UNCITRAL

UNITED NATIONS C0/<11<\ISSION ON INTERNATIONAL TRADE LAW

Recommendations to assist arbitra instit!tions and ot"er interested bodies #it" re$ard to arbitration !nder t"e UNCITRAL Arbitration R! es
%as re&ised in '010(

Further infonnat;on may he obtained fmm:

U)0*C TRAL secretariat+ ,ienna ntemationa Centre -.O. /o0 100+ 1 2100 3&ienna+ A!s1ria Te e4"one) %3536781( '909086090 Te e:a0) %;6781( '909081717 Intemet) &&<.&&&.!ncitra .or$ E8mai ) !ncitra =!ncitra .or$

UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW

Recommendations to assist arbitral institutions and other interested bodies with re ard to arbitration under the UNCITRAL Arbitration Rules
!as re"ised in #$%$&

UNITED NATIONS
New 'or() #$%*

Trade La#. >arc" '017. A ri$"ts reser&ed+ &&or d#ide.

T"is 4!b ication "as not1)) en :orma ? edited. -!b is"in$ 4rod!ction) En$ is"+ -!b is"in$ and Librar? Section. *nitedations O::ice at ,ienna.

Contents
General Assembly resolution 67/90 Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the Arbitration Rules of the United Nations Commission on nternational !rade "aw as re#ised in $0%0

Page

A& ntroduction .................................................................. ' 1. T"e UNCITRAL Arbitration R! es as re&ised in '010.. 7 '. @enera Assemb ? reso !tion 91/'' .............................. 7 7. -!r4ose o: t"e recommendations ................................... 6 6. Di::erent !sa$es b? arbitra instit!tions and ot"er interested bodies............................................................. 6 (& Ado)tion of the UNC !RA" Arbitration Rules as the institutional rules of arbitral institutions or other interested bodies ........................................................... * 1. A44ea to ea&e t"e s!bstance o: t"e UNCITRAL Arbitration R! es !nc"an$ed ......................................... 1 '. -resentation o: modi:ications ........................................ 1 C& Arbitral institutions and other interested bodies administering arbitration under the UNC !RA" Arbitration Rules or )ro#iding some administrati#e ser#ices.....................................................................

...... 9 1. Administrati&e 4roced!res in con:ormit? #it" t"e UNCITRAL Arbitration R! es....................................... 11 '. O::er o: administrati&e ser&ices .................................... 1' 7. Administrati&e :ee sc"ed! e ........................................... 17 6. Dra:t mode c a!ses........................................................ 16 +& Arbitral institution acting as a))ointing authority... %* 1. Desi$natin$ and a44ointin$ a!t"orities %artic e 9(......... 11 '. A44ointment o: arbitrators............................................. 1A 7. Decision on c"a en$e o: arbitrator................................ '1 6. Re4 acement o: an arbitrator %artic e 16( ....................... '1 1. Assistance in :i0in$ :ees o: arbitrators........................... '' 9. Re&ie# mec"anism %artic e 61(...................................... '7
A. Ad&isor? comments re$ardin$ de4osits ......................... '6

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Resolution ado)ted by the General Assembly [on the report of the Sixth Committee (A/67/46 !" 67/90& Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the Arbitration Rules of the United Nations Commission on nternational !rade "aw as re#ised in $0%0 #he $enera% A&&emb%y+ 'e(a%%ing its reso !tion ''01 %BBI( o: 1A December 1C99+ b? #"ic" it estab is"ed t"e United Nations Commission on Internationa Trade La# #it" t"e 4!r4ose o: :!rt"erin$ t"e 4ro8 $ressi&e "armoniDation and !ni:ication o: t"e a# o: internationa trade in t"e interests o: a 4eo4 es+ in 4artic! ar t"ose o: de&e o48 in$ co!ntries+ 'e(a%%ing a%&o its reso !tions 71/CE o: 11 December 1CA9 and 91/'' o: 9 December '010+ in #"ic" it recommended t"e !se o: t"e Arbitration R! es o: t"e United Nations Commission on Internationa Trade La#+1 'e(ogni)ing t"e &a !e o: arbitration as a met"od o: sett in$ dis4!tes t"at ma? arise in t"e conte0t o: internationa commercia re ations+ *oting t"at t"e Arbitration R! es are reco$niDed as a &er? s!c8 cess:! te0t and are !sed in a #ide &ariet? o:
1

circ!mstances co&8 erin$ a broad ran$e o: dis4!tes+ inc !din$ dis4!tes bet#een 4ri&ate commercia 4arties+ in&estor8State dis4!tes+ State8to8State dis8 4!tes and commercia dis4!tes administered b? arbitra instit!8 tions+ in a 4arts o: t"e #or d+ 'e(ogni)ing t"e &a !e o: t"e 1CE' recommendations to assist arbitra instit!tions and ot"er interested bodies #it" re$ard to arbitration !nder t"e Arbitration R! es as ado4ted in 1CA9+'
1 O::icia Records o: t"e $enera% A&&emb%y+ #hirty, fir&t Se&&ion+ Supp%ement *o- .7 (A//./.7!+ c"a4. ,+ sect. C< and ibid.+ Sixty,fifth Se&&ion+ Supp%ement *o.7 %A/91/1A(+ anne0 I. ' Ibid.+ #hirty,&e0enth Se&&ion+ Supp%ement *o- .7 %A/7A/1A(+ anne0 I.

A%&o re(ogni)ing t"e need :or iss!in$ !4dated recommendations to assist arbitra instit!tions and ot"er interested bodies #it" re$ard to arbitration !nder t"e Arbitration R! es as re&ised in '010+ 1e%ie0ing t"at !4dated recommendations to assist arbitra insti8 t!tions and ot"er interested bodies #it" re$ard to arbitration !nder t"e Arbitration R! es as re&ised in '010 #i si$ni:icant ? en"ance t"e e::icienc? o: arbitration !nder t"e R! es+ *oting t"at t"e 4re4aration o: t"e '01' recommendations to assist arbitra instit!tions and ot"er interested bodies #it" re$ard to arbitration !nder t"e Arbitration R! es as re&ised in '010 #as t"e s!bFect o: d!e de iberation and cons! tations #it" @o&ernments+ arbitra instit!tions and interested bodies+ Con0in(ed t"at t"e recommendations as ado4ted b? t"e Commission at its :ort?8:i:t" session7 are acce4tab e to arbitra instit!tions and ot"er interested bodies in co!ntries #it" di::erent e$a + socia and economic s?stems and can si$ni:icant ? contrib8 !te to t"e estab is"ment o: a "armoniDed e$a :rame#orG :or a :air and e::icient sett ement o: internationa commercia dis4!tes and to t"e de&e o4ment o: "armonio!s internationa economic re ations+ 1. 2xpre&&e& it& appre(iation to t"e United Nations Commission on Internationa Trade La# :or "a&in$ :orm! ated and ado4ted t"e recommendations to assist arbitra instit!tions and ot"er interested bodies #it" re$ard to 10

arbitration !nder t"e Arbitration R! es as re&ised in '010<7 '. 'e(ommend& t"e !se o: t"e recommendations in t"e sett e8 ment o: dis4!tes arisin$ in t"e conte0t o: internationa commer8 cia re ations< 7. 'e3ue&t& t"e Secretar?8@enera to transmit t"e recommen8 dations broad ? to @o&ernments+ #it" a ca :or t"e recommenda8 tions to be made a&ai ab e to arbitra instit!tions and ot"er interested bodies+ so t"at t"e recommendations become #ide ? Gno#n and a&ai ab e< 6. A%&o re3ue&t& t"e Secretar?8@enera to 4!b is" t"e recom8 mendations+ inc !din$ e ectronica ?+ and to maGe a e::orts to ens!re t"at t"e? become $enera ? Gno#n and a&ai ab e. 6th p%enary meeting
.4 4e(ember 56.5

Ibid.+ Sixty,&e0enth Se&&ion+ Supp%ement *o.7 %A/9A/1A(+ anne0 I.

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Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNC !RA" Arbitration Rules ,as re#ised in $0%0A& ntroduction 1. The UNCITRAL Arbitration Rules (as revised in 2010) 1. T"e UNCITRAL Arbitration R! es #ere ori$ina ? ado4ted in 1CA96 and "a&e been !sed :or t"e sett ement o: a broad ran$e o: dis4!tes+ inc !din$ dis4!tes bet#een 4ri&ate commercia 4ar8 ties #"ere no arbitra instit!tion is in&o &ed+ commercia dis4!tes administered b? arbitra instit!tions+ in&estor8State dis4!tes and State8to8 State dis4!tes. T"e R! es are reco$niDed as one o: t"e most s!ccess:! internationa instr!ments o: a contract!a nat!re in t"e :ie d o: arbitration. T"e? "a&e a so stron$ ? contrib!ted to t"e de&e o4ment o: t"e arbitration acti&ities o: man? arbitra instit!tions in a 4arts o: t"e #or d. '. T"e 1CA9 UNCITRAL Arbitration R! es #ere re&ised in '0101 to better con:orm to c!rrent 4ractices in internationa trade and to acco!nt :or c"an$es in arbitra 4ractice o&er t"e 4ast 70 ?ears. T"e re&ision #as aimed at en"ancin$ t"e e::icienc? o: arbitration !nder t"e 1CA9 UNCITRAL Arbitration R! es and did not a ter t"e ori$ina str!ct!re o: t"e te0t+ its s4irit or its dra:tin$ st? e. T"e UNCITRAL Arbitration R! es 1'

as re&ised in '010 "a&e been in e::ect since 11 A!$!st '010. 2. General Assembl resolution !"#22 7. In '010+ t"e @enera Assemb ?+ b? its reso !tion 91/''+ recommended t"e !se o: t"e UNCITRAL Arbitration R! es as re&ised in '010 in t"e sett ement o: dis4!tes arisin$ in t"e conte0t o: internationa commercia re ations. T"at recommendation #as based on t"e con&iction t"at Ht"e re&ision o: t"e Arbitration R! es in a manner t"at is acce4tab e to co!ntries #it" di::erent e$a + socia and economic s?stems can si$ni:icant ? contrib!te to t"e 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ #hirty,fir&t Se&&ion+ Supp%ement *o- .7 %A/71/1A(+ 4ara. 1A. 1 Ibid.+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 (A/6 /.7!+ 4aras. 1781EA and anne0 I.
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17

de&e o4ment o: "armonio!s internationa economic re ations and to t"e contin!o!s stren$t"enin$ o: t"e r! e o: a#I. 6. In t"at reso !tion+ t"e @enera Assemb ? noted t"at Ht"e re&ised te0t can be e04ected to contrib!te si$ni:icant ? to t"e estab is"ment o: a "armoniDed e$a :rame#orG :or t"e :air and e::icient sett ement o: internationa commercia dis4!tesI. $. %ur&ose re(ommendations o' the

