Arbitrator Appointments and Confirmations

Overview

HKIAC typically appoints arbitrators (mostly sole and presiding arbitrators) when the parties or co-arbitrators fail to make an appointment in cases under the HKIAC Administered Arbitration Rules (“HKIAC Rules”), the UNCITRAL Arbitration Rules, the Hong Kong Arbitration Ordinance, and other arbitrations in which HKIAC is the appointing authority. 

HKIAC appointments are made through the Appointments Committee. Members of the Appointments Committee are not eligible for appointment by HKIAC. However, a member’s designation as arbitrator by a party or the co-arbitrators in an arbitration may be confirmed by HKIAC.

HKIAC normally appoints arbitrators from a panel or list of arbitrators published on HKIAC’s website. In appropriate circumstances, HKIAC may appoint an arbitrator from outside of its panel or list of arbitrators.

HKIAC considers a wide range of factors when appointing an arbitrator. Those factors include, but are not limited to, the following:

1. any qualifications agreed by the parties;
2. the identity of the parties, counsel and co-arbitrators (if any);
3. the nationality of the parties;
4. the nature and complexity of the dispute;
5. the amount in dispute;
6. the governing law of the contract(s);
7. the seat of arbitration;
8. the language(s) of the arbitration and underlying contract(s);
9. any qualifications or candidates suggested by any of the parties;
10. the nationality of the arbitrator;
11. the availability of the arbitrator;
12. the place of residence of the arbitrator;
13. the proposed fees of the arbitrator;
14. the number of previous appointments of the arbitrator in HKIAC cases; and
15. HKIAC’s previous experience with the arbitrator and any party feedback.

Where HKIAC is to appoint an arbitrator under the Arbitration Ordinance, it will consult with at least three members of the Appointment Advisory Board (the “AAB”) and must consider their advice but is not bound by it. The AAB includes members nominated by eleven Hong Kong professional and interest groups.

In all cases in which HKIAC is to appoint an arbitrator, it will first propose at least one candidate to the parties and set a time limit for comments. If no party objects to or raises any justifiable concerns about the proposed candidate, HKIAC will appoint that candidate.

2022 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2022:

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2022:

Article 11(2) of the 2013 and 2018 HKIAC Administered Arbitration Rules (the “Rules”) contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as any of the parties unless the parties expressly agree. The restriction under Article 11(2) is made less onerous by Article 11(3) of both Rules which provides that, in appropriate circumstances and where no party objects, HKIAC may appoint someone of the same nationality as any of the parties.

Under paragraph 3.3 of the Practice Note on Appointment of Arbitrators (the “Practice Note”), HKIAC may also include Hong Kong passport holders as candidates for appointment as sole or presiding arbitrator in cases between Mainland Chinese and non-Chinese parties, absent any party’s objections.

In 2022, there were 17 cases in which HKIAC appointed a sole or presiding arbitrator who had the same nationality as any of the parties under Article 11(3) of the Rules or paragraph 3.3 of the Practice Note where no party objected. Further details of these cases are provided below:

Diversity of Qualified Arbitrators

Of the 159 appointments by HKIAC:

• 70 (44%) were from the Panel of Arbitrators.
• 79 (49.7%) were from the List of Arbitrators.
• 10 (6.3%) were from neither the Panel nor the List of Arbitrators.
• 43 (27%) were of female arbitrators.
• 48 (30.2%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 90 designations made by parties and confirmed by HKIAC:

• 71 (78.9%) were from the Panel of Arbitrators.
• 7 (7.8%) were from the List of Arbitrators.
• 12 (13.3%) were from neither the Panel nor the List of Arbitrators.
• 17 (18.9%) were of female arbitrators.
• 31 (34.4%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 35 designations made by co-arbitrators and confirmed by HKIAC:

• 26 (74.3%) were from the Panel of Arbitrators.
• 5 (14.3%) were from the List of Arbitrators.
• 4 (11.4%) were from neither the Panel nor the List of Arbitrators.
• 4 (11.4%) were of female arbitrators.
• 17 (37%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.

2021 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2021:

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2021:

Article 11(2) of the 2013 and 2018 HKIAC Administered Arbitration Rules (the “Rules”) contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as any of the parties unless the parties expressly agree. The restriction under Article 11(2) is relaxed by Article 11(3) of both Rules which provides that, in appropriate circumstances and where no party objects, HKIAC may appoint someone of the same nationality as any of the parties.

Under paragraph 3.3 of the Practice Note on Appointment of Arbitrators (the “Practice Note”), HKIAC may also include Hong Kong passport holders as candidates for appointment as sole or presiding arbitrator in cases between Mainland Chinese and non-Chinese parties, absent any party’s objections.

