{"id":"uncitral-arbitration-rules-2021","title":"UNCITRAL Arbitration Rules","edition":"2021, including Expedited Arbitration Rules and Transparency Rules","publisher":"UNCITRAL","kind":"arbitration-rules","sourceUrl":"https://uncitral.un.org/sites/uncitral.un.org/files/media-documents/uncitral/en/21-07996_expedited-arbitration-e-ebook.pdf","landingUrl":"https://uncitral.un.org/en/texts/arbitration/contractualtexts/arbitration","scope":"Procedural rules for arbitration by agreement, not substantive contract law. Expedited Rules require express agreement. Transparency Rules have their own investor-State scope.","language":"en","retrievedAt":"2026-09-07","sourceSha256":"cd0e656067e18e1977eca3a7a7fd71400481be13f5b47934f15c149b9ea2416e","textSha256":"fac1322cfcb87ddc1bcc6cee011be52e0853c3886ada542b76d50476fce53d4c","articleCount":67,"status":"external-reference","rights":"Official legal text published by UNCITRAL; publisher terms apply. Peregrini's CC BY licence does not relicense this source.","extraction":"pdftotext -layout; operative pages only; page furniture removed; soft hyphens removed; printed article labels retained. Verify typography and footnotes against the linked publisher PDF.","sections":[{"id":"arbitration","firstPdfPage":11,"lastPdfPage":39,"articleCount":43},{"id":"expedited","firstPdfPage":40,"lastPdfPage":46,"articleCount":16},{"id":"transparency","firstPdfPage":47,"lastPdfPage":54,"articleCount":8}],"pages":[{"pdfPage":11,"section":"arbitration","text":"UNCITRAL Arbitration Rules\n(with article 1, paragraph 4, as adopted in 2013 and\narticle 1, paragraph 5, as adopted in 2021)\n\nSection I.            Introductory rules\n\nScope of application*\n\nArticle 1\n\n1. Where parties have agreed that disputes between them in\nrespect of a defined legal relationship, whether contractual or\n not, shall be referred to arbitration under the UNCITRAL\n Arbitration Rules, then such disputes shall be settled in accord-\n  ance with these Rules subject to such modification as the parties\n  may agree.\n\n2. The parties to an arbitration agreement concluded after\n15 August 2010 shall be presumed to have referred to the Rules\nin effect on the date of commencement of the arbitration, unless\nthe parties have agreed to apply a particular version of the\nRules. That presumption does not apply where the arbitration\nagreement has been concluded by accepting after 15 August\n2010 an offer made before that date.\n\n3. These Rules shall govern the arbitration except that where\nany of these Rules is in conflict with a provision of the law\napplicable to the arbitration from which the parties cannot\n derogate, that provision shall prevail.\n\n4. For investor-State arbitration initiated pursuant to a treaty\nproviding for the protection of investments or investors, these\nRules include the UNCITRAL Rules on Transparency in Treaty-\nbased Investor-State Arbitration (“Rules on Transparency”),\nsubject to article 1 of the Rules on Transparency.\n\n5. The Expedited Arbitration Rules in the appendix shall\napply to the arbitration where the parties so agree.\n\n\n\n\n         * A model arbitration clause for contracts can be found in the annex to the\nRules."},{"pdfPage":12,"section":"arbitration","text":"Notice and calculation of periods of time\n\nArticle 2\n\n1. A notice, including a notification, communication or\nproposal, may be transmitted by any means of communication\n that provides or allows for a record of its transmission.\n\n2. If an address has been designated by a party specifically\nfor this purpose or authorized by the arbitral tribunal, any notice\nshall be delivered to that party at that address, and if so deliv-\nered shall be deemed to have been received. Delivery by elec-\ntronic means such as facsimile or e-mail may only be made to\nan address so designated or authorized.\n\n3. In the absence of such designation or authorization, a\nnotice is:\n     (a) Received if it is physically delivered to the addressee;\nor\n     (b) Deemed to have been received if it is delivered at the\nplace of business, habitual residence or mailing address of the\naddressee.\n\n4. If, after reasonable efforts, delivery cannot be effected in\naccordance with paragraphs 2 or 3, a notice is deemed to have\n been received if it is sent to the addressee’s last-known place\n of business, habitual residence or mailing address by registered\n letter or any other means that provides a record of delivery or\n  of attempted delivery.\n\n5. A notice shall be deemed to have been received on the\nday it is delivered in accordance with paragraphs 2, 3 or 4, or\nattempted to be delivered in accordance with paragraph 4. A\n notice transmitted by electronic means is deemed to have been\n received on the day it is sent, except that a notice of arbitration\n so transmitted is only deemed to have been received on the day\n when it reaches the addressee’s electronic address.\n\n6. For the purpose of calculating a period of time under these\nRules, such period shall begin to run on the day following the\nday when a notice is received. If the last day of such period is\nan official holiday or a non-business day at the residence or\nplace of business of the addressee, the period is extended until\nthe first business day which follows. Official holidays or non-\nbusiness days occurring during the running of the period of\ntime are included in calculating the period."},{"pdfPage":13,"section":"arbitration","text":"Notice of arbitration\n\nArticle 3\n\n1. The party or parties initiating recourse to arbitration\n(hereinafter called the “claimant”) shall communicate to the\nother party or parties (hereinafter called the “respondent”) a\n notice of arbitration.\n\n2. Arbitral proceedings shall be deemed to commence on the\ndate on which the notice of arbitration is received by the\nrespondent.\n\n3.   The notice of arbitration shall include the following:\n     (a) A demand that the dispute be referred to arbitration;\n     (b) The names and contact details of the parties;\n      (c) Identification of the arbitration agreement that is\ninvoked;\n     (d) Identification of any contract or other legal instru-\nment out of or in relation to which the dispute arises or, in\nthe absence of such contract or instrument, a brief description\nof the relevant relationship;\n     (e) A brief description of the claim and an indication of\nthe amount involved, if any;\n     (f)    The relief or remedy sought;\n     (g) A proposal as to the number of arbitrators, language\nand place of arbitration, if the parties have not previously agreed\nthereon.\n\n4.   The notice of arbitration may also include:\n      (a) A proposal for the designation of an appointing\nauthority referred to in article 6, paragraph 1;\n      (b) A proposal for the appointment of a sole arbitrator\nreferred to in article 8, paragraph 1;\n     (c) Notification of the appointment of an arbitrator\nreferred to in article 9 or 10.\n\n5. The constitution of the arbitral tribunal shall not be\nhindered by any controversy with respect to the sufficiency of\n the notice of arbitration, which shall be finally resolved by the\n arbitral tribunal."},{"pdfPage":14,"section":"arbitration","text":"Response to the notice of arbitration\n\nArticle 4\n\n1. Within 30 days of the receipt of the notice of arbitration,\nthe respondent shall communicate to the claimant a response\nto the notice of arbitration, which shall include:\n     (a) The name and contact details of each respondent;\n     (b) A response to the information set forth in the notice\nof arbitration, pursuant to article 3, paragraphs 3 (c) to (g).\n\n2.   The response to the notice of arbitration may also include:\n     (a) Any plea that an arbitral tribunal to be constituted\nunder these Rules lacks jurisdiction;\n      (b) A proposal for the designation of an appointing\nauthority referred to in article 6, paragraph 1;\n      (c) A proposal for the appointment of a sole arbitrator\nreferred to in article 8, paragraph 1;\n     (d) Notification of the appointment of an arbitrator referred\nto in article 9 or 10;\n     (e) A brief description of counterclaims or claims for the\npurpose of a set-off, if any, including where relevant, an indica-\ntion of the amounts involved, and the relief or remedy sought;\n      (f) A notice of arbitration in accordance with article 3 in\ncase the respondent formulates a claim against a party to the\narbitration agreement other than the claimant.\n\n3. The constitution of the arbitral tribunal shall not be\nhindered by any controversy with respect to the respondent’s\n failure to communicate a response to the notice of arbitration,\n or an incomplete or late response to the notice of arbitration,\n which shall be finally resolved by the arbitral tribunal.\n\n\nRepresentation and assistance\n\nArticle 5\n\nEach party may be represented or assisted by persons chosen\nby it. The names and addresses of such persons must be\ncommunicated to all parties and to the arbitral tribunal. Such\n communication must specify whether the appointment is being\n  made for purposes of representation or assistance. Where a\n  person is to act as a representative of a party, the arbitral tri-\n   bunal, on its own initiative or at the request of any party, may"},{"pdfPage":15,"section":"arbitration","text":"at any time require proof of authority granted to the representative\nin such a form as the arbitral tribunal may determine.\n\n\nDesignating and appointing authorities\n\nArticle 6\n\n1. Unless the parties have already agreed on the choice of an\nappointing authority, a party may at any time propose the name\nor names of one or more institutions or persons, including the\nSecretary-General of the Permanent Court of Arbitration at The\nHague (hereinafter called the “PCA”), one of whom would\nserve as appointing authority.\n\n2. If all parties have not agreed on the choice of an appointing\nauthority within 30 days after a proposal made in accordance\nwith paragraph 1 has been received by all other parties, any\nparty may request the Secretary-General of the PCA to desig-\nnate the appointing authority.\n\n3. Where these Rules provide for a period of time within\nwhich a party must refer a matter to an appointing authority\nand no appointing authority has been agreed on or designated,\nthe period is suspended from the date on which a party initiates\nthe procedure for agreeing on or designating an appointing\nauthority until the date of such agreement or designation.\n\n4. Except as referred to in article 41, paragraph 4, if the\nappointing authority refuses to act, or if it fails to appoint an\n arbitrator within 30 days after it receives a party’s request to\n  do so, fails to act within any other period provided by these\n  Rules, or fails to decide on a challenge to an arbitrator within\n  a reasonable time after receiving a party’s request to do so, any\n  party may request the Secretary-General of the PCA to desig-\n  nate a substitute appointing authority.\n\n5. In exercising their functions under these Rules, the\nappointing authority and the Secretary-General of the PCA may\n require from any party and the arbitrators the information they\n deem necessary and they shall give the parties and, where\n appropriate, the arbitrators, an opportunity to present their views\n  in any manner they consider appropriate. All such communications\n  to and from the appointing authority and the Secretary-General\n  of the PCA shall also be provided by the sender to all other\n  parties."},{"pdfPage":16,"section":"arbitration","text":"6. When the appointing authority is requested to appoint an\narbitrator pursuant to articles 8, 9, 10 or 14, the party making\n the request shall send to the appointing authority copies of the\n notice of arbitration and, if it exists, any response to the notice\n of arbitration.\n\n7. The appointing authority shall have regard to such\nconsiderations as are likely to secure the appointment of an\n independent and impartial arbitrator and shall take into account\n  the advisability of appointing an arbitrator of a nationality other\n  than the nationalities of the parties."},{"pdfPage":17,"section":"arbitration","text":"Section II. Composition of the arbitral tribunal\nNumber of arbitrators\n\nArticle 7\n\n1. If the parties have not previously agreed on the number of\narbitrators, and if within 30 days after the receipt by the\n respondent of the notice of arbitration the parties have not\n  agreed that there shall be only one arbitrator, three arbitrators\n  shall be appointed.\n\n2. Notwithstanding paragraph 1, if no other parties have\nresponded to a party’s proposal to appoint a sole arbitrator\n within the time limit provided for in paragraph 1 and the party\n  or parties concerned have failed to appoint a second arbitrator\n  in accordance with article 9 or 10, the appointing authority may,\n  at the request of a party, appoint a sole arbitrator pursuant to\n  the procedure provided for in article 8, paragraph 2, if it\n  determines that, in view of the circumstances of the case, this\n   is more appropriate.\n\n\n\n\nAppointment of arbitrators (articles 8 to 10)\n\nArticle 8\n\n1. If the parties have agreed that a sole arbitrator is to be\nappointed and if within 30 days after receipt by all other parties\n of a proposal for the appointment of a sole arbitrator the parties\n have not reached agreement thereon, a sole arbitrator shall, at\n the request of a party, be appointed by the appointing\n authority.\n\n2. The appointing authority shall appoint the sole arbitrator\nas promptly as possible. In making the appointment, the\nappointing authority shall use the following list-procedure,\n unless the parties agree that the list-procedure should not be\n  used or unless the appointing authority determines in its\n  discretion that the use of the list-procedure is not appropriate\n   for the case:\n     (a) The appointing authority shall communicate to each\nof the parties an identical list containing at least three names;"},{"pdfPage":18,"section":"arbitration","text":"(b) Within 15 days after the receipt of this list, each party\nmay return the list to the appointing authority after having\ndeleted the name or names to which it objects and numbered\nthe remaining names on the list in the order of its preference;\n      (c) After the expiration of the above period of time the\nappointing authority shall appoint the sole arbitrator from\n among the names approved on the lists returned to it and in\n accordance with the order of preference indicated by the\n parties;\n      (d) If for any reason the appointment cannot be made\naccording to this procedure, the appointing authority may exer-\n cise its discretion in appointing the sole arbitrator.\n\n\nArticle 9\n\n1. If three arbitrators are to be appointed, each party shall\nappoint one arbitrator. The two arbitrators thus appointed\n shall choose the third arbitrator who will act as the presiding\n arbitrator of the arbitral tribunal.\n\n2. If within 30 days after the receipt of a party’s notification\nof the appointment of an arbitrator the other party has not noti-\nfied the first party of the arbitrator it has appointed, the first\nparty may request the appointing authority to appoint the second\narbitrator.\n\n3. If within 30 days after the appointment of the second\narbitrator the two arbitrators have not agreed on the choice of\n the presiding arbitrator, the presiding arbitrator shall be\n appointed by the appointing authority in the same way as a sole\n arbitrator would be appointed under article 8.\n\n\nArticle 10\n\n1. For the purposes of article 9, paragraph 1, where three\narbitrators are to be appointed and there are multiple parties as\n claimant or as respondent, unless the parties have agreed to\n another method of appointment of arbitrators, the multiple\n  parties jointly, whether as claimant or as respondent, shall\n   appoint an arbitrator.\n\n2. If the parties have agreed that the arbitral tribunal is to be\ncomposed of a number of arbitrators other than one or three,\nthe arbitrators shall be appointed according to the method\nagreed upon by the parties."},{"pdfPage":19,"section":"arbitration","text":"3. In the event of any failure to constitute the arbitral tribunal\nunder these Rules, the appointing authority shall, at the request\n of any party, constitute the arbitral tribunal and, in doing so,\n may revoke any appointment already made and appoint or\n reappoint each of the arbitrators and designate one of them as\n  the presiding arbitrator.\n\n\n\nDisclosures by and challenge of arbitrators**\n(articles 11 to 13)\n\nArticle 11\n\nWhen a person is approached in connection with his or her\npossible appointment as an arbitrator, he or she shall disclose\n any circumstances likely to give rise to justifiable doubts as to\n his or her impartiality or independence. An arbitrator, from the\n time of his or her appointment and throughout the arbitral pro-\n ceedings, shall without delay disclose any such circumstances\n to the parties and the other arbitrators unless they have already\n been informed by him or her of these circumstances.\n\n\nArticle 12\n\n1. Any arbitrator may be challenged if circumstances exist\nthat give rise to justifiable doubts as to the arbitrator’s\nimpartiality or independence.\n\n2. A party may challenge the arbitrator appointed by it only\nfor reasons of which it becomes aware after the appointment\nhas been made.\n\n3. In the event that an arbitrator fails to act or in the event\nof the de jure or de facto impossibility of his or her performing\nhis or her functions, the procedure in respect of the challenge\nof an arbitrator as provided in article 13 shall apply.\n\n\nArticle 13\n\n1. A party that intends to challenge an arbitrator shall send\nnotice of its challenge within 15 days after it has been notified\n\n\n\n       **Model statements of independence pursuant to article 11 can be found\nin the annex to the Rules."},{"pdfPage":20,"section":"arbitration","text":"of the appointment of the challenged arbitrator, or within\n15 days after the circumstances mentioned in articles 11 and\n12 became known to that party.\n\n2. The notice of challenge shall be communicated to all other\nparties, to the arbitrator who is challenged and to the other\n arbitrators. The notice of challenge shall state the reasons for\n  the challenge.\n\n3. When an arbitrator has been challenged by a party, all\nparties may agree to the challenge. The arbitrator may also,\n after the challenge, withdraw from his or her office. In neither\n case does this imply acceptance of the validity of the grounds\n for the challenge.\n\n4. If, within 15 days from the date of the notice of challenge,\nall parties do not agree to the challenge or the challenged\narbitrator does not withdraw, the party making the challenge\n may elect to pursue it. In that case, within 30 days from the\n date of the notice of challenge, it shall seek a decision on the\n challenge by the appointing authority.\n\n\n\n\nReplacement of an arbitrator\n\nArticle 14\n\n1. Subject to paragraph 2, in any event where an arbitrator\nhas to be replaced during the course of the arbitral proceedings,\na substitute arbitrator shall be appointed or chosen pursuant\nto the procedure provided for in articles 8 to 11 that was appli-\ncable to the appointment or choice of the arbitrator being\nreplaced. This procedure shall apply even if during the process\nof appointing the arbitrator to be replaced, a party had failed\nto exercise its right to appoint or to participate in the\nappointment.\n\n2. If, at the request of a party, the appointing authority\ndetermines that, in view of the exceptional circumstances of the\n case, it would be justified for a party to be deprived of its right\n to appoint a substitute arbitrator, the appointing authority may,\n after giving an opportunity to the parties and the remaining\n arbitrators to express their views: (a) appoint the substitute arbi-\n trator; or (b) after the closure of the hearings, authorize the\n other arbitrators to proceed with the arbitration and make any\n decision or award."