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Resolution adopted by the General Assembly on ** December 2021 (A/RES/76/108)

1 Resolution adopted by the General Assembly on 9 December 2021 76/108. Expedited Arbitration Rules of the United Nations Commission on International Trade Law The General Assembly, Recalling its resolution 2205 (XXI) of 17 December 1966, by which it established the United Nations Commission on International Trade Law with a mandate to further the progres sive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, in particular those of developing countries, in the extensive development of international trade, Recalling also its resolution 31/98 of 15 December 1976 recommending the use of the Arbitration Rules of the United Nations Commission on International Trade Law1 and its resolu tion 65/22 of 6 December 2010 recommending the use of the Arbitration Rules as revised in 2010,2 Mindful of the value of arbitration as a method of settling disputes that may arise in the context of international com mercial relations, Noting the value of expedited arbitration as a streamlined and simplified procedure for settling disputes that arise in the context of international commercial relations within a shortened time frame, and its increased use in international and domestic commercial practice for parties to reach a final resolution of the dispute in a cost- and time-effective manner, 1 Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), chap. V, sect. C. 2 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I.

UNCITRAL Arbitration Rules

3 UNCITRAL Arbitration Rules (with article 1, paragraph 4, as adopted in 2013 and article 1, paragraph 5, as adopted in 2021) Section I. Introductory rules Scope of application* Article 1 1. Where parties have agreed that disputes between them in respect of a defined legal relationship, whether contractual or not, shall be referred to arbitration under the UNCITRAL Arbitration Rules, then such disputes shall be settled in accord ance with these Rules subject to such modification as the parties may agree. 2. The parties to an arbitration agreement concluded after 15 August 2010 shall be presumed to have referred to the Rules in effect on the date of commencement of the arbitration, unless the parties have agreed to apply a particular version of the Rules. That presumption does not apply where the arbitration agreement has been concluded by accepting after 15 August 2010 an offer made before that date. 3. These Rules shall govern the arbitration except that where any of these Rules is in conflict with a provision of the law applicable to the arbitration from which the parties cannot derogate, that provision shall prevail. 4. For investor-State arbitration initiated pursuant to a treaty providing for the protection of investments or investors, these Rules include the UNCITRAL Rules on Transparency in Treaty- based Investor-State Arbitration (“Rules on Transparency”), subject to article 1 of the Rules on Transparency. 5. The Expedited Arbitration Rules in the appendix shall apply to the arbitration where the parties so agree. * A model arbitration clause for contracts can be found in the annex to the Rules.

Section I. Introductory rules

Scope of application*

Notice and calculation of periods of time

4 Notice and calculation of periods of time Article 2 1. A notice, including a notification, communication or proposal, may be transmitted by any means of communication that provides or allows for a record of its transmission. 2. If an address has been designated by a party specifically for this purpose or authorized by the arbitral tribunal, any notice shall be delivered to that party at that address, and if so deliv ered shall be deemed to have been received. Delivery by elec tronic means such as facsimile or e-mail may only be made to an address so designated or authorized. 3. In the absence of such designation or authorization, a notice is: (a) Received if it is physically delivered to the addressee; or (b) Deemed to have been received if it is delivered at the place of business, habitual residence or mailing address of the addressee. 4. If, after reasonable efforts, delivery cannot be effected in accordance with paragraphs 2 or 3, a notice is deemed to have been received if it is sent to the addressee’s last-known place of business, habitual residence or mailing address by registered letter or any other means that provides a record of delivery or of attempted delivery. 5. A notice shall be deemed to have been received on the day it is delivered in accordance with paragraphs 2, 3 or 4, or attempted to be delivered in accordance with paragraph 4. A notice transmitted by electronic means is deemed to have been received on the day it is sent, except that a notice of arbitration so transmitted is only deemed to have been received on the day when it reaches the addressee’s electronic address. 6. For the purpose of calculating a period of time under these Rules, such period shall begin to run on the day following the day when a notice is received. If the last day of such period is an official holiday or a non-business day at the residence or place of business of the addressee, the period is extended until the first business day which follows. Official holidays or non- business days occurring during the running of the period of time are included in calculating the period.

Notice of arbitration

5 Notice of arbitration Article 3 1. The party or parties initiating recourse to arbitration (hereinafter called the “claimant”) shall communicate to the other party or parties (hereinafter called the “respondent”) a notice of arbitration. 2. Arbitral proceedings shall be deemed to commence on the date on which the notice of arbitration is received by the respondent. 3. The notice of arbitration shall include the following: (a) A demand that the dispute be referred to arbitration; (b) The names and contact details of the parties; (c) Identification of the arbitration agreement that is invoked; (d) Identification of any contract or other legal instru ment out of or in relation to which the dispute arises or, in the absence of such contract or instrument, a brief description of the relevant relationship; (e) A brief description of the claim and an indication of the amount involved, if any; (f) The relief or remedy sought; (g) A proposal as to the number of arbitrators, language and place of arbitration, if the parties have not previously agreed thereon. 4. The notice of arbitration may also include: (a) A proposal for the designation of an appointing authority referred to in article 6, paragraph 1; (b) A proposal for the appointment of a sole arbitrator referred to in article 8, paragraph 1; (c) Notification of the appointment of an arbitrator referred to in article 9 or 10. 5. The constitution of the arbitral tribunal shall not be hindered by any controversy with respect to the sufficiency of the notice of arbitration, which shall be finally resolved by the arbitral tribunal.

