5주차 ICC중재 I (중재절차의 개시, 중재판정부) 1. 중재절차의 개시 (Article 4 to Article 6) 1) 용어정리 1 Court : 중재법원 (일반적인 법원이 아님, 사건의 심리와 판단기능 없는 관리기 구) 2 Tribunal : 중재판정부 (3인 또는 1인의 arbitrator가 사건을 판결이 아니라 판정) 3 Secretariat : 사무국 4 Advance : 예납금 (advance payment는 선수금) 5 Arbitration Agreement : 중재합의 (중재합의도 일종의 계약이므로 Agreement 사용) 6 Additional Party : 추가 당사자 7 Terms of Reference (TOR) : 중재위탁요지서 8 Challenge : 중재인 기피 ( nomination / confirmation / appointment / challenge / replacement ) 9 Competence - Competence : 중재인의 자기권한심사 (=Kompentenz - Kompentenz) 10 Alter Ego Theory (Doctrine) : 법인격 부인론 (=Piercing the Corporate Veil) 11 The Group of Companies Theory : 기업집단 이론 12 Separability : 중재조항 독립의 원칙 (= Independence, Autonomy) 2) 제4조 중재개시 Article 4 (1) A party wishing to have recourse to arbitration under these Rules shall submit its Request for Arbitration (the Request ) to the Secretariat, which shall notify the Claimant and Respondent of the receipt of the Request and the date of such receipt Article 4 (2) The date on which the Request is received by the Secretariat shall, for all purposes, be deemed to be the date of the commencement of the arbitral proceedings. Article 4 (3) The Request shall, inter alia, contain the following information: a) the name in full, description and address of each of the parties; b) a description of the nature and circumstances of the dispute giving rise to the claim(s); 국제상사중재특강 강의안 페이지 31
c) a statement of the relief sought, including, to the extent possible, an indication of any amount(s) claimed; d) the relevant agreements and, in particular, the arbitration agreement; e) all relevant particulars concerning the number of arbitrators and their choice in accordance with the provisions of Articles 8, 9 and 10, and any nomination of an arbitrator required thereby; and f) any comments as to the place of arbitration, the applicable rules of law and the language of the arbitration. Article 4 (4) Together with the Request, the Claimant shall submit the number of copies thereof required by Article 3(1) and shall make the advance payment on administrative expenses required by Appendix III ( Arbitration Costs and Fees ) in force on the date the Request is submitted. In the event that the Claimant fails to comply with either of these requirements, the Secretariat may fix a time limit within which the Claimant must comply, failing which the file shall be closed without prejudice to the right of the Claimant to submit the same claims at a later date in another Request. Article 4 (5) The Secretariat shall send a copy of the Request and the documents annexed thereto to the Respondent for its Answer to the Request once the Secretariat has sufficient copies of the Request and the required advance payment. Article 4 (6) When a party submits a Request in connection with a legal relationship in respect of which arbitration proceedings between the same parties are already pending under these Rules, the Court may, at the request of a party, decide to include the claims contained in the Request In the pending proceedings provided that the Terms of Reference have not been signed or approved by the Court. Once the Terms of Reference have been signed or approved by the Court, claims may only be included in the pending proceedings subject to the provisions of Article 19. 3) 제5조 Article 5 (1) Within 30 days from the receipt of the Request from the Secretariat, the 국제상사중재특강 강의안 페이지 32
Respondent shall file an Answer (the Answer ) which shall, inter alia, contain the following information: a) its name in full, description and address; b) its comments as to the nature and circumstances of the dispute giving rise to the claim(s); c) its response to the relief sought; d) any comments concerning the number of arbitrators and their choice in light of the Claimant s proposals and in accordance with the provisions of Articles 8, 9 and 10, and any nomination of an arbitrator required thereby; and e) any comments as to the place of arbitration, the applicable rules of law and the language of the arbitration. Article 