The 2021 Rules as Appointing Authority and Case Administrator in UNCITRAL, ad hoc and Other Proceedings

Article 1 General Provisions 4

Article 2 Request to Act as Appointing Authority or Case Administrator 4

Article 3 Appointment of Arbitrators 5

Article 4 Challenge and Other Reason to Replace Arbitrators 5

Article 5 Arbitrators’ Fees and Expenses 5

Article 6 Appointment of Mediators and Experts 6

Article 7 Mediators’ and Experts’ Fees and Expenses 6

Article 8 Repository of Published Information 6

Article 9 Costs for Services 6

Article 10 Exclusion of Liability 6

Appendix A Offices and Bank Account of the Secretariat 7

GENERAL PROVISIONS (e) assistance in fixing the mediators’ and experts’ fees and

Article 1 expenses (Article 7); and

1. If so empowered by an arbitration clause, a subsequent (f) acting as a repository of published information under agreement between the parties, a designation by the the UNCITRAL Rules on Transparency in Treaty-based Secretary General of the Permanent Court of Arbitration in Investor-State Arbitration (Article 8). The Hague, or otherwise, the Swiss Arbitration Centre shall act as appointing authority or case administrator, as the case 6. If so empowered by an arbitration clause, a subsequent may be, in accordance with the present rules (the “Rules”), agreement between the parties, or otherwise, the Swiss unless expressly derogated from, and with the parties’ agree- Arbitration Centre shall consider providing services, besides ment and/or other applicable rules. those specifically indicated above, in accordance with the parties’ agreement. 2. The Rules shall also apply where an authority within the Swiss Arbitration Centre,1 within one of the Chambers 7. Upon request of the parties, and against payment of of Commerce that have adhered to the Swiss Rules of an additional fee,5 the Swiss Arbitration Centre may International Arbitration,2 or within any other organisation communicate the reasons for its decisions under these that has transferred to the Swiss Arbitration Centre the Rules. authority to appoint arbitrators or provide support3 is called upon to act as appointing authority or case administrator in the cases set out in Article 1 (1). REQUEST TO ACT AS APPOINTING AUTHORITY OR CASE ADMINISTRATOR 3. Where the Swiss Arbitration Centre is empowered or Article 2 requested to act as appointing authority or case administrator 1. In cases referred to in Article 1, a party or organisation under Articles 1(1) or 1(2), such function shall be carried out by requesting the Swiss Arbitration Centre to act as appointing the Arbitration Court (the “Court”) or, in case of a mediation, authority or case administrator shall submit a request (the by the Secretariat of the Swiss Arbitration Centre (the “Request”) to the Swiss Arbitration Centre at one of the “Secretariat”) in consultation with the Advisory Council for addresses of the Secretariat, postal or electronic, listed in Mediation (the “Advisory Council”), as applicable, pursuant to Appendix A of these Rules. their Internal Rules.4 2. The Secretariat shall notify the other party or parties of the 4.

When requested to act under these Rules, the Swiss Request with an indication of the date of receipt. Arbitration Centre shall only proceed if it is satisfied that an agreement or applicable instrument authorizing it to act as 3. The Request shall contain all information that the requesting appointing authority or case administrator and to render the party or organisation deems appropriate in order to allow the requested service may exist. Swiss Arbitration Centre to provide the requested service.

5. The Swiss Arbitration Centre offers in particular 4. The Request and all documents annexed thereto shall be the following services as appointing authority or case submitted to the Secretariat by e-mail. Upon request of the administrator: Secretariat, the requesting party shall provide hard copies (a) appointment of arbitrators (Article 3); of the Request. The parties and the Secretariat may agree to (b) decisions on the challenge of arbitrators and other submit all further documents by e-mail or other appropriate reasons for the replacement of arbitrators (Article 4); electronic means. When submitting its Request, the (c) holding of deposits and related payments and advice; requesting party or organisation shall arrange for and confirm assistance in fixing the arbitrators’ fees and expenses; payment to the Swiss Arbitration Centre, by transfer to the participation in the review of decisions on costs and fees relevant bank account listed in Appendix A of these Rules, of (Article 5); the non-refundable Registration Fee of CHF 4,000. Should (d) appointment of mediators and experts (Article 6); the requesting party or organisation fail to comply with either of these requirements, the Secretariat may set a time limit for compliance. If the requesting party or organization fails to comply with either of these requirements within the set time limit, the case shall be closed, without prejudice to the right of the requesting party or organisation to resubmit the Request 1. Such as the President of the Arbitration Court or a member of the Secre- at a later date. tariat of the Arbitration Court or a member of the Board of Directors or the Executive Director of the Swiss Arbitration Centre. 2. Currently the Chambers of Commerce and Industry of Basel, Bern, Central Switzerland, Geneva, Neuchâtel, Ticino, Vaud and Zurich. 3. These organizations include the SIX Exchange Regulation in Zurich, the Association pour l’arbitrage international en matière de commerce et d’industrie (ARICI) and the Association pour l’Arbitrage en matière de Baux Commerciaux (ABC) in Geneva. 4. The Internal Rules of the Court and of the Advisory Council are available under www.swissarbitration.org. 5. See Article 9.6.