Response to the notice of arbitration

6 Response to the notice of arbitration Article 4 1. Within 30 days of the receipt of the notice of arbitration, the respondent shall communicate to the claimant a response to the notice of arbitration, which shall include: (a) The name and contact details of each respondent; (b) A response to the information set forth in the notice of arbitration, pursuant to article 3, paragraphs 3 (c) to (g). 2. The response to the notice of arbitration may also include: (a) Any plea that an arbitral tribunal to be constituted under these Rules lacks jurisdiction; (b) A proposal for the designation of an appointing authority referred to in article 6, paragraph 1; (c) A proposal for the appointment of a sole arbitrator referred to in article 8, paragraph 1; (d) Notification of the appointment of an arbitrator referred to in article 9 or 10; (e) A brief description of counterclaims or claims for the purpose of a set-off, if any, including where relevant, an indica tion of the amounts involved, and the relief or remedy sought; (f) A notice of arbitration in accordance with article 3 in case the respondent formulates a claim against a party to the arbitration agreement other than the claimant. 3. The constitution of the arbitral tribunal shall not be hindered by any controversy with respect to the respondent’s failure to communicate a response to the notice of arbitration, or an incomplete or late response to the notice of arbitration, which shall be finally resolved by the arbitral tribunal. Representation and assistance Article 5 Each party may be represented or assisted by persons chosen by it. The names and addresses of such persons must be communicated to all parties and to the arbitral tribunal. Such communication must specify whether the appointment is being made for purposes of representation or assistance. Where a person is to act as a representative of a party, the arbitral tri bunal, on its own initiative or at the request of any party, may

Representation and assistance

Designating and appointing authorities

7 at any time require proof of authority granted to the representative in such a form as the arbitral tribunal may determine. Designating and appointing authorities Article 6 1. Unless the parties have already agreed on the choice of an appointing authority, a party may at any time propose the name or names of one or more institutions or persons, including the Secretary-General of the Permanent Court of Arbitration at The Hague (hereinafter called the “PCA”), one of whom would serve as appointing authority. 2. If all parties have not agreed on the choice of an appointing authority within 30 days after a proposal made in accordance with paragraph 1 has been received by all other parties, any party may request the Secretary-General of the PCA to desig nate the appointing authority. 3. Where these Rules provide for a period of time within which a party must refer a matter to an appointing authority and no appointing authority has been agreed on or designated, the period is suspended from the date on which a party initiates the procedure for agreeing on or designating an appointing authority until the date of such agreement or designation. 4. Except as referred to in article 41, paragraph 4, if the appointing authority refuses to act, or if it fails to appoint an arbitrator within 30 days after it receives a party’s request to do so, fails to act within any other period provided by these Rules, or fails to decide on a challenge to an arbitrator within a reasonable time after receiving a party’s request to do so, any party may request the Secretary-General of the PCA to desig nate a substitute appointing authority. 5. In exercising their functions under these Rules, the appointing authority and the Secretary-General of the PCA may require from any party and the arbitrators the information they deem necessary and they shall give the parties and, where appropriate, the arbitrators, an opportunity to present their views in any manner they consider appropriate. All such communications to and from the appointing authority and the Secretary-General of the PCA shall also be provided by the sender to all other parties.

Section II. Composition of the arbitral tribunal

9 Section II. Composition of the arbitral tribunal Number of arbitrators Article 7 1. If the parties have not previously agreed on the number of arbitrators, and if within 30 days after the receipt by the respondent of the notice of arbitration the parties have not agreed that there shall be only one arbitrator, three arbitrators shall be appointed. 2. Notwithstanding paragraph 1, if no other parties have responded to a party’s proposal to appoint a sole arbitrator within the time limit provided for in paragraph 1 and the party or parties concerned have failed to appoint a second arbitrator in accordance with article 9 or 10, the appointing authority may, at the request of a party, appoint a sole arbitrator pursuant to the procedure provided for in article 8, paragraph 2, if it determines that, in view of the circumstances of the case, this is more appropriate. Appointment of arbitrators (articles 8 to 10) Article 8 1. If the parties have agreed that a sole arbitrator is to be appointed and if within 30 days after receipt by all other parties of a proposal for the appointment of a sole arbitrator the parties have not reached agreement thereon, a sole arbitrator shall, at the request of a party, be appointed by the appointing authority. 2. The appointing authority shall appoint the sole arbitrator as promptly as possible. In making the appointment, the appointing authority shall use the following list-procedure, unless the parties agree that the list-procedure should not be used or unless the appointing authority determines in its discretion that the use of the list-procedure is not appropriate for the case: (a) The appointing authority shall communicate to each of the parties an identical list containing at least three names;

Number of arbitrators

Appointment of arbitrators (articles 8 to 10)

Disclosures by and challenge of arbitrators** (articles 11 to 13)

11 **Model statements of independence pursuant to article 11 can be found in the annex to the Rules. 3. In the event of any failure to constitute the arbitral tribunal under these Rules, the appointing authority shall, at the request of any party, constitute the arbitral tribunal and, in doing so, may revoke any appointment already made and appoint or reappoint each of the arbitrators and designate one of them as the presiding arbitrator. Disclosures by and challenge of arbitrators** (articles 11 to 13) Article 11 When a person is approached in connection with his or her possible appointment as an arbitrator, he or she shall disclose any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence. An arbitrator, from the time of his or her appointment and throughout the arbitral pro ceedings, shall without delay disclose any such circumstances to the parties and the other arbitrators unless they have already been informed by him or her of these circumstances. Article 12 1. Any arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrator’s impartiality or independence. 2. A party may challenge the arbitrator appointed by it only for reasons of which it becomes aware after the appointment has been made. 3. In the event that an arbitrator fails to act or in the event of the de jure or de facto impossibility of his or her performing his or her functions, the procedure in respect of the challenge of an arbitrator as provided in article 13 shall apply. Article 13 1. A party that intends to challenge an arbitrator shall send notice of its challenge within 15 days after it has been notified

Replacement of an arbitrator

12 of the appointment of the challenged arbitrator, or within 15 days after the circumstances mentioned in articles 11 and 12 became known to that party. 2. The notice of challenge shall be communicated to all other parties, to the arbitrator who is challenged and to the other arbitrators. The notice of challenge shall state the reasons for the challenge. 3. When an arbitrator has been challenged by a party, all parties may agree to the challenge. The arbitrator may also, after the challenge, withdraw from his or her office. In neither case does this imply acceptance of the validity of the grounds for the challenge. 4. If, within 15 days from the date of the notice of challenge, all parties do not agree to the challenge or the challenged arbitrator does not withdraw, the party making the challenge may elect to pursue it. In that case, within 30 days from the date of the notice of challenge, it shall seek a decision on the challenge by the appointing authority. Replacement of an arbitrator Article 14 1. Subject to paragraph 2, in any event where an arbitrator has to be replaced during the course of the arbitral proceedings, a substitute arbitrator shall be appointed or chosen pursuant to the procedure provided for in articles 8 to 11 that was appli cable to the appointment or choice of the arbitrator being replaced. This procedure shall apply even if during the process of appointing the arbitrator to be replaced, a party had failed to exercise its right to appoint or to participate in the appointment. 2. If, at the request of a party, the appointing authority determines that, in view of the exceptional circumstances of the case, it would be justified for a party to be deprived of its right to appoint a substitute arbitrator, the appointing authority may, after giving an opportunity to the parties and the remaining arbitrators to express their views: (a) appoint the substitute arbi trator; or (b) after the closure of the hearings, authorize the other arbitrators to proceed with the arbitration and make any decision or award.