},{"pdfPage":21,"section":"arbitration","text":"Repetition of hearings in the event of the\nreplacement of an arbitrator\n\nArticle 15\n\nIf an arbitrator is replaced, the proceedings shall resume at the\nstage where the arbitrator who was replaced ceased to perform\nhis or her functions, unless the arbitral tribunal decides\notherwise.\n\n\nExclusion of liability\n\nArticle 16\n\nSave for intentional wrongdoing, the parties waive, to the fullest\nextent permitted under the applicable law, any claim against the\narbitrators, the appointing authority and any person appointed\nby the arbitral tribunal based on any act or omission in con-\nnection with the arbitration."},{"pdfPage":22,"section":"arbitration","text":"Section III. Arbitral proceedings\nGeneral provisions\n\nArticle 17\n\n1. Subject to these Rules, the arbitral tribunal may conduct\nthe arbitration in such manner as it considers appropriate,\nprovided that the parties are treated with equality and that at\n an appropriate stage of the proceedings each party is given a\n reasonable o  pportunity of presenting its case. The arbitral\n  tribunal, in exercising its d\n                                iscretion, shall conduct the pro\n   ceedings so as to avoid unnecessary delay and expense and\n   to provide a fair and efficient process for resolving the\n   parties’ dispute.\n\n2. As soon as practicable after its constitution and after\ni  nviting the parties to express their views, the arbitral\n t ribunal shall establish the provisional timetable of the\n  arbitration. The arbitral tribunal may, at any time, after inviting\n   the parties to express their views, extend or abridge any\n   period of time prescribed under these Rules or agreed by\n   the parties.\n\n3. If at an appropriate stage of the proceedings any party so\nrequests, the arbitral tribunal shall hold hearings for the\n presentation of evidence by witnesses, including expert\n  witnesses, or for oral argument. In the absence of such a\n\n  request, the arbitral tribunal shall decide whether to hold such\n  hearings or whether the proceedings shall be conducted on the\n  basis of documents and other materials.\n\n4. All communications to the arbitral tribunal by one party\nshall be communicated by that party to all other parties. Such\ncommunications shall be made at the same time, except as\n otherwise permitted by the arbitral tribunal if it may do so under\n  applicable law.\n\n5. The arbitral tribunal may, at the request of any party, allow\none or more third persons to be joined in the arbitration as a\nparty provided such person is a party to the arbitration\n agreement, unless the arbitral tribunal finds, after giving all\n  parties, including the p\n                           erson or persons to be joined, the\n   opportunity to be heard, that joinder should not be permitted"},{"pdfPage":23,"section":"arbitration","text":"because of prejudice to any of those parties. The arbitral tribunal\n may make a single award or several awards in respect of all\n parties so involved in the arbitration.\n\n\nPlace of arbitration\n\nArticle 18\n\n1. If the parties have not previously agreed on the place of\narbitration, the place of arbitration shall be determined by the\n arbitral tribunal having regard to the circumstances of the case.\n  The award shall be deemed to have been made at the place of\n  arbitration.\n\n2. The arbitral tribunal may meet at any location it considers\nappropriate for deliberations. Unless otherwise agreed by the\n parties, the arbitral tribunal may also meet at any location it\n  considers appropriate for any other purpose, including hearings.\n\n\n\nLanguage\n\nArticle 19\n\n1. Subject to an agreement by the parties, the arbitral tribunal\nshall, promptly after its appointment, determine the language or\nlanguages to be used in the proceedings. This determination shall\napply to the statement of claim, the statement of defence, and\nany further written statements and, if oral hearings take place,\nto the language or languages to be used in such hearings.\n\n2. The arbitral tribunal may order that any documents annexed\nto the statement of claim or statement of defence, and any\nsupplementary documents or exhibits submitted in the course\n of the proceedings, delivered in their original language, shall\n be accompanied by a translation into the language or languages\n agreed upon by the parties or determined by the arbitral\n tribunal.\n\n\n\nStatement of claim\n\nArticle 20\n\n1. The claimant shall communicate its statement of claim in\nwriting to the respondent and to each of the arbitrators within"},{"pdfPage":24,"section":"arbitration","text":"a period of time to be determined by the arbitral tribunal. The\nclaimant may elect to treat its notice of arbitration referred to\n in article 3 as a statement of claim, provided that the notice of\n arbitration also complies with the requirements of paragraphs\n  2 to 4 of this article.\n\n2. The statement of claim shall include the following\nparticulars:\n     (a) The names and contact details of the parties;\n     (b) A statement of the facts supporting the claim;\n     (c) The points at issue;\n     (d) The relief or remedy sought;\n     (e) The legal grounds or arguments supporting the claim.\n\n3. A copy of any contract or other legal instrument out of or\nin relation to which the dispute arises and of the arbitration\nagreement shall be annexed to the statement of claim.\n\n4. The statement of claim should, as far as possible, be\naccompanied by all documents and other evidence relied upon\n by the claimant, or contain references to them.\n\n\nStatement of defence\n\nArticle 21\n\n1. The respondent shall communicate its statement of defence\nin writing to the claimant and to each of the arbitrators within\na period of time to be determined by the arbitral tribunal. The\nrespondent may elect to treat its response to the notice of\n arbitration referred to in article 4 as a statement of defence,\n  provided that the response to the notice of arbitration also com-\n   plies with the requirements of paragraph 2 of this article.\n\n2. The statement of defence shall reply to the particulars (b)\nto (e) of the statement of claim (art. 20, para. 2). The statement\nof defence should, as far as possible, be accompanied by all\ndocuments and other evidence relied upon by the respondent,\n or contain references to them.\n\n3. In its statement of defence, or at a later stage in the arbitral\nproceedings if the arbitral tribunal decides that the delay was\n justified under the circumstances, the respondent may make a\n  counterclaim or rely on a claim for the purpose of a set-off\n  provided that the arbitral tribunal has jurisdiction over it."},{"pdfPage":25,"section":"arbitration","text":"4. The provisions of article 20, paragraphs 2 to 4, shall apply\nto a counterclaim, a claim under article 4, paragraph 2 (f), and\na claim relied on for the purpose of a set-off.\n\n\n\nAmendments to the claim or defence\n\nArticle 22\n\nDuring the course of the arbitral proceedings, a party may\namend or supplement its claim or defence, including a\ncounterclaim or a claim for the purpose of a set-off, unless the\n arbitral tribunal considers it inappropriate to allow such\n amendment or supplement having regard to the delay in making\n  it or prejudice to other parties or any other circumstances.\n  However, a claim or defence, including a counterclaim or a\n   claim for the purpose of a set-off, may not be amended or\n   supplemented in such a manner that the amended or\n    supplemented claim or defence falls outside the jurisdiction of\n     the arbitral tribunal.\n\n\n\nPleas as to the jurisdiction of the arbitral tribunal\n\nArticle 23\n\n1. The arbitral tribunal shall have the power to rule on its\nown jurisdiction, including any objections with respect to the\nexistence or validity of the arbitration agreement. For that\n purpose, an arbitration clause that forms part of a contract shall\n  be treated as an agreement independent of the other terms of\n  the contract. A decision by the arbitral tribunal that the contract\n  is null shall not entail automatically the invalidity of the\n  arbitration clause.\n\n2. A plea that the arbitral tribunal does not have jurisdiction\nshall be raised no later than in the statement of defence or,\nwith respect to a counterclaim or a claim for the purpose of a\nset-off, in the reply to the counterclaim or to the claim for the\npurpose of a set-off. A party is not precluded from raising such\na plea by the fact that it has appointed, or participated in the\nappointment of, an arbitrator. A plea that the arbitral tribunal\n is exceeding the scope of its authority shall be raised as soon\n as the matter alleged to be beyond the scope of its authority is\n raised during the arbitral proceedings. The arbitral tribunal\n may, in either case, admit a later plea if it considers the\n delay justified."},{"pdfPage":26,"section":"arbitration","text":"3. The arbitral tribunal may rule on a plea referred to in\nparagraph 2 either as a preliminary question or in an award on\n the merits. The arbitral tribunal may continue the arbitral\n proceedings and make an award, notwithstanding any pending\n  challenge to its jurisdiction before a court.\n\n\nFurther written statements\n\nArticle 24\n\nThe arbitral tribunal shall decide which further written\nstatements, in addition to the statement of claim and the\n statement of defence, shall be required from the parties or may\n  be presented by them and shall fix the periods of time for com-\n  municating such statements.\n\n\nPeriods of time\n\nArticle 25\n\nThe periods of time fixed by the arbitral tribunal for the\ncommunication of written statements (including the statement\n of claim and statement of defence) should not exceed 45 days.\n However, the arbitral tribunal may extend the time limits if it\n concludes that an extension is justified.\n\n\nInterim measures\nArticle 26\n\n1. The arbitral tribunal may, at the request of a party, grant\ninterim measures.\n\n2. An interim measure is any temporary measure by which,\nat any time prior to the issuance of the award by which the\ndispute is finally decided, the arbitral tribunal orders a party,\nfor example and without limitation, to:\n      (a) Maintain or restore       the   status   quo   pending\ndetermination of the dispute;\n      (b) Take action that would prevent, or refrain from taking\naction that is likely to cause, (i) current or imminent harm or\n(ii) prejudice to the arbitral process itself;\n     (c) Provide a means of preserving assets out of which a\nsubsequent award may be satisfied; or\n     (d) Preserve evidence that may be relevant and material\nto the resolution of the dispute."},{"pdfPage":27,"section":"arbitration","text":"3. The party requesting an interim measure under para-\ngraphs 2 (a) to (c) shall satisfy the arbitral tribunal that:\n      (a) Harm not adequately reparable by an award of\ndamages is likely to result if the measure is not ordered, and\n such harm substantially outweighs the harm that is likely to\n result to the party against whom the measure is directed if the\n measure is granted; and\n     (b) There is a reasonable possibility that the requesting\nparty will succeed on the merits of the claim. The determination\non this possibility shall not affect the discretion of the arbitral\ntribunal in making any subsequent determination.\n\n 4. With regard to a request for an interim measure under\n paragraph 2 (d), the requirements in paragraphs 3 (a) and (b)\nshall apply only to the extent the arbitral tribunal considers\nappropriate.\n\n5. The arbitral tribunal may modify, suspend or terminate an\ninterim measure it has granted, upon application of any party\nor, in exceptional circumstances and upon prior notice to the\nparties, on the arbitral tribunal’s own initiative.\n\n6. The arbitral tribunal may require the party requesting an\ninterim measure to provide appropriate security in connection\n with the measure.\n\n7. The arbitral tribunal may require any party promptly to\ndisclose any material change in the circumstances on the basis\n of which the interim measure was requested or granted.\n\n8. The party requesting an interim measure may be liable for\nany costs and damages caused by the measure to any party if\nthe arbitral tribunal later determines that, in the circumstances\nthen prevailing, the measure should not have been granted. The\narbitral tribunal may award such costs and damages at any point\nduring the proceedings.\n\n9. A request for interim measures addressed by any party to\na judicial authority shall not be deemed incompatible with the\nagreement to arbitrate, or as a waiver of that agreement.\n\n\nEvidence\n\nArticle 27\n\n1. Each party shall have the burden of proving the facts relied\non to support its claim or defence."},{"pdfPage":28,"section":"arbitration","text":"2. Witnesses, including expert witnesses, who are presented\nby the parties to testify to the arbitral tribunal on any issue of\nfact or expertise may be any individual, notwithstanding that\nthe individual is a party to the arbitration or in any way related\nto a party. Unless otherwise directed by the arbitral tribunal,\nstatements by witnesses, including expert witnesses, may be\n presented in writing and signed by them.\n\n3. At any time during the arbitral proceedings the arbitral\ntribunal may require the parties to produce documents, exhibits\n or other evidence within such a period of time as the arbitral\n tribunal shall determine.\n\n4. The arbitral tribunal shall determine the admissibility,\nrelevance, materiality and weight of the evidence offered.\n\n\nHearings\n\nArticle 28\n\n1. In the event of an oral hearing, the arbitral tribunal shall\ngive the parties adequate advance notice of the date, time and\nplace thereof.\n\n2. Witnesses, including expert witnesses, may be heard under\nthe conditions and examined in the manner set by the arbitral\ntribunal.\n\n3. Hearings shall be held in camera unless the parties agree\notherwise. The arbitral tribunal may require the retirement of\n any witness or witnesses, including expert witnesses, during the\n testimony of such other witnesses, except that a witness,\n  including an expert witness, who is a party to the arbitration\n   shall not, in principle, be asked to retire.\n\n4. The arbitral tribunal may direct that witnesses, including\nexpert witnesses, be examined through means of telecom\nmunication that do not require their physical presence at the\nhearing (such as videoconference).\n\n\nExperts appointed by the arbitral tribunal\n\nArticle 29\n\n1. After consultation with the parties, the arbitral tribunal\nmay appoint one or more independent experts to report to it,"},{"pdfPage":29,"section":"arbitration","text":"in writing, on specific issues to be determined by the arbitral\ntribunal. A copy of the expert’s terms of reference, established\n by the arbitral tribunal, shall be communicated to the parties.\n\n2. The expert shall, in principle before accepting appoint-\nment, submit to the arbitral tribunal and to the parties a descrip-\ntion of his or her qualifications and a statement of his or her\nimpartiality and independence. Within the time ordered by the\n arbitral tribunal, the parties shall inform the arbitral tribunal\n whether they have any objections as to the expert’s qualifica-\n tions, impartiality or independence. The arbitral tribunal shall\n decide promptly whether to accept any such objections. After\n an expert’s appointment, a party may object to the expert’s\n qualifications, impartiality or independence only if the objection\n is for reasons of which the party becomes aware after the\n appointment has been made. The arbitral tribunal shall decide\n promptly what, if any, action to take.\n\n3. The parties shall give the expert any relevant information\nor produce for his or her inspection any relevant documents or\ngoods that he or she may require of them. Any dispute between\na party and such expert as to the relevance of the required\ninformation or production shall be referred to the arbitral\n tribunal for decision.\n\n4. Upon receipt of the expert’s report, the arbitral tribunal\nshall communicate a copy of the report to the parties, which\nshall be given the opportunity to express, in writing, their\nopinion on the report. A party shall be entitled to examine any\n document on which the expert has relied in his or her report.\n\n5. At the request of any party, the expert, after delivery of\nthe report, may be heard at a hearing where the parties shall\nhave the opportunity to be present and to interrogate the expert.\nAt this hearing, any party may present expert witnesses in order\nto testify on the points at issue. The provisions of article 28\nshall be applicable to such proceedings.\n\n\nDefault\n\nArticle 30\n\n1. If, within the period of time fixed by these Rules or the\narbitral tribunal, without showing sufficient cause:\n     (a) The claimant has failed to communicate its statement\nof claim, the arbitral tribunal shall issue an order for the ter-\nmination of the arbitral proceedings, unless there are remaining"},{"pdfPage":30,"section":"arbitration","text":"matters that may need to be decided and the arbitral tribunal\nconsiders it appropriate to do so;\n      (b) The respondent has failed to communicate its response\nto the notice of arbitration or its statement of defence, the arbi-\ntral tribunal shall order that the proceedings continue, without\ntreating such failure in itself as an admission of the claimant’s\nallegations; the provisions of this subparagraph also apply to a\nclaimant’s failure to submit a defence to a counterclaim or to\na claim for the purpose of a set-off.\n\n2. If a party, duly notified under these Rules, fails to appear\nat a hearing, without showing sufficient cause for such failure,\nthe arbitral tribunal may proceed with the arbitration.\n\n3. If a party, duly invited by the arbitral tribunal to produce\ndocuments, exhibits or other evidence, fails to do so within the\n established period of time, without showing sufficient cause for\n such failure, the arbitral tribunal may make the award on the\n evidence before it.\n\n\n\nClosure of hearings\n\nArticle 31\n\n1. The arbitral tribunal may inquire of the parties if they have\nany further proof to offer or witnesses to be heard or sub\nmissions to make and, if there are none, it may declare the\nhearings closed.\n\n2. The arbitral tribunal may, if it considers it necessary owing\nto exceptional circumstances, decide, on its own initiative or\nupon application of a party, to reopen the hearings at any time\nbefore the award is made.\n\n\n\nWaiver of right to object\n\nArticle 32\n\nA failure by any party to object promptly to any non-compliance\nwith these Rules or with any requirement of the arbitration\nagreement shall be deemed to be a waiver of the right of\n such party to make such an objection, unless such party can\n show that, under the circumstances, its failure to object\n was justified."},{"pdfPage":31,"section":"arbitration","text":"Section IV. The award\nDecisions\n\nArticle 33\n\n1. When there is more than one arbitrator, any award or other\ndecision of the arbitral tribunal shall be made by a majority of\nthe arbitrators.\n\n2. In the case of questions of procedure, when there is no\nmajority or when the arbitral tribunal so authorizes, the presid-\n ing arbitrator may decide alone, subject to revision, if any, by\n the arbitral tribunal.\n\n\nForm and effect of the award\n\nArticle 34\n\n1. The arbitral tribunal may make separate awards on differ-\nent issues at different times.\n\n2. All awards shall be made in writing and shall be final and\nbinding on the parties. The parties shall carry out all awards\nwithout delay.\n\n3. The arbitral tribunal shall state the reasons upon which the\naward is based, unless the parties have agreed that no reasons\nare to be given.\n\n4. An award shall be signed by the arbitrators and it shall\ncontain the date on which the award was made and indicate the\n place of arbitration. Where there is more than one arbitrator\n and any of them fails to sign, the award shall state the reason\n for the absence of the signature.