1. T"e 4resent recommendations are made #it" re$ard to t"e !se o: t"e UNCITRAL Arbitration R! es. %Jor recommendations on t"e !se o: t"e 1CA9 UNCITRAL Arbitration R! es+ see t"e HRecommendations to assist arbitra instit!tions and ot"er inter8 ested bodies #it" re$ard to arbitrations !nder t"e UNCITRAL Arbitration R! esI+9 ado4ted at t"e :i:teent" session o: UNCITRAL+ in 1CE'.( T"eir 4!r4ose is to in:orm and assist arbi8 tra instit!tions and ot"er interested bodies t"at en&isa$e !sin$ t"e UNCITRAL Arbitration R! es as described in 4ara$ra4" 9 be o#. ). *i''erent usa+es b arbitral institutions and other interested bodies 9. T"e UNCITRAL Arbitration R! es "a&e been !sed in t"e :o o#in$ di::erent #a?s b? arbitra instit!tions and ot"er inter8 ested bodies+ inc !din$ c"ambers o: commerce and trade associations) 16

(a! T"e? "a&e ser&ed as a mode :or instit!tions dra:tin$ t"eir o#n arbitration r! es. T"e de$ree to #"ic" t"e UNCITRAL Arbitration R! es "a&e been !sed as a dra:tin$ mode ran$es :rom ins4iration to :! ado4tion o: t"e R! es %see section / be o#(< (b! Instit!tions "a&e o::ered to administer dis4!tes !nder t"e UNCITRAL Arbitration R! es or to render admin8 istrati&e ser&ices in ad "oc arbitrations !nder t"e R! es %see section C be o#(< ((! An instit!tion %or a 4erson( ma? be reK!ested to act as a44ointin$ a!t"orit?+ as 4ro&ided :or !nder t"e UNCITRAL Arbitration R! es %see section D be o#(. Ibid.+ #hirty,&e0enth Se&&ion+ Supp%ement *o.7 and corri$enda %A/7A/1A and Corr.1 and '(+ anne0 I.
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(& Ado)tion of the UNC !RA" Arbitration Rules as the institutional rules of arbitral institutions or other interested bodies 1. A&&eal to leave the substan(e o' the UNCITRAL Arbitration Rules un(han+ed

A. Instit!tions+ #"en 4re4arin$ or re&isin$ t"eir instit!tiona r! es+ ma? #is" to consider ado4tin$ t"e UNCITRAL Arbitration R! es as a mode . A An instit!tion t"at intends to do so s"o! d taGe into acco!nt t"e e04ectations o: t"e 4arties t"at t"e r! es o: t"e instit!tion #i t"en :ait":! ? :o o# t"e te0t o: t"e UNCITRAL Arbitration R! es. E. T"is a44ea to :o o# c ose ? t"e s!bstance o: t"e UNCITRAL Arbitration R! es does not mean t"at t"e 4artic! ar or$aniDationa str!ct!re and needs o: a $i&en instit!tion s"o! d be ne$ ected. Instit!tions ado4tin$ t"e UNCITRAL Arbitration R! es as t"eir instit!tiona r! es #i certain ? need to add 4ro&isions+ :or instance on administrati&e ser&ices or :ee sc"ed! es. In addition+ :orma modi:ications+ a::ectin$ &er? :e# 4ro&isions o: t"e UNCITRAL Arbitration R! es+ as indicated be o# in 4ara$ra4"s C81A+ s"o! d be taGen into acco!nt. 2. %resentation modi'i(ations (a! A exp%anation &hort o'

C. I: an instit!tion !ses t"e UNCITRAL Arbitration R! es as a mode :or dra:tin$ its o#n instit!tiona r! es+ it ma? be !se:! :or t"e instit!tion to consider indicatin$ #"ere t"ose r! es 19

di&er$e :rom t"e UNCITRAL Arbitration R! es. S!c" indication ma? be "e 4:! to t"e readers and 4otentia !sers #"o #o! d ot"er#ise "a&e to embarG on a com4arati&e ana ?sis to identi:? an? dis4arit?. 10. T"e instit!tion ma? #is" to inc !de a te0t+ :or e0am4 e a :ore#ord+ #"ic" re:ers to t"e s4eci:ic modi:ications inc !ded in t"e instit!tiona r! es as com4ared #it" t"e UNCITRAL Arbitration R! es.E T"e indication o: t"e modi:ications co! d a so come at t"e
A See+ :or e0am4 e+ t"e Arbitration R! es o: t"e Cairo Re$iona Centre :or Internationa Commercia Arbitration in :orce as :rom 1 >arc" '011 %a&ai ab e :rom ###.crcica.or$.e$( or t"e Arbitration R! es %as re&ised in '010( o: t"e L!a a L!m4!r Re$iona Centre :or Arbitration %a&ai ab e :rom ###.G rca.or$.m?(. E Jor e0am4 e+ in t"e introd!ction to t"e Arbitration R! es o: t"e Cairo Re$iona Centre :or Internationa Commercia Arbitration in :orce as :rom 1 >arc" '011+ it is 4ro&ided t"at t"ose r! es Hare based !4on t"e ne# UNCITRAL Arbitration R! es+ as re&ised in '010+ #it" minor modi:ications emanatin$ main ? :rom t"e CentreMs ro e as an arbitra instit!tion and an a44ointin$ a!t"orit?I. T"e Arbitration R! es %as re&ised in '010( o: t"e L!a a L!m4!r Re$iona Centre o: Arbitration 4ro&ide t"at t"e r! es :or arbitration o: t"e instit!tion s"a be t"e HUNCITRAL Arbitration R! es as modi:ied in accordance #it" t"e r! es set o!t be o#I.

1A

end o: t"e te0t o: t"e instit!tiona r! es. C J!rt"er+ it mi$"t be ad&isab e to accom4an? t"e instit!tiona r! es #it" a s"ort e04 a8 nation o: t"e reasons :or t"e modi:ications.10 (b! date 2ffe(ti0e

11. Artic e 1+ 4ara$ra4" '+ o: t"e UNCITRAL Arbitration R! es de:ines an e::ecti&e date :or t"ose R! es. Ob&io!s ?+ t"e instit!tiona r! es based on t"e UNCITRAL Arbitration R! es #i "a&e t"eir o#n s4eci:ic date o: a44 ication. In t"e interest o: e$a certaint?+ it is recommended to re:er in t"e arbitration r! es to t"e e::ecti&e date o: a44 ication o: t"e r! es so t"at t"e 4arties Gno# #"ic" &ersion is a44 icab e. ((! Communi(ation (hanne% 1'. Us!a ?+ #"en an instit!tion administers a case+ comm!ni8 cations bet#een t"e 4arties be:ore t"e constit!tion o: t"e arbitra trib!na #o! d be carried o!t t"ro!$" t"e instit!tion. T"ere:ore+ it is recommended to ada4t artic es 7 and 6 o: t"e UNCITRAL Arbitration R! es re atin$ to comm!nication be:ore t"e constit!8 tion o: t"e arbitra trib!na . Jor e0am4 e+ in re ation to artic e 7+ 4ara$ra4" 1) (a! I: t"e comm!nications taGe 4 ace t"ro!$" t"e instit!tion+ artic e 7+ 4ara$ra4" 1+ co! d be amended as :o o#s)

1E

1.

T"e 4art? or 4arties initiatin$ reco!rse to arbitra8 tion %"ereina:ter ca ed t"e Hc aimantI( s"a com8 m!nicate to Nname o: t"e instit!tionO a notice o: arbitration. NName o: t"e instit!tionO s"a com8 m!nicate t"e notice o: arbitration to t"e ot"er 4art? or 4arties %"ereina:ter ca ed t"e Hres4ond8 entI( N#it"o!t !nd!e de a?O Nimmediate ?O.

See+ :or e0am4 e+ t"e -ermanent Co!rt o: Arbitration O4tiona R! es :or Arbitration bet#een Internationa Or$aniDations and -ri&ate -arties+ e::ecti&e 1 *! ? 1CC9 %based on t"e 1CA9 &ersion o: t"e UNCITRAL Arbitration R! es(< a&ai ab e :rom ###.4ca8c4a.or$/s"o#:i e.as4P:i QidR'01. 10 Jor e0am4 e+ in t"e te0t o: t"e -ermanent Co!rt o: Arbitration O4tiona R! es :or Arbitratin$ Dis4!tes bet#een T#o -arties o: W"ic" On ? One Is a State+ e::ec8 ti&e 9 *! ? 1CC7 %a&ai ab e :rom ###.4ca8 c4a.or$/s"o#:i e.as4P:i QidR1C6(+ t"e :o o#in$ note is inserted) HT"ese R! es are based on t"e N1CA9O UNCITRAL Arbitration R! es+ #it" t"e :o o#in$ modi:ications) S >odi:ications to indicate t"e :!nctions o: t"e Secretar?8@enera and t"e Internationa /!rea! o: t"e -ermanent Co!rt o: Arbitration) Artic e 1+ 4ara. 6 %added( SI.
C

