through a substitute procedure Correct answer.
  2. The clause converts into a jurisdiction clause of the seat's courts
  3. The clause is automatically void because the institution no longer exists
  4. The clause is enforceable only if both parties waive the institutional reference

Explanation

Courts generally strive to uphold arbitration agreements and may give effect to the parties' intent by substituting a workable procedure where the designated institution is unavailable. Automatic invalidity is a last resort.

Question 18Arbitration practice and procedure

Which statement correctly describes the tribunal's power to rule on its own jurisdiction?

  1. The tribunal's jurisdictional ruling is final and immune from review
  2. Only a court may decide jurisdiction, so the tribunal must suspend proceedings
  3. The tribunal may rule on a jurisdictional objection, usually as a preliminary question, and its ruling is subject to later judicial review Correct answer.
  4. Jurisdictional objections must be raised only after the final award

Explanation

The competence-competence principle allows the tribunal to rule on its own jurisdiction, often as a preliminary question, while preserving judicial review of that ruling. Objections to jurisdiction must generally be raised promptly.

Question 19Arbitration practice and procedure

In an arbitration with three arbitrators, the parties disagree on the third arbitrator and the institution appoints one. Which statement best describes the usual basis for such appointment?

  1. The institution must leave the seat vacant until the parties agree
  2. The institution must appoint the claimant's nominee to preserve equality
  3. The institution appoints a suitable candidate after considering the parties' proposals and the arbitrator's qualifications Correct answer.
  4. The institution must appoint a national of the respondent's state

Explanation

Where the parties' agreed appointment method fails, institutions typically appoint after considering any proposals and the candidate's suitability and availability. Nationality may be considered but is not a rigid requirement in favour of the respondent.

Question 20Arbitration practice and procedure

A respondent objects that the dispute concerns criminal fraud and is therefore non-arbitrable. Which analysis is most accurate?

  1. The objection succeeds because criminal matters are never arbitrable
  2. The tribunal must refer the arbitrability question to the institution's board
  3. Arbitrability depends on the law of the seat and the applicable rules; many legal systems allow fraud claims to be arbitrated while reserving certain matters to courts Correct answer.
  4. All fraud claims are non-arbitrable as a matter of international public policy

Explanation

Arbitrability is governed primarily by the law of the seat and, at the enforcement stage, by the enforcing state's public policy. Many jurisdictions permit fraud allegations to be arbitrated, while reserving narrow categories such as certain criminal or family matters to courts.

Question 21Arbitration practice and procedure

An award debtor seeks to resist enforcement, arguing that the tribunal misinterpreted the contract. What is the likely outcome?

  1. Refusal is likely because misinterpretation breaches public policy
  2. Refusal is likely because the tribunal exceeded its mandate
  3. The court must remit the award to the tribunal for reinterpretation
  4. Enforcement is likely granted because errors of law or fact are not grounds for refusal under the New York Convention Correct answer.

Explanation

The New York Convention's grounds for refusal are exhaustive and narrow; a court does not review the merits, so contractual misinterpretation is not a basis for refusal. Public policy is reserved for fundamental violations, not ordinary legal error.

Question 22Arbitration practice and procedure

A tribunal issues an order requiring a party to produce privileged documents. The party objects, citing attorney-client privilege under the law of its counsel's jurisdiction. How should the tribunal proceed?

  1. It should determine which privilege rules apply, considering the parties' expectations, the seat, and any agreed rules, and then rule on the objection Correct answer.
  2. It must always apply the privilege law of the seat without exception
  3. It should overrule any privilege objection because arbitration is private
  4. It must always apply the law of the document holder's jurisdiction

Explanation

Tribunals typically resolve privilege disputes by identifying the most appropriate law, often guided by the IBA Rules and the parties' reasonable expectations, rather than mechanically applying a single law. The ruling must respect the parties' equal treatment.

Question 23Arbitration practice and procedure

After the final award, a party discovers that the tribunal failed to decide one of the claims submitted to it. What is the appropriate course?

  1. Apply to the institution to replace the tribunal
  2. Commence a new arbitration on the omitted claim immediately
  3. Request the tribunal to issue an additional award on the omitted claim within the period allowed by the applicable rules Correct answer.
  4. Do nothing, because the omission is deemed a rejection of the claim

Explanation

Most institutional rules permit a party to request an additional award for claims omitted from the final award within a specified period. This preserves the tribunal's ability to complete its mandate before any annulment application.

Question 24Arbitration practice and procedure

A party seeks enforcement of an award that has been set aside in the seat on the ground that the arbitration agreement was invalid. What is the prevailing approach of courts in other contracting states?