5 (2) The Secretariat may grant the Respondent an extension of the time for filing the Answer, provided the application for such an extension contains the Respondent s comments concerning the number of arbitrators and their choice and, where required by Articles 8, 9 and 10, the nomination of an arbitrator. If the Respondent fails to do so, the Court shall proceed in accordance with these Rules. Article 5 (3) The Answer shall be supplied to the Secretariat in the number of copies specified by Article 3(1). Article 5 (4) A copy of the Answer and the documents annexed thereto shall be communicated by the Secretariat to the Claimant. Article 5 (5) Any counterclaim(s) made by the Respondent shall be filed with its Answer and shall provide: a) a description of the nature and circumstances of the dispute giving rise to the counterclaim(s); and b) a statement of the relief sought, including, to the extent possible, an indication of any amount(s) counterclaimed. 국제상사중재특강 강의안 페이지 33
Article 5 (6) The Claimant shall file a reply to any counter claim within 30 days from the date of receipt of the counterclaim(s) communicated by the Secretariat. The Secretariat may grant the Claimant an extension of time for filing the reply. 4) 제6조 Article 6 (1) Where the parties have agreed to submit to arbitration under the Rules, they shall be deemed to have submitted ipso facto to the Rules in effect on the date of commencement of the arbitration proceedings, unless they have agreed to submit to the Rules in effect on the date of their arbitration agreement. Article 6 (2) If the Respondent does not file an Answer, as provided by Article 5, or if any party raises one or more pleas concerning the existence, validity or scope of the arbitration agreement, the Court may decide, without prejudice to the admissibility or merits of the plea or pleas, that the arbitration shall proceed if it is prima facie satisfied that an arbitration agreement under the Rules may exist. In such a case, any decision as to the jurisdiction of the Arbitral Tribunal shall be taken by the Arbitral Tribunal itself. If the Court is not so satisfied, the parties shall be notified that the arbitration cannot proceed. In such a case, any party retains the right to ask any court having jurisdiction whether or not there is a binding arbitration agreement. Article 6 (3) If any of the parties refuses or fails to take part in the arbitration or any stage thereof, the arbitration shall proceed notwithstanding such refusal or failure. Article 6 (4) Unless otherwise agreed, the Arbitral Tribunal shall not cease to have jurisdiction by reason of any claim that the contract is null and void or allegation that it is non-existent, provided that the Arbitral Tribunal upholds the validity of the arbitration agreement. The Arbitral Tribunal shall continue to have jurisdiction to determine the respective rights of the parties and to adjudicate their claims and pleas even though the contract itself may be non-existent or null and void. 5) Prima facie (1) 라틴어에서 나온 단어로 on its first appearance by first instance at first view 의 의 국제상사중재특강 강의안 페이지 34
미를 가진 단어로 관습법에서 어떤 명제나 사실을 증명하는데 충분한 근거를 뜻함 (2) 대부분의 소송절차에서 소송당사자들(원고 또는 피고) 중 한쪽은 입증책임을 지게 되 는데, 입증책임이란 당사자가 소송에 필요한 모든 사실들의 prima facie 증거를 제출 하는 것임. 만약 prima facie 증거를 제출하지 못하면 상대방에 의한 반응이 없어도 그 당사자의 주장은 기각되고, prima facie 증거를 제출하게 되면 상대방에서반박 증 거를 제시하거나 확증적인 변호를 하지 못하면 prima facie 증거를 제시한 쪽이 우세 하게 됨 6) ICC중재규칙 비교: 1998 Rules vs 2012 Rules (1) ICC는 98년에 개정된 현행 중재규칙을 13년만에 개정하여 2011.9.12일 개정 중 재규칙 발표 (2) ICC 중재위원회 산하에 구성된 41개국, 175명의 Task Force의 의견을 반영하여 완성 (3) 2012.1.1일부터 발효되며, 원칙적으로 발효일 이후에 개시되는 중재절차에 적용 1 투자자 국가간 중재에도 ICC 중재규칙 적용 명시 (제1조 제2항) 2 ICC 중재규칙에 따른 중재의 독점관리 (제1조 제2항, 제6조 제2항) 3 분쟁액 특정의무 (제4조 제3항, 제5조 제5항) 4 다수당사자, 다수의 계약 및 중재절차의 병합에 관한 규정 상세화 (제7조 내지 제10조) 5 사건관리회의(Case management conference) 조기 개최의 의무화 6 명확성 제고를 위해 비밀유지명령(Confidentiality Order)에 관한 규정을 신설 7 투명성 제고를 위하여 심리종결시 중재판정 예정일을 고지하도록 한 점 8 최근의 실무상 요구를 반영하여 임시적 처분을 위한 긴급중재인 제도 신설 (4) ICC 통계에 따르면 2010년 중재사건 중 약 10%가 국가 또는 공기관이 당사자였을 정도로 최근 10년간 투자자-국가간 중재사건 급증 (5) Business Disputes를 Disputes로 개정하여 투자자-국가중재에도 적용할 수 국제상사중재특강 강의안 페이지 35