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Or as :o o#s) 1. T"e 4art? or 4arties initiatin$ reco!rse to arbitra8 tion %"ereina:ter ca ed t"e Hc aimantI( s"a :i e #it" Nname o: t"e instit!tionO a notice o: arbitra8 tion and Nname o: t"e instit!tionO s"a comm!ni8 cate it to t"e ot"er 4art? or 4arties %"ereina:ter ca ed t"e Hres4ondentI(.11 (b! I: t"e instit!tion recei&es co4ies o: t"e comm!nica8 tions+ artic e 7+ 4ara$ra4" 1+ #o! d remain !nc"an$ed+ and t"e :o o#in$ 4ro&ision co! d be added) A doc!ments transmitted 4!rs!ant to artic es 7 and 6 o: t"e UNCITRAL Arbitration R! es s"a be ser&ed on Nname o: t"e instit!tionO at t"e time o: s!c" trans8 mission to t"e ot"er 4art? or 4arties or immediate ? t"erea:ter.1' 17. To address t"e matter o: comm!nications a:ter t"e constit!8 tion o: t"e arbitra trib!na + t"e instit!tion ma? eit"er) (a! >odi:? eac" artic e in t"e UNCITRAL Arbitration R! es re:errin$ to comm!nications+ name ?) artic e 1< artic e 11< artic e 17+ 4ara$ra4" '< artic e 1A+ 4ara8 $ra4" 6< artic e '0+ 4ara$ra4" 1< artic e '1+ 4ara8 $ra4" 1< artic e 'C+ 4ara$ra4"s 1+ 7 and 6< artic e 76+ 4ara$ra4" 9< artic e 79+ 4ara$ra4" 7< artic e 7A+ 4ara8 $ra4" 1< artic e 7E+ 4ara$ra4"s 1 and '< artic e 7C+ 4ara$ra4" 1< artic e 61+ 4ara$ra4"s 7 and 6< or '0

(b! Inc !de in artic e 1A o: t"e UNCITRAL Arbitration R! es a 4ro&ision a on$ t"e ines o:) (i! I: t"e instit!tion decides to recei&e a comm!ni8 cations :or t"e 4!r4ose o: noti:ication) HE0ce4t as ot"er#ise 4ermitted b? t"e arbitra trib!na + a comm!nications addressed to t"e arbitra trib!na b? a 4art? s"a be :i ed #it" t"e Nname o: t"e instit!8 tionO :or noti:ication to t"e arbitra trib!na and t"e ot"er 4art? or 4arties. A comm!nications addressed :rom t"e arbitra trib!na to a 4art? s"a be :i ed #it" Jor e0am4 e+ t"is is t"e a44roac" ado4ted in t"e Arbitration R! es o: t"e Cairo Re$iona Centre :or Internationa Commercia Arbitration in :orce as :rom 1 >arc" '011. 1' Jor e0am4 e+ a simi ar a44roac" can be :o!nd in R! e '+ 4ara$ra4" 1+ o: t"e Arbitration R! es %as re&ised in '010( o: t"e L!a a L!m4!r Re$iona Centre :or Arbitration.
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t"e Nname o: t"e instit!tionO :or noti:ication to t"e ot"er 4art? or 4arties.I<17 or (ii! I: t"e instit!tion decides to recei&e co4ies o: a comm!nications :or t"e 4!r4ose o: in:ormation) HE0ce4t as ot"er#ise 4ermitted b? t"e arbitra trib!8 na + a comm!nications bet#een t"e arbitra trib!na and an? 4art? s"a a so be sent to Nname o: t"e instit!tionO.I 16. In t"e interest o: 4roced!ra e::icienc?+ it mi$"t be a44ro8 4riate :or an instit!tion to consider #"et"er to reK!ire recei&in$ co4ies o: comm!nications on ? a:ter t"e constit!tion o: t"e arbi8 tra trib!na . I: s!c" reK!irement is ado4ted b? t"e instit!tion+ it #o! d be ad&isab e to re:er to t"e recei4t o: t"e co4ies in a man8 ner t"at is tec"no o$?8ne!tra + in order not to e0c !de ne# and e&o &in$ tec"no o$ies. To recei&e co4ies o: comm!nications t"ro!$" ne# tec"no o$ies co! d a so res! t in a desirab e red!c8 tion o: costs :or t"e instit!tion. (d! Sub&titution of the referen(e to the 8appointing authority9 by the name of the in&titution 11. W"ere an instit!tion !ses t"e UNCITRAL Arbitration R! es as a mode :or its instit!tiona r! es+ t"e instit!tion t?4i8 ca ? carries o!t t"e :!nctions attrib!ted to t"e a44ointin$ a!t"or8 it? !nder t"e R! es< it t"ere:ore s"o! d amend t"e corres4ondin$ 4ro&isions o: t"e R! es as :o o#s) ''

(a! Artic e 7+ 4ara$ra4" 6 (a!< artic e 6+ 4ara$ra4" ' (b!< artic e 9+ 4ara$ra4"s 18 6< and t"e re:erence to t"e desi$natin$ a!t"orit? in artic e 9+ 4ara$ra4" 1+ s"o! d be de eted< (b! T"e term Ha44ointin$ a!t"orit?I co! d be re4 aced b? t"e name o: t"e instit!tion in t"e :o o#in$ 4ro&isions) artic e 9+ 4ara$ra4"s 18A< artic e A+ 4ara$ra4" '< arti8 c e E+ 4ara$ra4"s 1 and '< artic e C+ 4ara$ra4"s ' and 7< artic e 10+ 4ara$ra4" 7< artic e 17+ 4ara$ra4" 6< arti8 c e 16+ 4ara$ra4" '< artic e 19< artic e 67+ 4ara$ra4" 7< and+ i: t"e arbitra instit!tion ado4ts t"e re&ie# mec"a8 nism to t"e e0tent com4atib e #it" its o#n instit!tiona r! es+ artic e 61+ 4ara$ra4"s '86. As an a ternati&e+ a r! e c ari:?in$ t"at re:erence to t"e a44ointin$ a!t"orit?
17 Jor e0am4 e+ a simi ar 4ro&ision is inc !ded in artic e 1A+ 4ara$ra4" 1+ o: t"e Arbitration R! es o: t"e Cairo Re$iona Centre :or Internationa Commercia Arbitration in :orce as :rom 1 >arc" '011.

'7

s"a be !nderstood as a re:erence to instit!tion co! d be added+ a on$ :o o#in$ ines) HT"e :!nc8 tions o: a44ointin$ a!t"orit? !nder UNCITRAL Arbitration R! es :! :i ed b? Nname o: t"e instit!tionO-I

t"e t"e t"e t"e are

19. I: t"e :!nctions o: an a44ointin$ a!t"orit? are :! :i ed b? an or$an o: t"e instit!tion+ it is ad&isab e to e04 ain t"e com4osi8 tion o: t"at or$an and+ i: a44ro4riate+ t"e nomination 4rocess o: its members+ in an anne0+ :or e0am4 e. In t"e interest o: certaint?+ it ma? be ad&isab e :or an instit!tion to c ari:? #"et"er t"e re:er8 ence to t"e or$an is meant to be to t"e :!nction and not to t"e 4erson as s!c" %i.e. in case t"e 4erson is not a&ai ab e+ t"e :!nc8 tion co! d be :! :i ed b? "is or "er de4!t?(. (e! Fee& and &(hedu%e of fee& 1A. W"ere an instit!tion ado4ts t"e UNCITRAL Arbitration R! es as its o#n instit!tiona r! es) (a! T"e 4ro&isions o: artic e 60+ 4ara$ra4" ' (f!+ #o! d not a44 ?<16 (b! T"e instit!tion ma? inc !de t"e :ee re&ie# mec"anism as set o!t in artic e 61 o: t"e R! es %as adF!sted to t"e needs o: t"e instit!tion(.11 C& Arbitral institutions and other interested bodies administering '6

arbitration under the UNC !RA" Arbitration Rules or )ro#iding some administrati#e ser#ices 1E. One meas!re o: t"e s!ccess o: t"e UNCITRAL Arbitration R! es in ac"ie&in$ broad a44 icabi it? and in demonstratin$ t"eir abi it? to meet t"e needs o: 4arties in a #ide ran$e o: e$a c! 8 t!res and t?4es o: dis4!tes "as been t"e si$ni:icant n!mber o: inde4endent instit!tions t"at "a&e dec ared t"emse &es #i in$ to administer %and t"at do administer( arbitrations !nder t"e
16 An arbitra instit!tion+ ma?+ "o#e&er+ retain artic e 60+ 4ara$ra4" ' (f!+ :or cases in #"ic" t"e arbitra instit!tion #o! d not act as a44ointin$ a!t"orit?. Jor e0am4 e+ t"e Tatar Internationa Center :or Conci iation and Arbitration states in artic e 67+ 4ara$ra4" ' (h!+ o: its R! es o: Arbitration '01' %e::ecti&e 1 >a? '01'(+ #"ic" are based on t"e UNCITRAL Arbitration R! es as re&ised in '010) HAn? :ees and e04enses o: t"e a44ointin$ a!t"orit? in case t"e Center is not desi$nated as t"e a44ointin$ a!t"orit?.I 11 S!c" an a44roac" "as been ado4ted b? t"e C?4r!s Arbitration and >ediation Centre+ #"ic" based its Arbitration R! es on t"e UNCITRAL Arbitration R! es.

'1

UNCITRAL Arbitration R! es+ in addition to 4roceedin$s !nder t"eir o#n r! es. Some arbitra instit!tions "a&e ado4ted 4roce8 d!ra r! es :or o::erin$ to administer arbitrations !nder t"e UNCITRAL Arbitration R! es.19 J!rt"er+ 4arties "a&e a so t!rned to instit!tions in order to recei&e some administrati&e ser&ices+ in contrast to "a&in$ t"e arbitra 4roceedin$s :! ? administered b? t"e arbitra instit!tion.1A 1C. T"e :o o#in$ remarGs and s!$$estions are intended to assist an? interested instit!tions in taGin$ t"e necessar? or$aniDa8 tiona meas!res and in de&isin$ a44ro4riate administrati&e 4roce8 d!res in con:ormit? #it" t"e UNCITRAL Arbitration R! es #"en t"e? eit"er :! ? administer a case !nder t"e R! es or on ? 4ro&ide certain administrati&e ser&ices in re ation to arbitration !nder t"e R! es. It ma? be noted t"at instit!tions+ #"i e o::erin$ ser&ices !nder t"e UNCITRAL Arbitration R! es as re&ised in '010+ are contin!in$ to a so o::er ser&ices !nder t"e 1CA9
1E

UNCITRAL Arbitration R! es.