Repetition of hearings in the event of the replacement of an arbitrator

13 Repetition of hearings in the event of the replacement of an arbitrator Article 15 If an arbitrator is replaced, the proceedings shall resume at the stage where the arbitrator who was replaced ceased to perform his or her functions, unless the arbitral tribunal decides otherwise. Exclusion of liability Article 16 Save for intentional wrongdoing, the parties waive, to the fullest extent permitted under the applicable law, any claim against the arbitrators, the appointing authority and any person appointed by the arbitral tribunal based on any act or omission in con nection with the arbitration.

Exclusion of liability

Section III. Arbitral proceedings

14 Section III. Arbitral proceedings General provisions Article 17 1. Subject to these Rules, the arbitral tribunal may conduct the arbitration in such manner as it considers appropriate, provided that the parties are treated with equality and that at an appropriate stage of the proceedings each party is given a reasonable opportunity of presenting its case. The arbitral tribunal, in exercising its discretion, shall conduct the pro ceedings so as to avoid unnecessary delay and expense and to provide a fair and efficient process for resolving the parties’ dispute. 2. As soon as practicable after its constitution and after inviting the parties to express their views, the arbitral tribunal shall establish the provisional timetable of the arbitration. The arbitral tribunal may, at any time, after inviting the parties to express their views, extend or abridge any period of time prescribed under these Rules or agreed by the parties. 3. If at an appropriate stage of the proceedings any party so requests, the arbitral tribunal shall hold hearings for the presentation of evidence by witnesses, including expert witnesses, or for oral argument. In the absence of such a request, the arbitral tribunal shall decide whether to hold such hearings or whether the proceedings shall be conducted on the basis of documents and other materials. 4. All communications to the arbitral tribunal by one party shall be communicated by that party to all other parties. Such communications shall be made at the same time, except as otherwise permitted by the arbitral tribunal if it may do so under applicable law. 5. The arbitral tribunal may, at the request of any party, allow one or more third persons to be joined in the arbitration as a party provided such person is a party to the arbitration agreement, unless the arbitral tribunal finds, after giving all parties, including the person or persons to be joined, the opportunity to be heard, that joinder should not be permitted

General provisions

Place of arbitration

15 because of prejudice to any of those parties. The arbitral tribunal may make a single award or several awards in respect of all parties so involved in the arbitration. Place of arbitration Article 18 1. If the parties have not previously agreed on the place of arbitration, the place of arbitration shall be determined by the arbitral tribunal having regard to the circumstances of the case. The award shall be deemed to have been made at the place of arbitration. 2. The arbitral tribunal may meet at any location it considers appropriate for deliberations. Unless otherwise agreed by the parties, the arbitral tribunal may also meet at any location it considers appropriate for any other purpose, including hearings. Language Article 19 1. Subject to an agreement by the parties, the arbitral tribunal shall, promptly after its appointment, determine the language or languages to be used in the proceedings. This determination shall apply to the statement of claim, the statement of defence, and any further written statements and, if oral hearings take place, to the language or languages to be used in such hearings. 2. The arbitral tribunal may order that any documents annexed to the statement of claim or statement of defence, and any supplementary documents or exhibits submitted in the course of the proceedings, delivered in their original language, shall be accompanied by a translation into the language or languages agreed upon by the parties or determined by the arbitral tribunal. Statement of claim Article 20 1. The claimant shall communicate its statement of claim in writing to the respondent and to each of the arbitrators within

Language

Statement of claim

Statement of defence

16 a period of time to be determined by the arbitral tribunal. The claimant may elect to treat its notice of arbitration referred to in article 3 as a statement of claim, provided that the notice of arbitration also complies with the requirements of paragraphs 2 to 4 of this article. 2. The statement of claim shall include the following particulars: (a) The names and contact details of the parties; (b) A statement of the facts supporting the claim; (c) The points at issue; (d) The relief or remedy sought; (e) The legal grounds or arguments supporting the claim. 3. A copy of any contract or other legal instrument out of or in relation to which the dispute arises and of the arbitration agreement shall be annexed to the statement of claim. 4. The statement of claim should, as far as possible, be accompanied by all documents and other evidence relied upon by the claimant, or contain references to them. Statement of defence Article 21 1. The respondent shall communicate its statement of defence in writing to the claimant and to each of the arbitrators within a period of time to be determined by the arbitral tribunal. The respondent may elect to treat its response to the notice of arbitration referred to in article 4 as a statement of defence, provided that the response to the notice of arbitration also com plies with the requirements of paragraph 2 of this article. 2. The statement of defence shall reply to the particulars (b) to (e) of the statement of claim (art. 20, para. 2). The statement of defence should, as far as possible, be accompanied by all documents and other evidence relied upon by the respondent, or contain references to them. 3. In its statement of defence, or at a later stage in the arbitral proceedings if the arbitral tribunal decides that the delay was justified under the circumstances, the respondent may make a counterclaim or rely on a claim for the purpose of a set-off provided that the arbitral tribunal has jurisdiction over it.