\n\n5. An award may be made public with the consent of all\nparties or where and to the extent disclosure is required of a\nparty by legal duty, to protect or pursue a legal right or in\nrelation to legal proceedings before a court or other competent\nauthority.\n\n6. Copies of the award signed by the arbitrators shall be\ncommunicated to the parties by the arbitral tribunal."},{"pdfPage":32,"section":"arbitration","text":"Applicable law, amiable compositeur\n\nArticle 35\n\n1. The arbitral tribunal shall apply the rules of law designated\nby the parties as applicable to the substance of the dispute.\nFailing such designation by the parties, the arbitral tribunal shall\n apply the law which it determines to be appropriate.\n\n2. The arbitral tribunal shall decide as amiable compositeur\nor ex aequo et bono only if the parties have expressly author-\nized the arbitral tribunal to do so.\n\n3. In all cases, the arbitral tribunal shall decide in accordance\nwith the terms of the contract, if any, and shall take into account\nany usage of trade applicable to the transaction.\n\n\n\n\nSettlement or other grounds for termination\n\nArticle 36\n\n1. If, before the award is made, the parties agree on a\nsettlement of the dispute, the arbitral tribunal shall either issue\n an order for the termination of the arbitral proceedings or, if\n requested by the parties and accepted by the arbitral tribunal,\n record the settlement in the form of an arbitral award on agreed\n terms. The arbitral tribunal is not obliged to give reasons for\n such an award.\n\n2. If, before the award is made, the continuation of the arbi-\ntral proceedings becomes unnecessary or impossible for any\nreason not mentioned in paragraph 1, the arbitral tribunal shall\ninform the parties of its intention to issue an order for the\ntermination of the proceedings. The arbitral tribunal shall have\n the power to issue such an order unless there are remaining\n matters that may need to be decided and the arbitral tribunal\n considers it appropriate to do so.\n\n3. Copies of the order for termination of the arbitral\nproceedings or of the arbitral award on agreed terms, signed\n by the arbitrators, shall be communicated by the arbitral\n tribunal to the parties. Where an arbitral award on agreed terms\n  is made, the provisions of article 34, paragraphs 2, 4 and 5,\n  shall apply."},{"pdfPage":33,"section":"arbitration","text":"Interpretation of the award\n\nArticle 37\n\n1. Within 30 days after the receipt of the award, a party, with\nnotice to the other parties, may request that the arbitral tribunal\ngive an interpretation of the award.\n\n2. The interpretation shall be given in writing within 45 days\nafter the receipt of the request. The interpretation shall form\npart of the award and the provisions of article 34, paragraphs 2\nto 6, shall apply.\n\n\nCorrection of the award\n\nArticle 38\n\n1. Within 30 days after the receipt of the award, a party, with\nnotice to the other parties, may request the arbitral tribunal to\ncorrect in the award any error in computation, any clerical or\ntypographical error, or any error or omission of a similar nature.\n If the arbitral tribunal considers that the request is justified, it\n shall make the correction within 45 days of receipt of the\n request.\n\n2. The arbitral tribunal may within 30 days after the\ncommunication of the award make such corrections on its own\n initiative.\n\n3. Such corrections shall be in writing and shall form part\nof the award. The provisions of article 34, paragraphs 2 to 6,\nshall apply.\n\n\nAdditional award\n\nArticle 39\n\n1. Within 30 days after the receipt of the termination order\nor the award, a party, with notice to the other parties, may\nrequest the arbitral tribunal to make an award or an additional\naward as to claims presented in the arbitral proceedings but not\ndecided by the arbitral tribunal.\n\n2. If the arbitral tribunal considers the request for an award\nor additional award to be justified, it shall render or complete\nits award within 60 days after the receipt of the request. The"},{"pdfPage":34,"section":"arbitration","text":"arbitral tribunal may extend, if necessary, the period of time\nwithin which it shall make the award.\n\n3. When such an award or additional award is made, the\nprovisions of article 34, paragraphs 2 to 6, shall apply.\n\n\nDefinition of costs\n\nArticle 40\n\n1. The arbitral tribunal shall fix the costs of arbitration in the\nfinal award and, if it deems appropriate, in another decision.\n\n2.   The term “costs” includes only:\n     (a) The fees of the arbitral tribunal to be stated separately\nas to each arbitrator and to be fixed by the tribunal itself in\naccordance with article 41;\n     (b) The reasonable travel and other expenses incurred by\nthe arbitrators;\n      (c) The reasonable costs of expert advice and of other\nassistance required by the arbitral tribunal;\n     (d) The reasonable travel and other expenses of witnesses\nto the extent such expenses are approved by the arbitral\ntribunal;\n       (e) The legal and other costs incurred by the parties in\nrelation to the arbitration to the extent that the arbitral tribunal\n determines that the amount of such costs is reasonable;\n     (f) Any fees and expenses of the appointing authority\nas well as the fees and expenses of the Secretary-General of\nthe PCA.\n\n3. In relation to interpretation, correction or completion of\nany award under articles 37 to 39, the arbitral tribunal may\ncharge the costs referred to in paragraphs 2 (b) to (f), but no\nadditional fees.\n\n\nFees and expenses of arbitrators\n\nArticle 41\n\n1. The fees and expenses of the arbitrators shall be reasonable\nin amount, taking into account the amount in dispute, the\ncomplexity of the subject matter, the time spent by the arbitra-\n tors and any other relevant circumstances of the case."},{"pdfPage":35,"section":"arbitration","text":"2. If there is an appointing authority and it applies or has\nstated that it will apply a schedule or particular method for\ndetermining the fees for arbitrators in international cases, the\narbitral tribunal in fixing its fees shall take that schedule or\nmethod into account to the extent that it considers appropriate\nin the circumstances of the case.\n\n3. Promptly after its constitution, the arbitral tribunal shall\ninform the parties as to how it proposes to determine its fees\n and expenses, including any rates it intends to apply. Within 15\n days of receiving that proposal, any party may refer the proposal\n to the appointing authority for review. If, within 45 days of\n receipt of such a referral, the appointing authority finds that the\n proposal of the arbitral tribunal is inconsistent with paragraph\n 1, it shall make any necessary adjustments thereto, which shall\n be binding upon the arbitral tribunal.\n\n 4. (a) When informing the parties of the arbitrators’ fees\n and expenses that have been fixed pursuant to article 40,\n paragraphs 2 (a) and (b), the arbitral tribunal shall also explain\nthe manner in which the corresponding amounts have been\ncalculated;\n      (b) Within 15 days of receiving the arbitral tribunal’s\ndetermination of fees and expenses, any party may refer for\n review such determination to the appointing authority. If no\n appointing authority has been agreed upon or designated, or if\n the appointing authority fails to act within the time specified\n in these Rules, then the review shall be made by the Secretary-\n General of the PCA;\n        (c) If the appointing authority or the Secretary-General\nof the PCA finds that the arbitral tribunal’s determination is\ninconsistent with the arbitral tribunal’s proposal (and any\nadjustment thereto) under paragraph 3 or is otherwise mani-\n festly excessive, it shall, within 45 days of receiving such a\n referral, make any adjustments to the arbitral tribunal’s\n determination that are necessary to satisfy the criteria in para-\n  graph 1. Any such adjustments shall be binding upon the\n  arbitral tribunal;\n       (d) Any such adjustments shall either be included by the\narbitral tribunal in its award or, if the award has already been\n issued, be implemented in a correction to the award, to which\n the procedure of article 38, paragraph 3, shall apply.\n\n5. Throughout the procedure under paragraphs 3 and 4, the\narbitral tribunal shall proceed with the arbitration, in accordance\n with article 17, paragraph 1."},{"pdfPage":36,"section":"arbitration","text":"6. A referral under paragraph 4 shall not affect any\ndetermination in the award other than the arbitral tribunal’s fees\n and expenses; nor shall it delay the recognition and enforcement\n of all parts of the award other than those relating to the deter-\n mination of the arbitral tribunal’s fees and expenses.\n\n\nAllocation of costs\n\nArticle 42\n\n1. The costs of the arbitration shall in principle be borne by\nthe unsuccessful party or parties. However, the arbitral tribunal\nmay apportion each of such costs between the parties if it\ndetermines that apportionment is reasonable, taking into account\n the circumstances of the case.\n\n2. The arbitral tribunal shall in the final award or, if it deems\nappropriate, in any other award, determine any amount that a\nparty may have to pay to another party as a result of the deci-\nsion on allocation of costs.\n\n\nDeposit of costs\n\nArticle 43\n\n1. The arbitral tribunal, on its establishment, may request the\nparties to deposit an equal amount as an advance for the costs\nreferred to in article 40, paragraphs 2 (a) to (c).\n\n2. During the course of the arbitral proceedings the arbitral\ntribunal may request supplementary deposits from the parties.\n\n3. If an appointing authority has been agreed upon or\ndesignated, and when a party so requests and the appointing\n authority consents to perform the function, the arbitral tribunal\n  shall fix the amounts of any deposits or supplementary\n  deposits only after consultation with the appointing authority,\n   which may make any comments to the arbitral tribunal that\n   it deems appropriate concerning the amount of such deposits\n   and supplementary deposits.\n\n4. If the required deposits are not paid in full within\n30 days after the receipt of the request, the arbitral tribunal\nshall so inform the parties in order that one or more of them\nmay make the required payment. If such payment is not\nmade, the arbitral tribunal may order the suspension or ter-\nmination of the arbitral proceedings."},{"pdfPage":37,"section":"arbitration","text":"5. After a termination order or final award has been made,\nthe arbitral tribunal shall render an accounting to the parties\nof the deposits received and return any unexpended balance to\nthe parties."},{"pdfPage":38,"section":"arbitration","text":"Annex\nModel arbitration clause for contracts\n\nAny dispute, controversy or claim arising out of or relating to\nthis contract, or the breach, termination or invalidity thereof,\nshall be settled by arbitration in accordance with the UNCITRAL\nArbitration Rules.\n\n    Note.   Parties should consider adding:\n        The appointing authority shall be . . . [name of\n    (a)\n        institution or person];\n    (b) The number of arbitrators shall be . . .. [one or three];\n    (c) The place of arbitration shall be . . . [town and\ncountry];\n     (d) The language to be used in the arbitral proceedings\nshall be . . . .\n\n\n\nPossible waiver statement\n\n    Note. If the parties wish to exclude recourse against the\n    arbitral award that may be available under the applicable\n     law, they may consider adding a provision to that effect as\n     suggested below, considering, however, that the effective-\n     ness and conditions of such an exclusion depend on the\n     applicable law.\n\nWaiver\n\n    The parties hereby waive their right to any form of recourse\n    against an award to any court or other competent authority,\n    insofar as such waiver can validly be made under the\n    applicable law.\n\n\n\nModel statements of independence pursuant to\narticle 11 of the Rules\n\nNo circumstances to disclose\n\n    I am impartial and independent of each of the parties and"},{"pdfPage":39,"section":"arbitration","text":"intend to remain so. To the best of my knowledge, there\n     are no circumstances, past or present, likely to give rise to\n     justifiable doubts as to my impartiality or independence. I\n      shall promptly notify the parties and the other arbitrators of\n      any such circumstances that may subsequently come to my\n      attention during this arbitration.\n\nCircumstances to disclose\n\n     I am impartial and independent of each of the parties and\n     intend to remain so. Attached is a statement made pursuant\n      to article 11 of the UNCITRAL Arbitration Rules of\n      (a) my past and present professional, business and other\n      relationships with the parties and (b) any other relevant cir-\n       cumstances. [Include statement.] I confirm that those cir-\n       cumstances do not affect my independence and impartiality.\n       I shall promptly notify the parties and the other arbitrators\n       of any such further relationships or circumstances that may\n       subsequently come to my attention during this arbitration.\n\n     Note. Any party may consider requesting from the\n     arbitrator the following addition to the statement of\n      independence:\n\nI confirm, on the basis of the information presently available\nto me, that I can devote the time necessary to conduct this\narbitration diligently, efficiently and in accordance with the time\n limits in the Rules."},{"pdfPage":40,"section":"expedited","text":"Appendix – UNCITRAL Expedited\nArbitration Rules\nScope of application\n\nArticle 1\n\nWhere parties have agreed that disputes between them in respect\nof a defined legal relationship, whether contractual or not, shall\nbe referred to arbitration under the UNCITRAL Expedited Arbi-\ntration Rules (“Expedited Rules”), then such disputes shall be\nsettled in accordance with the UNCITRAL Arbitration Rules\nas modified by these Expedited Rules and subject to such modi-\nfication as the parties may agree.***\n\nArticle 2\n\n1. At any time during the proceedings, the parties may agree\nthat the Expedited Rules shall no longer apply to the\narbitration.\n\n2. At the request of a party, the arbitral tribunal may, in\nexceptional circumstances and after inviting the parties to\nexpress their views, determine that the Expedited Rules shall\nno longer apply to the arbitration. The arbitral tribunal shall\nstate the reasons upon which that determination is based.\n\n3. When the Expedited Rules no longer apply to the arbitra-\ntion pursuant to paragraph 1 or 2, the arbitral tribunal shall\nremain in place and conduct the arbitration in accordance with\nthe UNCITRAL Arbitration Rules.\n\nConduct of the parties and the arbitral tribunal\n\nArticle 3\n\n1. The parties shall act expeditiously throughout the\nproceedings.\n\n2.     The arbitral tribunal shall conduct the proceedings\n\n\n\n      ***Unless otherwise agreed by the parties, the following articles in the\nUNCITRAL Arbitration Rules do not apply to expedited arbitration: article 3(4)(a)\nand (b); article 6(2); article 7; article 8(1); first sentence of article 20(1); first sen-\ntence of article 21(1); article 21(3); article 22; and second sentence of article 27(2)."},{"pdfPage":41,"section":"expedited","text":"expeditiously taking into account the fact that the parties agreed\nto refer their dispute to expedited arbitration and the time\nframes in the Expedited Rules.\n\n3. The arbitral tribunal may, after inviting the parties to\nexpress their views and taking into account the circumstances\nof the case, utilize any technological means as it considers\nappropriate to conduct the proceedings, including to communi-\ncate with the parties and to hold consultations and hearings\nremotely.\n\nNotice of arbitration and statement of claim\n\nArticle 4\n\n1.   A notice of arbitration shall also include:\n\n     (a) A proposal for the designation of an appointing\nauthority, unless the parties have previously agreed thereon; and\n     (b) A proposal for the appointment of an arbitrator.\n\n2. When communicating its notice of arbitration to the\nrespondent, the claimant shall also communicate its statement\nof claim.\n\n3. The claimant shall communicate the notice of arbitration\nand the statement of claim to the arbitral tribunal as soon as it\nis constituted.\n\nResponse to the notice of arbitration and statement of defence\n\nArticle 5\n\n1. Within 15 days of the receipt of the notice of arbitration,\nthe respondent shall communicate to the claimant a response\nto the notice of arbitration, which shall also include responses\nto the information set forth in the notice of arbitration pursuant\nto article 4(1)(a) and (b) of the Expedited Rules.\n\n2. The respondent shall communicate its statement of defence\nto the claimant and the arbitral tribunal within 15 days of the\nconstitution of the arbitral tribunal."},{"pdfPage":42,"section":"expedited","text":"Designating and appointing authorities\n\nArticle 6\n\n1. If all parties have not agreed on the choice of an appointing\nauthority 15 days after a proposal for the designation of an\nappointing authority has been received by all other parties, any\nparty may request the Secretary-General of the Permanent Court\nof Arbitration (hereinafter called the “PCA”) to designate the\nappointing authority or to serve as appointing authority.\n\n2. When making the request under article 6(4) of the UNCI-\nTRAL Arbitration Rules, a party may request the Secretary-\nGeneral of the PCA to serve as appointing authority.\n\n3. If requested to serve as appointing authority in accordance\nwith paragraph 1 or 2, the Secretary-General of the PCA will\nserve as appointing authority unless it determines that in view\nof the circumstances of the case, it is more appropriate to des-\nignate an appointing authority.\n\nNumber of arbitrators\n\nArticle 7\n\nUnless otherwise agreed by the parties, there shall be one\narbitrator.\n\nAppointment of a sole arbitrator\n\nArticle 8\n\n1. A sole arbitrator shall be appointed jointly by the\nparties.\n\n2. If the parties have not reached agreement on the appoint-\nment of a sole arbitrator 15 days after a proposal has been\nreceived by all other parties, a sole arbitrator shall, at the request\nof a party, be appointed by the appointing authority in accord-\nance with article 8(2) of the UNCITRAL Arbitration Rules.\n\nConsultation with the parties\n\nArticle 9\n\nPromptly after and within 15 days of its constitution, the arbitral\ntribunal shall consult the parties, through a case management\nconference or otherwise, on the manner in which it will conduct\nthe arbitration."},{"pdfPage":43,"section":"expedited","text":"Discretion of the arbitral tribunal with regard to periods of\ntime\n\nArticle 10\n\nSubject to article 16 of the Expedited Rules, the arbitral tribunal\nmay at any time, after inviting the parties to express their views,\nextend or abridge any period of time prescribed under the\nUNCITRAL Arbitration Rules and the Expedited Rules or\nagreed by the parties.\n\nHearings\n\nArticle 11\n\nThe arbitral tribunal may, after inviting the parties to express\ntheir views and in the absence of a request to hold hearings,\ndecide that hearings shall not be held.\n\nCounterclaims or claims for the purpose of set-off\n\nArticle 12\n\n1. A counterclaim or a claim for the purpose of a set-off shall\nbe made no later than in the statement of defence provided that\nthe arbitral tribunal has jurisdiction over it.\n\n2. The respondent may not make a counterclaim or rely on\na claim for the purpose of a set-off at a later stage in the arbitral\nproceedings, unless the arbitral tribunal considers it appropriate\nto allow such claim having regard to the delay in making it or\nprejudice to other parties or any other circumstances.\n\nAmendments and supplements to a claim or defence\n\nArticle 13\n\nDuring the course of the arbitral proceedings, a party may not\namend or supplement its claim or defence, including a coun-\nterclaim or a claim for the purpose of a set-off, unless the\narbitral tribunal considers it appropriate to allow such amend-\nment or supplement having regard to when it is requested or\nprejudice to other parties or any other circumstances. However,\na claim or defence, including a counterclaim or a claim for the\npurpose of a set-off, may not be amended or supplemented in\nsuch a manner that the amended or supplemented claim or\ndefence falls outside the jurisdiction of the arbitral tribunal."