  1. Courts may refuse enforcement, and many will give significant weight to the setting-aside judgment, though the discretion is not uniform Correct answer.
  2. Courts must re-hear the merits to determine validity independently
  3. Courts must refer the matter to the seat's courts for a second review
  4. Courts must enforce the award regardless of the setting-aside judgment

Explanation

Article V(1)(e) permits refusal where the award has been set aside by a competent authority of the seat, and courts generally give weight to that judgment, though enforcement practice varies. The discretion is not absolute and some courts enforce awards annulled abroad in limited circumstances.

Question 25Arbitration practice and procedure

A sole arbitrator accepts an appointment knowing that a party's CEO is a close personal friend and does not disclose it. Which statement best captures the legal significance?

  1. The arbitrator's subjective belief in impartiality is conclusive
  2. Friendship is irrelevant to independence unless financial ties exist
  3. Non-disclosure is cured automatically once the award is issued
  4. The non-disclosure may support a challenge and later annulment because it creates justifiable doubts about independence Correct answer.

Explanation

Close personal relationships can give rise to justifiable doubts about independence, and the failure to disclose them may support a challenge or annulment. The test is objective, not dependent on the arbitrator's subjective belief.

Question 26Arbitration practice and procedure

Which document typically sets out the parties' agreement to arbitrate and the scope of disputes covered?

  1. The arbitration clause in the contract or a separate submission agreement Correct answer.
  2. The tribunal's procedural order on document production
  3. The court's judgment enforcing the eventual award
  4. The arbitrator's curriculum vitae filed with the institution

Explanation

The parties' consent to arbitrate is recorded in the arbitration clause of the underlying contract or in a separate submission agreement concluded after the dispute arises. This document defines the disputes within the tribunal's mandate. Procedural orders and awards come later and operate within that framework.

Question 27Arbitration practice and procedure

What is the standard consequence when a party fails to raise a timely objection that the tribunal lacks jurisdiction?

  1. The institution must refer the matter to a national court before any hearing
  2. The award becomes void regardless of the party's conduct
  3. The tribunal automatically loses its mandate to continue
  4. The objection is generally deemed waived under most arbitration laws and rules Correct answer.

Explanation

Most arbitration laws and institutional rules require a party to object to jurisdiction promptly, typically no later than its first submission on the merits. Failing to do so generally results in waiver of the objection. This promotes efficiency and prevents tactical delay.

Question 28Arbitration practice and procedure

Which of the following best describes the role of institutional arbitration rules?

  1. They eliminate the need for any written arbitration agreement
  2. They function as a binding precedent system for future tribunals
  3. They supersede the mandatory arbitration law of the seat in all circumstances
  4. They provide a procedural framework for administering the arbitration and are incorporated by reference Correct answer.

Explanation

Institutional rules supply a ready-made procedural framework covering appointment, challenges, conduct of proceedings, and costs, and they apply because the parties incorporated them by reference. They operate subject to mandatory provisions of the law of the seat. They do not displace that law or create precedent.

Question 29Arbitration practice and procedure

What is the primary purpose of the terms of reference or first procedural order in an institutional arbitration?

  1. To replace the arbitration agreement with a new contract
  2. To define the issues in dispute and the procedural timetable for the case Correct answer.
  3. To set the fees payable to the arbitrators' home bar associations
  4. To record the tribunal's final decision on the merits

Explanation

Terms of reference or an equivalent first procedural order frame the issues submitted to the tribunal and establish the schedule and conduct of the proceedings. They do not replace the arbitration agreement or decide the merits. They are a case-management tool.

Question 30Arbitration practice and procedure

Which principle generally governs the conduct of evidentiary hearings in international arbitration?

  1. The tribunal must apply the evidence rules of the respondent's home jurisdiction
  2. The tribunal must permit unlimited witness testimony from every party employee
  3. The tribunal may adopt procedures suitable to the case, subject to equal treatment of the parties Correct answer.
  4. The tribunal must follow the civil procedure code of the seat without variation

Explanation

Tribunals are generally free to adopt procedures suited to the dispute, provided they treat the parties equally and give each a fair opportunity to present its case. This flexibility distinguishes arbitration from strict application of national procedural codes. The parties' agreement and mandatory law set the outer limits.

Question 31Arbitration practice and procedure

What does the principle of party autonomy primarily allow in arbitration?

  1. The parties to dispense with any written record of their agreement
  2. The parties to disregard mandatory public policy rules of the seat
  3. The parties to select the judge who will review the award
  4. The parties to choose the seat, language, and procedural rules governing their arbitration Correct answer.