19 Jor e0am4 e+ t"e -ermanent Co!rt o: Arbitration %-CA( indicates on its #eb8 site %###.4ca8c4a.or$( t"at Hin addition to t"e ro e o: desi$natin$ a44ointin$ a!t"orities+ t"e Secretar?8@enera o: t"e -CA #i act as t"e a44ointin$ a!t"orit? !nder t"e UNCITRAL Arbitration R! es #"en t"e 4arties so a$ree. T"e -CA a so :reK!ent ? 4ro&ides :! administrati&e s!44ort in arbitrations !nder t"e UNCITRAL Arbitration R! es.I T"e London Co!rt o: Internationa Arbitration %LCIA( indicates on its #ebsite %###. cia.or$( t"at Ht"e LCIA re$! ar ? acts bot" as a44ointin$ a!t"orit? and as administrator in arbitrations cond!cted 4!rs!ant to t"e UNCITRAL arbitration r! es. J!rt"er in:ormation) Recommended c a!ses :or ado4tion b? t"e 4arties :or t"ese 4!r4oses< t"e ran$e o: administrati&e ser&ices o::ered< and detai s o: '9

t"e LCIA c"ar$es :or t"ese ser&ices are a&ai ab e on reK!est :rom t"e SecretariatI. See a so t"e UNCITRAL Arbitration R! es Administered b? t"e @erman Instit!tion o: Arbitration %a&ai ab e :rom ###.dis8arb.de(< t"e Administrati&e and -roced!ra R! es :or Arbitration !nder t"e UNCITRAL Arbitration R! es as amended and e::ecti&e on 1 *! ? '00C o: t"e *a4an Commercia Arbitration Association %*CAA( %a&ai ab e :rom ###.Fcaa.or.F4(< and t"e Uon$ Lon$ Internationa Arbitration Centre %ULIAC( -roced!res :or t"e Administration o: Internationa Arbitration+ ado4ted to taGe e::ect :rom 71 >a? '001 %a&ai ab e :rom ###."Giac.or$(. %T"e Administrati&e and -roced!ra R! es :or Arbitration !nder t"e UNCITRAL Arbitration R! es o: *CAA and t"e ULIAC -roced!res :or t"e Administration o: Internationa Arbitration are bot"+ at t"e date o: t"e 4resent recommendations+ based on t"e 1CA9 UNCITRAL Arbitration R! es.( 1A Jor e0am4 e+ t"e ULIAC -roced!res :or t"e Administration o: Internationa Arbitration state in t"eir introd!ction) HNot"in$ in t"ese -roced!res s"a 4re&ent 4arties to a dis4!te !nder t"e UNCITRAL R! es :rom namin$ t"e ULIAC as a44ointin$ a!t"orit?+ nor :rom reK!estin$ certain administrati&e ser&ices :rom t"e ULIAC #it"o!t s!bFectin$ t"e arbitration to t"e 4ro&isions contained in t"e -roced!res. Neit"er t"e desi$nation o: t"e ULIAC as a44ointin$ a!t"orit? !nder t"e R! es nor a reK!est b? t"e 4arties or t"e trib!na :or s4eci:ic and discrete administra8 ti&e assistance :rom t"e ULIAC s"a be constr!ed as a desi$nation o: t"e ULIAC as administrator o: t"e arbitration as described in t"ese -roced!res. Con&erse ?+ !n ess ot"er#ise stated+ a reK!est :or administration b? t"e ULIAC #i be con8 str!ed as a desi$nation o: t"e ULIAC as a44ointin$ a!t"orit? and administrator 4!rs!ant to t"ese -roced!res.I 1E Jor an i !stration+ see t"e ser&ices o::ered !nder bot" &ersions o: t"e UNCITRAL Arbitration R! es b? t"e Arbitration Instit!te o: t"e StocG"o m C"amber o: Commerce %###.sccinstit!te.com(.

'A

1. Administrative &ro(edures in (on'ormit ,ith the UNCITRAL Arbitration Rules '0. In de&isin$ administrati&e 4roced!res or r! es+ t"e instit!8 tions s"o! d "a&e d!e re$ard to t"e interests o: t"e 4arties. Since t"e 4arties in t"ese cases "a&e a$reed t"at t"e arbitration is to be cond!cted !nder t"e UNCITRAL Arbitration R! es+ t"eir e04ec8 tations s"o! d not be :r!strated b? administrati&e r! es t"at #o! d con: ict #it" t"e UNCITRAL Arbitration R! es. T"e modi:ica8 tions t"at t"e UNCITRAL Arbitration R! es #o! d need to !nder$o to be administered b? an instit!tion are minima and simi ar to t"ose mentioned abo&e in 4ara$ra4"s C81A. It is ad&is8 ab e t"at t"e instit!tion c ari:? t"e administrati&e ser&ices it #o! d render b? eit"er) (a! Listin$ t"em< or (b! -ro4osin$ to t"e 4arties a te0t o: t"e UNCITRAL Arbitration R! es "i$" i$"tin$ t"e modi:ications made to t"e R! es :or t"e so e 4!r4ose o: t"e administration o: t"e arbitra 4roceedin$s< in t"e atter case+ it is rec8 ommended to indicate t"at t"e UNCITRAL Arbitration R! es are Has administered b? Nname o: t"e instit!tionOI so t"at t"e !ser is noti:ied t"at t"ere is a di::erence :rom t"e ori$ina UNCITRAL Arbitration R! es.1C '1. It is recommended t"at) :!rt"er

(a! T"e administrati&e 4roced!res o: t"e instit!tion distin8 $!is" c ear ? bet#een 'E

t"e :!nctions o: an a44ointin$ a!t"orit? as en&isa$ed !nder t"e UNCITRAL Arbitration R! es %see section D be o#( and ot"er :! or 4artia administrati&e assistance+ and t"e instit!tion s"o! d dec are #"et"er it is o::erin$ bot" or on ? one o: t"ese t?4es o: ser&ices< (b! An instit!tion #"ic" is 4re4ared eit"er to :! ? admin8 ister a case !nder t"e UNCITRAL Arbitration R! es or to 4ro&ide certain administrati&e ser&ices o: a tec"8 nica and secretaria nat!re describe in its administra8 ti&e 4roced!res t"e ser&ices o::ered< s!c" ser&ices ma? be rendered !4on reK!est o: t"e 4arties or t"e arbitra trib!na .

See+ as an i !stration o: s!c" an a44roac"+ t"e UNCITRAL Arbitration R! es Administered b? t"e @erman Instit!tion o: Arbitration.
1C

'C

''. In describin$ t"e administrati&e ser&ices+ it is recom8 mended t"at t"e instit!tion indicate) (a! W"ic" ser&ices #o! d be co&ered b? its $enera administrati&e :ee and #"ic" #o! d not %i.e. #"ic" #o! d be bi ed se4arate ?(<'0 (b! T"e ser&ices 4ro&ided #it"in its o#n :aci ities and t"ose arran$ed to be rendered b? ot"ers< ((! T"at 4arties co! d a so c"oose to "a&e on ? a 4artic! ar ser&ice %or ser&ices( rendered b? t"e instit!tion #it"o!t "a&in$ t"e arbitra 4roceedin$s :! ? administered b? t"e instit!tion %see 4ara. 1E abo&e and 4aras. '78'1 be o#(. 2. -''er o' administrative servi(es '7. T"e :o o#in$ ist o: 4ossib e administrati&e ser&ices+ #"ic" is not intended to be e0"a!sti&e+ ma? assist instit!tions in consid8 erin$ and 4!b iciDin$ t"e ser&ices t"e? ma? o::er) (a! >aintenance o: a :i e o: #ritten comm!nications<'1 (b! Jaci itatin$ comm!nication<'' ((! -ro&idin$ necessar? arran$ements :or meet8 "earin$s+ inc !din$) 4ractica in$s and

%i( Assistin$ t"e arbitra trib!na in estab is"in$ t"e date+ time and 4 ace o: "earin$s< 70 %ii( >eetin$ rooms :or "earin$s or

de iberations o: t"e arbitra trib!na < %iii( Te e4"one con:erence and &ideocon:erence :aci ities< %i&( Steno$ra4"ic transcri4ts Li&e o: "earin$s< %&(

streamin$ o: "earin$s<
%&i( Secretaria or c erica assistance<
'0 Jor e0am4 e+ in t"e /a"rain C"amber :or Dis4!te Reso !tion %/CDR( Arbitration R! es+ it is stated) HT"e :ees described abo&e do not co&er t"e cost o: "earin$ rooms+ #"ic" are a&ai ab e on a renta basis. C"ecG #it" t"e /CDR :or a&ai abi it? and rates.I T"e /CDR Arbitration R! es are :rom '00C and based on t"e 1CA9 UNCITRAL Arbitration R! es. '1 T"e maintenance o: a :i e o: #ritten comm!nications co! d inc !de a :! :i e o: #ritten corres4ondence and s!bmissions to :aci itate an? inK!ir? t"at arises and to 4re4are s!c" co4ies as t"e 4arties or t"e trib!na ma? reK!ire at an? time d!rin$ t"e arbitra 4roceedin$s. In addition+ t"e maintenance o: s!c" a :i e co! d inc !de+ a!tomatica ? or on ? !4on reK!est b? t"e 4arties+ t"e :or#ardin$ o: t"e #ritten comm!nications o: a 4art? or t"e arbitrators. '' Jaci itatin$ comm!nication co! d inc !de ens!rin$ t"at comm!nications amon$ 4arties+ attorne?s and t"e trib!na are Ge4t o4en and !4 to date+ and ma? a so consist in mere ? :or#ardin$ #ritten comm!nications.

71

(d! (e!

(f! (g! (h!

(i! (:!