In 2021, there were 12 cases in which HKIAC appointed a sole or presiding arbitrator who had the same nationality as any of the parties under Article 11(3) of the Rules or paragraph 3.3 of the Practice Note where no party objected. Further details of these cases are provided below:

Diversity of Qualified Arbitrators

Of the 142 appointments by HKIAC:

• 65 (45.8%) were from the Panel of Arbitrators.
• 64 (45.1%) were from the List of Arbitrators.
• 13 (9.1%) were from neither the Panel nor the List of Arbitrators.
• 31 (21.8%) were of female arbitrators.
• 44 (31.0%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 118 designations made by parties and confirmed by HKIAC:

• 84 (71.2%) were from the Panel of Arbitrators.
• 13 (11%) were from the List of Arbitrators.
• 21 (17.8%) were from neither the Panel nor the List of Arbitrators.
• 15 (12.7%) were of female arbitrators.
• 40 (33.9%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 46 designations made by co-arbitrators and confirmed by HKIAC:

• 36 (78.3%) were from the Panel of Arbitrators.
• 3 (6.5%) were from the List of Arbitrators.
• 7 (15.2%) were from neither the Panel nor the List of Arbitrators.
• 9 (19.6%) were of female arbitrators.
• 23 (50%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.

2020 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2020:

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2020:

Article 11(2) of the 2013 and 2018 HKIAC Administered Arbitration Rules (the “Rules”) contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as any of the parties unless the parties expressly agree. The restriction under Article 11(2) is relaxed by Article 11(3) of both Rules which provides that, in appropriate circumstances and where no party objects, HKIAC may appoint someone of the same nationality as any of the parties.

Under paragraph 3.3 of the Practice Note on Appointment of Arbitrators (the “Practice Note”), HKIAC may also include Hong Kong passport holders as candidates for appointment as sole or presiding arbitrator in cases between Mainland Chinese and non-Chinese parties, absent any party’s objections.

In 2020, there were 10 cases in which HKIAC appointed a sole or presiding arbitrator who had the same nationality as any of the parties under Article 11(3) of the Rules or paragraph 3.3 of the Practice Note where no party objected. Further details of these cases are provided below:

Diversity of Qualified Arbitrators

Of the 149 appointments by HKIAC:

76 (51%) were from the Panel of Arbitrators.
52 (34.9%) were from the List of Arbitrators.
21 (14.1%) were from neither the Panel nor the List of Arbitrators.
34 (22.8%) were of female arbitrators.
74 (49.7%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 99 designations made by parties and confirmed by HKIAC:

69 (69.6%) were from the Panel of Arbitrators.
15 (15.2%) were from the List of Arbitrators.
15 (15.2%) were from neither the Panel nor the List of Arbitrators.
11 (11.1%) were of female arbitrators.
44 (44.4%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 36 designations made by co-arbitrators and confirmed by HKIAC:

26 (72.2%) were from the Panel of Arbitrators.
6 (16.7%) were from the List of Arbitrators.
4 (11.1%) were from neither the Panel nor the List of Arbitrators.
12 (33.3%) were of female arbitrators.
17 (47.2%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.

2019 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2019:

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2019:

Article 11(2) of the 2013 and 2018 HKIAC Administered Arbitration Rules (the “Rules”) contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as any of the parties unless the parties expressly agree. The restriction under Article 11(2) is relaxed by Article 11(3) of both Rules which provides that, in appropriate circumstances and where no party objects, HKIAC may appoint someone of the same nationality as any of the parties.

Under paragraph 3.3 of the Practice Note on Appointment of Arbitrators (the “Practice Note”), HKIAC may also include Hong Kong passport holders as candidates for appointment as sole or presiding arbitrator in cases between Mainland Chinese and non-Chinese parties, absent any party’s objections.

In 2019, there were nine cases in which HKIAC appointed a sole or presiding arbitrator who had the same nationality as any of the parties under Article 11(3) of the Rules or paragraph 3.3 of the Practice Note where no party objected. Further details of these cases are provided below:

Diversity of Qualified Arbitrators

Of the 122 appointments by HKIAC:

67 (54.9%) were from the Panel of Arbitrators.
46 (37.7%) were from the List of Arbitrators.
9 (7.4%) were from neither the Panel nor the List of Arbitrators.
25 (20.5%) were of female arbitrators.
49 (40.16%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 96 designations made by parties and confirmed by HKIAC:

67 (69.8%) were from the Panel of Arbitrators.
12 (12.5%) were from the List of Arbitrators.
17 (17.7%) were from neither the Panel nor the List of Arbitrators.
15 (15.6%) were of female arbitrators.
40 (41.2%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 41 designations made by co-arbitrators and confirmed by HKIAC:

31 (75.6%) were from the Panel of Arbitrators.
5 (12.2%) were from the List of Arbitrators.
5 (12.2%) were from neither the Panel nor the List of Arbitrators.
9 (21.9%) were of female arbitrators.
23 (56.1%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.
 