Amendments to the claim or defence

17 4. The provisions of article 20, paragraphs 2 to 4, shall apply to a counterclaim, a claim under article 4, paragraph 2 (f), and a claim relied on for the purpose of a set-off. Amendments to the claim or defence Article 22 During the course of the arbitral proceedings, a party may amend or supplement its claim or defence, including a counterclaim or a claim for the purpose of a set-off, unless the arbitral tribunal considers it inappropriate to allow such amendment or supplement having regard to the delay in making it or prejudice to other parties or any other circumstances. However, a claim or defence, including a counterclaim or a claim for the purpose of a set-off, may not be amended or supplemented in such a manner that the amended or supplemented claim or defence falls outside the jurisdiction of the arbitral tribunal. Pleas as to the jurisdiction of the arbitral tribunal Article 23 1. The arbitral tribunal shall have the power to rule on its own jurisdiction, including any objections with respect to the existence or validity of the arbitration agreement. For that purpose, an arbitration clause that forms part of a contract shall be treated as an agreement independent of the other terms of the contract. A decision by the arbitral tribunal that the contract is null shall not entail automatically the invalidity of the arbitration clause. 2. A plea that the arbitral tribunal does not have jurisdiction shall be raised no later than in the statement of defence or, with respect to a counterclaim or a claim for the purpose of a set-off, in the reply to the counterclaim or to the claim for the purpose of a set-off. A party is not precluded from raising such a plea by the fact that it has appointed, or participated in the appointment of, an arbitrator. A plea that the arbitral tribunal is exceeding the scope of its authority shall be raised as soon as the matter alleged to be beyond the scope of its authority is raised during the arbitral proceedings. The arbitral tribunal may, in either case, admit a later plea if it considers the delay justified.

Pleas as to the jurisdiction of the arbitral tribunal

Further written statements

18 3. The arbitral tribunal may rule on a plea referred to in paragraph 2 either as a preliminary question or in an award on the merits. The arbitral tribunal may continue the arbitral proceedings and make an award, notwithstanding any pending challenge to its jurisdiction before a court. Further written statements Article 24 The arbitral tribunal shall decide which further written statements, in addition to the statement of claim and the statement of defence, shall be required from the parties or may be presented by them and shall fix the periods of time for com municating such statements. Periods of time Article 25 The periods of time fixed by the arbitral tribunal for the communication of written statements (including the statement of claim and statement of defence) should not exceed 45 days. However, the arbitral tribunal may extend the time limits if it concludes that an extension is justified. Interim measures Article 26 1. The arbitral tribunal may, at the request of a party, grant interim measures. 2. An interim measure is any temporary measure by which, at any time prior to the issuance of the award by which the dispute is finally decided, the arbitral tribunal orders a party, for example and without limitation, to: (a) Maintain or restore the status quo pending determination of the dispute; (b) Take action that would prevent, or refrain from taking action that is likely to cause, (i) current or imminent harm or (ii) prejudice to the arbitral process itself; (c) Provide a means of preserving assets out of which a subsequent award may be satisfied; or (d) Preserve evidence that may be relevant and material to the resolution of the dispute.

Periods of time

Interim measures

Evidence

19 3. The party requesting an interim measure under para graphs 2 (a) to (c) shall satisfy the arbitral tribunal that: (a) Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered, and such harm substantially outweighs the harm that is likely to result to the party against whom the measure is directed if the measure is granted; and (b) There is a reasonable possibility that the requesting party will succeed on the merits of the claim. The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination. 4. With regard to a request for an interim measure under paragraph 2 (d), the requirements in paragraphs 3 (a) and (b) shall apply only to the extent the arbitral tribunal considers appropriate. 5. The arbitral tribunal may modify, suspend or terminate an interim measure it has granted, upon application of any party or, in exceptional circumstances and upon prior notice to the parties, on the arbitral tribunal’s own initiative. 6. The arbitral tribunal may require the party requesting an interim measure to provide appropriate security in connection with the measure. 7. The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the interim measure was requested or granted. 8. The party requesting an interim measure may be liable for any costs and damages caused by the measure to any party if the arbitral tribunal later determines that, in the circumstances then prevailing, the measure should not have been granted. The arbitral tribunal may award such costs and damages at any point during the proceedings. 9. A request for interim measures addressed by any party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement. Evidence Article 27 1. Each party shall have the burden of proving the facts relied on to support its claim or defence.

Hearings

20 2. Witnesses, including expert witnesses, who are presented by the parties to testify to the arbitral tribunal on any issue of fact or expertise may be any individual, notwithstanding that the individual is a party to the arbitration or in any way related to a party. Unless otherwise directed by the arbitral tribunal, statements by witnesses, including expert witnesses, may be presented in writing and signed by them. 3. At any time during the arbitral proceedings the arbitral tribunal may require the parties to produce documents, exhibits or other evidence within such a period of time as the arbitral tribunal shall determine. 4. The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of the evidence offered. Hearings Article 28 1. In the event of an oral hearing, the arbitral tribunal shall give the parties adequate advance notice of the date, time and place thereof. 2. Witnesses, including expert witnesses, may be heard under the conditions and examined in the manner set by the arbitral tribunal. 3. Hearings shall be held in camera unless the parties agree otherwise. The arbitral tribunal may require the retirement of any witness or witnesses, including expert witnesses, during the testimony of such other witnesses, except that a witness, including an expert witness, who is a party to the arbitration shall not, in principle, be asked to retire. 4. The arbitral tribunal may direct that witnesses, including expert witnesses, be examined through means of telecom munication that do not require their physical presence at the hearing (such as videoconference). Experts appointed by the arbitral tribunal Article 29 1. After consultation with the parties, the arbitral tribunal may appoint one or more independent experts to report to it,

Experts appointed by the arbitral tribunal

Default

21 in writing, on specific issues to be determined by the arbitral tribunal. A copy of the expert’s terms of reference, established by the arbitral tribunal, shall be communicated to the parties. 2. The expert shall, in principle before accepting appoint ment, submit to the arbitral tribunal and to the parties a descrip tion of his or her qualifications and a statement of his or her impartiality and independence. Within the time ordered by the arbitral tribunal, the parties shall inform the arbitral tribunal whether they have any objections as to the expert’s qualifica tions, impartiality or independence. The arbitral tribunal shall decide promptly whether to accept any such objections. After an expert’s appointment, a party may object to the expert’s qualifications, impartiality or independence only if the objection is for reasons of which the party becomes aware after the appointment has been made. The arbitral tribunal shall decide promptly what, if any, action to take. 3. The parties shall give the expert any relevant information or produce for his or her inspection any relevant documents or goods that he or she may require of them. Any dispute between a party and such expert as to the relevance of the required information or production shall be referred to the arbitral tribunal for decision. 4. Upon receipt of the expert’s report, the arbitral tribunal shall communicate a copy of the report to the parties, which shall be given the opportunity to express, in writing, their opinion on the report. A party shall be entitled to examine any document on which the expert has relied in his or her report. 5. At the request of any party, the expert, after delivery of the report, may be heard at a hearing where the parties shall have the opportunity to be present and to interrogate the expert. At this hearing, any party may present expert witnesses in order to testify on the points at issue. The provisions of article 28 shall be applicable to such proceedings. Default Article 30 1. If, within the period of time fixed by these Rules or the arbitral tribunal, without showing sufficient cause: (a) The claimant has failed to communicate its statement of claim, the arbitral tribunal shall issue an order for the ter mination of the arbitral proceedings, unless there are remaining