Explanation

Party autonomy lets the parties shape their arbitration, including the seat, language, applicable rules, and number of arbitrators. It operates within limits set by mandatory law and public policy. It does not permit overriding mandatory rules or eliminating written-form requirements where the law demands them.

Question 32Arbitration practice and procedure

Which statement best describes the confidentiality obligation typically assumed by arbitrators?

  1. They owe no confidentiality duty because arbitration is a public process
  2. They may disclose the award to any interested third party without restriction
  3. They may publicly discuss the evidence once the hearings conclude
  4. They must keep the deliberations and case information confidential, subject to legal exceptions Correct answer.

Explanation

Arbitrators are generally bound to keep deliberations and case information confidential, though the scope varies by law and rules and is subject to exceptions such as court challenges or enforcement. Arbitration is not a public process. Disclosure of the award is not free for arbitrators to make at will.

Question 33Arbitration practice and procedure

What is the usual method by which a party initiates arbitration under institutional rules?

  1. By sending an informal letter to the arbitrator without any supporting documents
  2. By filing a request for arbitration with the institution and serving it on the respondent Correct answer.
  3. By requesting the institution to appoint an arbitrator before any claim is stated
  4. By filing a claim form in the national court of the respondent's domicile

Explanation

Commencement typically occurs when the claimant submits a request for arbitration to the institution, containing the parties, the claim, and the relief sought, and serves it on the respondent. This triggers the institution's administrative steps. Filing in court or informal correspondence does not commence institutional arbitration.

Question 34Arbitration practice and procedure

A tribunal issues a procedural order setting a deadline for the respondent's statement of defence. The respondent misses the deadline and later seeks an extension. Which approach is most consistent with sound case management?

  1. The tribunal considers the reasons for delay and may grant a short extension if it does not prejudice the claimant or disrupt the hearing Correct answer.
  2. The tribunal must strike out the defence automatically because a deadline was missed
  3. The tribunal must refer the extension request to the institution for a binding decision
  4. The tribunal should vacate the hearing date and restart the proceedings from the beginning

Explanation

Tribunals have discretion to manage deadlines and should weigh the reasons for delay, prejudice to the other side, and the overall efficiency of the case. Automatic striking out is not required, and a fair opportunity to be heard generally favours a measured extension where no real harm results. Restarting the entire case is disproportionate.

Question 35Arbitration practice and procedure

A party wishes to challenge an arbitrator for alleged bias discovered after the tribunal was constituted. What is the standard procedural path under most institutional rules?

  1. Submit a written challenge to the institution or appointing authority within the time limit, with reasons, before the tribunal decides it Correct answer.
  2. Ask the other party to consent to a new tribunal without any formal challenge
  3. File an immediate court action to remove the arbitrator without notifying the institution
  4. Wait until the final award and raise the bias only in enforcement proceedings

Explanation

Institutional rules typically require a written challenge stating the reasons within a short period after the ground becomes known, with the decision made by the institution or appointing authority. Court involvement usually follows only after that route is exhausted. Raising bias for the first time at enforcement risks waiver.

Question 36Arbitration practice and procedure

In a dispute over the quality of delivered machinery, the tribunal appoints an independent expert to inspect the equipment. Which statement best reflects the tribunal's authority?

  1. The tribunal may appoint the expert and must give the parties an opportunity to comment on the expert's report Correct answer.
  2. The tribunal may rely on the expert's report without disclosing it to the parties
  3. The tribunal must transfer the dispute to a national court for expert determination
  4. The tribunal must obtain the consent of both parties before any expert is appointed

Explanation

Tribunals commonly have power to appoint experts on specific issues, and the parties must be given a fair opportunity to comment on the expert's findings. Consent of both parties is not generally required where the rules confer this power. Concealing the report would breach the right to be heard.

Question 37Arbitration practice and procedure

A claimant in a construction arbitration wants to preserve funds pending the outcome and asks the tribunal for security. Which type of relief is being sought?

  1. A declaratory judgment from the seat's Supreme Court
  2. A request that the institution suspend its own administrative fees
  3. An interim measure in the form of security for costs or a freezing-type order Correct answer.
  4. A final award on the merits of the construction claim

Explanation

Interim measures are provisional orders, such as security for costs or orders preserving assets, issued to protect the effectiveness of the final award. They are not decisions on the merits. Courts and institutions are not the source of such tribunal orders.

Question 38Arbitration practice and procedure

During a hearing, a witness gives testimony that contradicts a document already in the record. What is the most appropriate tribunal response?