APPOINTMENT OF ARBITRATORS ARBITRATORS’ FEES AND EXPENSES

Article 3 Article 5

1. When empowered to act as appointing authority 1. When empowered to act as case administrator regarding of an arbitrator or arbitral tribunal, the Court shall the arbitrators’ fees and expenses, the Court will provide the exercise its discretion in making the appointment, following services: unless specific rules apply to the appointment (a) holding of deposit and related payments and advice; procedure (e.g. the UNCITRAL Arbitration Rules). (b) assisting in fixing the arbitrators’ fees and expenses; The Court may decide that the list-procedure set and/or forth in the UNCITRAL Arbitration Rules shall be followed for (c) participating in the review of decisions on costs and fees. the appointment. 2. The parties may empower the Secretariat to administer 2. In any event, when making the appointment, the Court shall the deposit to be paid by the parties, in which case the have regard to such considerations that are likely to secure Secretariat will hold the deposit in a separate bank account the appointment of arbitrators who are independent of the which is solely used for, and clearly identified as relating to, parties and impartial. The Court shall also take into account the arbitral proceedings in question. that it may be advisable to appoint arbitrators of a nationality or region other than that of the parties. In case of a conflict, the 3. With the approval of the Court, a portion of the deposit Court’s duty to appoint independent and impartial arbitrators may from time to time be released to each member of the shall prevail over any specific rules for the appointment arbitral tribunal as an advance on costs, as the arbitration procedure that may lead to the appointment of arbitrators progresses. who would lack those requirements. 4. The Court shall provide guidance to ensure that the 3.

When empowered to act as appointing authority in multi- arbitrators’ fees and expenses are calculated and charged party proceedings where the multiple claimants, on the one to the parties in accordance with their agreement or the hand, and/or the multiple respondents, on the other hand, do relevant provisions of the applicable rules or procedures. not appoint an arbitrator jointly and are unable to otherwise In the absence of such agreement, rules or procedures, agree on a method for the constitution of the arbitral tribunal, the Court shall provide its guidance based on the Swiss the Court may, upon request of a party, appoint some or all Rules of International Arbitration and the Guidelines for arbitrators, and shall designate the presiding arbitrator. Arbitrators of the Swiss Arbitration Centre in force on the date of the Request. The arbitrators’ fees shall be invoiced in 4. Before his or her appointment, the prospective arbitrator the currency of the account opened for the purposes of the shall complete and sign a consent to appointment and state- arbitration. ment of impartiality and independence form provided by the Secretariat. The prospective arbitrator shall disclose 5. If the arbitrators’ fees are to be based on an unspecified in writing to the Secretariat any facts or circumstances fee schedule, the Court, in fixing or advising on the arbitral likely to give rise to justifiable doubts as to the arbitrator’s tribunal’s fees, shall be bound by the Schedule of Costs independence and impartiality in the eyes of the parties. pursuant to Appendix B of the Swiss Rules of International Arbitration in force at the time of the commencement of the arbitration. CHALLENGE AND OTHER REASON TO REPLACE ARBITRATORS 6. If the arbitrators’ fees are to be based on the time spent

Article 4 by the members of the arbitral tribunal in the context of the

1. When empowered to make decisions upon challenges or arbitration, and in the absence of any other agreement on requests for removal submitted by any party or a member hourly rates between the parties and the arbitral tribunal, of the arbitral tribunal, the Court will make its decision the hourly rates shall be between CHF 300 and CHF 700. In after the Secretariat has afforded an opportunity to the exceptional cases, the hourly rate may be higher, provided arbitrator concerned, the other party or parties and any that (i) the arbitrators’ fees are fixed by the Court following other members of the arbitral tribunal to comment in writing consultations with the arbitrator(s) and (ii) the fees are within an adequate period of time. Such comments shall be expressly approved by all parties. Unless otherwise agreed, communicated to the parties and to the arbitrators, before the Court’s decision with regard to the arbitrators’ fees shall being submitted to the Court. be binding upon the arbitral tribunal.