있도록 개정 (6) ICC가 관할하는 중재사건이 상업적 성격을 가진 분쟁에만 한정되지 않는다는 점을 분명하게 명시 (7) ICC 중재규칙에 따라 중재를 하되, 실제 중재의 관리는 ICC가 아닌 다른 중재기 관이 하도록 하는 소위 하이브리드 중재합의가 이슈 (8) ICC 중재규칙에 따라 SIAC에서 중재한다 는 중재합의를 하는 경우 싱가폴 국제 중재센터(SIAC)가 중재를 관리할 수 있는가 (2009년 싱가폴 법원은 이러한 중재 합의도 유효하다고 인정) (9) 개정규칙에서 ICC 중재법원만이 ICC 중재규칙에 따라 판정을 검토 및 승인하고 중재를 관리할 권한을 가진유일한 기관이라는 점을 선언(제1조 제2항)하고, ICC 중재규칙에 따라 중재하기로 합의하면 당사자들은 ICC 법원이 중재를 관리하는 것에 동의한 것이라고 명시(제6조 제2항). (10) 분쟁액은 당사자들이 예납하여야 할 중재비용을 결정할 뿐만 아니라, 중재절차 및 일정을 수립하는 데에도 중요한 고려 요소 (11) 이전규칙에서는 청구액을 표시할 것 만을 요구하였으나, 개정규칙에서는 중재신 국제상사중재특강 강의안 페이지 36
청서에서 금전 채권의 경우에는 그 액수를, 기타의 채권의 경우에는 이를 금전으 로 환산한 가치의 추정액을 기재 (12) 이 규정은 반대신청서에도 준용(제5조 제5항) 2. 중재판정부 (Article 7 to Article 12) 1) 제7조 총칙 (1) 중재인의 독립성(제7조 제1항) 1 [1998] Every arbitrator must be and remain independent of the parties involved in the arbitration 2 [2012 제11조 제1항] Every arbitrator must be and remain impartial and independent of the parties involved in the arbitration 3 2012년 개정에서 공정성에 대하여 명문화 4 UNCTRAL 중재규칙 6조 7항과의 동일 맥락으로 이해 가능 5 공정(impartial)의 의미: 중재법이나 중재규칙 또는 국제협약에서 중재인의 공정성이 나 독립성의 개념에 대하여 규정하고 있지 않음 그 개념이 모호함, 공평성, 불편 부당성 등의 의미로 해석 6 중립성(Neutrality, 주로 양당사자와 다른 국적을 의미)과 구별 (2) 중재인 후보자의 고지의무(제7조 제2항) 1 [1998] Before appointment or confirmation, a prospective arbitrator shall sign a statement of independence and disclose in writing to the Secretariat any facts or circumstances which might be of such a nature as to call into question the arbitrator s independence in the eyes of the parties. The Secretariat shall provide 국제상사중재특강 강의안 페이지 37
such information to the parties in writing and fix a time limit for any comments from them. 2 [2012 제11조 제2항] Before appointment or confirmation, a prospective arbitrator shall sign a statement of acceptance, availability, impartiality, independence. The prospective arbitrator shall disclose in writing to the Secretariat any facts or circumstances which might be of such a nature as tocall into question the arbitrator s independence in the eyes of the parties, as well as any circumstances that could give rise to reasonable doubts as to the arbitrator s impartiality. The Secretariat shall provide such information to the parties in writing and fix a time limit for any comments from them. 3 서명 진술서 내용 변경 4 고지의무의 중요성 고지받고 이의 제기 안 할 경우 승인하는 효과 5 수락의사, 이용가능성, 공정성, 독립성 4가지를 서면으로 진술하여 제출 (3) 중재 중 사후 고지 (제7조 제3항) 1 [1998] An arbitrator shall immediately disclose in writing to the Secretariat and to the parties Any facts or circumstances of a similar nature which may arise during the arbitration 2 [2012 제11조 제3항] An arbitrator shall immediately disclose in writing to the Secretariat and to the parties Any facts or circumstances of a similar nature to those referred to in Article 11(2) concerning impartiality or independence which may arise during the arbitration. 3 중재 중 고지의 내용 명시 (4) 중재법원의 결정(제7조 제4항) 1 The decisions of the Court as to the appointment, confirmation, challenge or replacement of an arbitrator shall be final and the reasons for such decisions shall not be communicated 국제상사중재특강 강의안 페이지 38
2 [2012 제11조 제4항] 변동 없음 (5) 중재인의 수락 (제7조 제5항) 1 [1998] By accepting to serve, every arbitrator undertakes to carry out his responsibilities in accordance with these Rules 2 [2012 제 11조 제5항] By accepting to serve, arbitrators undertake to carry out their responsibilities in accordance with these Rules. (6) 중재판정부의 구성(제7조 제6항) 1 [1998] Insofar as the parties have not provided otherwise, the Arbitral Tribunal shall be constituted in accordance with the provisions of Articles 8, 9 and 10 2 [2012 제11조 제6항] Insofar as the parties have not provided otherwise, the arbitral tribunal shall be constituted in accordance with the provisions of Articles 12 and 13. 2) 제8조 중재인의 수 (1) 단독 중재 vs 3인 중재 (8조 1항) 1 The disputes shall be decided by a sole arbitrator or by three arbitrators. 