  1. Allow the opposing party to cross-examine on the contradiction and weigh the evidence in the award Correct answer.
  2. Exclude the witness's entire testimony without any further examination
  3. Declare the witness in contempt and impose a fine immediately
  4. Refer the discrepancy to the institution for a ruling on credibility

Explanation

Credibility and weight of evidence are matters for the tribunal, which normally permits cross-examination on inconsistencies and resolves conflicts in its reasoning. Automatic exclusion or contempt sanctions are not standard arbitral responses. Institutions do not adjudicate witness credibility.

Question 39Arbitration practice and procedure

A respondent argues that a claim is time-barred under the applicable limitation period. When should the tribunal typically address this issue?

  1. By referring it automatically to the institution's board for decision
  2. By dismissing the claim without any submissions from the parties
  3. As part of the merits or as a preliminary issue, depending on whether it can be efficiently separated Correct answer.
  4. Only after the final award, in enforcement proceedings

Explanation

Limitation is generally a substantive or mixed issue that the tribunal decides, sometimes as a preliminary question if it can be cleanly separated and disposed of efficiently. It is not reserved for enforcement. The parties must be given an opportunity to be heard before any dismissal.

Question 40Arbitration practice and procedure

What is the effect of a tribunal's decision to bifurcate proceedings into liability and quantum phases?

  1. The parties lose the right to present quantum evidence at any stage
  2. The institution must appoint a second tribunal for the quantum phase
  3. The tribunal hears liability first and may proceed to quantum only if liability is established Correct answer.
  4. The tribunal must issue two separate final awards that cannot be enforced together

Explanation

Bifurcation is a case-management decision to determine a threshold issue such as liability before hearing quantum, which can save time and cost. If liability fails, quantum may become unnecessary. It does not require a new tribunal or extinguish the parties' right to present quantum evidence if that phase proceeds.

Question 41Arbitration practice and procedure

A tribunal issues an order for a party to pay a portion of the advance on costs. The party refuses. What is the typical institutional response?

  1. The institution must pay the shortfall from its own reserves
  2. The institution may suspend the proceedings or treat the claim as withdrawn if the costs remain unpaid Correct answer.
  3. The institution must refer the non-payment to the police as a criminal offence
  4. The institution must immediately terminate the arbitration and destroy the file

Explanation

Institutional rules commonly allow the institution to suspend the arbitration, set a deadline, and ultimately treat the claim as withdrawn if the required advance on costs is not paid. This protects the financial viability of the process. Criminal referral and institutional subsidy are not standard responses.

Question 42Arbitration practice and procedure

A party requests that the tribunal order a non-party to produce documents. Which statement best reflects the general position?

  1. The tribunal's power over non-parties is limited and may require court assistance in the seat Correct answer.
  2. The tribunal may fine any non-party directly for refusing to produce documents
  3. The tribunal may order the non-party's arrest for contempt
  4. The tribunal has unlimited global power to compel production from any third party

Explanation

Arbitral tribunals derive authority from the parties' agreement and generally lack direct coercive power over non-parties. Obtaining documents from third parties often requires the assistance of a court in the seat or where the documents are located. Tribunals cannot arrest or directly fine non-parties for contempt.

Question 43Arbitration practice and procedure

A tribunal must decide which law governs the substance of a contract containing no choice-of-law clause. Which approach is most consistent with common arbitral practice?

  1. Apply the personal law of the presiding arbitrator by default
  2. Apply no national law and decide purely on general fairness
  3. Apply the law determined by the conflict-of-laws rules the tribunal considers applicable, often the law of the seat or the closest connection Correct answer.
  4. Apply whichever law the claimant prefers without considering the respondent

Explanation

Absent a choice-of-law clause, tribunals commonly apply the conflict rules they deem appropriate, frequently leading to the law of the seat or the law most closely connected to the contract. The arbitrator's personal law and the claimant's preference are not legitimate default criteria. Deciding purely on fairness would disregard applicable law.

Question 44Arbitration practice and procedure

An arbitrator is appointed by a party and, during the proceedings, repeatedly communicates privately with that party about strategy. What is the most serious concern this raises?

  1. It is harmless provided the arbitrator ultimately votes in the other party's favour
  2. It is acceptable because party-appointed arbitrators represent their appointing party
  3. It undermines the arbitrator's impartiality and independence, potentially grounding a challenge and later annulment Correct answer.
  4. It is permitted if the arbitrator discloses the communications only after the award

Explanation

Under modern practice, all arbitrators must be impartial and independent, and private strategic communications with one party breach that duty. Such conduct can support a challenge and later annulment or refusal of enforcement. Party-appointed arbitrators are not advocates for their appointing party, and late disclosure does not cure the defect.