},{"pdfPage":44,"section":"expedited","text":"Further written statements\n\nArticle 14\n\nThe arbitral tribunal may, after inviting the parties to express\ntheir views, decide whether any further written statement shall\nbe required from the parties or may be presented by them.\n\nEvidence\n\nArticle 15\n\n1. The arbitral tribunal may decide which documents, exhibits\nor other evidence the parties should produce. The arbitral tri-\nbunal may reject any request, unless made by all parties, to\nestablish a procedure whereby each party can request another\nparty to produce documents.\n\n2. Unless otherwise directed by the arbitral tribunal, state-\nments by witnesses, including expert witnesses, shall be pre-\nsented in writing and signed by them.\n\n3. The arbitral tribunal may decide which witnesses, includ-\ning expert witnesses, shall testify to the arbitral tribunal if hear-\nings are held.\n\nPeriod of time for making the award\n\nArticle 16\n\n1. The award shall be made within six months from the date\nof the constitution of the arbitral tribunal unless otherwise\nagreed by the parties.\n\n2. The arbitral tribunal may, in exceptional circumstances and\nafter inviting the parties to express their views, extend the\nperiod of time established in accordance with paragraph 1. The\nextended period of time shall not exceed a total of nine months\nfrom the date of the constitution of the arbitral tribunal.\n\n3. If the arbitral tribunal concludes that it is at risk of not\nrendering an award within nine months from the date of the\nconstitution of the arbitral tribunal, it shall propose a final\nextended time limit, state the reasons for the proposal, and\ninvite the parties to express their views within a fixed period\nof time. The extension shall be adopted only if all parties\nexpress their agreement to the proposal within the fixed period\nof time."},{"pdfPage":45,"section":"expedited","text":"4. If there is no agreement to the extension in paragraph 3,\nany party may make a request that the Expedited Rules no\nlonger apply to the arbitration. After inviting the parties to\nexpress their views, the arbitral tribunal may determine to\ncontinue to conduct the arbitration in accordance with the\nUNCITRAL Arbitration Rules"},{"pdfPage":46,"section":"expedited","text":"Annex to the UNCITRAL Expedited\nArbitration Rules\nModel arbitration clause for contracts\n\nAny dispute, controversy or claim arising out of or relating to\nthis contract, or the breach, termination or invalidity thereof,\nshall be settled by arbitration in accordance with the UNCITRAL\nExpedited Arbitration Rules.\n\nNote: Parties should consider adding:\n\n     (a) The appointing authority shall be . . . [name of institu-\ntion or person];\n    (b) The place of arbitration shall be . . . [town and\ncountry];\n     (c) The language to be used in the arbitral proceedings\nshall be ...;\n\nModel statement\n\nNote. Parties should consider requesting from the arbitrator the\nfollowing addition to the statement of independence pursuant\nto article 11 of the UNCITRAL Arbitration Rules:\n\nI confirm, on the basis of the information presently available\nto me, that I can devote the time necessary to conduct this\narbitration diligently, efficiently, expeditiously and in accord-\nance with the time limits in the UNCITRAL Arbitration Rules\nand the UNCITRAL Expedited Arbitration Rules."},{"pdfPage":47,"section":"transparency","text":"UNCITRAL Rules on Transparency in\nTreaty-based Investor-State Arbitration\nArticle 1.       Scope of application\n\nApplicability of the Rules\n\n1. The UNCITRAL Rules on Transparency in Treaty-based\nInvestor-State Arbitration (“Rules on Transparency”) shall apply\nto investor-State arbitration initiated under the UNCITRAL\nArbitration Rules pursuant to a treaty providing for the pro\ntection of investments or investors (“treaty”)* concluded on or\nafter 1 April 2014 unless the Parties to the treaty** have agreed\notherwise.\n\n2. In investor-State arbitrations initiated under the UNCITRAL\nArbitration Rules pursuant to a treaty concluded before 1 April\n2014, these Rules shall apply only when:\n     (a) The parties to an arbitration (the “disputing parties”)\nagree to their application in respect of that arbitration; or\n      (b) The Parties to the treaty or, in the case of a multi\nlateral treaty, the State of the claimant and the respondent State,\nhave agreed after 1 April 2014 to their application.\n\n\n\n\nApplication of the Rules\n\n3. In any arbitration in which the Rules on Transparency\napply pursuant to a treaty or to an agreement by the Parties to\nthat treaty:\n     (a) The disputing parties may not derogate from these\nRules, by agreement or otherwise, unless permitted to do so by\nthe treaty;\n\n\n\n       *For the purposes of the Rules on Transparency, a “treaty” shall be under-\nstood broadly as encompassing any bilateral or multilateral treaty that contains\nprovisions on the protection of investments or investors and a right for investors\nto resort to arbitration against Parties to the treaty, including any treaty commonly\nreferred to as a free trade agreement, economic integration agreement, trade and\ninvestment framework or cooperation agreement, or bilateral investment treaty.\n       **For the purposes of the Rules on Transparency, any reference to a “Party\nto the treaty” or a “State” includes, for example, a regional economic integration\norganization where it is a Party to the treaty."},{"pdfPage":48,"section":"transparency","text":"(b) The arbitral tribunal shall have the power, besides its\ndiscretionary authority under certain provisions of these Rules,\nto adapt the requirements of any specific provision of these\nRules to the particular circumstances of the case, after consulta-\ntion with the disputing parties, if such adaptation is necessary\nto conduct the arbitration in a practical manner and is consistent\nwith the transparency objective of these Rules.\n\n\n\n\nDiscretion and authority of the arbitral tribunal\n\n4. Where the Rules on Transparency provide for the arbitral\ntribunal to exercise discretion, the arbitral tribunal in exercising\nsuch discretion shall take into account:\n     (a) The public interest in transparency in treaty-based\ninvestor-State arbitration and in the particular arbitral proceed-\nings; and\n     (b) The disputing parties’ interest in a fair and efficient\nresolution of their dispute.\n\n5. These Rules shall not affect any authority that the arbitral\ntribunal may otherwise have under the UNCITRAL Arbitration\nRules to conduct the arbitration in such a manner as to promote\ntransparency, for example by accepting submissions from third\npersons.\n\n6. In the presence of any conduct, measure or other action\nhaving the effect of wholly undermining the transparency objec-\ntives of these Rules, the arbitral tribunal shall ensure that those\nobjectives prevail.\n\n\n\n\nApplicable instrument in case of conflict\n\n7. Where the Rules on Transparency apply, they shall sup-\nplement any applicable arbitration rules. Where there is a con-\nflict between the Rules on Transparency and the applicable\narbitration rules, the Rules on Transparency shall prevail. Not-\nwithstanding any provision in these Rules, where there is a\nconflict between the Rules on Transparency and the treaty, the\nprovisions of the treaty shall prevail.\n\n8. Where any of these Rules is in conflict with a provision\nof the law applicable to the arbitration from which the disputing\nparties cannot derogate, that provision shall prevail."},{"pdfPage":49,"section":"transparency","text":"Application in non-UNCITRAL arbitrations\n\n9. These Rules are available for use in investor-State arbi\ntrations initiated under rules other than the UNCITRAL\nArbitration Rules or in ad hoc proceedings.\n\n\n\nArticle 2. Publication of information at the\ncommencement of arbitral proceedings\n\nOnce the notice of arbitration has been received by the respond-\nent, each of the disputing parties shall promptly communicate\na copy of the notice of arbitration to the repository referred to\nunder article 8. Upon receipt of the notice of arbitration from\nthe respondent, or upon receipt of the notice of arbitration and\na record of its transmission to the respondent, the repository\nshall promptly make available to the public information\nregarding the name of the disputing parties, the economic\n sector involved and the treaty under which the claim is\n  being made.\n\n\n\nArticle 3.    Publication of documents\n\n1. Subject to article 7, the following documents shall be made\navailable to the public: the notice of arbitration, the response\nto the notice of arbitration, the statement of claim, the statement\nof defence and any further written statements or written sub\nmissions by any disputing party; a table listing all exhibits to\nthe aforesaid documents and to expert reports and witness\nstatements, if such table has been prepared for the proceedings,\n but not the exhibits themselves; any written submissions by the\n non-disputing Party (or Parties) to the treaty and by third\n persons, transcripts of hearings, where available; and orders,\n  decisions and awards of the arbitral tribunal.\n\n2. Subject to article 7, expert reports and witness statements,\nexclusive of the exhibits thereto, shall be made available to the\npublic, upon request by any person to the arbitral tribunal.\n\n3. Subject to article 7, the arbitral tribunal may decide, on\nits own initiative or upon request from any person, and after\nconsultation with the disputing parties, whether and how to\nmake available exhibits and any other documents provided to,\nor issued by, the arbitral tribunal not falling within paragraphs 1\nor 2 above. This may include, for example, making such\ndocuments available at a specified site."},{"pdfPage":50,"section":"transparency","text":"4. The documents to be made available to the public pursuant\nto paragraphs 1 and 2 shall be communicated by the arbitral\ntribunal to the repository referred to under article 8 as soon as\npossible, subject to any relevant arrangements or time limits for\nthe protection of confidential or protected information pre-\nscribed under article 7. The documents to be made available\npursuant to paragraph 3 may be communicated by the arbitral\ntribunal to the repository referred to under article 8 as they\nbecome available and, if applicable, in a redacted form in\naccordance with article 7. The repository shall make all docu-\nments available in a timely manner, in the form and in the\nlanguage in which it receives them.\n\n5. A person granted access to documents under paragraph 3\nshall bear any administrative costs of making those documents\navailable to that person, such as the costs of photocopying or\nshipping documents to that person, but not the costs of making\nthose documents available to the public through the\nrepository.\n\n\nArticle 4.   Submission by a third person\n\n      1. After consultation with the disputing parties, the arbi-\ntral tribunal may allow a person that is not a disputing party,\nand not a non-disputing Party to the treaty (“third person(s)”),\nto file a written submission with the arbitral tribunal regarding\na matter within the scope of the dispute.\n\n     2. A third person wishing to make a submission shall\napply to the arbitral tribunal, and shall, in a concise written\nstatement, which is in a language of the arbitration and complies\nwith any page limits set by the arbitral tribunal:\n     (a) Describe the third person, including, where relevant,\nits membership and legal status (e.g., trade association or other\nnon-governmental organization), its general objectives, the\nnature of its activities and any parent organization (including\nany organization that directly or indirectly controls the third\nperson);\n     (b) Disclose any connection, direct or indirect, which the\nthird person has with any disputing party;\n     (c) Provide information on any government, person or\norganization that has provided to the third person (i) any finan-\ncial or other assistance in preparing the submission; or (ii)\nsubstantial assistance in either of the two years preceding the\napplication by the third person under this article (e.g. funding\naround 20 per cent of its overall operations annually);"},{"pdfPage":51,"section":"transparency","text":"(d) Describe the nature of the interest that the third person\nhas in the arbitration; and\n      (e) Identify the specific issues of fact or law in the arbi-\ntration that the third person wishes to address in its written\nsubmission.\n\n3. In determining whether to allow such a submission, the\narbitral tribunal shall take into consideration, among other\nfactors it determines to be relevant:\n     (a) Whether the third person has a significant interest in\nthe arbitral proceedings; and\n      (b) The extent to which the submission would assist the\narbitral tribunal in the determination of a factual or legal issue\nrelated to the arbitral proceedings by bringing a perspective,\nparticular knowledge or insight that is different from that of the\ndisputing parties.\n\n4.   The submission filed by the third person shall:\n     (a) Be dated and signed by the person filing the submis-\nsion on behalf of the third person;\n     (b) Be concise, and in no case longer than as authorized\nby the arbitral tribunal;\n     (c) Set out a precise statement of the third person’s posi-\ntion on issues; and\n     (d) Address only matters within the scope of the dispute.\n\n5. The arbitral tribunal shall ensure that any submission does\nnot disrupt or unduly burden the arbitral proceedings, or unfairly\nprejudice any disputing party.\n\n6. The arbitral tribunal shall ensure that the disputing parties\nare given a reasonable opportunity to present their observations\non any submission by the third person.\n\n\n\nArticle 5. Submission by a non-disputing Party\nto the treaty\n\n1. The arbitral tribunal shall, subject to paragraph 4, allow,\nor, after consultation with the disputing parties, may invite,\nsubmissions on issues of treaty interpretation from a non-\ndisputing Party to the treaty.\n\n2. The arbitral tribunal, after consultation with the disputing\nparties, may allow submissions on further matters within the"},{"pdfPage":52,"section":"transparency","text":"scope of the dispute from a non-disputing Party to the treaty.\nIn determining whether to allow such submissions, the arbitral\ntribunal shall take into consideration, among other factors it\ndetermines to be relevant, the factors referred to in article 4,\nparagraph 3, and, for greater certainty, the need to avoid sub-\nmissions which would support the claim of the investor in a\nmanner tantamount to diplomatic protection.\n\n3. The arbitral tribunal shall not draw any inference from the\nabsence of any submission or response to any invitation pursuant\nto paragraphs 1 or 2.\n\n4. The arbitral tribunal shall ensure that any submission does\nnot disrupt or unduly burden the arbitral proceedings, or unfairly\nprejudice any disputing party.\n\n5. The arbitral tribunal shall ensure that the disputing parties\nare given a reasonable opportunity to present their observations\non any submission by a non-disputing Party to the treaty.\n\n\nArticle 6.    Hearings\n\n1. Subject to article 6, paragraphs 2 and 3, hearings for the\npresentation of evidence or for oral argument (“hearings”) shall\nbe public.\n\n2. Where there is a need to protect confidential information\nor the integrity of the arbitral process pursuant to article 7, the\narbitral tribunal shall make arrangements to hold in private that\npart of the hearing requiring such protection.\n\n3. The arbitral tribunal shall make logistical arrangements to\nfacilitate the public access to hearings (including where appro-\npriate by organizing attendance through video links or such\nother means as it deems appropriate). However, the arbitral\ntribunal may, after consultation with the disputing parties,\ndecide to hold all or part of the hearings in private where this\nbecomes necessary for logistical reasons, such as when the cir-\ncumstances render any original arrangement for public access\nto a hearing infeasible.\n\n\nArticle 7.    Exceptions to transparency\n\nConfidential or protected information\n\n1. Confidential or protected information, as defined in para-\ngraph 2 and as identified pursuant to the arrangements referred"},{"pdfPage":53,"section":"transparency","text":"to in paragraphs 3 and 4, shall not be made available to the\npublic pursuant to articles 2 to 6.\n\n2.   Confidential or protected information consists of:\n     (a) Confidential business information;\n     (b) Information that is protected against being made\navailable to the public under the treaty;\n     (c) Information that is protected against being made\navailable to the public, in the case of the information of the\nrespondent State, under the law of the respondent State, and in\nthe case of other information, under any law or rules determined\nby the arbitral tribunal to be applicable to the disclosure of such\ninformation; or\n    (d) Information the disclosure of which would impede\nlaw enforcement.\n\n3. The arbitral tribunal, after consultation with the disputing\nparties, shall make arrangements to prevent any confidential or\nprotected information from being made available to the public,\nincluding by putting in place, as appropriate:\n     (a) Time limits in which a disputing party, non-disputing\nParty to the treaty or third person shall give notice that it seeks\nprotection for such information in documents;\n     (b) Procedures for the prompt designation and redaction\nof the particular confidential or protected information in such\ndocuments; and\n     (c) Procedures for holding hearings in private to the\nextent required by article 6, paragraph 2.\n\nAny determination as to whether information is confidential or\nprotected shall be made by the arbitral tribunal after consulta-\ntion with the disputing parties.\n\n4. Where the arbitral tribunal determines that information\nshould not be redacted from a document, or that a document\nshould not be prevented from being made available to the\npublic, any disputing party, non-disputing Party to the treaty or\n third person that voluntarily introduced the document into the\n record shall be permitted to withdraw all or part of the docu-\n ment from the record of the arbitral proceedings.\n\n5. Nothing in these Rules requires a respondent State to make\navailable to the public information the disclosure of which it\nconsiders to be contrary to its essential security interests."},{"pdfPage":54,"section":"transparency","text":"Integrity of the arbitral process\n\n6. Information shall not be made available to the public pur-\nsuant to articles 2 to 6 where the information, if made available\nto the public, would jeopardize the integrity of the arbitral\nprocess as determined pursuant to paragraph 7.\n\n7. The arbitral tribunal may, on its own initiative or upon the\napplication of a disputing party, after consultation with the\ndisputing parties where practicable, take appropriate measures\n to restrain or delay the publication of information where such\n publication would jeopardize the integrity of the arbitral process\n because it could hamper the collection or production of evi-\n dence, lead to the intimidation of witnesses, lawyers acting for\n disputing parties or members of the arbitral tribunal, or in\n comparably exceptional circumstances.\n\n\nArticle 8.    Repository of published information\n\nThe repository of published information under the Rules on\nTransparency shall be the Secretary-General of the United\nNations or an institution named by UNCITRAL."