2. When empowered to appoint a replacement arbitrator, the 7. In determining the arbitrators’ expenses, the applicable Court shall follow the procedure set forth in Article 3. When rules or procedures are supplemented by the Guidelines for the appointment of a replacement arbitrator is to take place Arbitrators of the Swiss Arbitration Centre in force at the time after the closing of the proceedings, the Court may, upon the of the commencement of the arbitration. request of a party, and after having granted an opportunity to the parties and the remaining arbitrators to comment, 8. All fees, expenses, and other charges may be subject to determine that the other arbitrators shall proceed with the Value Added Tax at the applicable rate. arbitration and make any decision or award.

APPOINTMENT OF MEDIATORS AND EXPERTS service over several years (e.g. administration of deposit paid

Article 6 by the parties) the Administrative Cost of such service is CHF

1. When empowered to act as the appointing authority of a 1,500 per commenced 12-month period. mediator or expert, the Swiss Arbitration Centre (through the Secretariat in consultation with the Advisory Council 3. If the service involves communications between the in relation to mediators, respectively the Court in relation Secretariat and more than two parties, an additional to experts) may exercise its discretion in making the Registration Fee of CHF 500 per additional party will be appointment, unless specific rules apply to the appointment charged. procedure. 4. Where the Swiss Arbitration Centre provides a service to 2. Article 3 of the Rules applies by analogy. several parties, all parties having made a Request jointly shall bear the costs in equal shares.

MEDIATORS’ AND EXPERTS’ FEES AND EXPENSES 5. The Swiss Arbitration Centre charges an annual Abeyance

Article 7 Fee of CHF 2,000 payable by the parties in equal shares, or,

1. When empowered to act as case administrator regarding as the case may be, by the party which requested the stay of mediators’ or experts’ fees and expenses, the Swiss the proceedings, if procedures are in abeyance for more than Arbitration Centre (through the Secretariat in consultation three months. with the Advisory Council for questions related to mediation and with the Court for those related to expertise) will provide 6. The Swiss Arbitration Centre charges CHF 2,000 for the following services: communicating the reasons for one of its decisions under (a) holding of deposit and related payments and advice; these Rules. (b) assisting in fixing the mediators’ or experts’ fees and expenses; and/or Service Cost (c) participating in the review of decisions on costs and fees. Initial service (non-refundable CHF 4,000 Registration Fee) 2. In mediation cases, in the absence of a specific agreement, Additional service CHF 1,500 rules or procedures, the Swiss Arbitration Centre shall provide its guidance based on the Swiss Rules of Mediation. Service provided over CHF 1,500 several years per 12-month period 3. Article 5 of the Rules applies by analogy. Communications between the CHF 500 Secretariat and more than two per additional party parties REPOSITORY OF PUBLISHED INFORMATION CHF 2,000

Article 8 Abeyance Fee per 12-month period

1. In UNCITRAL or non-UNCITRAL ad hoc investor-State Reasons for a decision CHF 2,000 per decision arbitration proceedings, when so empowered by an agreement of the parties pursuant to Article 1(2)(a) of the UNCITRAL Rules on Transparency in Treaty-based Investor- EXCLUSION OF LIABILITY State Arbitration, the Swiss Arbitration Centre will act as a

Article 10

repository of information or documents related to the parties’ Neither the members of the Board of Directors of the arbitration when subject to transparency rules or regulations Swiss Arbitration Centre, the members of the Court and (“Published Information”). the Secretariat, the members of the Advisory Council, the arbitrators, mediators and experts appointed by the Court 2. The Published Information can be made available to the and the Advisory Council shall be liable for any act or omission public on the website of the Swiss Arbitration Centre or in connection with any service rendered under these Rules, otherwise. except if the act or omission is shown to constitute intentional wrongdoing or gross negligence.

COSTS FOR SERVICES

Article 9