Closure of hearings

22 matters that may need to be decided and the arbitral tribunal considers it appropriate to do so; (b) The respondent has failed to communicate its response to the notice of arbitration or its statement of defence, the arbi tral tribunal shall order that the proceedings continue, without treating such failure in itself as an admission of the claimant’s allegations; the provisions of this subparagraph also apply to a claimant’s failure to submit a defence to a counterclaim or to a claim for the purpose of a set-off. 2. If a party, duly notified under these Rules, fails to appear at a hearing, without showing sufficient cause for such failure, the arbitral tribunal may proceed with the arbitration. 3. If a party, duly invited by the arbitral tribunal to produce documents, exhibits or other evidence, fails to do so within the established period of time, without showing sufficient cause for such failure, the arbitral tribunal may make the award on the evidence before it. Closure of hearings Article 31 1. The arbitral tribunal may inquire of the parties if they have any further proof to offer or witnesses to be heard or sub missions to make and, if there are none, it may declare the hearings closed. 2. The arbitral tribunal may, if it considers it necessary owing to exceptional circumstances, decide, on its own initiative or upon application of a party, to reopen the hearings at any time before the award is made. Waiver of right to object Article 32 A failure by any party to object promptly to any non-compliance with these Rules or with any requirement of the arbitration agreement shall be deemed to be a waiver of the right of such party to make such an objection, unless such party can show that, under the circumstances, its failure to object was justified.

Waiver of right to object

Section IV. The award

23 Section IV. The award Decisions Article 33 1. When there is more than one arbitrator, any award or other decision of the arbitral tribunal shall be made by a majority of the arbitrators. 2. In the case of questions of procedure, when there is no majority or when the arbitral tribunal so authorizes, the presid ing arbitrator may decide alone, subject to revision, if any, by the arbitral tribunal. Form and effect of the award Article 34 1. The arbitral tribunal may make separate awards on differ ent issues at different times. 2. All awards shall be made in writing and shall be final and binding on the parties. The parties shall carry out all awards without delay. 3. The arbitral tribunal shall state the reasons upon which the award is based, unless the parties have agreed that no reasons are to be given. 4. An award shall be signed by the arbitrators and it shall contain the date on which the award was made and indicate the place of arbitration. Where there is more than one arbitrator and any of them fails to sign, the award shall state the reason for the absence of the signature. 5. An award may be made public with the consent of all parties or where and to the extent disclosure is required of a party by legal duty, to protect or pursue a legal right or in relation to legal proceedings before a court or other competent authority. 6. Copies of the award signed by the arbitrators shall be communicated to the parties by the arbitral tribunal.

Decisions

Form and effect of the award

Applicable law, amiable compositeur

24 Applicable law, amiable compositeur Article 35 1. The arbitral tribunal shall apply the rules of law designated by the parties as applicable to the substance of the dispute. Failing such designation by the parties, the arbitral tribunal shall apply the law which it determines to be appropriate. 2. The arbitral tribunal shall decide as amiable compositeur or ex aequo et bono only if the parties have expressly author ized the arbitral tribunal to do so. 3. In all cases, the arbitral tribunal shall decide in accordance with the terms of the contract, if any, and shall take into account any usage of trade applicable to the transaction. Settlement or other grounds for termination Article 36 1. If, before the award is made, the parties agree on a settlement of the dispute, the arbitral tribunal shall either issue an order for the termination of the arbitral proceedings or, if requested by the parties and accepted by the arbitral tribunal, record the settlement in the form of an arbitral award on agreed terms. The arbitral tribunal is not obliged to give reasons for such an award. 2. If, before the award is made, the continuation of the arbi tral proceedings becomes unnecessary or impossible for any reason not mentioned in paragraph 1, the arbitral tribunal shall inform the parties of its intention to issue an order for the termination of the proceedings. The arbitral tribunal shall have the power to issue such an order unless there are remaining matters that may need to be decided and the arbitral tribunal considers it appropriate to do so. 3. Copies of the order for termination of the arbitral proceedings or of the arbitral award on agreed terms, signed by the arbitrators, shall be communicated by the arbitral tribunal to the parties. Where an arbitral award on agreed terms is made, the provisions of article 34, paragraphs 2, 4 and 5, shall apply.

Settlement or other grounds for termination

Interpretation of the award

25 Interpretation of the award Article 37 1. Within 30 days after the receipt of the award, a party, with notice to the other parties, may request that the arbitral tribunal give an interpretation of the award. 2. The interpretation shall be given in writing within 45 days after the receipt of the request. The interpretation shall form part of the award and the provisions of article 34, paragraphs 2 to 6, shall apply. Correction of the award Article 38 1. Within 30 days after the receipt of the award, a party, with notice to the other parties, may request the arbitral tribunal to correct in the award any error in computation, any clerical or typographical error, or any error or omission of a similar nature. If the arbitral tribunal considers that the request is justified, it shall make the correction within 45 days of receipt of the request. 2. The arbitral tribunal may within 30 days after the communication of the award make such corrections on its own initiative. 3. Such corrections shall be in writing and shall form part of the award. The provisions of article 34, paragraphs 2 to 6, shall apply. Additional award Article 39 1. Within 30 days after the receipt of the termination order or the award, a party, with notice to the other parties, may request the arbitral tribunal to make an award or an additional award as to claims presented in the arbitral proceedings but not decided by the arbitral tribunal. 2. If the arbitral tribunal considers the request for an award or additional award to be justified, it shall render or complete its award within 60 days after the receipt of the request. The