}],"articles":[{"id":"arbitration-1","number":"1","section":"arbitration","label":"Article 1","pdfPage":11,"endPdfPage":12,"text":"Article 1\n\n1. Where parties have agreed that disputes between them in\nrespect of a defined legal relationship, whether contractual or\n not, shall be referred to arbitration under the UNCITRAL\n Arbitration Rules, then such disputes shall be settled in accord-\n  ance with these Rules subject to such modification as the parties\n  may agree.\n\n2. The parties to an arbitration agreement concluded after\n15 August 2010 shall be presumed to have referred to the Rules\nin effect on the date of commencement of the arbitration, unless\nthe parties have agreed to apply a particular version of the\nRules. That presumption does not apply where the arbitration\nagreement has been concluded by accepting after 15 August\n2010 an offer made before that date.\n\n3. These Rules shall govern the arbitration except that where\nany of these Rules is in conflict with a provision of the law\napplicable to the arbitration from which the parties cannot\n derogate, that provision shall prevail.\n\n4. For investor-State arbitration initiated pursuant to a treaty\nproviding for the protection of investments or investors, these\nRules include the UNCITRAL Rules on Transparency in Treaty-\nbased Investor-State Arbitration (“Rules on Transparency”),\nsubject to article 1 of the Rules on Transparency.\n\n5. The Expedited Arbitration Rules in the appendix shall\napply to the arbitration where the parties so agree.\n\n\n\n\n         * A model arbitration clause for contracts can be found in the annex to the\nRules.\n\nNotice and calculation of periods of time"},{"id":"arbitration-2","number":"2","section":"arbitration","label":"Article 2","pdfPage":12,"endPdfPage":13,"text":"Article 2\n\n1. A notice, including a notification, communication or\nproposal, may be transmitted by any means of communication\n that provides or allows for a record of its transmission.\n\n2. If an address has been designated by a party specifically\nfor this purpose or authorized by the arbitral tribunal, any notice\nshall be delivered to that party at that address, and if so deliv-\nered shall be deemed to have been received. Delivery by elec-\ntronic means such as facsimile or e-mail may only be made to\nan address so designated or authorized.\n\n3. In the absence of such designation or authorization, a\nnotice is:\n     (a) Received if it is physically delivered to the addressee;\nor\n     (b) Deemed to have been received if it is delivered at the\nplace of business, habitual residence or mailing address of the\naddressee.\n\n4. If, after reasonable efforts, delivery cannot be effected in\naccordance with paragraphs 2 or 3, a notice is deemed to have\n been received if it is sent to the addressee’s last-known place\n of business, habitual residence or mailing address by registered\n letter or any other means that provides a record of delivery or\n  of attempted delivery.\n\n5. A notice shall be deemed to have been received on the\nday it is delivered in accordance with paragraphs 2, 3 or 4, or\nattempted to be delivered in accordance with paragraph 4. A\n notice transmitted by electronic means is deemed to have been\n received on the day it is sent, except that a notice of arbitration\n so transmitted is only deemed to have been received on the day\n when it reaches the addressee’s electronic address.\n\n6. For the purpose of calculating a period of time under these\nRules, such period shall begin to run on the day following the\nday when a notice is received. If the last day of such period is\nan official holiday or a non-business day at the residence or\nplace of business of the addressee, the period is extended until\nthe first business day which follows. Official holidays or non-\nbusiness days occurring during the running of the period of\ntime are included in calculating the period.\n\nNotice of arbitration"},{"id":"arbitration-3","number":"3","section":"arbitration","label":"Article 3","pdfPage":13,"endPdfPage":14,"text":"Article 3\n\n1. The party or parties initiating recourse to arbitration\n(hereinafter called the “claimant”) shall communicate to the\nother party or parties (hereinafter called the “respondent”) a\n notice of arbitration.\n\n2. Arbitral proceedings shall be deemed to commence on the\ndate on which the notice of arbitration is received by the\nrespondent.\n\n3.   The notice of arbitration shall include the following:\n     (a) A demand that the dispute be referred to arbitration;\n     (b) The names and contact details of the parties;\n      (c) Identification of the arbitration agreement that is\ninvoked;\n     (d) Identification of any contract or other legal instru-\nment out of or in relation to which the dispute arises or, in\nthe absence of such contract or instrument, a brief description\nof the relevant relationship;\n     (e) A brief description of the claim and an indication of\nthe amount involved, if any;\n     (f)    The relief or remedy sought;\n     (g) A proposal as to the number of arbitrators, language\nand place of arbitration, if the parties have not previously agreed\nthereon.\n\n4.   The notice of arbitration may also include:\n      (a) A proposal for the designation of an appointing\nauthority referred to in article 6, paragraph 1;\n      (b) A proposal for the appointment of a sole arbitrator\nreferred to in article 8, paragraph 1;\n     (c) Notification of the appointment of an arbitrator\nreferred to in article 9 or 10.\n\n5. The constitution of the arbitral tribunal shall not be\nhindered by any controversy with respect to the sufficiency of\n the notice of arbitration, which shall be finally resolved by the\n arbitral tribunal.\n\nResponse to the notice of arbitration"},{"id":"arbitration-4","number":"4","section":"arbitration","label":"Article 4","pdfPage":14,"endPdfPage":14,"text":"Article 4\n\n1. Within 30 days of the receipt of the notice of arbitration,\nthe respondent shall communicate to the claimant a response\nto the notice of arbitration, which shall include:\n     (a) The name and contact details of each respondent;\n     (b) A response to the information set forth in the notice\nof arbitration, pursuant to article 3, paragraphs 3 (c) to (g).\n\n2.   The response to the notice of arbitration may also include:\n     (a) Any plea that an arbitral tribunal to be constituted\nunder these Rules lacks jurisdiction;\n      (b) A proposal for the designation of an appointing\nauthority referred to in article 6, paragraph 1;\n      (c) A proposal for the appointment of a sole arbitrator\nreferred to in article 8, paragraph 1;\n     (d) Notification of the appointment of an arbitrator referred\nto in article 9 or 10;\n     (e) A brief description of counterclaims or claims for the\npurpose of a set-off, if any, including where relevant, an indica-\ntion of the amounts involved, and the relief or remedy sought;\n      (f) A notice of arbitration in accordance with article 3 in\ncase the respondent formulates a claim against a party to the\narbitration agreement other than the claimant.\n\n3. The constitution of the arbitral tribunal shall not be\nhindered by any controversy with respect to the respondent’s\n failure to communicate a response to the notice of arbitration,\n or an incomplete or late response to the notice of arbitration,\n which shall be finally resolved by the arbitral tribunal.\n\n\nRepresentation and assistance"},{"id":"arbitration-5","number":"5","section":"arbitration","label":"Article 5","pdfPage":14,"endPdfPage":15,"text":"Article 5\n\nEach party may be represented or assisted by persons chosen\nby it. The names and addresses of such persons must be\ncommunicated to all parties and to the arbitral tribunal. Such\n communication must specify whether the appointment is being\n  made for purposes of representation or assistance. Where a\n  person is to act as a representative of a party, the arbitral tri-\n   bunal, on its own initiative or at the request of any party, may\n\nat any time require proof of authority granted to the representative\nin such a form as the arbitral tribunal may determine.\n\n\nDesignating and appointing authorities"},{"id":"arbitration-6","number":"6","section":"arbitration","label":"Article 6","pdfPage":15,"endPdfPage":17,"text":"Article 6\n\n1. Unless the parties have already agreed on the choice of an\nappointing authority, a party may at any time propose the name\nor names of one or more institutions or persons, including the\nSecretary-General of the Permanent Court of Arbitration at The\nHague (hereinafter called the “PCA”), one of whom would\nserve as appointing authority.\n\n2. If all parties have not agreed on the choice of an appointing\nauthority within 30 days after a proposal made in accordance\nwith paragraph 1 has been received by all other parties, any\nparty may request the Secretary-General of the PCA to desig-\nnate the appointing authority.\n\n3. Where these Rules provide for a period of time within\nwhich a party must refer a matter to an appointing authority\nand no appointing authority has been agreed on or designated,\nthe period is suspended from the date on which a party initiates\nthe procedure for agreeing on or designating an appointing\nauthority until the date of such agreement or designation.\n\n4. Except as referred to in article 41, paragraph 4, if the\nappointing authority refuses to act, or if it fails to appoint an\n arbitrator within 30 days after it receives a party’s request to\n  do so, fails to act within any other period provided by these\n  Rules, or fails to decide on a challenge to an arbitrator within\n  a reasonable time after receiving a party’s request to do so, any\n  party may request the Secretary-General of the PCA to desig-\n  nate a substitute appointing authority.\n\n5. In exercising their functions under these Rules, the\nappointing authority and the Secretary-General of the PCA may\n require from any party and the arbitrators the information they\n deem necessary and they shall give the parties and, where\n appropriate, the arbitrators, an opportunity to present their views\n  in any manner they consider appropriate. All such communications\n  to and from the appointing authority and the Secretary-General\n  of the PCA shall also be provided by the sender to all other\n  parties.\n\n6. When the appointing authority is requested to appoint an\narbitrator pursuant to articles 8, 9, 10 or 14, the party making\n the request shall send to the appointing authority copies of the\n notice of arbitration and, if it exists, any response to the notice\n of arbitration.\n\n7. The appointing authority shall have regard to such\nconsiderations as are likely to secure the appointment of an\n independent and impartial arbitrator and shall take into account\n  the advisability of appointing an arbitrator of a nationality other\n  than the nationalities of the parties.\n\nSection II. Composition of the arbitral tribunal\nNumber of arbitrators"},{"id":"arbitration-7","number":"7","section":"arbitration","label":"Article 7","pdfPage":17,"endPdfPage":17,"text":"Article 7\n\n1. If the parties have not previously agreed on the number of\narbitrators, and if within 30 days after the receipt by the\n respondent of the notice of arbitration the parties have not\n  agreed that there shall be only one arbitrator, three arbitrators\n  shall be appointed.\n\n2. Notwithstanding paragraph 1, if no other parties have\nresponded to a party’s proposal to appoint a sole arbitrator\n within the time limit provided for in paragraph 1 and the party\n  or parties concerned have failed to appoint a second arbitrator\n  in accordance with article 9 or 10, the appointing authority may,\n  at the request of a party, appoint a sole arbitrator pursuant to\n  the procedure provided for in article 8, paragraph 2, if it\n  determines that, in view of the circumstances of the case, this\n   is more appropriate.\n\n\n\n\nAppointment of arbitrators (articles 8 to 10)"},{"id":"arbitration-8","number":"8","section":"arbitration","label":"Article 8","pdfPage":17,"endPdfPage":18,"text":"Article 8\n\n1. If the parties have agreed that a sole arbitrator is to be\nappointed and if within 30 days after receipt by all other parties\n of a proposal for the appointment of a sole arbitrator the parties\n have not reached agreement thereon, a sole arbitrator shall, at\n the request of a party, be appointed by the appointing\n authority.\n\n2. The appointing authority shall appoint the sole arbitrator\nas promptly as possible. In making the appointment, the\nappointing authority shall use the following list-procedure,\n unless the parties agree that the list-procedure should not be\n  used or unless the appointing authority determines in its\n  discretion that the use of the list-procedure is not appropriate\n   for the case:\n     (a) The appointing authority shall communicate to each\nof the parties an identical list containing at least three names;\n\n(b) Within 15 days after the receipt of this list, each party\nmay return the list to the appointing authority after having\ndeleted the name or names to which it objects and numbered\nthe remaining names on the list in the order of its preference;\n      (c) After the expiration of the above period of time the\nappointing authority shall appoint the sole arbitrator from\n among the names approved on the lists returned to it and in\n accordance with the order of preference indicated by the\n parties;\n      (d) If for any reason the appointment cannot be made\naccording to this procedure, the appointing authority may exer-\n cise its discretion in appointing the sole arbitrator."},{"id":"arbitration-9","number":"9","section":"arbitration","label":"Article 9","pdfPage":18,"endPdfPage":18,"text":"Article 9\n\n1. If three arbitrators are to be appointed, each party shall\nappoint one arbitrator. The two arbitrators thus appointed\n shall choose the third arbitrator who will act as the presiding\n arbitrator of the arbitral tribunal.\n\n2. If within 30 days after the receipt of a party’s notification\nof the appointment of an arbitrator the other party has not noti-\nfied the first party of the arbitrator it has appointed, the first\nparty may request the appointing authority to appoint the second\narbitrator.\n\n3. If within 30 days after the appointment of the second\narbitrator the two arbitrators have not agreed on the choice of\n the presiding arbitrator, the presiding arbitrator shall be\n appointed by the appointing authority in the same way as a sole\n arbitrator would be appointed under article 8."},{"id":"arbitration-10","number":"10","section":"arbitration","label":"Article 10","pdfPage":18,"endPdfPage":19,"text":"Article 10\n\n1. For the purposes of article 9, paragraph 1, where three\narbitrators are to be appointed and there are multiple parties as\n claimant or as respondent, unless the parties have agreed to\n another method of appointment of arbitrators, the multiple\n  parties jointly, whether as claimant or as respondent, shall\n   appoint an arbitrator.\n\n2. If the parties have agreed that the arbitral tribunal is to be\ncomposed of a number of arbitrators other than one or three,\nthe arbitrators shall be appointed according to the method\nagreed upon by the parties.\n\n3. In the event of any failure to constitute the arbitral tribunal\nunder these Rules, the appointing authority shall, at the request\n of any party, constitute the arbitral tribunal and, in doing so,\n may revoke any appointment already made and appoint or\n reappoint each of the arbitrators and designate one of them as\n  the presiding arbitrator.\n\n\n\nDisclosures by and challenge of arbitrators**\n(articles 11 to 13)"},{"id":"arbitration-11","number":"11","section":"arbitration","label":"Article 11","pdfPage":19,"endPdfPage":19,"text":"Article 11\n\nWhen a person is approached in connection with his or her\npossible appointment as an arbitrator, he or she shall disclose\n any circumstances likely to give rise to justifiable doubts as to\n his or her impartiality or independence. An arbitrator, from the\n time of his or her appointment and throughout the arbitral pro-\n ceedings, shall without delay disclose any such circumstances\n to the parties and the other arbitrators unless they have already\n been informed by him or her of these circumstances."},{"id":"arbitration-12","number":"12","section":"arbitration","label":"Article 12","pdfPage":19,"endPdfPage":19,"text":"Article 12\n\n1. Any arbitrator may be challenged if circumstances exist\nthat give rise to justifiable doubts as to the arbitrator’s\nimpartiality or independence.\n\n2. A party may challenge the arbitrator appointed by it only\nfor reasons of which it becomes aware after the appointment\nhas been made.\n\n3. In the event that an arbitrator fails to act or in the event\nof the de jure or de facto impossibility of his or her performing\nhis or her functions, the procedure in respect of the challenge\nof an arbitrator as provided in article 13 shall apply."},{"id":"arbitration-13","number":"13","section":"arbitration","label":"Article 13","pdfPage":19,"endPdfPage":20,"text":"Article 13\n\n1. A party that intends to challenge an arbitrator shall send\nnotice of its challenge within 15 days after it has been notified\n\n\n\n       **Model statements of independence pursuant to article 11 can be found\nin the annex to the Rules.\n\nof the appointment of the challenged arbitrator, or within\n15 days after the circumstances mentioned in articles 11 and\n12 became known to that party.\n\n2. The notice of challenge shall be communicated to all other\nparties, to the arbitrator who is challenged and to the other\n arbitrators. The notice of challenge shall state the reasons for\n  the challenge.\n\n3. When an arbitrator has been challenged by a party, all\nparties may agree to the challenge. The arbitrator may also,\n after the challenge, withdraw from his or her office. In neither\n case does this imply acceptance of the validity of the grounds\n for the challenge.\n\n4. If, within 15 days from the date of the notice of challenge,\nall parties do not agree to the challenge or the challenged\narbitrator does not withdraw, the party making the challenge\n may elect to pursue it. In that case, within 30 days from the\n date of the notice of challenge, it shall seek a decision on the\n challenge by the appointing authority.\n\n\n\n\nReplacement of an arbitrator"},{"id":"arbitration-14","number":"14","section":"arbitration","label":"Article 14","pdfPage":20,"endPdfPage":21,"text":"Article 14\n\n1. Subject to paragraph 2, in any event where an arbitrator\nhas to be replaced during the course of the arbitral proceedings,\na substitute arbitrator shall be appointed or chosen pursuant\nto the procedure provided for in articles 8 to 11 that was appli-\ncable to the appointment or choice of the arbitrator being\nreplaced. This procedure shall apply even if during the process\nof appointing the arbitrator to be replaced, a party had failed\nto exercise its right to appoint or to participate in the\nappointment.\n\n2. If, at the request of a party, the appointing authority\ndetermines that, in view of the exceptional circumstances of the\n case, it would be justified for a party to be deprived of its right\n to appoint a substitute arbitrator, the appointing authority may,\n after giving an opportunity to the parties and the remaining\n arbitrators to express their views: (a) appoint the substitute arbi-\n trator; or (b) after the closure of the hearings, authorize the\n other arbitrators to proceed with the arbitration and make any\n decision or award.\n\nRepetition of hearings in the event of the\nreplacement of an arbitrator"},{"id":"arbitration-15","number":"15","section":"arbitration","label":"Article 15","pdfPage":21,"endPdfPage":21,"text":"Article 15\n\nIf an arbitrator is replaced, the proceedings shall resume at the\nstage where the arbitrator who was replaced ceased to perform\nhis or her functions, unless the arbitral tribunal decides\notherwise.\n\n\nExclusion of liability"},{"id":"arbitration-16","number":"16","section":"arbitration","label":"Article 16","pdfPage":21,"endPdfPage":22,"text":"Article 16\n\nSave for intentional wrongdoing, the parties waive, to the fullest\nextent permitted under the applicable law, any claim against the\narbitrators, the appointing authority and any person appointed\nby the arbitral tribunal based on any act or omission in con-\nnection with the arbitration.