Question 45Arbitration practice and procedure

A tribunal issues an award that orders specific performance of a contract for the sale of unique artwork. What is the principal enforcement consideration for the winning party?

  1. The award must be re-litigated on the merits in every enforcing state
  2. Enforcement depends on whether the remedy is available and not contrary to public policy in the enforcing jurisdiction Correct answer.
  3. The award is automatically unenforceable because it is not a money judgment
  4. The award can only be enforced in the seat of arbitration

Explanation

Non-monetary remedies such as specific performance can be enforced, but the enforcing court may examine whether the relief is available in its own law or contrary to public policy. There is no general rule that only money awards are enforceable. Enforcement is not confined to the seat and does not involve full re-litigation.

Question 46Arbitration practice and procedure

A sole arbitrator is approached by the respondent's counsel at a social event and asked how the tribunal is likely to view a key document. The arbitrator gives an informal view. What is the best characterization of this conduct?

  1. It is proper because arbitrators are free to discuss the merits outside hearings
  2. It is proper because informal guidance helps the parties settle
  3. It creates an appearance of pre-judgment and should be avoided, even if the arbitrator's view is preliminary Correct answer.
  4. It is proper provided the claimant is later told the same view

Explanation

Arbitrators should avoid discussing the merits with one party outside the presence of the other, because it creates an appearance of pre-judgment and unequal access. Even a preliminary view can compromise the arbitrator's perceived impartiality. Informing the claimant later does not cure the ex parte nature of the exchange.

Question 47Arbitration practice and procedure

A tribunal seated in a jurisdiction whose law allows broad discovery issues an order compelling production of documents located abroad. The party resisting argues foreign law prohibits disclosure. How should the tribunal proceed?

  1. Automatically refuse production whenever any foreign law is invoked
  2. Refer the entire dispute to the foreign state's courts for resolution
  3. Automatically order production because the seat's law always prevails extraterritorially
  4. Weigh the relevance and materiality of the documents against the foreign law restriction and consider whether a court in the seat can assist Correct answer.

Explanation

Tribunals commonly balance the relevance and importance of the requested documents against genuine legal obstacles in the place where they are held, and may seek court assistance in the seat. Automatic refusal or automatic compulsion ignores the competing considerations. The dispute itself is not transferred to a foreign court.

Question 48Arbitration practice and procedure

A tribunal discovers that one of its members failed to disclose a prior professional relationship with a key witness. What is the most appropriate course of action?

  1. Continue silently because the relationship concerns a witness rather than a party
  2. Disclose the relationship promptly to the parties and consider whether the arbitrator should withdraw or the tribunal should continue after their informed input Correct answer.
  3. Immediately issue the final award before the parties can object
  4. Ask the institution to appoint a replacement without informing the parties of the reason

Explanation

Undisclosed relationships affecting impartiality, including those with key witnesses, should be disclosed promptly so the parties can assess the situation and decide whether to challenge. Silence risks annulment or refusal of enforcement later. Unilateral replacement without explanation deprives the parties of the chance to respond.

Question 49Arbitration practice and procedure

A party seeks to resist enforcement of an award on the basis that the tribunal refused to admit evidence that the party considers decisive. Which analysis is most sound?

  1. The refusal is generally not a ground for refusal of enforcement unless it deprived the party of a fair opportunity to present its case Correct answer.
  2. Any refusal to admit evidence automatically constitutes a violation of due process
  3. The award is void because tribunals must admit all offered evidence
  4. The enforcing court must rehear the evidence to decide whether it was decisive

Explanation

Tribunals have broad discretion over the admissibility and weight of evidence, and enforcement courts do not second-guess evidentiary rulings unless the party was denied a fair opportunity to present its case. There is no rule requiring admission of all evidence. Enforcing courts do not conduct a fresh evidentiary hearing.

Question 50Arbitration practice and procedure

In an arbitration involving multiple contracts and multiple parties, one respondent objects that it never signed the arbitration agreement but is bound through a chain of assignments. What is the tribunal's best approach?

  1. Determine whether the objecting party is bound by examining the assignment chain and applicable law as part of its jurisdiction analysis Correct answer.
  2. Assume the party is bound because it participated in performance of the contract
  3. Decline jurisdiction automatically because the party did not sign any document
  4. Refer the entire question to the institution's secretary general for a binding ruling

Explanation

Whether a non-signatory is bound through assignment, succession, or group-of-companies reasoning is a jurisdictional question the tribunal decides by examining the relevant documents and applicable law. Automatic refusal or automatic assumption both oversimplify. Institutions generally do not make binding determinations of jurisdiction.