Correction of the award

Additional award

Definition of costs

26 arbitral tribunal may extend, if necessary, the period of time within which it shall make the award. 3. When such an award or additional award is made, the provisions of article 34, paragraphs 2 to 6, shall apply. Definition of costs Article 40 1. The arbitral tribunal shall fix the costs of arbitration in the final award and, if it deems appropriate, in another decision. 2. The term “costs” includes only: (a) The fees of the arbitral tribunal to be stated separately as to each arbitrator and to be fixed by the tribunal itself in accordance with article 41; (b) The reasonable travel and other expenses incurred by the arbitrators; (c) The reasonable costs of expert advice and of other assistance required by the arbitral tribunal; (d) The reasonable travel and other expenses of witnesses to the extent such expenses are approved by the arbitral tribunal; (e) The legal and other costs incurred by the parties in relation to the arbitration to the extent that the arbitral tribunal determines that the amount of such costs is reasonable; (f) Any fees and expenses of the appointing authority as well as the fees and expenses of the Secretary-General of the PCA. 3. In relation to interpretation, correction or completion of any award under articles 37 to 39, the arbitral tribunal may charge the costs referred to in paragraphs 2 (b) to (f), but no additional fees. Fees and expenses of arbitrators Article 41 1. The fees and expenses of the arbitrators shall be reasonable in amount, taking into account the amount in dispute, the complexity of the subject matter, the time spent by the arbitra tors and any other relevant circumstances of the case.

Fees and expenses of arbitrators

Allocation of costs

28 6. A referral under paragraph 4 shall not affect any determination in the award other than the arbitral tribunal’s fees and expenses; nor shall it delay the recognition and enforcement of all parts of the award other than those relating to the deter mination of the arbitral tribunal’s fees and expenses. Allocation of costs Article 42 1. The costs of the arbitration shall in principle be borne by the unsuccessful party or parties. However, the arbitral tribunal may apportion each of such costs between the parties if it determines that apportionment is reasonable, taking into account the circumstances of the case. 2. The arbitral tribunal shall in the final award or, if it deems appropriate, in any other award, determine any amount that a party may have to pay to another party as a result of the deci sion on allocation of costs. Deposit of costs Article 43 1. The arbitral tribunal, on its establishment, may request the parties to deposit an equal amount as an advance for the costs referred to in article 40, paragraphs 2 (a) to (c). 2. During the course of the arbitral proceedings the arbitral tribunal may request supplementary deposits from the parties. 3. If an appointing authority has been agreed upon or designated, and when a party so requests and the appointing authority consents to perform the function, the arbitral tribunal shall fix the amounts of any deposits or supplementary deposits only after consultation with the appointing authority, which may make any comments to the arbitral tribunal that it deems appropriate concerning the amount of such deposits and supplementary deposits. 4. If the required deposits are not paid in full within 30 days after the receipt of the request, the arbitral tribunal shall so inform the parties in order that one or more of them may make the required payment. If such payment is not made, the arbitral tribunal may order the suspension or ter mination of the arbitral proceedings.

Deposit of costs

Annex

30 Annex Model arbitration clause for contracts Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Arbitration Rules. Note. Parties should consider adding: (a) The appointing authority shall be . . . [name of institution or person]; (b) The number of arbitrators shall be . . .. [one or three]; (c) The place of arbitration shall be . . . [town and country]; (d) The language to be used in the arbitral proceedings shall be . . . . Possible waiver statement Note. If the parties wish to exclude recourse against the arbitral award that may be available under the applicable law, they may consider adding a provision to that effect as suggested below, considering, however, that the effective ness and conditions of such an exclusion depend on the applicable law. Waiver The parties hereby waive their right to any form of recourse against an award to any court or other competent authority, insofar as such waiver can validly be made under the applicable law. Model statements of independence pursuant to article 11 of the Rules No circumstances to disclose I am impartial and independent of each of the parties and

Model arbitration clause for contracts

Possible waiver statement

Model statements of independence pursuant to article 11 of the Rules

Appendix

32 Appendix – UNCITRAL Expedited Arbitration Rules Scope of application Article 1 Where parties have agreed that disputes between them in respect of a defined legal relationship, whether contractual or not, shall be referred to arbitration under the UNCITRAL Expedited Arbi tration Rules (“Expedited Rules”), then such disputes shall be settled in accordance with the UNCITRAL Arbitration Rules as modified by these Expedited Rules and subject to such modi fication as the parties may agree.*** Article 2 1. At any time during the proceedings, the parties may agree that the Expedited Rules shall no longer apply to the arbitration. 2. At the request of a party, the arbitral tribunal may, in exceptional circumstances and after inviting the parties to express their views, determine that the Expedited Rules shall no longer apply to the arbitration. The arbitral tribunal shall state the reasons upon which that determination is based. 3. When the Expedited Rules no longer apply to the arbitra tion pursuant to paragraph 1 or 2, the arbitral tribunal shall remain in place and conduct the arbitration in accordance with the UNCITRAL Arbitration Rules. Conduct of the parties and the arbitral tribunal Article 3 1. The parties shall act expeditiously throughout the proceedings. 2. The arbitral tribunal shall conduct the proceedings ***Unless otherwise agreed by the parties, the following articles in the UNCITRAL Arbitration Rules do not apply to expedited arbitration: article 3(4)(a) and (b); article 6(2); article 7; article 8(1); first sentence of article 20(1); first sen tence of article 21(1); article 21(3); article 22; and second sentence of article 27(2).