\n\nSection III. Arbitral proceedings\nGeneral provisions"},{"id":"arbitration-17","number":"17","section":"arbitration","label":"Article 17","pdfPage":22,"endPdfPage":23,"text":"Article 17\n\n1. Subject to these Rules, the arbitral tribunal may conduct\nthe arbitration in such manner as it considers appropriate,\nprovided that the parties are treated with equality and that at\n an appropriate stage of the proceedings each party is given a\n reasonable o  pportunity of presenting its case. The arbitral\n  tribunal, in exercising its d\n                                iscretion, shall conduct the pro\n   ceedings so as to avoid unnecessary delay and expense and\n   to provide a fair and efficient process for resolving the\n   parties’ dispute.\n\n2. As soon as practicable after its constitution and after\ni  nviting the parties to express their views, the arbitral\n t ribunal shall establish the provisional timetable of the\n  arbitration. The arbitral tribunal may, at any time, after inviting\n   the parties to express their views, extend or abridge any\n   period of time prescribed under these Rules or agreed by\n   the parties.\n\n3. If at an appropriate stage of the proceedings any party so\nrequests, the arbitral tribunal shall hold hearings for the\n presentation of evidence by witnesses, including expert\n  witnesses, or for oral argument. In the absence of such a\n\n  request, the arbitral tribunal shall decide whether to hold such\n  hearings or whether the proceedings shall be conducted on the\n  basis of documents and other materials.\n\n4. All communications to the arbitral tribunal by one party\nshall be communicated by that party to all other parties. Such\ncommunications shall be made at the same time, except as\n otherwise permitted by the arbitral tribunal if it may do so under\n  applicable law.\n\n5. The arbitral tribunal may, at the request of any party, allow\none or more third persons to be joined in the arbitration as a\nparty provided such person is a party to the arbitration\n agreement, unless the arbitral tribunal finds, after giving all\n  parties, including the p\n                           erson or persons to be joined, the\n   opportunity to be heard, that joinder should not be permitted\n\nbecause of prejudice to any of those parties. The arbitral tribunal\n may make a single award or several awards in respect of all\n parties so involved in the arbitration.\n\n\nPlace of arbitration"},{"id":"arbitration-18","number":"18","section":"arbitration","label":"Article 18","pdfPage":23,"endPdfPage":23,"text":"Article 18\n\n1. If the parties have not previously agreed on the place of\narbitration, the place of arbitration shall be determined by the\n arbitral tribunal having regard to the circumstances of the case.\n  The award shall be deemed to have been made at the place of\n  arbitration.\n\n2. The arbitral tribunal may meet at any location it considers\nappropriate for deliberations. Unless otherwise agreed by the\n parties, the arbitral tribunal may also meet at any location it\n  considers appropriate for any other purpose, including hearings.\n\n\n\nLanguage"},{"id":"arbitration-19","number":"19","section":"arbitration","label":"Article 19","pdfPage":23,"endPdfPage":23,"text":"Article 19\n\n1. Subject to an agreement by the parties, the arbitral tribunal\nshall, promptly after its appointment, determine the language or\nlanguages to be used in the proceedings. This determination shall\napply to the statement of claim, the statement of defence, and\nany further written statements and, if oral hearings take place,\nto the language or languages to be used in such hearings.\n\n2. The arbitral tribunal may order that any documents annexed\nto the statement of claim or statement of defence, and any\nsupplementary documents or exhibits submitted in the course\n of the proceedings, delivered in their original language, shall\n be accompanied by a translation into the language or languages\n agreed upon by the parties or determined by the arbitral\n tribunal.\n\n\n\nStatement of claim"},{"id":"arbitration-20","number":"20","section":"arbitration","label":"Article 20","pdfPage":23,"endPdfPage":24,"text":"Article 20\n\n1. The claimant shall communicate its statement of claim in\nwriting to the respondent and to each of the arbitrators within\n\na period of time to be determined by the arbitral tribunal. The\nclaimant may elect to treat its notice of arbitration referred to\n in article 3 as a statement of claim, provided that the notice of\n arbitration also complies with the requirements of paragraphs\n  2 to 4 of this article.\n\n2. The statement of claim shall include the following\nparticulars:\n     (a) The names and contact details of the parties;\n     (b) A statement of the facts supporting the claim;\n     (c) The points at issue;\n     (d) The relief or remedy sought;\n     (e) The legal grounds or arguments supporting the claim.\n\n3. A copy of any contract or other legal instrument out of or\nin relation to which the dispute arises and of the arbitration\nagreement shall be annexed to the statement of claim.\n\n4. The statement of claim should, as far as possible, be\naccompanied by all documents and other evidence relied upon\n by the claimant, or contain references to them.\n\n\nStatement of defence"},{"id":"arbitration-21","number":"21","section":"arbitration","label":"Article 21","pdfPage":24,"endPdfPage":25,"text":"Article 21\n\n1. The respondent shall communicate its statement of defence\nin writing to the claimant and to each of the arbitrators within\na period of time to be determined by the arbitral tribunal. The\nrespondent may elect to treat its response to the notice of\n arbitration referred to in article 4 as a statement of defence,\n  provided that the response to the notice of arbitration also com-\n   plies with the requirements of paragraph 2 of this article.\n\n2. The statement of defence shall reply to the particulars (b)\nto (e) of the statement of claim (art. 20, para. 2). The statement\nof defence should, as far as possible, be accompanied by all\ndocuments and other evidence relied upon by the respondent,\n or contain references to them.\n\n3. In its statement of defence, or at a later stage in the arbitral\nproceedings if the arbitral tribunal decides that the delay was\n justified under the circumstances, the respondent may make a\n  counterclaim or rely on a claim for the purpose of a set-off\n  provided that the arbitral tribunal has jurisdiction over it.\n\n4. The provisions of article 20, paragraphs 2 to 4, shall apply\nto a counterclaim, a claim under article 4, paragraph 2 (f), and\na claim relied on for the purpose of a set-off.\n\n\n\nAmendments to the claim or defence"},{"id":"arbitration-22","number":"22","section":"arbitration","label":"Article 22","pdfPage":25,"endPdfPage":25,"text":"Article 22\n\nDuring the course of the arbitral proceedings, a party may\namend or supplement its claim or defence, including a\ncounterclaim or a claim for the purpose of a set-off, unless the\n arbitral tribunal considers it inappropriate to allow such\n amendment or supplement having regard to the delay in making\n  it or prejudice to other parties or any other circumstances.\n  However, a claim or defence, including a counterclaim or a\n   claim for the purpose of a set-off, may not be amended or\n   supplemented in such a manner that the amended or\n    supplemented claim or defence falls outside the jurisdiction of\n     the arbitral tribunal.\n\n\n\nPleas as to the jurisdiction of the arbitral tribunal"},{"id":"arbitration-23","number":"23","section":"arbitration","label":"Article 23","pdfPage":25,"endPdfPage":26,"text":"Article 23\n\n1. The arbitral tribunal shall have the power to rule on its\nown jurisdiction, including any objections with respect to the\nexistence or validity of the arbitration agreement. For that\n purpose, an arbitration clause that forms part of a contract shall\n  be treated as an agreement independent of the other terms of\n  the contract. A decision by the arbitral tribunal that the contract\n  is null shall not entail automatically the invalidity of the\n  arbitration clause.\n\n2. A plea that the arbitral tribunal does not have jurisdiction\nshall be raised no later than in the statement of defence or,\nwith respect to a counterclaim or a claim for the purpose of a\nset-off, in the reply to the counterclaim or to the claim for the\npurpose of a set-off. A party is not precluded from raising such\na plea by the fact that it has appointed, or participated in the\nappointment of, an arbitrator. A plea that the arbitral tribunal\n is exceeding the scope of its authority shall be raised as soon\n as the matter alleged to be beyond the scope of its authority is\n raised during the arbitral proceedings. The arbitral tribunal\n may, in either case, admit a later plea if it considers the\n delay justified.\n\n3. The arbitral tribunal may rule on a plea referred to in\nparagraph 2 either as a preliminary question or in an award on\n the merits. The arbitral tribunal may continue the arbitral\n proceedings and make an award, notwithstanding any pending\n  challenge to its jurisdiction before a court.\n\n\nFurther written statements"},{"id":"arbitration-24","number":"24","section":"arbitration","label":"Article 24","pdfPage":26,"endPdfPage":26,"text":"Article 24\n\nThe arbitral tribunal shall decide which further written\nstatements, in addition to the statement of claim and the\n statement of defence, shall be required from the parties or may\n  be presented by them and shall fix the periods of time for com-\n  municating such statements.\n\n\nPeriods of time"},{"id":"arbitration-25","number":"25","section":"arbitration","label":"Article 25","pdfPage":26,"endPdfPage":26,"text":"Article 25\n\nThe periods of time fixed by the arbitral tribunal for the\ncommunication of written statements (including the statement\n of claim and statement of defence) should not exceed 45 days.\n However, the arbitral tribunal may extend the time limits if it\n concludes that an extension is justified.\n\n\nInterim measures"},{"id":"arbitration-26","number":"26","section":"arbitration","label":"Article 26","pdfPage":26,"endPdfPage":27,"text":"Article 26\n\n1. The arbitral tribunal may, at the request of a party, grant\ninterim measures.\n\n2. An interim measure is any temporary measure by which,\nat any time prior to the issuance of the award by which the\ndispute is finally decided, the arbitral tribunal orders a party,\nfor example and without limitation, to:\n      (a) Maintain or restore       the   status   quo   pending\ndetermination of the dispute;\n      (b) Take action that would prevent, or refrain from taking\naction that is likely to cause, (i) current or imminent harm or\n(ii) prejudice to the arbitral process itself;\n     (c) Provide a means of preserving assets out of which a\nsubsequent award may be satisfied; or\n     (d) Preserve evidence that may be relevant and material\nto the resolution of the dispute.\n\n3. The party requesting an interim measure under para-\ngraphs 2 (a) to (c) shall satisfy the arbitral tribunal that:\n      (a) Harm not adequately reparable by an award of\ndamages is likely to result if the measure is not ordered, and\n such harm substantially outweighs the harm that is likely to\n result to the party against whom the measure is directed if the\n measure is granted; and\n     (b) There is a reasonable possibility that the requesting\nparty will succeed on the merits of the claim. The determination\non this possibility shall not affect the discretion of the arbitral\ntribunal in making any subsequent determination.\n\n 4. With regard to a request for an interim measure under\n paragraph 2 (d), the requirements in paragraphs 3 (a) and (b)\nshall apply only to the extent the arbitral tribunal considers\nappropriate.\n\n5. The arbitral tribunal may modify, suspend or terminate an\ninterim measure it has granted, upon application of any party\nor, in exceptional circumstances and upon prior notice to the\nparties, on the arbitral tribunal’s own initiative.\n\n6. The arbitral tribunal may require the party requesting an\ninterim measure to provide appropriate security in connection\n with the measure.\n\n7. The arbitral tribunal may require any party promptly to\ndisclose any material change in the circumstances on the basis\n of which the interim measure was requested or granted.\n\n8. The party requesting an interim measure may be liable for\nany costs and damages caused by the measure to any party if\nthe arbitral tribunal later determines that, in the circumstances\nthen prevailing, the measure should not have been granted. The\narbitral tribunal may award such costs and damages at any point\nduring the proceedings.\n\n9. A request for interim measures addressed by any party to\na judicial authority shall not be deemed incompatible with the\nagreement to arbitrate, or as a waiver of that agreement.\n\n\nEvidence"},{"id":"arbitration-27","number":"27","section":"arbitration","label":"Article 27","pdfPage":27,"endPdfPage":28,"text":"Article 27\n\n1. Each party shall have the burden of proving the facts relied\non to support its claim or defence.\n\n2. Witnesses, including expert witnesses, who are presented\nby the parties to testify to the arbitral tribunal on any issue of\nfact or expertise may be any individual, notwithstanding that\nthe individual is a party to the arbitration or in any way related\nto a party. Unless otherwise directed by the arbitral tribunal,\nstatements by witnesses, including expert witnesses, may be\n presented in writing and signed by them.\n\n3. At any time during the arbitral proceedings the arbitral\ntribunal may require the parties to produce documents, exhibits\n or other evidence within such a period of time as the arbitral\n tribunal shall determine.\n\n4. The arbitral tribunal shall determine the admissibility,\nrelevance, materiality and weight of the evidence offered.\n\n\nHearings"},{"id":"arbitration-28","number":"28","section":"arbitration","label":"Article 28","pdfPage":28,"endPdfPage":28,"text":"Article 28\n\n1. In the event of an oral hearing, the arbitral tribunal shall\ngive the parties adequate advance notice of the date, time and\nplace thereof.\n\n2. Witnesses, including expert witnesses, may be heard under\nthe conditions and examined in the manner set by the arbitral\ntribunal.\n\n3. Hearings shall be held in camera unless the parties agree\notherwise. The arbitral tribunal may require the retirement of\n any witness or witnesses, including expert witnesses, during the\n testimony of such other witnesses, except that a witness,\n  including an expert witness, who is a party to the arbitration\n   shall not, in principle, be asked to retire.\n\n4. The arbitral tribunal may direct that witnesses, including\nexpert witnesses, be examined through means of telecom\nmunication that do not require their physical presence at the\nhearing (such as videoconference).\n\n\nExperts appointed by the arbitral tribunal"},{"id":"arbitration-29","number":"29","section":"arbitration","label":"Article 29","pdfPage":28,"endPdfPage":29,"text":"Article 29\n\n1. After consultation with the parties, the arbitral tribunal\nmay appoint one or more independent experts to report to it,\n\nin writing, on specific issues to be determined by the arbitral\ntribunal. A copy of the expert’s terms of reference, established\n by the arbitral tribunal, shall be communicated to the parties.\n\n2. The expert shall, in principle before accepting appoint-\nment, submit to the arbitral tribunal and to the parties a descrip-\ntion of his or her qualifications and a statement of his or her\nimpartiality and independence. Within the time ordered by the\n arbitral tribunal, the parties shall inform the arbitral tribunal\n whether they have any objections as to the expert’s qualifica-\n tions, impartiality or independence. The arbitral tribunal shall\n decide promptly whether to accept any such objections. After\n an expert’s appointment, a party may object to the expert’s\n qualifications, impartiality or independence only if the objection\n is for reasons of which the party becomes aware after the\n appointment has been made. The arbitral tribunal shall decide\n promptly what, if any, action to take.\n\n3. The parties shall give the expert any relevant information\nor produce for his or her inspection any relevant documents or\ngoods that he or she may require of them. Any dispute between\na party and such expert as to the relevance of the required\ninformation or production shall be referred to the arbitral\n tribunal for decision.\n\n4. Upon receipt of the expert’s report, the arbitral tribunal\nshall communicate a copy of the report to the parties, which\nshall be given the opportunity to express, in writing, their\nopinion on the report. A party shall be entitled to examine any\n document on which the expert has relied in his or her report.\n\n5. At the request of any party, the expert, after delivery of\nthe report, may be heard at a hearing where the parties shall\nhave the opportunity to be present and to interrogate the expert.\nAt this hearing, any party may present expert witnesses in order\nto testify on the points at issue. The provisions of article 28\nshall be applicable to such proceedings.\n\n\nDefault"},{"id":"arbitration-30","number":"30","section":"arbitration","label":"Article 30","pdfPage":29,"endPdfPage":30,"text":"Article 30\n\n1. If, within the period of time fixed by these Rules or the\narbitral tribunal, without showing sufficient cause:\n     (a) The claimant has failed to communicate its statement\nof claim, the arbitral tribunal shall issue an order for the ter-\nmination of the arbitral proceedings, unless there are remaining\n\nmatters that may need to be decided and the arbitral tribunal\nconsiders it appropriate to do so;\n      (b) The respondent has failed to communicate its response\nto the notice of arbitration or its statement of defence, the arbi-\ntral tribunal shall order that the proceedings continue, without\ntreating such failure in itself as an admission of the claimant’s\nallegations; the provisions of this subparagraph also apply to a\nclaimant’s failure to submit a defence to a counterclaim or to\na claim for the purpose of a set-off.\n\n2. If a party, duly notified under these Rules, fails to appear\nat a hearing, without showing sufficient cause for such failure,\nthe arbitral tribunal may proceed with the arbitration.\n\n3. If a party, duly invited by the arbitral tribunal to produce\ndocuments, exhibits or other evidence, fails to do so within the\n established period of time, without showing sufficient cause for\n such failure, the arbitral tribunal may make the award on the\n evidence before it.\n\n\n\nClosure of hearings"},{"id":"arbitration-31","number":"31","section":"arbitration","label":"Article 31","pdfPage":30,"endPdfPage":30,"text":"Article 31\n\n1. The arbitral tribunal may inquire of the parties if they have\nany further proof to offer or witnesses to be heard or sub\nmissions to make and, if there are none, it may declare the\nhearings closed.\n\n2. The arbitral tribunal may, if it considers it necessary owing\nto exceptional circumstances, decide, on its own initiative or\nupon application of a party, to reopen the hearings at any time\nbefore the award is made.\n\n\n\nWaiver of right to object"},{"id":"arbitration-32","number":"32","section":"arbitration","label":"Article 32","pdfPage":30,"endPdfPage":31,"text":"Article 32\n\nA failure by any party to object promptly to any non-compliance\nwith these Rules or with any requirement of the arbitration\nagreement shall be deemed to be a waiver of the right of\n such party to make such an objection, unless such party can\n show that, under the circumstances, its failure to object\n was justified.\n\nSection IV. The award\nDecisions"},{"id":"arbitration-33","number":"33","section":"arbitration","label":"Article 33","pdfPage":31,"endPdfPage":31,"text":"Article 33\n\n1. When there is more than one arbitrator, any award or other\ndecision of the arbitral tribunal shall be made by a majority of\nthe arbitrators.