>aGin$ a&ai ab e or arran$in$ :or inter4reta8 tion ser&ices< %&iii( Jaci itatin$ entr? &isas :or t"e 4!r4oses o: "ear8 in$s #"en reK!ired< %i0( Arran$in$ accommodation :or 4arties and arbitrators< -ro&idin$ :!nd8"o din$ ser&ices<'7 Ens!rin$ t"at 4roced!ra ? im4ortant dates are :o 8 o#ed and ad&isin$ t"e arbitra trib!na and t"e 4arties #"en not ad"ered to< -ro&idin$ 4roced!ra directions on be"a : o: t"e trib!8 na + i: and #"en reK!ired<'6 -ro&idin$ secretaria or c erica assistance in ot"er res4ects<'1 -ro&idin$ assistance :or obtainin$ certi:ied co4ies o: an? a#ard+ inc !din$ notariDed co4ies+ #"ere reK!ired< -ro&idin$ assistance :or t"e trans ation o: arbitra a#ards< -ro&idin$ ser&ices #it" res4ect to t"e stora$e o: arbitra a#ards and :i es re atin$ to t"e arbitra 4roceedin$s.'9

%&ii(

$. Administrative 'ee s(hedule '6. T"e instit!tion+ #"en indicatin$ t"e :ee it c"ar$es :or its ser&ices+ ma? re4rod!ce its administrati&e :ee sc"ed! e or+ in t"e absence t"ereo:+ indicate t"e basis :or ca c! atin$ it.'A
'7 J!nd8"o din$ ser&ices !s!a ? consist o: t"e recei4t and t"e disb!rsement o: :!nds recei&ed :rom t"e 4arties. T"e? inc !de t"e settin$ !4 o: a dedicated banG acco!nt+ into #"ic" s!ms are 4aid 7'

b? t"e 4arties+ as directed b? t"e trib!na . T"e instit!tion t?4ica ? disb!rses :!nds :rom t"at acco!nt to co&er costs+ acco!ntin$ 4eriodica ? to t"e 4arties and to t"e trib!na :or :!nds od$ed and disb!rsed. T"e instit!tion !s!a ? credits t"e interests on t"e :!nds to t"e 4art? t"at "as od$ed t"e :!nds at t"e 4re&ai in$ rate o: t"e banG #"ere t"e acco!nt is Ge4t. J!nd8"o din$ ser&ices co! d a so inc !de more broad ? t"e ca c! ation and co ection o: a de4osit as sec!rit? :or t"e estimated costs o: arbitration. I: t"e instit!tion is :! ? administerin$ t"e arbitra 4roceedin$s+ t"en t"e :!nd8"o din$ ser&ices ma? e0tend to more c ose ? monitorin$ t"e costs o: t"e arbitration+ in 4artic! ar ens!rin$ t"at :ees8and8costs notes are re$! ar ? s!bmitted and t"e e&e o: :!rt"er ad&ances ca c! ated+ in cons! 8 tation #it" t"e trib!na + and b? re:erence to t"e estab is"ed 4roced!ra timetab e. '6 -ro&idin$ 4roced!ra directions on be"a : o: t"e trib!na + i: and #"en reK!ired+ re ates most t?4ica ? to directions :or ad&ances on costs. '1 T"e 4ro&ision o: secretaria or c erica assistance co! d inc !de 4roo:readin$ dra:t a#ards to correct t?4o$ra4"ica and c erica errors. '9 Stora$e o: doc!ments re atin$ to t"e arbitra 4roceedin$s mi$"t be an ob i$a8 tion !nder t"e a44 icab e a#. 'A See+ :or e0am4 e+ artic e 6'+ 4ara$ra4" 6+ on de:inition o: costs+ o: t"e Arbitration R! es o: t"e Cairo Re$iona Centre :or Internationa Commercia Arbitration+ #"ic" entered into :orce on 1 >arc" '011+ accordin$ to #"ic" t"e 4ro&isions o: its section on t"e costs o: arbitration s"a a44 ? b? de:a! t in case t"e 4arties to ad "oc arbitrations a$ree t"at t"e Centre #i 4ro&ide its administrati&e ser&ices to s!c" arbitrations.

77

'1. In &ie# o: t"e 4ossib e cate$ories o: ser&ices an instit!tion ma? o::er+ s!c" as :!nctionin$ as an a44ointin$ a!t"orit? and/or 4ro&idin$ administrati&e ser&ices %see 4ara. '1 abo&e(+ it is rec8 ommended t"at t"e :ee :or eac" cate$or? be stated se4arate ? %see 4ara. '' abo&e(. T"!s+ an instit!tion ma? indicate its :ees :or) (a! Actin$ as an a44ointin$ a!t"orit? on ?< (b! -ro&idin$ administrati&e ser&ices #it"o!t actin$ as an a44ointin$ a!t"orit?< ((! Actin$ as an a44ointin$ a!t"orit? and 4ro&idin$ administrati&e ser&ices. ). *ra't model (lauses '9. In t"e interest o: 4roced!ra e::icienc?+ instit!tions ma? #is" to set :ort" in t"eir administrati&e 4roced!res mode arbitra8 tion c a!ses co&erin$ t"e abo&e ser&ices. It is recommended t"at) (a! W"ere t"e instit!tion :! ? administers arbitration !nder t"e UNCITRAL Arbitration R! es+ t"e mode c a!se s"o! d read as :o o#s) HAn? dis4!te+ contro&ers? or c aim arisin$ o!t o: or re atin$ to t"is contract+ or t"e breac"+ termination or in&a idit? t"ereo:+ s"a be sett ed b? arbitration in accordance #it" t"e UNCITRAL Arbitration R! es administered b? Nname o: t"e instit!tionO. NName o: t"e 76

instit!tionO s"a a!t"orit?.I

act as a44ointin$

(b! W"ere t"e instit!tion 4ro&ides certain ser&ices on ?+ t"e a$reement as to t"e ser&ices t"at are reK!ested s"o! d be indicated) HAn? dis4!te+ contro&ers? or c aim arisin$ o!t o: or re atin$ to t"is contract+ or t"e breac"+ termination or in&a idit? t"ereo:+ s"a be sett ed b? arbitration in accordance #it" t"e UNCITRAL Arbitration R! es. NName o: t"e instit!tionO s"a act as a44ointin$ a!t"orit? and 4ro&ide administrati&e ser&ices in accord8 ance #it" its administrati&e 4roced!res :or cases !nder t"e UNCITRAL Arbitration R! es.I ((! In bot" cases+ as s!$$ested in t"e mode arbitration c a!se in t"e anne0 to t"e UNCITRAL Arbitration R! es+ 4arties s"o! d consider addin$ t"e :o o#in$ note) H(a! T"e n!mber o: arbitrators s"a be None or t"reeO< H(b! H((! T"e 4 ace o: arbitration s"a be Ncit? and co!ntr?O< T"e an$!a$e to be !sed in t"e arbitra 4roceed8

in$s s"a be N an$!a$eOI.

71

+& Arbitral institution acting as a))ointing authority 'A. An instit!tion %or a 4erson( ma? act as a44ointin$ a!t"orit? !nder t"e UNCITRAL Arbitration R! es. It is note#ort"? t"at arti8 c e 9 o: t"e R! es "i$" i$"ts t"e im4ortance o: t"e ro e o: t"e a44ointin$ a!t"orit?. -arties are in&ited to a$ree on an a44ointin$ a!t"orit? at t"e time t"at t"e? conc !de t"e arbitration a$reement+ i: 4ossib e. A ternati&e ?+ t"e a44ointin$ a!t"orit? co! d be a44ointed b? t"e 4arties at an? time d!rin$ t"e arbitration 4roceedin$s. 'E. Arbitra instit!tions are !s!a ? e04erienced #it" :! :i in$ :!nctions simi ar to t"ose reK!ired :rom an a44ointin$ a!t"orit? !nder t"e R! es. Jor an indi&id!a #"o taGes on t"at res4onsibi it? :or t"e :irst time+ it is im4ortant to note t"at+ once desi$nated as a44ointed a!t"orit?+ "e or s"e m!st be and m!st remain inde4endent and be 4re4ared to act 4rom4t ? :or a 4!r4oses !nder t"e R! es. 'C. An instit!tion t"at is #i in$ to act as a44ointin$ a!t"orit? !nder t"e UNCITRAL Arbitration R! es ma? indicate in its administrati&e 4roced!res t"e &ario!s :!nctions o: an a44ointin$ a!t"orit? en&isa$ed b? t"e R! es. It ma? a so describe t"e manner in #"ic" it intends to 4er:orm t"ese :!nctions. 70. T"e UNCITRAL Arbitration R! es :oresee si0 main :!nc8 tions :or t"e a44ointin$ a!t"orit?) (a! a44ointment o: arbitrators< (b! decisions on t"e c"a en$e o: arbitrators< ((! re4 acement o: arbitrators< (d! assistance in :i0in$ t"e :ees o: arbitrators< (e! 4ar8 tici4ation in t"e re&ie# 79

mec"anism on t"e costs and :ees< and (f! ad&isor? comments re$ardin$ de4osits. T"e 4ara$ra4"s t"at :o o# are intended to 4ro&ide some $!idance on t"e ro e o: t"e a44ointin$ a!t"orit? !nder t"e UNCITRAL Arbitration R! es based on t"e tra0aux pr;paratoire&. 1. *esi+natin+ and a&&ointin+ authorities (arti(le !) 71. Artic e 9 #as inc !ded as a ne# 4ro&ision in t"e UNCITRAL Arbitration R! es as re&ised in '010 to c ari:? :or t"e !sers o: t"e R! es t"e im4ortance o: t"e ro e o: t"e a44ointin$ a!t"orit?+ 4ar8 tic! ar ? in t"e conte0t o: non8administered arbitration.'E (a! Pro(edure for (hoo&ing or de&ignating an appoint, ing authority (arti(%e 6+ paragraph& .,/! 7'. Artic e 9+ 4ara$ra4"s 187+ determines t"e 4roced!re to be :o o#ed b? t"e 4arties in order to c"oose an a44ointin$ a!t"orit?+ 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 %A/91/1A(+ 4ara. 6'+ and A/CN.C/91C+ 4ara. 9C.
'E