2 [2012 제12조 제1항] 변동 없음 (2) 쌍방 합의 불가시 단독중재 중심(8조 2항) 1 [1998] Where the parties have not agreed upon the number of arbitrators, the Court shall appoint a sole arbitrator, save where it appears to the Court that the dispute is such as to warrant the appointment of three arbitrators. In such case, the Claimant shall nominate an arbitrator within a period of 15 days from the receipt of the notification of the decision of the Court, and the Respondent shall nominate an arbitrator within a period of 15 days from the receipt of the notification of the nomination made by the Claimant. 2 [2012 제12조 제2항] Where the parties have not agreed upon the number of arbitrators, the Court shall appoint a sole arbitrator, save where it appears to the 국제상사중재특강 강의안 페이지 39
Court that the dispute is such as to warrant the appointment of three arbitrators. In such case, the Claimant shall nominate an arbitrator within a period of 15 days from the receipt of the notification of the decision of the Court, and the respondent shall nominate an arbitrator within a period of 15 days from the receipt of the notification of the nomination made by the Claimant. If a party fails to nominate an arbitrator, the appointment shall be made by the Court (3) 쌍방 단독중재 합의(8조 3항) 1 [1998] Where the parties have agreed that the dispute shall be settled by a sole arbitrator, they may, by agreement, nominate the sole arbitrator for confirmation. If the parties fail to nominate a sole arbitrator within 30 days from the date when the Claimant s Request for Arbitration has been received by the other party, or within such additional time as may be allowed by the Secretariat, the sole arbitrator shall be appointed by the Court. 2 [2012 제12조 제3항] Where the parties have agreed that the dispute shall be resolved by a sole arbitrator, may, by agreement, nominate the sole arbitrator for confirmation. If the parties fail to nominate a sole arbitrator within 30 days from the date when the claimant s Request for Arbitration has been received by the other party, or within such additional time as may be allowed by the Secretariat, the sole arbitrator shall be appointed by the Court. 3 settle (If people settle an argument or problem, or if something settles it, they solve it, for example by making a decision about who is right or about what to do.) 시시비비를 가리는 것 4 resolve(to resolve a problem, argument, or difficulty means to find a solution to it.) 해결책을 찾는 것 (4) 쌍방 3인중재 합의(8조 4항) 1 [1998] Where the dispute is to be referred to three arbitrators, each party shall 국제상사중재특강 강의안 페이지 40
nominate in the Request and the Answer, respectively, one arbitrator for confirmation. If a party fails to nominate an arbitrator, the appointment shall be made by the Court. The third arbitrator, who will act as chairman of the Arbitral Tribunal, shall be appointed by the Court, unless the parties have agreed upon another procedure for such appointment, in which case the nomination will be subject to confirmation pursuant to Article 9. Should such procedure not result in a nomination within the time limit fixed by the parties or the Court, the third arbitrator shall be appointed by the Court. 2 [2012 제 12조 제4항] Where the parties have agreed that the dispute shall be resolved by three arbitrators, each party shall nominate in the Request and the Answer, respectively, one arbitrator for confirmation. If a party fails to nominate an arbitrator, the appointment shall be made by the Court. 3 [2012 제 12조 제5항] Where the dispute is to be referred to three arbitrators, the third arbitrator, who will act as president of the arbitral tribunal, shall be appointed by the Court, unless the parties have agreed upon another procedure for such appointment, in which case the nomination will be subject to confirmation pursuant to Article 13. Should such procedure not result in a nomination within 30 days from the confirmation or appointment of the co-arbitrators or any other time limit agreed by the parties or fixed by the Court, the third arbitrator shall be appointed by the Court 4 [2012 제 12조 제6항] 다수당사자: Where there are multiple claimants or multiple respondents, and where the dispute is to referred to three arbitrators, the multiple claimants, jointly, and the multiple respondents, jointly, shall nominate an arbitrator for confirmation pursuant to Article 13. 5 [2012 제 12조 제7항] 추가당사자: Where an additional party has been joined, and where the dispute is to be referred to three arbitrators, the additional party may, jointly with the claimant(s) or with the respondent(s), nominate an arbitrator for confirmation pursuant to Article 13. 6 [2012 제 12조 제8항] 중재법원의 직권: In the absence of a joint nomination 국제상사중재특강 강의안 페이지 41