\n\n2. In the case of questions of procedure, when there is no\nmajority or when the arbitral tribunal so authorizes, the presid-\n ing arbitrator may decide alone, subject to revision, if any, by\n the arbitral tribunal.\n\n\nForm and effect of the award"},{"id":"arbitration-34","number":"34","section":"arbitration","label":"Article 34","pdfPage":31,"endPdfPage":32,"text":"Article 34\n\n1. The arbitral tribunal may make separate awards on differ-\nent issues at different times.\n\n2. All awards shall be made in writing and shall be final and\nbinding on the parties. The parties shall carry out all awards\nwithout delay.\n\n3. The arbitral tribunal shall state the reasons upon which the\naward is based, unless the parties have agreed that no reasons\nare to be given.\n\n4. An award shall be signed by the arbitrators and it shall\ncontain the date on which the award was made and indicate the\n place of arbitration. Where there is more than one arbitrator\n and any of them fails to sign, the award shall state the reason\n for the absence of the signature.\n\n5. An award may be made public with the consent of all\nparties or where and to the extent disclosure is required of a\nparty by legal duty, to protect or pursue a legal right or in\nrelation to legal proceedings before a court or other competent\nauthority.\n\n6. Copies of the award signed by the arbitrators shall be\ncommunicated to the parties by the arbitral tribunal.\n\nApplicable law, amiable compositeur"},{"id":"arbitration-35","number":"35","section":"arbitration","label":"Article 35","pdfPage":32,"endPdfPage":32,"text":"Article 35\n\n1. The arbitral tribunal shall apply the rules of law designated\nby the parties as applicable to the substance of the dispute.\nFailing such designation by the parties, the arbitral tribunal shall\n apply the law which it determines to be appropriate.\n\n2. The arbitral tribunal shall decide as amiable compositeur\nor ex aequo et bono only if the parties have expressly author-\nized the arbitral tribunal to do so.\n\n3. In all cases, the arbitral tribunal shall decide in accordance\nwith the terms of the contract, if any, and shall take into account\nany usage of trade applicable to the transaction.\n\n\n\n\nSettlement or other grounds for termination"},{"id":"arbitration-36","number":"36","section":"arbitration","label":"Article 36","pdfPage":32,"endPdfPage":33,"text":"Article 36\n\n1. If, before the award is made, the parties agree on a\nsettlement of the dispute, the arbitral tribunal shall either issue\n an order for the termination of the arbitral proceedings or, if\n requested by the parties and accepted by the arbitral tribunal,\n record the settlement in the form of an arbitral award on agreed\n terms. The arbitral tribunal is not obliged to give reasons for\n such an award.\n\n2. If, before the award is made, the continuation of the arbi-\ntral proceedings becomes unnecessary or impossible for any\nreason not mentioned in paragraph 1, the arbitral tribunal shall\ninform the parties of its intention to issue an order for the\ntermination of the proceedings. The arbitral tribunal shall have\n the power to issue such an order unless there are remaining\n matters that may need to be decided and the arbitral tribunal\n considers it appropriate to do so.\n\n3. Copies of the order for termination of the arbitral\nproceedings or of the arbitral award on agreed terms, signed\n by the arbitrators, shall be communicated by the arbitral\n tribunal to the parties. Where an arbitral award on agreed terms\n  is made, the provisions of article 34, paragraphs 2, 4 and 5,\n  shall apply.\n\nInterpretation of the award"},{"id":"arbitration-37","number":"37","section":"arbitration","label":"Article 37","pdfPage":33,"endPdfPage":33,"text":"Article 37\n\n1. Within 30 days after the receipt of the award, a party, with\nnotice to the other parties, may request that the arbitral tribunal\ngive an interpretation of the award.\n\n2. The interpretation shall be given in writing within 45 days\nafter the receipt of the request. The interpretation shall form\npart of the award and the provisions of article 34, paragraphs 2\nto 6, shall apply.\n\n\nCorrection of the award"},{"id":"arbitration-38","number":"38","section":"arbitration","label":"Article 38","pdfPage":33,"endPdfPage":33,"text":"Article 38\n\n1. Within 30 days after the receipt of the award, a party, with\nnotice to the other parties, may request the arbitral tribunal to\ncorrect in the award any error in computation, any clerical or\ntypographical error, or any error or omission of a similar nature.\n If the arbitral tribunal considers that the request is justified, it\n shall make the correction within 45 days of receipt of the\n request.\n\n2. The arbitral tribunal may within 30 days after the\ncommunication of the award make such corrections on its own\n initiative.\n\n3. Such corrections shall be in writing and shall form part\nof the award. The provisions of article 34, paragraphs 2 to 6,\nshall apply.\n\n\nAdditional award"},{"id":"arbitration-39","number":"39","section":"arbitration","label":"Article 39","pdfPage":33,"endPdfPage":34,"text":"Article 39\n\n1. Within 30 days after the receipt of the termination order\nor the award, a party, with notice to the other parties, may\nrequest the arbitral tribunal to make an award or an additional\naward as to claims presented in the arbitral proceedings but not\ndecided by the arbitral tribunal.\n\n2. If the arbitral tribunal considers the request for an award\nor additional award to be justified, it shall render or complete\nits award within 60 days after the receipt of the request. The\n\narbitral tribunal may extend, if necessary, the period of time\nwithin which it shall make the award.\n\n3. When such an award or additional award is made, the\nprovisions of article 34, paragraphs 2 to 6, shall apply.\n\n\nDefinition of costs"},{"id":"arbitration-40","number":"40","section":"arbitration","label":"Article 40","pdfPage":34,"endPdfPage":34,"text":"Article 40\n\n1. The arbitral tribunal shall fix the costs of arbitration in the\nfinal award and, if it deems appropriate, in another decision.\n\n2.   The term “costs” includes only:\n     (a) The fees of the arbitral tribunal to be stated separately\nas to each arbitrator and to be fixed by the tribunal itself in\naccordance with article 41;\n     (b) The reasonable travel and other expenses incurred by\nthe arbitrators;\n      (c) The reasonable costs of expert advice and of other\nassistance required by the arbitral tribunal;\n     (d) The reasonable travel and other expenses of witnesses\nto the extent such expenses are approved by the arbitral\ntribunal;\n       (e) The legal and other costs incurred by the parties in\nrelation to the arbitration to the extent that the arbitral tribunal\n determines that the amount of such costs is reasonable;\n     (f) Any fees and expenses of the appointing authority\nas well as the fees and expenses of the Secretary-General of\nthe PCA.\n\n3. In relation to interpretation, correction or completion of\nany award under articles 37 to 39, the arbitral tribunal may\ncharge the costs referred to in paragraphs 2 (b) to (f), but no\nadditional fees.\n\n\nFees and expenses of arbitrators"},{"id":"arbitration-41","number":"41","section":"arbitration","label":"Article 41","pdfPage":34,"endPdfPage":36,"text":"Article 41\n\n1. The fees and expenses of the arbitrators shall be reasonable\nin amount, taking into account the amount in dispute, the\ncomplexity of the subject matter, the time spent by the arbitra-\n tors and any other relevant circumstances of the case.\n\n2. If there is an appointing authority and it applies or has\nstated that it will apply a schedule or particular method for\ndetermining the fees for arbitrators in international cases, the\narbitral tribunal in fixing its fees shall take that schedule or\nmethod into account to the extent that it considers appropriate\nin the circumstances of the case.\n\n3. Promptly after its constitution, the arbitral tribunal shall\ninform the parties as to how it proposes to determine its fees\n and expenses, including any rates it intends to apply. Within 15\n days of receiving that proposal, any party may refer the proposal\n to the appointing authority for review. If, within 45 days of\n receipt of such a referral, the appointing authority finds that the\n proposal of the arbitral tribunal is inconsistent with paragraph\n 1, it shall make any necessary adjustments thereto, which shall\n be binding upon the arbitral tribunal.\n\n 4. (a) When informing the parties of the arbitrators’ fees\n and expenses that have been fixed pursuant to article 40,\n paragraphs 2 (a) and (b), the arbitral tribunal shall also explain\nthe manner in which the corresponding amounts have been\ncalculated;\n      (b) Within 15 days of receiving the arbitral tribunal’s\ndetermination of fees and expenses, any party may refer for\n review such determination to the appointing authority. If no\n appointing authority has been agreed upon or designated, or if\n the appointing authority fails to act within the time specified\n in these Rules, then the review shall be made by the Secretary-\n General of the PCA;\n        (c) If the appointing authority or the Secretary-General\nof the PCA finds that the arbitral tribunal’s determination is\ninconsistent with the arbitral tribunal’s proposal (and any\nadjustment thereto) under paragraph 3 or is otherwise mani-\n festly excessive, it shall, within 45 days of receiving such a\n referral, make any adjustments to the arbitral tribunal’s\n determination that are necessary to satisfy the criteria in para-\n  graph 1. Any such adjustments shall be binding upon the\n  arbitral tribunal;\n       (d) Any such adjustments shall either be included by the\narbitral tribunal in its award or, if the award has already been\n issued, be implemented in a correction to the award, to which\n the procedure of article 38, paragraph 3, shall apply.\n\n5. Throughout the procedure under paragraphs 3 and 4, the\narbitral tribunal shall proceed with the arbitration, in accordance\n with article 17, paragraph 1.\n\n6. A referral under paragraph 4 shall not affect any\ndetermination in the award other than the arbitral tribunal’s fees\n and expenses; nor shall it delay the recognition and enforcement\n of all parts of the award other than those relating to the deter-\n mination of the arbitral tribunal’s fees and expenses.\n\n\nAllocation of costs"},{"id":"arbitration-42","number":"42","section":"arbitration","label":"Article 42","pdfPage":36,"endPdfPage":36,"text":"Article 42\n\n1. The costs of the arbitration shall in principle be borne by\nthe unsuccessful party or parties. However, the arbitral tribunal\nmay apportion each of such costs between the parties if it\ndetermines that apportionment is reasonable, taking into account\n the circumstances of the case.\n\n2. The arbitral tribunal shall in the final award or, if it deems\nappropriate, in any other award, determine any amount that a\nparty may have to pay to another party as a result of the deci-\nsion on allocation of costs.\n\n\nDeposit of costs"},{"id":"arbitration-43","number":"43","section":"arbitration","label":"Article 43","pdfPage":36,"endPdfPage":37,"text":"Article 43\n\n1. The arbitral tribunal, on its establishment, may request the\nparties to deposit an equal amount as an advance for the costs\nreferred to in article 40, paragraphs 2 (a) to (c).\n\n2. During the course of the arbitral proceedings the arbitral\ntribunal may request supplementary deposits from the parties.\n\n3. If an appointing authority has been agreed upon or\ndesignated, and when a party so requests and the appointing\n authority consents to perform the function, the arbitral tribunal\n  shall fix the amounts of any deposits or supplementary\n  deposits only after consultation with the appointing authority,\n   which may make any comments to the arbitral tribunal that\n   it deems appropriate concerning the amount of such deposits\n   and supplementary deposits.\n\n4. If the required deposits are not paid in full within\n30 days after the receipt of the request, the arbitral tribunal\nshall so inform the parties in order that one or more of them\nmay make the required payment. If such payment is not\nmade, the arbitral tribunal may order the suspension or ter-\nmination of the arbitral proceedings.\n\n5. After a termination order or final award has been made,\nthe arbitral tribunal shall render an accounting to the parties\nof the deposits received and return any unexpended balance to\nthe parties."},{"id":"expedited-1","number":"1","section":"expedited","label":"Article 1","pdfPage":40,"endPdfPage":40,"text":"Article 1\n\nWhere parties have agreed that disputes between them in respect\nof a defined legal relationship, whether contractual or not, shall\nbe referred to arbitration under the UNCITRAL Expedited Arbi-\ntration Rules (“Expedited Rules”), then such disputes shall be\nsettled in accordance with the UNCITRAL Arbitration Rules\nas modified by these Expedited Rules and subject to such modi-\nfication as the parties may agree.***"},{"id":"expedited-2","number":"2","section":"expedited","label":"Article 2","pdfPage":40,"endPdfPage":40,"text":"Article 2\n\n1. At any time during the proceedings, the parties may agree\nthat the Expedited Rules shall no longer apply to the\narbitration.\n\n2. At the request of a party, the arbitral tribunal may, in\nexceptional circumstances and after inviting the parties to\nexpress their views, determine that the Expedited Rules shall\nno longer apply to the arbitration. The arbitral tribunal shall\nstate the reasons upon which that determination is based.\n\n3. When the Expedited Rules no longer apply to the arbitra-\ntion pursuant to paragraph 1 or 2, the arbitral tribunal shall\nremain in place and conduct the arbitration in accordance with\nthe UNCITRAL Arbitration Rules.\n\nConduct of the parties and the arbitral tribunal"},{"id":"expedited-3","number":"3","section":"expedited","label":"Article 3","pdfPage":40,"endPdfPage":41,"text":"Article 3\n\n1. The parties shall act expeditiously throughout the\nproceedings.\n\n2.     The arbitral tribunal shall conduct the proceedings\n\n\n\n      ***Unless otherwise agreed by the parties, the following articles in the\nUNCITRAL Arbitration Rules do not apply to expedited arbitration: article 3(4)(a)\nand (b); article 6(2); article 7; article 8(1); first sentence of article 20(1); first sen-\ntence of article 21(1); article 21(3); article 22; and second sentence of article 27(2).\n\nexpeditiously taking into account the fact that the parties agreed\nto refer their dispute to expedited arbitration and the time\nframes in the Expedited Rules.\n\n3. The arbitral tribunal may, after inviting the parties to\nexpress their views and taking into account the circumstances\nof the case, utilize any technological means as it considers\nappropriate to conduct the proceedings, including to communi-\ncate with the parties and to hold consultations and hearings\nremotely.\n\nNotice of arbitration and statement of claim"},{"id":"expedited-4","number":"4","section":"expedited","label":"Article 4","pdfPage":41,"endPdfPage":41,"text":"Article 4\n\n1.   A notice of arbitration shall also include:\n\n     (a) A proposal for the designation of an appointing\nauthority, unless the parties have previously agreed thereon; and\n     (b) A proposal for the appointment of an arbitrator.\n\n2. When communicating its notice of arbitration to the\nrespondent, the claimant shall also communicate its statement\nof claim.\n\n3. The claimant shall communicate the notice of arbitration\nand the statement of claim to the arbitral tribunal as soon as it\nis constituted.\n\nResponse to the notice of arbitration and statement of defence"},{"id":"expedited-5","number":"5","section":"expedited","label":"Article 5","pdfPage":41,"endPdfPage":42,"text":"Article 5\n\n1. Within 15 days of the receipt of the notice of arbitration,\nthe respondent shall communicate to the claimant a response\nto the notice of arbitration, which shall also include responses\nto the information set forth in the notice of arbitration pursuant\nto article 4(1)(a) and (b) of the Expedited Rules.\n\n2. The respondent shall communicate its statement of defence\nto the claimant and the arbitral tribunal within 15 days of the\nconstitution of the arbitral tribunal.\n\nDesignating and appointing authorities"},{"id":"expedited-6","number":"6","section":"expedited","label":"Article 6","pdfPage":42,"endPdfPage":42,"text":"Article 6\n\n1. If all parties have not agreed on the choice of an appointing\nauthority 15 days after a proposal for the designation of an\nappointing authority has been received by all other parties, any\nparty may request the Secretary-General of the Permanent Court\nof Arbitration (hereinafter called the “PCA”) to designate the\nappointing authority or to serve as appointing authority.\n\n2. When making the request under article 6(4) of the UNCI-\nTRAL Arbitration Rules, a party may request the Secretary-\nGeneral of the PCA to serve as appointing authority.\n\n3. If requested to serve as appointing authority in accordance\nwith paragraph 1 or 2, the Secretary-General of the PCA will\nserve as appointing authority unless it determines that in view\nof the circumstances of the case, it is more appropriate to des-\nignate an appointing authority.\n\nNumber of arbitrators"},{"id":"expedited-7","number":"7","section":"expedited","label":"Article 7","pdfPage":42,"endPdfPage":42,"text":"Article 7\n\nUnless otherwise agreed by the parties, there shall be one\narbitrator.\n\nAppointment of a sole arbitrator"},{"id":"expedited-8","number":"8","section":"expedited","label":"Article 8","pdfPage":42,"endPdfPage":42,"text":"Article 8\n\n1. A sole arbitrator shall be appointed jointly by the\nparties.\n\n2. If the parties have not reached agreement on the appoint-\nment of a sole arbitrator 15 days after a proposal has been\nreceived by all other parties, a sole arbitrator shall, at the request\nof a party, be appointed by the appointing authority in accord-\nance with article 8(2) of the UNCITRAL Arbitration Rules.\n\nConsultation with the parties"},{"id":"expedited-9","number":"9","section":"expedited","label":"Article 9","pdfPage":42,"endPdfPage":43,"text":"Article 9\n\nPromptly after and within 15 days of its constitution, the arbitral\ntribunal shall consult the parties, through a case management\nconference or otherwise, on the manner in which it will conduct\nthe arbitration.\n\nDiscretion of the arbitral tribunal with regard to periods of\ntime"},{"id":"expedited-10","number":"10","section":"expedited","label":"Article 10","pdfPage":43,"endPdfPage":43,"text":"Article 10\n\nSubject to article 16 of the Expedited Rules, the arbitral tribunal\nmay at any time, after inviting the parties to express their views,\nextend or abridge any period of time prescribed under the\nUNCITRAL Arbitration Rules and the Expedited Rules or\nagreed by the parties.\n\nHearings"},{"id":"expedited-11","number":"11","section":"expedited","label":"Article 11","pdfPage":43,"endPdfPage":43,"text":"Article 11\n\nThe arbitral tribunal may, after inviting the parties to express\ntheir views and in the absence of a request to hold hearings,\ndecide that hearings shall not be held.\n\nCounterclaims or claims for the purpose of set-off"},{"id":"expedited-12","number":"12","section":"expedited","label":"Article 12","pdfPage":43,"endPdfPage":43,"text":"Article 12\n\n1. A counterclaim or a claim for the purpose of a set-off shall\nbe made no later than in the statement of defence provided that\nthe arbitral tribunal has jurisdiction over it.\n\n2. The respondent may not make a counterclaim or rely on\na claim for the purpose of a set-off at a later stage in the arbitral\nproceedings, unless the arbitral tribunal considers it appropriate\nto allow such claim having regard to the delay in making it or\nprejudice to other parties or any other circumstances.