Annual Report 2009 - Chartered Institute of Arbitrators
Annual Report 2009 - Chartered Institute of Arbitrators Annual Report 2009 - Chartered Institute of Arbitrators
Annual Report 2009training courses delivered by their branch may apply to theEducation and Training Team for inclusion on the Institute’sApproved Faculty List. The Faculty Regulations provide forthe establishment of a panel, comprising the Director ofResearch and Development, a member of the Educationand Membership Committee and a member of the ExamBoard, which is to review the applications for inclusion onthe Approved Faculty List. Applications for inclusion on theApproved Faculty List that were received during the yearhave been reviewed in accordance with the procedure laiddown in the Faculty Regulations and additional membershave been included on the Approved List. A copy of theFaculty Regulations and a copy of the Approved Faculty Listare available on the Institute’s website.■PRACTICE AND STANDARDS COMMITTEEChairman: Alan LimburyIn January 2009, the incoming President, John CampbellQC, succeeded Teresa Cheng as a member, ex officio, ofthe Practice and Standards Committee and its subcommittees.During the year, Christopher Dancaster retiredfrom the committee in light of his elevation to Chair of theWorshipful Company of Arbitrators. The committee recordedits thanks to Christopher for all his contributions and hardwork given to the committee over a long period. David Milesjoined the committee but left soon thereafter, havingaccepted a position in the Territorial Army as an officer in theEngineer and Staff Logistics Corps. Nicholas Gould joinedthe committee and became Chair of the newly establishedAdjudication Sub-Committee.Hence by the end of the year, the committee wasconstituted as follows: Alan Limbury (Australia) (Chairman),Andrew Bartlett (UK), Michael Cover (UK), Nicholas Gould(UK), Giovanni De Berti (Italy), Thomas Halket (USA), Wolfvon Kumberg (UK), Giovanna Kwong (Hong Kong), AdamSamuel (UK), Chong Thaw Sing (Malaysia), John Wright (UK)and John Campbell QC (President) (ex officio).During the year, there were two face to face meetings andtwo telephone conference meetings of the committee.Throughout 2009, technical difficulties prevented use by thecommittee and its sub-committees of secure electronicchatrooms. The Med-Arb Working Group was particularlyaffected since this had been its only method of communication.The learned articles and papers it had gathered and storedelectronically were no longer accessible.During 2009, the committee:◆ amended the Institute’s Code of Professional and EthicalConduct for Members (available in the “MembershipRules and Regulations” section of the Institute’s website);◆ adopted a Model Mediation Agreement prepared by theMediation Sub-Committee (available in the “Model ContractClauses and Agreements” section of the website);◆ approved draft Rules for a UK Family Law ArbitrationScheme, on which the Arbitration Sub-Committee hadcommented;◆ agreed that it is appropriate that the Institute createsDispute Boards and form DRB panels;◆ referred to the Mediation Sub-Committee the questionwhether there should be a distinct mediation evidentiaryprivilege;◆ approved revisions to Guideline 12: “The Proceeds ofCrime Act 2002: guidance for third-party disputeresolvers” (available in the “List of Guidelines andProtocols” section of the website);◆ set a timetable for the revision of other guidelines;◆ agreed that the Arbitration Sub-Committee should proceedwith the “Compleat Arbitrator” project (addressing issueslikely to be encountered and how an accomplishedarbitrator might handle them) and should produce draft“fast track” Arbitration Rules, with commentary.The committee suggested that branches be informed by theExecutive of any significant forthcoming publications, suchas the compendium for the mediation symposium, andinvited to indicate in advance the number of copies theywould like, which the branches could use for their ownevents and to attract new members.The Arbitration Sub-Committee, chaired by John Wright andthe Mediation Sub-Committee, chaired by Giovanni De Berti,continued their respective two year work programmes asapproved by the Board of Management in 2008.My thanks go to all members, past and present, of thecommittee, its sub-committees and the Working Group, andto the Committee Secretary, Obi Opara, the 2009 President,John Campbell QC, and the Director General, MichaelForbes Smith, for their contributions.■Page 08CIArb Annual Report 2009: Reports from the Boards, Committees and Executive – Practice and Standards Committee
Annual Report 2009ASSESSMENT AND EXAMINATIONS BOARDChairman: Ian TrushellThe Assessment and Examinations Board held three meetingsin 2009 in February, June and October.The core members were: John Sims, Pauline Makepeace,Elena Blanco, Joe Behan, Paul Marrow and Charles Brown.Teresa Giovannini stood down from the board. Robert Juniperand Domitille Baizeau joined the board.During 2009, the board:◆ approved candidates’ regulations◆ dealt with complaints◆ considered appeals from candidates◆ agreed a policy for candidate feedback◆ rejected a proposal to merge with the Education andMembership Board◆ changed the format of the Award Writing examination◆ agreed an open/closed book policy for the variousexaminations◆ considered faculty regulations◆ approved a disability policy◆ considered mitigating circumstances affecting candidates’performance◆ considered updates on branch training and assessmentissues■THE PROFESSIONAL CONDUCT COMMITTEE (PCC)Chairman: Arthur HarverdAt the beginning of the year, the Professional ConductCommittee (PCC) comprised: CIArb members ArthurHarverd (Chairman), Sir Philip Otton QC, Eugen Salpius, NeilKaplan CBE, QC, Michel Kallipetis QC, Tony Canham andMark Entwistle and lay members Olivia Morrison Lyons, NeilMenzies and Martin Dudley.Tony Marks, the Institute’s Director of Legal Services, is thelegal adviser to the committee and Sandra Greenaway ofthe Institute’s legal department acts as the secretary.Neil Kaplan retired from the