UNCITRAL Expedited Arbitration Rules

Scope of Application

Conduct of the parties and the arbitral tribunal

Notice of arbitration and statement of claim

33 expeditiously taking into account the fact that the parties agreed to refer their dispute to expedited arbitration and the time frames in the Expedited Rules. 3. The arbitral tribunal may, after inviting the parties to express their views and taking into account the circumstances of the case, utilize any technological means as it considers appropriate to conduct the proceedings, including to communi cate with the parties and to hold consultations and hearings remotely. Notice of arbitration and statement of claim Article 4 1. A notice of arbitration shall also include: (a) A proposal for the designation of an appointing authority, unless the parties have previously agreed thereon; and (b) A proposal for the appointment of an arbitrator. 2. When communicating its notice of arbitration to the respondent, the claimant shall also communicate its statement of claim. 3. The claimant shall communicate the notice of arbitration and the statement of claim to the arbitral tribunal as soon as it is constituted. Response to the notice of arbitration and statement of defence Article 5 1. Within 15 days of the receipt of the notice of arbitration, the respondent shall communicate to the claimant a response to the notice of arbitration, which shall also include responses to the information set forth in the notice of arbitration pursuant to article 4(1)(a) and (b) of the Expedited Rules. 2. The respondent shall communicate its statement of defence to the claimant and the arbitral tribunal within 15 days of the constitution of the arbitral tribunal.

Response to the notice of arbitration and statement of defence

Designating and appointing authorities

34 Designating and appointing authorities Article 6 1. If all parties have not agreed on the choice of an appointing authority 15 days after a proposal for the designation of an appointing authority has been received by all other parties, any party may request the Secretary-General of the Permanent Court of Arbitration (hereinafter called the “PCA”) to designate the appointing authority or to serve as appointing authority. 2. When making the request under article 6(4) of the UNCI TRAL Arbitration Rules, a party may request the Secretary- General of the PCA to serve as appointing authority. 3. If requested to serve as appointing authority in accordance with paragraph 1 or 2, the Secretary-General of the PCA will serve as appointing authority unless it determines that in view of the circumstances of the case, it is more appropriate to des ignate an appointing authority. Number of arbitrators Article 7 Unless otherwise agreed by the parties, there shall be one arbitrator. Appointment of a sole arbitrator Article 8 1. A sole arbitrator shall be appointed jointly by the parties. 2. If the parties have not reached agreement on the appoint ment of a sole arbitrator 15 days after a proposal has been received by all other parties, a sole arbitrator shall, at the request of a party, be appointed by the appointing authority in accord ance with article 8(2) of the UNCITRAL Arbitration Rules. Consultation with the parties Article 9 Promptly after and within 15 days of its constitution, the arbitral tribunal shall consult the parties, through a case management conference or otherwise, on the manner in which it will conduct the arbitration.

Number of arbitrators

Appointment of a sole arbitrator

Consultation with the parties

Discretion of the arbitral tribunal with regard to periods of time

35 Discretion of the arbitral tribunal with regard to periods of time Article 10 Subject to article 16 of the Expedited Rules, the arbitral tribunal may at any time, after inviting the parties to express their views, extend or abridge any period of time prescribed under the UNCITRAL Arbitration Rules and the Expedited Rules or agreed by the parties. Hearings Article 11 The arbitral tribunal may, after inviting the parties to express their views and in the absence of a request to hold hearings, decide that hearings shall not be held. Counterclaims or claims for the purpose of set-off Article 12 1. A counterclaim or a claim for the purpose of a set-off shall be made no later than in the statement of defence provided that the arbitral tribunal has jurisdiction over it. 2. The respondent may not make a counterclaim or rely on a claim for the purpose of a set-off at a later stage in the arbitral proceedings, unless the arbitral tribunal considers it appropriate to allow such claim having regard to the delay in making it or prejudice to other parties or any other circumstances. Amendments and supplements to a claim or defence Article 13 During the course of the arbitral proceedings, a party may not amend or supplement its claim or defence, including a coun terclaim or a claim for the purpose of a set-off, unless the arbitral tribunal considers it appropriate to allow such amend ment or supplement having regard to when it is requested or prejudice to other parties or any other circumstances. However, a claim or defence, including a counterclaim or a claim for the purpose of a set-off, may not be amended or supplemented in such a manner that the amended or supplemented claim or defence falls outside the jurisdiction of the arbitral tribunal.

Hearings

Counterclaims or claims for the purpose of set off

Amendments and supplements to a claim or defence

Further written statements

36 Further written statements Article 14 The arbitral tribunal may, after inviting the parties to express their views, decide whether any further written statement shall be required from the parties or may be presented by them. Evidence Article 15 1. The arbitral tribunal may decide which documents, exhibits or other evidence the parties should produce. The arbitral tri bunal may reject any request, unless made by all parties, to establish a procedure whereby each party can request another party to produce documents. 2. Unless otherwise directed by the arbitral tribunal, state ments by witnesses, including expert witnesses, shall be pre sented in writing and signed by them. 3. The arbitral tribunal may decide which witnesses, includ ing expert witnesses, shall testify to the arbitral tribunal if hear ings are held. Period of time for making the award Article 16 1. The award shall be made within six months from the date of the constitution of the arbitral tribunal unless otherwise agreed by the parties. 2. The arbitral tribunal may, in exceptional circumstances and after inviting the parties to express their views, extend the period of time established in accordance with paragraph 1. The extended period of time shall not exceed a total of nine months from the date of the constitution of the arbitral tribunal. 3. If the arbitral tribunal concludes that it is at risk of not rendering an award within nine months from the date of the constitution of the arbitral tribunal, it shall propose a final extended time limit, state the reasons for the proposal, and invite the parties to express their views within a fixed period of time. The extension shall be adopted only if all parties express their agreement to the proposal within the fixed period of time.

Evidence

Period of time for making the award

Annexes to the UNCITRAL Expedited Arbitration Rules

38 Annex to the UNCITRAL Expedited Arbitration Rules Model arbitration clause for contracts Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Expedited Arbitration Rules. Note: Parties should consider adding: (a) The appointing authority shall be . . . [name of institu tion or person]; (b) The place of arbitration shall be . . . [town and country]; (c) The language to be used in the arbitral proceedings shall be ...; Model statement Note. Parties should consider requesting from the arbitrator the following addition to the statement of independence pursuant to article 11 of the UNCITRAL Arbitration Rules: I confirm, on the basis of the information presently available to me, that I can devote the time necessary to conduct this arbitration diligently, efficiently, expeditiously and in accord ance with the time limits in the UNCITRAL Arbitration Rules and the UNCITRAL Expedited Arbitration Rules.