pursuant to Articles 12(6) or 12(7) and where all parties are unable to agree to a method for the constitution of the arbitral tribunal, the Court may appoint each member of the arbitral tribunal and shall designate one of them to act as president. In such case, the Court shall be at liberty to choose any person it regards as suitable to act as arbitrator, applying Article 13 when it considers this appropriate. 3) 제9조 중재인 선정 및 확인 (1) 중재인 선정 및 확인시 고려사항(9조 1항) 1 [1998] In confirming or appointing arbitrators, the Court shall consider the prospective arbitrator s nationality, residence and other relationships with the countries of which the parties or the other arbitrators are nationals and the prospective arbitrator s availability and ability to conduct the arbitration in accordance with these Rules. The same shall apply where the Secretary General confirms arbitrators pursuant to Article 9(2). 2 [2012 제13조 제1항] In confirming or appointing arbitrators, the Court shall consider the prospective arbitrator s nationality, residence and other relationships with the countries of which the parties or the other arbitrators are nationals and the prospective arbitrator s availability and ability to conduct the arbitration in accordance with the Rules. The same shall apply where the Secretary General confirms arbitrators pursuant to Article 9(2). (2) 사무총장의 확인(9조 2항) 1 [1998] The Secretary General may confirm as co-arbitrators, sole arbitrators and chairmen of Arbitral Tribunals persons nominated by the parties or pursuant to their particular agreements, provided they have filed a statement of independence without qualification or a qualified statement of independence has not given rise to objections. Such confirmation shall be reported to the Court at its next session. If the Secretary General considers that a co-arbitrator, sole arbitrator or chairman of an Arbitral Tribunal should not be confirmed, the matter shall be submitted to the Court. 국제상사중재특강 강의안 페이지 42
2 [2012 제13조 제2항] The Secretary General may confirm as co-arbitrators, sole arbitrators and presidents of arbitral tribunals persons nominated by the parties or pursuant to their particular agreements, provided that the statement they submitted contains no qualification regarding impartiality or independence or that a qualified statement regarding impartiality or independence has not given rise to objections. Such confirmation shall be reported to the Court at its next session. If the Secretary General considers that a co-arbitrator, sole arbitrator or president of an arbitral tribunal should not be confirmed, the matter shall be submitted to the Court. (3) 중재법원의 선정 (9조 3항) 1 [1998] Where the Court is to appoint a sole arbitrator or the chairman of an Arbitral Tribunal, it shall make the appointment upon a proposal of a National Committee of the ICC that it considers to be appropriate. If the Court does not accept the proposal made, or if the National Committee fails to make the proposal requested within the time limit fixed by the Court, the Court may repeat its request or may request a proposal from another National Committee that it considers to be appropriate. 2 적절한 ICC국내위원회의 선정기준 - 국적: 당사자들의 국적과 대리인들의 국적, 3인 중재의 경우, 공동중재인들의 국적도 고려대상. (3인 중재의 경우, 공동중재인들과 의장중재인의 국적은 다르게 하는 것이 일반적) - 중재언어: 중재절차에서 사용될 중재언어에 대한 충분하고 적절한 이해 능력 (adequate working knowledge)을 가지고 있는 것도 고려대상. - 중재지로부터의 근접성: 중재법원은 중재지와 상당히 근접한 곳에 있는 중재인 선호. (예) 중재지가 파리인 경우, 서유럽 국가의 거주하고 있는 후보자 선호. 홍콩인 경우, 아시아 지역에 거주하고 있는 후보자 선호. - 준거법: 중재법원은 중재인으로 대개 법률가(lawyer)를 선정하며, 단독중재인 or 의장 중재인 선정시 계약의 실체적 준거법의 법체계에서 교육을 받았거나 실무경 험을 가진 법률가를 자주 선정하는 경향이 있음. 국제상사중재특강 강의안 페이지 43