committee during the course ofthe year after eight years of distinguished service. Sir PhilipOtton will also be retiring from the committee at the end ofMarch 2010 after even longer and equally distinguishedservice. As former senior members of the judiciary in HongKong and England and Wales respectively, their wise judicialexperience has been of invaluable assistance to themembers of the committee who wish to record their heartfeltthanks to them both.There have been eleven new cases of alleged misconductduring the year. Five of these were investigated andconcluded in 2009, four cases have been carried forward forinvestigation in 2010 and two cases are pending theoutcome of investigations by the member’s primaryprofessional body. No complaints have been referred to adisciplinary tribunal. In addition, the PCC has had to revisitfour cases of alleged misconduct that have previously beeninvestigated, due to further correspondence received fromthe complainants in relation to the matter.As previously noted, the majority of complaints are made bydisappointed parties seeking to appeal the arbitrator’s awardby means of a personal attack on the ability andcompetence of the arbitrator. Other complaints concernpoor standards and a failure by the member to demonstrateto the losing disputant that the case advanced has beenproperly considered.Complaints arising from panel schemes are by far the mostcommon. Under the regulations, where the committee considersthat a member has not misconducted himself or herself butthe standard of the Award can be improved, the membermay be referred to a Peer Review Panel for assessment andguidance. The committee is pleased that PRPs have nowbeen established throughout the regions and this willundoubtedly assist in the further enhancement of the standardsof members who act as dispute resolvers.■CIArb Annual Report 2009: Reports from the Boards, Committees and Executive – Assessment and Examinations Board/PCCPage 09
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<strong>Annual</strong> <strong>Report</strong> <strong>2009</strong>ASSESSMENT AND EXAMINATIONS BOARDChairman: Ian TrushellThe Assessment and Examinations Board held three meetingsin <strong>2009</strong> in February, June and October.The core members were: John Sims, Pauline Makepeace,Elena Blanco, Joe Behan, Paul Marrow and Charles Brown.Teresa Giovannini stood down from the board. Robert Juniperand Domitille Baizeau joined the board.During <strong>2009</strong>, the board:◆ approved candidates’ regulations◆ dealt with complaints◆ considered appeals from candidates◆ agreed a policy for candidate feedback◆ rejected a proposal to merge with the Education andMembership Board◆ changed the format <strong>of</strong> the Award Writing examination◆ agreed an open/closed book policy for the variousexaminations◆ considered faculty regulations◆ approved a disability policy◆ considered mitigating circumstances affecting candidates’performance◆ considered updates on branch training and assessmentissues■THE PROFESSIONAL CONDUCT COMMITTEE (PCC)Chairman: Arthur HarverdAt the beginning <strong>of</strong> the year, the Pr<strong>of</strong>essional ConductCommittee (PCC) comprised: CIArb members ArthurHarverd (Chairman), Sir Philip Otton QC, Eugen Salpius, NeilKaplan CBE, QC, Michel Kallipetis QC, Tony Canham andMark Entwistle and lay members Olivia Morrison Lyons, NeilMenzies and Martin Dudley.Tony Marks, the <strong>Institute</strong>’s Director <strong>of</strong> Legal Services, is thelegal adviser to the committee and Sandra Greenaway <strong>of</strong>the <strong>Institute</strong>’s legal department acts as the secretary.Neil Kaplan retired from the committee during the course <strong>of</strong>the year after eight years <strong>of</strong> distinguished service. Sir PhilipOtton will also be retiring from the committee at the end <strong>of</strong>March 2010 after even longer and equally distinguishedservice. As former senior members <strong>of</strong> the judiciary in HongKong and England and Wales respectively, their wise judicialexperience has been <strong>of</strong> invaluable assistance to themembers <strong>of</strong> the committee who wish to record their heartfeltthanks to them both.There have been eleven new cases <strong>of</strong> alleged misconductduring the year. Five <strong>of</strong> these were investigated andconcluded in <strong>2009</strong>, four cases have been carried forward forinvestigation in 2010 and two cases are pending theoutcome <strong>of</strong> investigations by the member’s primarypr<strong>of</strong>essional body. No complaints have been referred to adisciplinary tribunal. In addition, the PCC has had to revisitfour cases <strong>of</strong> alleged misconduct that have previously beeninvestigated, due to further correspondence received fromthe complainants in relation to the matter.As previously noted, the majority <strong>of</strong> complaints are made bydisappointed parties seeking to appeal the arbitrator’s awardby means <strong>of</strong> a personal attack on the ability andcompetence <strong>of</strong> the arbitrator. Other complaints concernpoor standards and a failure by the member to demonstrateto the losing disputant that the case advanced has beenproperly considered.Complaints arising from panel schemes are by far the mostcommon. Under the regulations, where the committee considersthat a member has not misconducted himself or herself butthe standard <strong>of</strong> the Award can be improved, the membermay be referred to a Peer Review Panel for assessment andguidance. The committee is pleased that PRPs have nowbeen established throughout the regions and this willundoubtedly assist in the further enhancement <strong>of</strong> the standards<strong>of</strong> members who act as dispute resolvers.■CIArb <strong>Annual</strong> <strong>Report</strong> <strong>2009</strong>: <strong>Report</strong>s from the Boards, Committees and Executive – Assessment and Examinations Board/PCCPage 09
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