Notice of Appointment for a Party-Nominated Arbitrator in Ad Hoc Arbitration

Summary

This template is a notice of appointment of a party-appointed arbitrator you may use for ad hoc arbitration. It assumes that the parties' agreement calls for a three-member tribunal where each party appoints one arbitrator. It can be used by both claimants and respondents. This template includes practical guidance and drafting notes. Rules that commonly apply in ad hoc arbitrations include: • UNCITRAL Arbitration Rules (UNCITRAL Rules) • International Institute for Conflict Prevention and Resolution (CPR) Non-administered Arbitration Rules (CPR Non-administered Rules) You must communicate the notice of appointment to your adversary. Since no arbitral tribunal will have been constituted when you send the notice—and since no institution will be involved in an ad hoc arbitration—you need only send the notice to the opposing party. Check the applicable arbitration rules for requirements on form and how to send the notice. The UNCITRAL and CPR Non-administered Rules both allow for a variety of means of communication, so long as there is a record of the notice's transmittal See UNCITRAL Arbitration Rules Article 2; CPR Non-administered Arbitration Rule 2.1. In most cases, you should transmit the notice via email to opposing counsel or to the party itself, if the party has yet to hire an attorney. There generally are not specific requirements for the form of a notice of appointment. You can use the case caption even though no case number has been assigned yet, or simply send a letter. The claimant typically will appoint an arbitrator in its demand for arbitration. CPR Non-administered Arbitration Rule 3.3; UNCITRAL Arbitration Rules Article 3(4)(c). The respondent then has either 30 (for UNCITRAL cases) or 20 (for CPR Non-administered cases) days to appoint its own party-appointed arbitrator. UNCITRAL Arbitration Rules Article 4(2)(d); CPR Non-administered Arbitration Rule 3.5(c). If you make an appointment in the arbitration demand or answer, you can incorporate this template's language into your pleading. No separate communication is necessary. Communicating with the arbitrator prior to notice of appointment. Though ex parte communications between parties and arbitrators are prohibited, a party obviously must ensure that its designated arbitrator is available to serve and not conflicted prior to finalizing the appointment. To address this, Canon III of the 2004 Revision of the ABA/AAA Code of Ethics for Arbitrators in Commercial Disputes expressly allows for these communications provided they are limited to the: • Identity of the parties • Possible conflicts of interest and disclosures • Suitability for appointment • Choice of the chairperson Notify your designated party-appointed arbitrator once you transmit the notice of appointment and finalize the appointment. For more information, see Arbitrators: Finding, Vetting, and Selecting an Arbitrator (U.S.) and Arbitrators: Finding, Vetting, and Selecting an Arbitrator Checklist (U.S.).