UNCITRAL Abitration Rules (with new article 1, …

1 UNCITRAL arbitration Rules (with new article 1, paragraph 4, as adopted in 2013) UNCITRAL Rules on Transparency in Treaty-based Investor-State ArbitrationUNITED NATIONSUNCITRALUNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAWF urther information may be obtained from: UNCITRAL secretariat, Vienna International Box 500, 1400 Vienna, AustriaTelephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813 Internet: E-mail: NATIONS New York, 2014 UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAWUNCITRAL arbitration Rules (with new article 1, paragraph 4, as adopted in 2013) UNCITRAL Rules on Transparency in Treaty-based Investor-State arbitration United Nations: United Nations Commission on International Trade Law.

2 February 2014. All rights reserved worldwide. This publication has not been formally edited. Publishing production: English, Publishing and Library Section. United Nations Office at Assembly resolution 68 1 UNCITRAL arbitration Rules (with new article 1, paragraph 4, as adopted in 2013).. 5 Section I. Introductory 5 Scope of application ( article 1) .. 5 Notice and calculation of periods of time ( article 2) 5 Notice of arbitration ( article 3).. 6 Response to the notice of arbitration ( article 4).

3 7 Representation and assistance ( article 5) .. 8 Designating and appointing authorities ( article 6).. 8 Section II. Composition of the arbitral tribunal .. 10 Number of arbitrators ( article 7).. 10 Appointment of arbitrators (articles 8 to 10).. 10 Disclosures by and challenge of arbitrators (articles 11 to 13) .. 12 Replacement of an arbitrator ( article 14).. 13 Repetition of hearings in the event of the replacement of an arbitrator ( article 15).. 14 Exclusion of liability ( article 16).

4 14 Section III. Arbitral proceedings .. 15 General provisions ( article 17) .. 15 Place of arbitration ( article 18).. 16 Language ( article 19).. 16 Statement of claim ( article 20).. 16 Statement of defence ( article 21) .. 17 Amendments to the claim or defence ( article 22).. 18 Pleas as to the jurisdiction of the arbitral tribunal ( article 23) .. 18 Further written statements ( article 24) .. 19 Periods of time ( article 25).. 19 Interim measures ( article 26) .. 19 Evidence ( article 27).

5 20ivPageHearings ( article 28) .. 21 Experts appointed by the arbitral tribunal ( article 29) 21 Default ( article 30) .. 22 Closure of hearings ( article 31) .. 23 Waiver of right to object ( article 32) .. 23 Section IV. The award .. 24 Decisions ( article 33) .. 24 Form and effect of the award ( article 34) .. 24 Applicable law, amiable compositeur ( article 35) .. 25 Settlement or other grounds for termination ( article 36) 25 Interpretation of the award ( article 37).

6 26 Correction of the award ( article 38) .. 26 Additional award ( article 39) .. 26 Definition of costs ( article 40) .. 27 Fees and expenses of arbitrators ( article 41) .. 27 Allocation of costs ( article 42) .. 29 Deposit of costs ( article 43) .. 29 Annex .. 31 Model arbitration clause for contracts .. 31 Possible waiver statement .. 31 Model statements of independence pursuant to article 11 of the Rules .. 31 UNCITRAL Rules on Transparency in Treaty-based Investor-State arbitration .

7 33 article 1 . Scope of application .. 33 Applicability of the Rules .. 33 Application of the Rules .. 33 Discretion and authority of the arbitral tribunal .. 34 Applicable instrument in case of conflict .. 34 Application in non- UNCITRAL arbitrations .. 35 article 2 . Publication of information at the commencement of arbitral proceedings .. 35 article 3 . Publication of documents .. 35 article 4 . Submission by a third person .. 36 article 5 . Submission by a non-disputing Party to the treaty.

8 37vPageArticle 6. Hearings .. 38 article 7. Exceptions to 38 Confidential or protected information .. 38 Integrity of the arbitral process .. 40 article 8. Repository of published 401 Resolution adopted by the General Assembly on 16 December 2013[on the report of the Sixth Committee (A/68/462)]68/109. United Nations Commission on International Trade Law Rules on Transparency in Treaty-based Investor-State arbitration and arbitration Rules (as revised in 2010, with new article 1, paragraph 4, as adopted in 2013) The General Assembly, Recalling its resolution 2205 (XXI)

9 Of 17 December 1966, by which it established the United Nations Commission on International Trade Law with a mandate to further the progres-sive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade, Recognizing the value of arbitration as a method of settling disputes that may arise in the context of international relations and the wide use of arbitration for the settlement of treaty-based investor-State disputes, Recalling its resolutions 31/98 of 15 December 1976 and 65/22 of 6 December 2010, in which it recommended the use of the arbitration Rules of the United Nations Commission on International Trade Law.

10 1 Bearing in mind that the arbitration Rules are widely used for the settlement of treaty-based investor-State disputes, Recognizing the need for provisions on transparency in the settlement of such treaty-based investor-State disputes to take account of the public interest involved in such arbitrations, Believing that Rules on transparency in treaty-based investor-State arbitration would contribute significantly to the establish-ment of a harmonized legal framework for a fair and efficient 1 Official Records of the General Assembly, Thirty-first Session, Supplement No.