7A

or to "a&e one desi$nated in case o: disa$reement. -ara$ra4" 1 e04resses t"e 4rinci4 e t"at t"e a44ointin$ a!t"orit? can be a44ointed b? t"e 4arties at an? time d!rin$ t"e arbitration 4ro8 ceedin$s+ not on ? in some imited circ!mstances.'C (b! Fai%ure to a(t: &ub&titute appointing authority (arti(%e 6+ paragraph 4! 77. Artic e 9+ 4ara$ra4" 6+ addresses t"e sit!ation #"ere an a44ointin$ a!t"orit? re:!ses or :ai s to act #it"in a time 4eriod 4ro&ided b? t"e R! es or :ai s to decide on a c"a en$e to an arbi8 trator #it"in a reasonab e time a:ter recei&in$ a 4art?Ms reK!est to do so. T"en+ an? 4art? ma? reK!est t"e Secretar?8@enera o: t"e -ermanent Co!rt o: Arbitration to desi$nate a s!bstit!te a44oint8 in$ a!t"orit?. T"e :ai !re to act o: t"e a44ointin$ a!t"orit? in t"e conte0t o: t"e :ee re&ie# mec"anism !nder artic e 61+ 4ara8 $ra4" 6+ o: t"e R! es+ does not :a !nder artic e 9+ 4ara$ra4" 6 %He0ce4t as re:erred to in artic e 61+ 4ara$ra4" 6I( b!t is dea t #it" direct ? in artic e 61+ 4ara$ra4" 6 %see 4ara. 1E be o#(.70 ((! 4i&(retion in the exer(i&e of it& fun(tion& (arti(%e 6+ paragraph ! 76. Artic e 9+ 4ara$ra4" 1+ 4ro&ides t"at+ in e0ercisin$ its :!nc8 tions !nder t"e R! es+ t"e a44ointin$ a!t"orit? ma? reK!ire :rom an? 4art? and t"e arbitrators t"e in:ormation it deems necessar?. T"at 4ro&ision #as inc !ded in t"e 7E

UNCITRAL Arbitration R! es to e04 icit ? 4ro&ide t"e a44ointin$ a!t"orit? #it" t"e 4o#er to reK!ire in:ormation not on ? :rom t"e 4arties+ b!t a so :rom t"e arbitrators. T"e arbitrators are e04 icit ? mentioned in t"e 4ro&ision+ as t"ere are instances+ s!c" as a c"a en$e 4roce8 d!re+ in #"ic" t"e a44ointin$ a!t"orit?+ in e0ercisin$ its :!nctions+ ma? reK!ire in:ormation :rom t"e arbitrators.71 71. In addition+ artic e 9+ 4ara$ra4" 1+ 4ro&ides t"at t"e a44ointin$ a!t"orit? s"a $i&e t"e 4arties and+ #"ere a44ro4ri8 ate+ t"e arbitrators+ an o44ort!nit? to 4resent t"eir &ie#s in an? manner t"e a44ointin$ a!t"orit? considers a44ro4riate. D!rin$ t"e de iberations on t"e re&isions to t"e R! es+ it #as a$reed t"at t"e $enera 4rinci4 e s"o! d be inc !ded t"at t"e 4arties s"o! d be A/CN.C/91C+ 4ara. 9C. 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 %A/91/1A(+ 4ara. 6C. 71 A/CN.C/W@.II/W-.11A+ 4ara. ''.
'C 70

7C

$i&en an o44ort!nit? to be "eard b? t"e a44ointin$ a!t"orit?.7' T"at o44ort!nit? s"o! d be $i&en Hin an? mannerI t"e a44ointin$ a!t"orit? Hconsiders a44ro4riateI+ in order to better re: ect t"e discretion o: t"e a44ointin$ a!t"orit? in obtainin$ &ie#s :rom t"e 4arties.77 79. Artic e 9+ 4ara$ra4" 1+ determines t"at a s!c" comm!ni8 cations to and :rom t"e a44ointin$ a!t"orit? s"a be 4ro&ided b? t"e sender to a ot"er 4arties. T"at 4ro&ision is consistent #it" artic e 1A+ 4ara$ra4" 6+ o: t"e R! es. (d! $enera% pro0i&ion on appointment of arbitrator& (arti(%e 6+ paragraph& 6 and 7! 7A. Artic e 9+ 4ara$ra4" 9+ 4ro&ides t"at+ #"en t"e a44ointin$ a!t"orit? is reK!ested to a44oint an arbitrator 4!rs!ant to artic es E+ C+ 10 or 16+ t"e 4art? maGin$ t"e reK!est s"a send to t"e a44ointin$ a!t"orit? co4ies o: t"e notice o: arbitration and+ i: it e0ists+ an? res4onse to t"e notice o: arbitration. 7E. Artic e 9+ 4ara$ra4" A+ 4ro&ides t"at t"e a44ointin$ a!t"or8 it? s"a "a&e re$ard to s!c" considerations as are iGe ? to sec!re t"e a44ointment o: an inde4endent and im4artia arbitrator. To t"at end+ 4ara$ra4" A states t"at t"e a44ointin$ a!t"orit? s"a taGe into acco!nt t"e ad&isabi it? o: a44ointin$ an arbitrator o: a nationa it? ot"er t"an t"e nationa ities o: t"e 4arties %see a so 4ara. 66 be o#(. 60

2. A&&ointment o' arbitrators (a! Appointment of a &o%e arbitrator (arti(%e 7+ paragraph 5+ and arti(%e <! 7C. T"e UNCITRAL Arbitration R! es en&isa$e &ario!s 4ossi8 bi ities concernin$ t"e a44ointment o: an arbitrator b? an a44ointin$ a!t"orit?. Under artic e E+ 4ara$ra4" 1+ t"e a44ointin$ a!t"orit? ma? be reK!ested to a44oint a so e arbitrator+ in accord8 ance #it" t"e 4roced!res and criteria set :ort" in artic e E+ 4ara8 $ra4" '. T"e a44ointin$ a!t"orit? s"a a44oint t"e so e arbitrator as 4rom4t ? as 4ossib e and s"a inter&ene on ? at t"e reK!est o: a 4art?. T"e a44ointin$ a!t"orit? ma? !se t"e ist84roced!re as de:ined in artic e E+ 4ara$ra4" '. It s"o! d be noted t"at t"e
7' 77

A/CN.C/91C+ 4ara. A9. A/CN.C/991+ 4ara. 16.

61

a44ointin$ a!t"orit? "as discretion 4!rs!ant to artic e E+ 4ara8 $ra4" '+ to determine t"at t"e !se o: t"e ist84roced!re is not a44ro4riate :or t"e case. 60. Artic e A+ dea in$ #it" t"e n!mber o: arbitrators+ 4ro&ides as a de:a! t r! e t"at+ in case 4arties do not a$ree on t"e n!mber o: arbitrators+ t"ree arbitrators s"o! d be a44ointed. Uo#e&er+ artic e A+ 4ara$ra4" '+ inc !des a correcti&e mec"anism so t"at+ i: no ot"er 4arties "a&e res4onded to a 4art?Ms 4ro4osa to a44oint a so e arbitrator and t"e 4art? %or 4arties( concerned "a&e :ai ed to a44oint a second arbitrator+ t"e a44ointin$ a!t"orit? ma?+ at t"e reK!est o: a 4art?+ a44oint a so e arbitrator i: it determines t"at+ in &ie# o: t"e circ!mstances o: t"e case+ t"is is more a44ro4riate. T"at 4ro&ision "as been inc !ded in t"e R! es to a&oid sit!ations #"ere+ des4ite t"e c aimantMs 4ro4osa in its notice o: arbitration to a44oint a so e arbitrator+ a t"ree8member arbitra trib!na "as to be constit!ted o#in$ to t"e res4ondentMs :ai !re to react to t"at 4ro4osa . It 4ro&ides a !se:! correcti&e mec"anism in case t"e res4ondent does not 4artici4ate in t"e 4rocess and t"e arbitration case does not #arrant t"e a44ointment o: a t"ree8member arbitra trib!na . T"at mec"anism is not s!44osed to create de a?s+ as t"e a44ointin$ a!t"orit? #i in an? e&ent "a&e to inter&ene in t"e a44ointment 4rocess. T"e a44ointin$ a!t"orit? s"o! d "a&e a re e&ant in:ormation or reK!ire in:ormation !nder artic e 9+ 4ara8 $ra4" 1+ to maGe its decision on t"e n!mber o: arbitrators.76 S!c" in:ormation #o! d inc !de+ in accordance #it" 6'

artic e 9+ 4ara8 $ra4" 9+ co4ies o: t"e notice o: arbitration and an? res4onse t"ereto. 61. W"en an a44ointin$ a!t"orit? is reK!ested !nder artic e A+ 4ara$ra4" '+ to determine #"et"er a so e arbitrator is more a44ro4riate :or t"e case+ circ!mstances to be taGen into consider8 ation inc !de t"e amo!nt in dis4!te and t"e com4 e0it? o: t"e case %inc !din$ t"e n!mber o: 4arties in&o &ed(+71 as #e as t"e nat!re o: t"e transaction and o: t"e dis4!te. 6'. In some cases+ t"e res4ondent mi$"t not taGe 4art in t"e constit!tion o: t"e arbitra trib!na + so t"at t"e a44ointin$ a!t"or8 it? "as be:ore it t"e in:ormation recei&ed :rom t"e c aimant on ?. T"en+ t"e a44ointin$ a!t"orit? can maGe its assessment on ? on t"e basis o: t"at in:ormation+ bein$ a#are t"at it mi$"t not re: ect a as4ects o: t"e 4roceedin$s to come.