3 [2012 제13조 제3항] Where the Court is to appoint an arbitrators, it shall make the appointment upon a proposal of a National Committee or Group of the ICC that it considers to be appropriate. If the Court does not accept the proposal made, or if the National Committee or Group fails to make the proposal requested within the time limit fixed by the Court, the Court may repeat its request, request a proposal from another National Committee or Group that it considers to be appropriate, or appointment directly any person whom it regards as suitable. (4) 국내위원회 없는 국가의 중재인 (9조 4항) 1 [1998] Where the Court considers that the circumstances so demand, it may choose the sole arbitrator or the chairman of the Arbitral Tribunal from a country where there is no National Committee, provided that neither of the parties objects within the time limit fixed by the Court. 2 [2012 제13조 제4항] The Court may also appoint directly to act as arbitrator any person whom it regards as suitable where : a) one or more of the parties is a state or claims to be a state entity ; or b) the Court considers that it would be appropriate to appoint an arbitrator from a country or territory where there is no National Committee or Group ; or c) the President certifies to the Court that circumstances exist which, in the President s opinion, make a direct appointment necessary and appropriate. (5) 단독중재인 및 의장중재인의 국적(9조 5항) 1 [1998] The sole arbitrator or the chairman of the Arbitral Tribunal shall be of a nationality other than those of the parties. However, in suitable circumstances and provided that neither of the parties objects within the time limit fixed by the Court, the sole arbitrator or the chairman of the Arbitral Tribunal may be chosen from a country of which any of the parties is a national 2 [2012 제13조 제5항] The sole arbitrator or the president of the arbitral tribunal shall 국제상사중재특강 강의안 페이지 44
be of a nationality other than those of the parties. However, in suitable circumstances and provided that none of the parties objects within the time limit fixed by the Court, the sole arbitrator or thethe president of the arbitral tribunal may be chosen from a country of which any of the parties is a national. (6) 공동중재인 선정의 경우 (9조 6항) 1 [1998] Where the Court is to appoint an arbitrator on behalf of a party which has failed to nominate one, it shall make the appointment upon a proposal of the National Committee of the country of which that party is a national. If the Court does not accept the proposal made, or if the National Committee fails to make the proposal requested within the time limit fixed by the Court, or if the country of which the said party is a national has no National Committee, the Court shall be at liberty to choose any person whom it regards as suitable. The Secretariat shall inform the National Committee, if one exists, of the country of which such person is a national. 4) 제10조 다수당사자 (1) 다수 당사자의 합동지명(10조 1항) [1998] Where there are multiple parties, whether as Claimant or as Respondent, and where the dispute is to be referred to three arbitrators, the multiple Claimants, jointly, and the multiple Respondents, jointly, shall nominate an arbitrator for confirmation pursuant to Article 9.) (2) 합동지명 실패의 경우(10조 2항) [1998] In the absence of such a joint nomination and where all parties are unable to agree to a method for the constitution of the Arbitral Tribunal, the Court may appoint each member of the Arbitral Tribunal and shall designate one of them to act as chairman. In such case, the Court shall be at liberty to choose any person it regards as suitable to act as arbitrator, applying Article 9 when it considers this appropriate.) (3) 2012 규칙 제3장 국제상사중재특강 강의안 페이지 45
