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UNCITRAL Arbitration Rules

The UNCITRAL Arbitration Rules, adopted in 1976 and revised in 2010 and 2013, entrust the Secretary-General of the PCA with the role of designating an “appointing authority” upon request of a party to arbitration proceedings. In addition to the role of designating appointing authorities, the Secretary-General of the PCA will act as the appointing authority under the UNCITRAL Arbitration Rules when the parties so agree. The PCA also frequently provides full case administration support in arbitrations under the UNCITRAL Arbitration Rules, in particular in cases involving a State, a State-controlled entity, or an intergovernmental organization.

The UNCITRAL Arbitration Rules were adopted by the General Assembly of the United Nations in 1976 after extensive deliberations and consultations with various interested international organizations and leading arbitration experts conducted under the auspices of the United Nations Commission on International Trade Law (UNCITRAL). The UNCITRAL Arbitration Rules were revised in 2010 to reflect the evolution in arbitral practice in the period since the adoption of the 1976 Rules. They were revised again in 2013 to incorporate the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration.

The version of the UNCITRAL Arbitration Rules in effect on the date of commencement of the arbitration is presumed to apply under arbitration agreements concluded after August 15, 2010, except where the parties have agreed to apply a particular version of the UNCITRAL Arbitration Rules or where the arbitration agreement has been concluded by accepting after 15 August 2010 an offer made before that date.

Designation of an Appointing Authority

Under the UNCITRAL Arbitration Rules, a party may request the Secretary-General of the PCA to designate an “appointing authority” in the following situations:

1. Under the 1976 version of the UNCITRAL Arbitration Rules:

  • in cases in which there is to be a sole arbitrator, and the parties have not reached agreement on the choice of that arbitrator within the prescribed period of time (Art. 6);
  • in cases in which there are to be three arbitrators, and the respondent does not proceed within the prescribed period of time with the appointment of the arbitrator that the respondent is entitled to appoint (Art. 7, paras. 2 and 3), or the two party-appointed arbitrators do not agree on the choice of the presiding arbitrator within the prescribed period of time (Art. 7, para. 3);
  • where the appointing authority agreed upon refuses to act or fails to appoint the arbitrator within the prescribed period of time (Art. 6, para. 2 or Art. 7, para. 2); or
  • in the event an arbitrator is challenged (Art. 12).

2. Under the 2010 and 2013 versions of the UNCITRAL Arbitration Rules:

  • in the event that the parties have not reached agreement on an appointing authority within 30 days following a proposal of one or more institutions or persons, one of whom would serve as appointing authority (Art. 6, para. 2); or
  • except as referred to in Art. 41, para. 4(b), if the appointing authority refuses to act, or if the appointing authority fails to appoint an arbitrator within 30 days after receiving a party’s request to do so, fails to act within any other period provided by the Rules, or fails to decide on a challenge to an arbitrator within a reasonable time after receiving a party’s request to do so (Art. 6, para. 4).

Further information, including the procedure to request the designation of an appointing authority by the Secretary-General of the PCA, can be found on the Designation of Appointing Authority page.

Appointment of Arbitrators

When acting as the appointing authority and requested to appoint a sole or presiding arbitrator, the Secretary-General will generally follow the list-procedure as provided for under the UNCITRAL Arbitration Rules (Art. 6(3) of the 1976 Rules; Art. 8(2) of the 2010 and 2013 Rules). In accordance with the UNCITRAL Arbitration Rules, the Secretary-General will exercise his discretion when requested to appoint a second arbitrator. The Secretary-General’s choice of arbitrators for the list-procedure or direct appointments is not limited to any list or panel, and the Secretary-General is therefore free to choose the most appropriate person for the matter at hand.

Further information, including the procedure to request the appointment of an arbitrator by the Secretary-General of the PCA, can be found on the PCA Secretary-General as Appointing Authority page.

Challenges to Arbitrators

The UNCITRAL Arbitration Rules requires that contested challenges be decided by the appointing authority (Art. 12 of the 1976 Rules; Art. 13 of the 2010 and 2013 Rules). When deciding challenges, the Secretary-General, depending on the circumstances of the case, may make the decision directly or after consultation with a special committee, consisting of three persons, a majority of whom will be of nationalities different from that of any party.

Further information, including the procedure to request a decision on a challenge by the Secretary-General of the PCA, can be found on the PCA Secretary-General as Appointing Authority page.

Arbitrator Fees and Expenses

Under the 2010 and 2013 versions of the UNCITRAL Arbitration Rules, appointing authorities and the Secretary-General of the PCA are granted additional roles in relation to arbitrators’ fees and expenses.

1. Where the Secretary-General of the PCA is designated to act as appointing authority, any party may:

  • refer an arbitral tribunal’s proposal regarding the manner in which its fees and expenses will be determined to the Secretary-General for review and, if necessary, adjustment (Art. 41(3));
  • refer an arbitral tribunal’s determination of its final fees and expenses to the Secretary-General for review and, if necessary, adjustment (Art. 41(4)(a)-(b)).

2. Where no appointing authority has been agreed upon or designated, any party may:

  • refer an arbitral tribunal’s determination of its final fees and expenses to the Secretary-General for review and, if necessary, adjustment (Art. 41(4)(a)-(b)).

Further information, including the procedure to refer an arbitral tribunal’s proposal or determination regarding its fees and expenses for review by the Secretary-General of the PCA, can be found on the PCA Secretary-General as Appointing Authority page.

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