Ibid.+ 4aras. 9'897. 71 Jor e0am4 e+ i: one 4art? is a State+ #"et"er t"ere are %or #i 4otentia ? be( co!nterc aims or set8o:: c aims.
76

67

(b! Appointment of a three,member arbitra% tribuna% (arti(%e =! 67. T"e a44ointin$ a!t"orit? ma? be reK!ested b? a 4art?+ !nder artic e C+ 4ara$ra4" '+ to a44oint t"e second o: t"ree arbitrators in case a t"ree8 arbitrator 4ane is to be a44ointed. I: t"e t#o arbitra8 tors cannot a$ree on t"e c"oice o: t"e t"ird %4residin$( arbitrator+ t"e a44ointin$ a!t"orit? can be ca ed !4on to a44oint t"e t"ird arbitrator !nder artic e C+ 4ara$ra4" 7. T"at a44ointment #o! d taGe 4 ace in t"e same manner t"at a so e arbitrator #o! d be a44ointed !nder artic e E. In accordance #it" artic e E+ 4ara$ra4" 1+ t"e a44ointin$ a!t"orit? s"o! d act on ? at t"e reK!est o: a 4art?.79 66. W"en an a44ointin$ a!t"orit? is asGed to a44oint t"e 4resid8 in$ arbitrator 4!rs!ant to artic e C+ 4ara$ra4" 7+ :actors t"at mi$"t be taGen into consideration inc !de t"e e04erience o: t"e arbitra8 tor and t"e ad&isabi it? o: a44ointin$ an arbitrator o: a nationa it? ot"er t"an t"e nationa ities o: t"e 4arties %see 4ara. 7E abo&e+ on artic e 9+ 4ara$ra4" A(. ((! >u%tip%e (%aimant& or re&pondent& (arti(%e .6! 61. Artic e 10+ 4ara$ra4" 1+ 4ro&ides t"at+ in case o: m! ti4 e c aimants or res4ondents and !n ess ot"er#ise a$reed+ t"e m! ti8 4 e c aimants+ Foint ?+ and t"e m! ti4 e res4ondents+ Foint ?+ s"a a44oint an arbitrator. In t"e absence o: s!c" a Foint nomination and i: a 4arties are !nab e to ot"er#ise a$ree on a met"od :or t"e constit!tion 66

o: t"e arbitra trib!na + t"e a44ointin$ a!t"orit? s"a + !4on t"e reK!est o: an? 4art? 4!rs!ant to artic e 10+ 4ara8 $ra4" 7+ constit!te t"e arbitra trib!na and desi$nate one o: t"e arbitrators to act as t"e 4residin$ arbitrator.7A An i !stration o: a case in #"ic" 4arties on eit"er side co! d be !nab e to maGe s!c" an a44ointment is i: t"e n!mber o: eit"er c aimants or res4on8 dents is &er? ar$e or i: t"e? not :orm a sin$ e $ro!4 #it" com8 mon ri$"ts and ob i$ations %:or instance+ cases in&o &in$ a ar$e n!mber o: s"are"o ders(.7E 69. T"e 4o#er o: t"e a44ointin$ a!t"orit? to constit!te t"e arbi8 tra trib!na is broad ? :orm! ated in artic e 10+ 4ara$ra4" 7+ in order to co&er a 4ossib e :ai !res to constit!te t"e arbitra trib!8 na !nder t"e R! es and is not imited to m! ti4art? cases. A so+ it is note#ort"? t"at t"e a44ointin$ a!t"orit? "as t"e discretion to 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 %A/91/1A(+ 4ara. 1C. 7A A/CN.C/916+ 4aras. 9'897+ and A/CN.C/91C+ 4ara. E9. 7E A/CN.C/916+ 4ara. 97.
79

61

re&oGe an? a44ointment a read? made and to a44oint or rea48 4oint eac" o: t"e arbitrators.7C T"e 4rinci4 e in 4ara$ra4" 7 t"at t"e a44ointin$ a!t"orit? s"a a44oint t"e entire arbitra trib!na #"en 4arties on t"e same side in a m! ti4art? arbitration are !nab e to Foint ? a$ree on an arbitrator #as inc !ded in t"e R! es as an im4ortant 4rinci4 e+ in 4artic! ar in sit!ations iGe t"e one t"at $a&e rise to t"e case 1?>@ and Siemen& 0- 4ut(o.60 T"e deci8 sion in t"e 4ut(o case #as based on t"e reK!irement t"at 4arties recei&e eK!a treatment+ #"ic" 4ara$ra4" 7 addresses b? s"i:tin$ t"e a44ointment 4o#er to t"e a44ointin$ a!t"orit?.61 T"e tra0aux pr;paratoire& o: t"e UNCITRAL Arbitration R! es s"o# t"at em4"asis #as $i&en to maintainin$ a : e0ib e a44roac"+ $rantin$ discretionar? 4o#ers to t"e a44ointin$ a!t"orit?+ in artic e 10+ 4ara$ra4" 7+ in order to accommodate t"e #ide &ariet? o: sit!a8 tions arisin$ in 4ractice.6' (d! Su((e&&fu% (ha%%enge and other rea&on& for rep%a(ement of an arbitrator (arti(%e& .5 and ./! 6A. T"e a44ointin$ a!t"orit? ma? be ca ed !4on to a44oint a s!bstit!te arbitrator !nder artic e 1'+ 4ara$ra4" 7+ or artic e 17 or 16 o: t"e UNCITRAL Arbitration R! es %:ai !re or im4ossibi it? to act+ s!ccess:! c"a en$e and ot"er reasons :or re4 acement< see 4aras. 6C816 be o#(. (e! *ote for in&titution& a(ting a& an appointing authority 69

6E. Jor eac" o: t"ese instances #"ere an instit!tion ma? be ca ed !4on !nder t"e UNCITRAL Arbitration R! es to a44oint an arbitrator+ t"e instit!tion ma? 4ro&ide detai s as to "o# it #o! d se ect t"e arbitrator. In 4artic! ar+ it ma? state #"et"er it maintains a ist o: arbitrators+ :rom #"ic" it #o! d se ect a44ro8 4riate candidates+ and ma? 4ro&ide in:ormation on t"e com4osi8 tion o: an? s!c" ist. It ma? a so indicate #"ic" 4erson or or$an #it"in t"e instit!tion #o! d maGe t"e a44ointment %:or e0am4 e+ t"e 4resident+ a board o: directors+ t"e secretar?8$enera or a committee( and+ in t"e case o: a board or committee+ "o# t"at or$an is com4osed and/or its members #o! d be e ected. A/CN.C/91C+ 4aras. EE and C0. 60 1?>@ and Siemen& 0- 4ut(o+ Jrenc" Co!rt o: Cassation+ A *an!ar? 1CC' %see 'e0ue de %AArbitrage+ No. 7 %1CC'(+ 44. 6A08 6A'(. 61 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 %A/91/1A(+ 4ara. 90. 6' A/CN.C/91C+ 4ara. C0.
7C

6A

$. *e(ision on (hallen+e o' arbitrator (a! ./ Arti(%e& .5 and

6C. Under artic e 1' o: t"e UNCITRAL Arbitration R! es+ an arbitrator ma? be c"a en$ed i: circ!mstances e0ist t"at $i&e rise to F!sti:iab e do!bts as to "is or "er im4artia it? or inde4endence. W"en s!c" a c"a en$e is contested %i.e. i: t"e ot"er 4art? does not a$ree to t"e c"a en$e or t"e c"a en$ed arbitrator does not #it"dra# #it"in 11 da?s o: t"e notice o: t"e c"a en$e(+ t"e 4art? maGin$ t"e c"a en$e ma? seeG a decision on t"e c"a en$e b? t"e a44ointin$ a!t"orit? 4!rs!ant to artic e 17+ 4ara$ra4" 6. I: t"e a44ointin$ a!t"orit? s!stains t"e c"a en$e+ it ma? a so be ca ed !4on to a44oint t"e s!bstit!te arbitrator. (b! *ote for in&titution a(ting a& an appointing authority 10. T"e instit!tion ma? indicate detai s as to "o# it #o! d maGe t"e decision on s!c" a c"a en$e in accordance #it" t"e UNCITRAL Arbitration R! es. In t"at re$ard+ t"e instit!tion ma? #is" to identi:? an? code o: et"ics o: its instit!tion or ot"er #rit8 ten 4rinci4 es #"ic" it #o! d a44 ? in ascertainin$ t"e inde4end8 ence and im4artia it? o: arbitrators. ). Re&la(ement o' an arbitrator (arti(le 1)) 11. 6E Under artic e 16+ 4ara$ra4" 1+ o: t"e

UNCITRAL Arbitration R! es+ in t"e e&ent t"at an arbitrator "as to be re4 aced in t"e co!rse o: t"e arbitra 4roceedin$s+ a s!bstit!te arbitrator s"a norma ? be a44ointed or c"osen 4!rs!ant to t"e 4roced!re 4ro8 &ided :or in artic es E811 o: t"e R! es t"at #as a44 icab e to t"e a44ointment or c"oice o: t"e arbitrator bein$ re4 aced. T"at 4ro8 ced!re s"a a44 ? e&en i:+ d!rin$ t"e 4rocess o: a44ointin$ t"e arbitrator to be re4 aced+ a 4art? :ai ed to e0ercise its ri$"t to a44oint or to 4artici4ate in t"e a44ointment. 1'. T"is 4roced!re is s!bFect to an e0ce4tion 4!rs!ant to arti8 c e 16+ 4ara$ra4" '+ o: t"e R! es+ #"ic" 4ro&ides t"e a44ointin$ a!t"orit? #it" t"e 4o#er to determine+ at t"e reK!est o: a 4art?+ #"et"er it #o! d be F!sti:ied :or a 4art? to be de4ri&ed o: its ri$"t to a44oint a s!bstit!te arbitrator. I: t"e a44ointin$ a!t"orit? maGes s!c" a determination+ it ma?+ a:ter $i&in$ an o44ort!nit? to t"e 4arties and t"e remainin$ arbitrators to e04ress t"eir &ie#s) (a! a44oint t"e s!bstit!te arbitrator< or (b! a:ter t"e c os!re o: t"e "earin$s+ a!t"oriDe t"e ot"er arbitrators to 4roceed #it" t"e arbi8 tration and maGe an? decision or a#ard.