1 계약의 다수 당사자 사이에서 발생하는 분쟁, 동일한 당사자 사이의 다수의 계약에 서 발생하는 분쟁, 제3자의 권리와 의무에 영향을 미치는 분쟁 가능성을 고려하여, 참가, 병합에 관한 새로운 장을 신설 2 당사자 참가 3 다수 계약 4 다수 중재의 병합 5) 제11조 중재인의 기피 (1) 기피신청(11조 1항) 1 [1998] A challenge of an arbitrator, whether for an alleged lack of independence or otherwise, shall be made by the submission to the Secretariat of a written statement specifying the facts and circumstances on which the challenge is based. 2 [2012 제14조 제1항] A challenge of an arbitrator, whether for an alleged lack of impartiality or independence, or otherwise, shall be made by the submission to the Secretariat of a written statement specifying the facts and circumstances on which the challenge is based (2) 기피신청 절차(11조 2항) 1 [1998] For a challenge to be admissible, it must be sent by a party either within 30 days from receipt by that party of the notification of the appointment or confirmation of the arbitrator, or within 30 days from the date when the party making the challenge was informed of the facts and circumstances on which the challenge is based if such date is subsequent to the receipt of such notification. 2 [2012 제14조 제2항] 변동 없음 (3) 기피대상자 서면 의견(11조 3항) 1 [1998] The Court shall decide on the admissibility and, at the same time, if necessary, on the merits of a challenge after the Secretariat has afforded an opportunity for the arbitrator concerned, the other party or parties and any other members of the 국제상사중재특강 강의안 페이지 46
Arbitral Tribunal to comment in writing within a suitable period of time. Such comments shall be communicated to the parties and to the arbitrators. 2 [2012 제14조 제3항] Arbitral Tribunal -> arbitral tribunal 6) 제12조 중재인 교체 (1) 중재인의 교체사유(12조 1항) 1 [1998] An arbitrator shall be replaced upon his death, upon the acceptance by the Court of the arbitrator s resignation, upon acceptance by the Court of a challenge, or upon the request of all the parties. 2 [2012 제15조 제1항] An arbitrator shall be replaced upon death, upon acceptance by the Court of the arbitrator s resignation, upon acceptance by the Court of a challenge, or upon acceptance by the Court of a request of all the parties. (2) 중재법원의 직권 교체(12조 2항) 1 [1998] An arbitrator shall also be replaced on the Court s own initiative when it decides that he is prevented de jure or de facto from fulfilling his functions, or that he is not fulfilling his functions in accordance with the Rules or within the prescribed time limits. 2 [2012 제15조 제2항] An arbitrator shall also be replaced on the Court s own initiative when it decides that the arbitrator is prevented de jure or de facto from fulfilling the arbitrator s functions, or that the arbitrator is not fulfilling those functions in accordance with the Rules or within the prescribed time limits. (3) 직권교체시 서면 의견(12조 3항) 1 [1998] When, on the basis of information that has come to its attention, the Court considers applying Article 12(2), it shall decide on the matter after the arbitrator concerned, the parties and any other members of the Arbitral Tribunal have had an opportunity to comment in writing within a suitable period of time. Such comments shall be communicated to the parties and to the arbitrators. 국제상사중재특강 강의안 페이지 47
2 [2012 제15조 제3항] (4) 중재인 교체시 지명절차 반복 여부(12조 4항) 1 [1998] When an arbitrator is to be replaced, the Court has discretion to decide whether or not to follow the original nominating process. Once reconstituted, and after having invited the parties to comment, the Arbitral Tribunal shall determine if and to what extent prior proceedings shall be repeated before the reconstituted Arbitral Tribunal. 2 [2012 제15조 제4항] (5) 중재판정부의 결원 진행(12조 5항) 1 [1998] Subsequent to the closing of the proceedings, instead of replacing an arbitrator who has died or been removed by the Court pursuant to Articles 12(1) and 12(2), the Court may decide, when it considers it appropriate, that the remaining arbitrators shall continue the arbitration. In making such determination, the Court shall take into account the views of the remaining arbitrators and of the parties and such other matters that it considers appropriate in the circumstances 2 [2012제 15조 제5항] considers appropriate in the circumstances 국제상사중재특강 강의안 페이지 48
7) ICC중재규칙 비교: 1998 Rules vs 2012 Rules <1998 Rules vs 2012 Rules> 국제상사중재특강 강의안 페이지 49