\n\nAmendments and supplements to a claim or defence"},{"id":"expedited-13","number":"13","section":"expedited","label":"Article 13","pdfPage":43,"endPdfPage":44,"text":"Article 13\n\nDuring the course of the arbitral proceedings, a party may not\namend or supplement its claim or defence, including a coun-\nterclaim or a claim for the purpose of a set-off, unless the\narbitral tribunal considers it appropriate to allow such amend-\nment or supplement having regard to when it is requested or\nprejudice to other parties or any other circumstances. However,\na claim or defence, including a counterclaim or a claim for the\npurpose of a set-off, may not be amended or supplemented in\nsuch a manner that the amended or supplemented claim or\ndefence falls outside the jurisdiction of the arbitral tribunal.\n\nFurther written statements"},{"id":"expedited-14","number":"14","section":"expedited","label":"Article 14","pdfPage":44,"endPdfPage":44,"text":"Article 14\n\nThe arbitral tribunal may, after inviting the parties to express\ntheir views, decide whether any further written statement shall\nbe required from the parties or may be presented by them.\n\nEvidence"},{"id":"expedited-15","number":"15","section":"expedited","label":"Article 15","pdfPage":44,"endPdfPage":44,"text":"Article 15\n\n1. The arbitral tribunal may decide which documents, exhibits\nor other evidence the parties should produce. The arbitral tri-\nbunal may reject any request, unless made by all parties, to\nestablish a procedure whereby each party can request another\nparty to produce documents.\n\n2. Unless otherwise directed by the arbitral tribunal, state-\nments by witnesses, including expert witnesses, shall be pre-\nsented in writing and signed by them.\n\n3. The arbitral tribunal may decide which witnesses, includ-\ning expert witnesses, shall testify to the arbitral tribunal if hear-\nings are held.\n\nPeriod of time for making the award"},{"id":"expedited-16","number":"16","section":"expedited","label":"Article 16","pdfPage":44,"endPdfPage":45,"text":"Article 16\n\n1. The award shall be made within six months from the date\nof the constitution of the arbitral tribunal unless otherwise\nagreed by the parties.\n\n2. The arbitral tribunal may, in exceptional circumstances and\nafter inviting the parties to express their views, extend the\nperiod of time established in accordance with paragraph 1. The\nextended period of time shall not exceed a total of nine months\nfrom the date of the constitution of the arbitral tribunal.\n\n3. If the arbitral tribunal concludes that it is at risk of not\nrendering an award within nine months from the date of the\nconstitution of the arbitral tribunal, it shall propose a final\nextended time limit, state the reasons for the proposal, and\ninvite the parties to express their views within a fixed period\nof time. The extension shall be adopted only if all parties\nexpress their agreement to the proposal within the fixed period\nof time.\n\n4. If there is no agreement to the extension in paragraph 3,\nany party may make a request that the Expedited Rules no\nlonger apply to the arbitration. After inviting the parties to\nexpress their views, the arbitral tribunal may determine to\ncontinue to conduct the arbitration in accordance with the\nUNCITRAL Arbitration Rules"},{"id":"transparency-1","number":"1","section":"transparency","label":"Article 1","pdfPage":47,"endPdfPage":49,"text":"Article 1.       Scope of application\n\nApplicability of the Rules\n\n1. The UNCITRAL Rules on Transparency in Treaty-based\nInvestor-State Arbitration (“Rules on Transparency”) shall apply\nto investor-State arbitration initiated under the UNCITRAL\nArbitration Rules pursuant to a treaty providing for the pro\ntection of investments or investors (“treaty”)* concluded on or\nafter 1 April 2014 unless the Parties to the treaty** have agreed\notherwise.\n\n2. In investor-State arbitrations initiated under the UNCITRAL\nArbitration Rules pursuant to a treaty concluded before 1 April\n2014, these Rules shall apply only when:\n     (a) The parties to an arbitration (the “disputing parties”)\nagree to their application in respect of that arbitration; or\n      (b) The Parties to the treaty or, in the case of a multi\nlateral treaty, the State of the claimant and the respondent State,\nhave agreed after 1 April 2014 to their application.\n\n\n\n\nApplication of the Rules\n\n3. In any arbitration in which the Rules on Transparency\napply pursuant to a treaty or to an agreement by the Parties to\nthat treaty:\n     (a) The disputing parties may not derogate from these\nRules, by agreement or otherwise, unless permitted to do so by\nthe treaty;\n\n\n\n       *For the purposes of the Rules on Transparency, a “treaty” shall be under-\nstood broadly as encompassing any bilateral or multilateral treaty that contains\nprovisions on the protection of investments or investors and a right for investors\nto resort to arbitration against Parties to the treaty, including any treaty commonly\nreferred to as a free trade agreement, economic integration agreement, trade and\ninvestment framework or cooperation agreement, or bilateral investment treaty.\n       **For the purposes of the Rules on Transparency, any reference to a “Party\nto the treaty” or a “State” includes, for example, a regional economic integration\norganization where it is a Party to the treaty.\n\n(b) The arbitral tribunal shall have the power, besides its\ndiscretionary authority under certain provisions of these Rules,\nto adapt the requirements of any specific provision of these\nRules to the particular circumstances of the case, after consulta-\ntion with the disputing parties, if such adaptation is necessary\nto conduct the arbitration in a practical manner and is consistent\nwith the transparency objective of these Rules.\n\n\n\n\nDiscretion and authority of the arbitral tribunal\n\n4. Where the Rules on Transparency provide for the arbitral\ntribunal to exercise discretion, the arbitral tribunal in exercising\nsuch discretion shall take into account:\n     (a) The public interest in transparency in treaty-based\ninvestor-State arbitration and in the particular arbitral proceed-\nings; and\n     (b) The disputing parties’ interest in a fair and efficient\nresolution of their dispute.\n\n5. These Rules shall not affect any authority that the arbitral\ntribunal may otherwise have under the UNCITRAL Arbitration\nRules to conduct the arbitration in such a manner as to promote\ntransparency, for example by accepting submissions from third\npersons.\n\n6. In the presence of any conduct, measure or other action\nhaving the effect of wholly undermining the transparency objec-\ntives of these Rules, the arbitral tribunal shall ensure that those\nobjectives prevail.\n\n\n\n\nApplicable instrument in case of conflict\n\n7. Where the Rules on Transparency apply, they shall sup-\nplement any applicable arbitration rules. Where there is a con-\nflict between the Rules on Transparency and the applicable\narbitration rules, the Rules on Transparency shall prevail. Not-\nwithstanding any provision in these Rules, where there is a\nconflict between the Rules on Transparency and the treaty, the\nprovisions of the treaty shall prevail.\n\n8. Where any of these Rules is in conflict with a provision\nof the law applicable to the arbitration from which the disputing\nparties cannot derogate, that provision shall prevail.\n\nApplication in non-UNCITRAL arbitrations\n\n9. These Rules are available for use in investor-State arbi\ntrations initiated under rules other than the UNCITRAL\nArbitration Rules or in ad hoc proceedings."},{"id":"transparency-2","number":"2","section":"transparency","label":"Article 2","pdfPage":49,"endPdfPage":49,"text":"Article 2. Publication of information at the\ncommencement of arbitral proceedings\n\nOnce the notice of arbitration has been received by the respond-\nent, each of the disputing parties shall promptly communicate\na copy of the notice of arbitration to the repository referred to\nunder article 8. Upon receipt of the notice of arbitration from\nthe respondent, or upon receipt of the notice of arbitration and\na record of its transmission to the respondent, the repository\nshall promptly make available to the public information\nregarding the name of the disputing parties, the economic\n sector involved and the treaty under which the claim is\n  being made."},{"id":"transparency-3","number":"3","section":"transparency","label":"Article 3","pdfPage":49,"endPdfPage":50,"text":"Article 3.    Publication of documents\n\n1. Subject to article 7, the following documents shall be made\navailable to the public: the notice of arbitration, the response\nto the notice of arbitration, the statement of claim, the statement\nof defence and any further written statements or written sub\nmissions by any disputing party; a table listing all exhibits to\nthe aforesaid documents and to expert reports and witness\nstatements, if such table has been prepared for the proceedings,\n but not the exhibits themselves; any written submissions by the\n non-disputing Party (or Parties) to the treaty and by third\n persons, transcripts of hearings, where available; and orders,\n  decisions and awards of the arbitral tribunal.\n\n2. Subject to article 7, expert reports and witness statements,\nexclusive of the exhibits thereto, shall be made available to the\npublic, upon request by any person to the arbitral tribunal.\n\n3. Subject to article 7, the arbitral tribunal may decide, on\nits own initiative or upon request from any person, and after\nconsultation with the disputing parties, whether and how to\nmake available exhibits and any other documents provided to,\nor issued by, the arbitral tribunal not falling within paragraphs 1\nor 2 above. This may include, for example, making such\ndocuments available at a specified site.\n\n4. The documents to be made available to the public pursuant\nto paragraphs 1 and 2 shall be communicated by the arbitral\ntribunal to the repository referred to under article 8 as soon as\npossible, subject to any relevant arrangements or time limits for\nthe protection of confidential or protected information pre-\nscribed under article 7. The documents to be made available\npursuant to paragraph 3 may be communicated by the arbitral\ntribunal to the repository referred to under article 8 as they\nbecome available and, if applicable, in a redacted form in\naccordance with article 7. The repository shall make all docu-\nments available in a timely manner, in the form and in the\nlanguage in which it receives them.\n\n5. A person granted access to documents under paragraph 3\nshall bear any administrative costs of making those documents\navailable to that person, such as the costs of photocopying or\nshipping documents to that person, but not the costs of making\nthose documents available to the public through the\nrepository."},{"id":"transparency-4","number":"4","section":"transparency","label":"Article 4","pdfPage":50,"endPdfPage":51,"text":"Article 4.   Submission by a third person\n\n      1. After consultation with the disputing parties, the arbi-\ntral tribunal may allow a person that is not a disputing party,\nand not a non-disputing Party to the treaty (“third person(s)”),\nto file a written submission with the arbitral tribunal regarding\na matter within the scope of the dispute.\n\n     2. A third person wishing to make a submission shall\napply to the arbitral tribunal, and shall, in a concise written\nstatement, which is in a language of the arbitration and complies\nwith any page limits set by the arbitral tribunal:\n     (a) Describe the third person, including, where relevant,\nits membership and legal status (e.g., trade association or other\nnon-governmental organization), its general objectives, the\nnature of its activities and any parent organization (including\nany organization that directly or indirectly controls the third\nperson);\n     (b) Disclose any connection, direct or indirect, which the\nthird person has with any disputing party;\n     (c) Provide information on any government, person or\norganization that has provided to the third person (i) any finan-\ncial or other assistance in preparing the submission; or (ii)\nsubstantial assistance in either of the two years preceding the\napplication by the third person under this article (e.g. funding\naround 20 per cent of its overall operations annually);\n\n(d) Describe the nature of the interest that the third person\nhas in the arbitration; and\n      (e) Identify the specific issues of fact or law in the arbi-\ntration that the third person wishes to address in its written\nsubmission.\n\n3. In determining whether to allow such a submission, the\narbitral tribunal shall take into consideration, among other\nfactors it determines to be relevant:\n     (a) Whether the third person has a significant interest in\nthe arbitral proceedings; and\n      (b) The extent to which the submission would assist the\narbitral tribunal in the determination of a factual or legal issue\nrelated to the arbitral proceedings by bringing a perspective,\nparticular knowledge or insight that is different from that of the\ndisputing parties.\n\n4.   The submission filed by the third person shall:\n     (a) Be dated and signed by the person filing the submis-\nsion on behalf of the third person;\n     (b) Be concise, and in no case longer than as authorized\nby the arbitral tribunal;\n     (c) Set out a precise statement of the third person’s posi-\ntion on issues; and\n     (d) Address only matters within the scope of the dispute.\n\n5. The arbitral tribunal shall ensure that any submission does\nnot disrupt or unduly burden the arbitral proceedings, or unfairly\nprejudice any disputing party.\n\n6. The arbitral tribunal shall ensure that the disputing parties\nare given a reasonable opportunity to present their observations\non any submission by the third person."},{"id":"transparency-5","number":"5","section":"transparency","label":"Article 5","pdfPage":51,"endPdfPage":52,"text":"Article 5. Submission by a non-disputing Party\nto the treaty\n\n1. The arbitral tribunal shall, subject to paragraph 4, allow,\nor, after consultation with the disputing parties, may invite,\nsubmissions on issues of treaty interpretation from a non-\ndisputing Party to the treaty.\n\n2. The arbitral tribunal, after consultation with the disputing\nparties, may allow submissions on further matters within the\n\nscope of the dispute from a non-disputing Party to the treaty.\nIn determining whether to allow such submissions, the arbitral\ntribunal shall take into consideration, among other factors it\ndetermines to be relevant, the factors referred to in article 4,\nparagraph 3, and, for greater certainty, the need to avoid sub-\nmissions which would support the claim of the investor in a\nmanner tantamount to diplomatic protection.\n\n3. The arbitral tribunal shall not draw any inference from the\nabsence of any submission or response to any invitation pursuant\nto paragraphs 1 or 2.\n\n4. The arbitral tribunal shall ensure that any submission does\nnot disrupt or unduly burden the arbitral proceedings, or unfairly\nprejudice any disputing party.\n\n5. The arbitral tribunal shall ensure that the disputing parties\nare given a reasonable opportunity to present their observations\non any submission by a non-disputing Party to the treaty."},{"id":"transparency-6","number":"6","section":"transparency","label":"Article 6","pdfPage":52,"endPdfPage":52,"text":"Article 6.    Hearings\n\n1. Subject to article 6, paragraphs 2 and 3, hearings for the\npresentation of evidence or for oral argument (“hearings”) shall\nbe public.\n\n2. Where there is a need to protect confidential information\nor the integrity of the arbitral process pursuant to article 7, the\narbitral tribunal shall make arrangements to hold in private that\npart of the hearing requiring such protection.\n\n3. The arbitral tribunal shall make logistical arrangements to\nfacilitate the public access to hearings (including where appro-\npriate by organizing attendance through video links or such\nother means as it deems appropriate). However, the arbitral\ntribunal may, after consultation with the disputing parties,\ndecide to hold all or part of the hearings in private where this\nbecomes necessary for logistical reasons, such as when the cir-\ncumstances render any original arrangement for public access\nto a hearing infeasible."},{"id":"transparency-7","number":"7","section":"transparency","label":"Article 7","pdfPage":52,"endPdfPage":54,"text":"Article 7.    Exceptions to transparency\n\nConfidential or protected information\n\n1. Confidential or protected information, as defined in para-\ngraph 2 and as identified pursuant to the arrangements referred\n\nto in paragraphs 3 and 4, shall not be made available to the\npublic pursuant to articles 2 to 6.\n\n2.   Confidential or protected information consists of:\n     (a) Confidential business information;\n     (b) Information that is protected against being made\navailable to the public under the treaty;\n     (c) Information that is protected against being made\navailable to the public, in the case of the information of the\nrespondent State, under the law of the respondent State, and in\nthe case of other information, under any law or rules determined\nby the arbitral tribunal to be applicable to the disclosure of such\ninformation; or\n    (d) Information the disclosure of which would impede\nlaw enforcement.\n\n3. The arbitral tribunal, after consultation with the disputing\nparties, shall make arrangements to prevent any confidential or\nprotected information from being made available to the public,\nincluding by putting in place, as appropriate:\n     (a) Time limits in which a disputing party, non-disputing\nParty to the treaty or third person shall give notice that it seeks\nprotection for such information in documents;\n     (b) Procedures for the prompt designation and redaction\nof the particular confidential or protected information in such\ndocuments; and\n     (c) Procedures for holding hearings in private to the\nextent required by article 6, paragraph 2.\n\nAny determination as to whether information is confidential or\nprotected shall be made by the arbitral tribunal after consulta-\ntion with the disputing parties.\n\n4. Where the arbitral tribunal determines that information\nshould not be redacted from a document, or that a document\nshould not be prevented from being made available to the\npublic, any disputing party, non-disputing Party to the treaty or\n third person that voluntarily introduced the document into the\n record shall be permitted to withdraw all or part of the docu-\n ment from the record of the arbitral proceedings.\n\n5. Nothing in these Rules requires a respondent State to make\navailable to the public information the disclosure of which it\nconsiders to be contrary to its essential security interests.\n\nIntegrity of the arbitral process\n\n6. Information shall not be made available to the public pur-\nsuant to articles 2 to 6 where the information, if made available\nto the public, would jeopardize the integrity of the arbitral\nprocess as determined pursuant to paragraph 7.\n\n7. The arbitral tribunal may, on its own initiative or upon the\napplication of a disputing party, after consultation with the\ndisputing parties where practicable, take appropriate measures\n to restrain or delay the publication of information where such\n publication would jeopardize the integrity of the arbitral process\n because it could hamper the collection or production of evi-\n dence, lead to the intimidation of witnesses, lawyers acting for\n disputing parties or members of the arbitral tribunal, or in\n comparably exceptional circumstances."},{"id":"transparency-8","number":"8","section":"transparency","label":"Article 8","pdfPage":54,"endPdfPage":54,"text":"Article 8.    Repository of published information\n\nThe repository of published information under the Rules on\nTransparency shall be the Secretary-General of the United\nNations or an institution named by UNCITRAL."}],"context":"These are external primary legal texts, publicly readable without enrolment. Holding or reading a text does not adopt it, make it law of this Court, or establish that it applies to a dealing. Check the parties' agreement, applicable law and the instrument's scope."}