6C

17. It is note#ort"? t"at t"e a44ointin$ a!t"orit? s"o! d de4ri&e a 4art? o: its ri$"t to a44oint a s!bstit!te arbitrator on ? in e0ce4tiona circ!mstances. To t"at end+ t"e #ordin$ Ht"e e0ce4tiona circ!mstances o: t"e caseI in artic e 16+ 4ara$ra4" '+ #as c"osen to a o# t"e a44ointin$ a!t"orit? to taGe acco!nt o: a circ!mstances or incidents t"at mi$"t "a&e occ!rred d!rin$ t"e 4roceedin$s. T"e tra0aux pr;paratoire& o: t"e UNCITRAL Arbitration R! es s"o# t"at de4ri&in$ a 4art? o: its ri$"t to a44oint an arbitrator is a serio!s decision+ one #"ic" s"o! d be taGen based on t"e :a! t? be"a&io!r o: a 4art? to t"e arbitration and on t"e basis o: a :act8s4eci:ic inK!ir? and #"ic" s"o! d not be s!bFect to de:ined criteria. Rat"er+ t"e a44ointin$ a!t"orit? s"o! d determine+ in its discretion+ #"et"er t"e 4art? "as t"e ri$"t to a44oint anot"er arbitrator.67 16. In determinin$ #"et"er to 4ermit a tr!ncated trib!na to 4roceed #it" t"e arbitration !nder artic e 16+ 4ara$ra4" ' (b!+ t"e a44ointin$ a!t"orit? m!st taGe into consideration t"e sta$e o: t"e 4roceedin$s. /earin$ in mind t"at t"e "earin$s are a read? c osed+ it mi$"t be more a44ro4riate+ :or t"e saGe o: e::icienc?+ to a o# a tr!ncated trib!na to maGe an? decision or :ina a#ard t"an to 4roceed #it" t"e a44ointment o: a s!bstit!te arbitrator. Ot"er :actors t"at mi$"t be taGen into consideration+ to t"e e0tent :easib e+ in decidin$ #"et"er to a o# a tr!ncated trib!na to 4ro8 ceed inc !de t"e re e&ant a#s %i.e. #"et"er t"e a#s #o! d 4er8 mit or restrict s!c" a 4roced!re( and re e&ant case a# on tr!ncated trib!na s. 10

". Assistan(e in 'i.in+ 'ees o' arbitrators (a! Arti(%e& 46 and 4. 11. -!rs!ant to artic e 60+ 4ara$ra4"s 1 and '+ o: t"e UNCITRAL Arbitration R! es+ t"e arbitra trib!na :i0es t"e costs o: arbitra8 tion. -!rs!ant to artic e 61+ 4ara$ra4" 1+ t"e :ees and e04enses o: t"e arbitrators s"a be reasonab e in amo!nt+ taGin$ into acco!nt t"e amo!nt in dis4!te+ t"e com4 e0it? o: t"e s!bFect matter+ t"e time s4ent b? t"e arbitrators and an? ot"er re e&ant circ!mstances o: t"e case. In t"is tasG+ t"e arbitra trib!na ma? be assisted b? an a44ointin$ a!t"orit?) i: t"e a44ointin$ a!t"orit? a44 ies or "as stated t"at it #i a44 ? a sc"ed! e or 4artic! ar met"od :or deter8 minin$ t"e :ees o: arbitrators in internationa cases+ t"e arbitra trib!na + in :i0in$ its :ees+ s"a taGe t"at sc"ed! e or met"od into acco!nt to t"e e0tent t"at it considers a44ro4riate in t"e circ!m8 stances o: t"e case %artic e 61+ 4ara$ra4" '(. A/CN.C/9EE+ 4ara. AE+ and A/CN.C/916+ 4ara. A1.
67

11

(b! *ote for in&titution& a(ting a& an appointing authority 19. An instit!tion #i in$ to act as a44ointin$ a!t"orit? ma? indicate+ in its administrati&e 4roced!res+ an? re e&ant detai s in res4ect o: assistance in :i0in$ t"e :ees. In 4artic! ar+ it ma? state #"et"er it "as iss!ed a sc"ed! e or de:ined a 4artic! ar met"od :or determinin$ t"e :ees :or arbitrators in internationa cases as en&isa$ed in artic e 61+ 4ara$ra4" ' %see 4ara. 1A abo&e(. !. Revie, me(hanism (arti(le )1) 1A. Artic e 61 o: t"e UNCITRAL Arbitration R! es addresses t"e :ees and e04enses o: arbitrators and :oresees a re&ie# mec"a8 nism :or s!c" :ees t"at in&o &es a ne!tra bod?+ t"e a44ointin$ a!t"orit?. Not#it"standin$ t"at an instit!tion ma? "a&e its o#n r! es on :ees+ it is recommended t"at t"e instit!tion actin$ as a44ointin$ a!t"orit? s"o! d :o o# t"e r! es set o!t in artic e 61. 1E. T"e re&ie# mec"anism consists o: t#o sta$es. At t"e :irst sta$e+ artic e 61+ 4ara$ra4" 7+ reK!ires t"e arbitra trib!na to in:orm t"e 4arties 4rom4t ? a:ter its constit!tion o: "o# it 4ro8 4oses to determine its :ees and e04enses. An? 4art? t"en "as 11 da?s to reK!est t"e a44ointin$ a!t"orit? to re&ie# t"at 4ro8 4osa . I: t"e a44ointin$ a!t"orit? considers t"e 4ro4osa o: t"e arbitra trib!na to be inconsistent #it" t"e reK!irement o: rea8 sonab eness in artic e 61+ 4ara$ra4" 1+ it s"a #it"in 61 da?s maGe an? necessar? adF!stments+ 1'

#"ic" are bindin$ !4on t"e arbi8 tra trib!na . At t"e second sta$e+ artic e 61+ 4ara$ra4" 6+ 4ro&ides t"at+ a:ter bein$ in:ormed o: t"e determination o: t"e arbitratorsM :ees and e04enses+ an? 4art? "as t"e ri$"t to reK!est t"e a44ointin$ a!t"orit? to re&ie# t"at determination. I: no a44ointin$ a!t"orit? "as been a$reed !4on or desi$nated+ or i: t"e a44ointin$ a!t"orit? :ai s to act #it"in t"e time s4eci:ied in t"e R! es+ t"e re&ie# s"a be made b? t"e Secretar?8@enera o: t"e -ermanent Co!rt o: Arbitration. Wit"in 61 da?s o: t"e recei4t o: s!c" re:erra + t"e re&ie#in$ a!t"orit? s"a maGe an? adF!stments to t"e arbitra trib!na Ms determination t"at are necessar? to meet t"e criteria in artic e 61+ 4ara$ra4" 1+ i: t"e trib!na Ms determination is incon8 sistent #it" its 4ro4osa %and an? adF!stment t"ereto( !nder 4ara8 $ra4" 7 o: t"at artic e or is ot"er#ise mani:est ? e0cessi&e. 1C. T"e tra0aux pr;paratoire& o: t"e UNCITRAL Arbitration R! es s"o# t"at t"e 4rocess :or estab is"in$ t"e arbitratorsM :ees #as re$arded as cr!cia :or t"e e$itimac? and inte$rit? o: t"e arbitra 4rocess itse :.66
66

A/CN.C/969+ 4ara. '0.

17

90. T"e criteria and mec"anism set o!t in artic e 61+ 4ara8 $ra4"s 186+ #as c"osen to 4ro&ide s!::icient $!idance to an a44ointin$ a!t"orit? and to a&oid time8cons!min$ scr!tin? o: :ee determinations.61 Artic e 61+ 4ara$ra4" 6 ((!+ b? cross8re:errin$ to 4ara$ra4" 1 o: t"at artic e+ re:ers to t"e notion o: reasonab e8 ness o: t"e amo!nt o: arbitratorsM :ees+ an e ement to be taGen into acco!nt b? t"e a44ointin$ a!t"orit? i: t"e adF!stment o: :ees and e04enses is necessar?. In order to c ari:? t"at t"e re&ie# 4ro8 cess s"o! d not be too intr!si&e+ t"e #ords Hmani:est ? e0ces8 si&eI #ere inc !ded in artic e 61+ 4ara$ra4" 6 ((!.69 /. Advisor (omments re+ardin+ de&osits 91. Under artic e 67+ 4ara$ra4" 7+ o: t"e UNCITRAL Arbitration R! es+ t"e arbitra trib!na s"a :i0 t"e amo!nts o: an? initia or s!44 ementar? de4osits on ? a:ter cons! tation #it" t"e a44ointin$ a!t"orit?+ #"ic" ma? maGe an? comments to t"e arbitra trib!na it deems a44ro4riate concernin$ t"e amo!nt o: s!c" de4osits and s!44 ementar? de4osits+ i: a 4art? so reK!ests and t"e a44ointin$ a!t"orit? consents to 4er:orm t"is :!nction. T"e instit!tion ma? #is" to indicate in its administrati&e 4roce8 d!res its #i in$ness to do so. S!44 ementar? de4osits ma? be reK!ired i:+ in t"e co!rse o: 4roceedin$s+ it a44ears t"at t"e costs #i be "i$"er t"an antici4ated+ :or instance i: t"e arbitra trib!na decides 4!rs!ant to t"e R! es to a44oint an e04ert. A t"o!$" not e04 icit ? mentioned in t"e R! es+ a44ointin$ a!t"orities 16

"a&e in 4ractice a so commented and ad&ised on interim 4a?ments. 9'. It s"o! d be noted t"at+ !nder t"e R! es+ t"is Gind o: ad&ice is t"e on ? tasG re atin$ to de4osits t"at an a44ointin$ a!t"orit? ma? be reK!ested to :! :i . T"!s+ i: an instit!tion o::ers to 4er8 :orm an? ot"er :!nctions %s!c" as "o din$ de4osits or renderin$ an acco!ntin$ t"ereo:(+ it s"o! d be 4ointed o!t t"at t"is #o! d constit!te additiona administrati&e ser&ices not inc !ded in t"e :!nctions o: an a44ointin$ a!t"orit? %see 4ara. 70 abo&e(.

A/CN.C/9EE+ 4ara. '7. 7ffi(ia% 'e(ord& of the $enera% A&&emb%y+ Sixty,fifth Se&&ion+ Supp%ement *o- .7 %A/91/1A(+ 4ara. 1A'.
61 69

11

*ote: In addition to t"e in:ormation and s!$$estions set :ort" "erein+ assistance ma? be obtained :rom t"e secretariat o: UNCITRAL) Internationa Trade La# Di&ision O::ice o: Le$a A::airs United Nations ,ienna Internationa Centre -.O. /o0 100 1600 ,ienna A!stria E8mai ) !ncitra =!ncitra .or$. T"e secretariat co! d+ :or e0am4 e+ i: so reK!ested+ assist in t"e dra:tin$ o: instit!tiona r! es or administrati&e 4ro&isions+ or it co! d maGe s!$$estions in t"is re$ard.

19

+%*,$*#-+ .rinted in Austria

/0%*1,$*#-2March #$%*2-3$