2018 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2018:

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2018:

Article 11(2) of the 2013 and 2018 HKIAC Administered Arbitration Rules contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as any of the parties unless the parties expressly agree. The restriction under Article 11(2) is relaxed by Article 11(3) of both Rules which provides that, in appropriate circumstances and where no party objects, HKIAC may appoint someone of the same nationality as any of the parties.

In 2018, there were three cases in which HKIAC appointed a sole or presiding arbitrator with the same nationality as one of the parties under Article 11(3) where no party objected. Further details of these cases are provided below:

Diversity of Qualified Arbitrators

Of the 125 appointments by HKIAC:

• 79 (63.2%) were from the Panel of Arbitrators.
• 39 (31.2%) were from the List of Arbitrators.
• 7 (5.6%) were from neither the Panel nor the List of Arbitrators.
• 22 (17.6%) were of female arbitrators.
• 18 (14.4%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 69 designations made by parties and confirmed by HKIAC:

• 48 (69.6%) were from the Panel of Arbitrators.
• 13 (18.8%) were from the List of Arbitrators.
• 8 (11.6%) were from neither the Panel nor the List of Arbitrators.
• 7 (10.1%) were of female arbitrators.
• 21 (30.4%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 24 designations made by co-arbitrators and confirmed by HKIAC:

• 20 (83.3%) were from the Panel of Arbitrators.
• 1 (4.2%) were from the List of Arbitrators.
• 3 (12.5%) were from neither the Panel nor the List of Arbitrators.
• 2 (8.3%) were of female arbitrators.
• 7 (29.2%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.
   

2017 Arbitrator Appointments and Confirmations:

Geographical Origin or Nationality of Arbitrators

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators appointed by HKIAC in 2017:

As shown in the table above, 66% of all arbitrators appointed by HKIAC were of Hong Kong permanent residents and 78% of all arbitrators appointed by HKIAC were of Hong Kong-based arbitrators.

Below is a detailed breakdown of the geographical origin or nationality of all arbitrators designated by parties or co-arbitrators and confirmed by HKIAC in 2017:

As shown in the tables above, the breakdown of the geographical origin or nationality of arbitrators appointed by HKIAC mirrors to a large extent that of arbitrators designated by parties or co-arbitrators.

Article 11(2) of the 2013 HKIAC Rules contains a nationality restriction in that where the parties are of different nationalities, HKIAC shall not appoint a sole or presiding arbitrator of the same nationality as one of the parties unless the parties expressly agree. This rule aligns with international practice. The restriction under Article 11(2) is relaxed by Article 11(3) which provides that in appropriate circumstances, and where no party objects, HKIAC may appoint someone of the same nationality as one of the parties.

In 2017, there was one case in which HKIAC appointed a sole or presiding arbitrator with the same nationality as one of the parties under Article 11(3) where no party objected. Further details of the case is provided below:

Where the parties to an arbitration are from different Chinese territories, HKIAC may appoint a sole or presiding arbitrator from another Chinese territory. For example, in a case between a Mainland Chinese party and a Macanese party, HKIAC may appoint a sole or presiding arbitrator from Hong Kong. However, in appropriate circumstances and where no party objects, HKIAC may appoint a sole or presiding arbitrator from the same Chinese territory as one of the parties.

Diversity of Qualified Arbitrators

In 2017, of the 97 appointments by HKIAC:

• 55 (56.7%) were from the Panel of Arbitrators.
• 35 (36.1%) were from the List of Arbitrators.
• 7 (7.2%) were from neither the Panel nor the List of Arbitrators.
• 16 (16.5%) were of female arbitrators.
• 32 (33%) were of arbitrators not previously appointed by HKIAC over the last three years.

Of the 60 designations made by parties and confirmed by HKIAC:

• 40 (66.7%) were from the Panel of Arbitrators.
• 9 (15%) were from the List of Arbitrators.
• 11 (18.3%) were from neither the Panel nor the List of Arbitrators.
• 9 (15%) were of female arbitrators.
• 15 (25%) were of arbitrators not previously designated by parties and confirmed by HKIAC over the last three years.

Of the 26 designations made by co-arbitrators and confirmed by HKIAC:

• 18 (69.2%) were from the Panel of Arbitrators.
• 2 (7.7%) were from the List of Arbitrators.
• 6 (23.1%) were from neither the Panel nor the List of Arbitrators.
• 4 (15.4%) were of female arbitrators.
• 10 (38.5%) were of arbitrators not previously designated by co-arbitrators and confirmed by HKIAC over the last three years.