Model arbitration clause for contracts

Model statement

UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration

39 UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration Article 1. Scope of application Applicability of the Rules 1. The UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (“Rules on Transparency”) shall apply to investor-State arbitration initiated under the UNCITRAL Arbitration Rules pursuant to a treaty providing for the pro tection of investments or investors (“treaty”)* concluded on or after 1 April 2014 unless the Parties to the treaty** have agreed otherwise. 2. In investor-State arbitrations initiated under the UNCITRAL Arbitration Rules pursuant to a treaty concluded before 1 April 2014, these Rules shall apply only when: (a) The parties to an arbitration (the “disputing parties”) agree to their application in respect of that arbitration; or (b) The Parties to the treaty or, in the case of a multi lateral treaty, the State of the claimant and the respondent State, have agreed after 1 April 2014 to their application. Application of the Rules 3. In any arbitration in which the Rules on Transparency apply pursuant to a treaty or to an agreement by the Parties to that treaty: (a) The disputing parties may not derogate from these Rules, by agreement or otherwise, unless permitted to do so by the treaty; *For the purposes of the Rules on Transparency, a “treaty” shall be under stood broadly as encompassing any bilateral or multilateral treaty that contains provisions on the protection of investments or investors and a right for investors to resort to arbitration against Parties to the treaty, including any treaty commonly referred to as a free trade agreement, economic integration agreement, trade and investment framework or cooperation agreement, or bilateral investment treaty. **For the purposes of the Rules on Transparency, any reference to a “Party to the treaty” or a “State” includes, for example, a regional economic integration organization where it is a Party to the treaty.

Article 1. Scope of application

Article 2. Publication of information at the commencement of arbitral proceedings

41 Application in non-UNCITRAL arbitrations 9. These Rules are available for use in investor-State arbi trations initiated under rules other than the UNCITRAL Arbitration Rules or in ad hoc proceedings. Article 2. Publication of information at the commencement of arbitral proceedings Once the notice of arbitration has been received by the respond ent, each of the disputing parties shall promptly communicate a copy of the notice of arbitration to the repository referred to under article 8. Upon receipt of the notice of arbitration from the respondent, or upon receipt of the notice of arbitration and a record of its transmission to the respondent, the repository shall promptly make available to the public information regarding the name of the disputing parties, the economic sector involved and the treaty under which the claim is being made. Article 3. Publication of documents 1. Subject to article 7, the following documents shall be made available to the public: the notice of arbitration, the response to the notice of arbitration, the statement of claim, the statement of defence and any further written statements or written sub missions by any disputing party; a table listing all exhibits to the aforesaid documents and to expert reports and witness statements, if such table has been prepared for the proceedings, but not the exhibits themselves; any written submissions by the non-disputing Party (or Parties) to the treaty and by third persons, transcripts of hearings, where available; and orders, decisions and awards of the arbitral tribunal. 2. Subject to article 7, expert reports and witness statements, exclusive of the exhibits thereto, shall be made available to the public, upon request by any person to the arbitral tribunal. 3. Subject to article 7, the arbitral tribunal may decide, on its own initiative or upon request from any person, and after consultation with the disputing parties, whether and how to make available exhibits and any other documents provided to, or issued by, the arbitral tribunal not falling within paragraphs 1 or 2 above. This may include, for example, making such documents available at a specified site.

Article 3. Publication of documents

Article 4. Submission by a third person

42 4. The documents to be made available to the public pursuant to paragraphs 1 and 2 shall be communicated by the arbitral tribunal to the repository referred to under article 8 as soon as possible, subject to any relevant arrangements or time limits for the protection of confidential or protected information pre scribed under article 7. The documents to be made available pursuant to paragraph 3 may be communicated by the arbitral tribunal to the repository referred to under article 8 as they become available and, if applicable, in a redacted form in accordance with article 7. The repository shall make all docu ments available in a timely manner, in the form and in the language in which it receives them. 5. A person granted access to documents under paragraph 3 shall bear any administrative costs of making those documents available to that person, such as the costs of photocopying or shipping documents to that person, but not the costs of making those documents available to the public through the repository. Article 4. Submission by a third person 1. After consultation with the disputing parties, the arbi tral tribunal may allow a person that is not a disputing party, and not a non-disputing Party to the treaty (“third person(s)”), to file a written submission with the arbitral tribunal regarding a matter within the scope of the dispute. 2. A third person wishing to make a submission shall apply to the arbitral tribunal, and shall, in a concise written statement, which is in a language of the arbitration and complies with any page limits set by the arbitral tribunal: (a) Describe the third person, including, where relevant, its membership and legal status (e.g., trade association or other non-governmental organization), its general objectives, the nature of its activities and any parent organization (including any organization that directly or indirectly controls the third person); (b) Disclose any connection, direct or indirect, which the third person has with any disputing party; (c) Provide information on any government, person or organization that has provided to the third person (i) any finan cial or other assistance in preparing the submission; or (ii) substantial assistance in either of the two years preceding the application by the third person under this article (e.g. funding around 20 per cent of its overall operations annually);

Article 5. Submission by a non-disputing Party to the treaty

43 (d) Describe the nature of the interest that the third person has in the arbitration; and (e) Identify the specific issues of fact or law in the arbi tration that the third person wishes to address in its written submission. 3. In determining whether to allow such a submission, the arbitral tribunal shall take into consideration, among other factors it determines to be relevant: (a) Whether the third person has a significant interest in the arbitral proceedings; and (b) The extent to which the submission would assist the arbitral tribunal in the determination of a factual or legal issue related to the arbitral proceedings by bringing a perspective, particular knowledge or insight that is different from that of the disputing parties. 4. The submission filed by the third person shall: (a) Be dated and signed by the person filing the submis sion on behalf of the third person; (b) Be concise, and in no case longer than as authorized by the arbitral tribunal; (c) Set out a precise statement of the third person’s posi tion on issues; and (d) Address only matters within the scope of the dispute. 5. The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party. 6. The arbitral tribunal shall ensure that the disputing parties are given a reasonable opportunity to present their observations on any submission by the third person. Article 5. Submission by a non-disputing Party to the treaty 1. The arbitral tribunal shall, subject to paragraph 4, allow, or, after consultation with the disputing parties, may invite, submissions on issues of treaty interpretation from a non- disputing Party to the treaty. 2. The arbitral tribunal, after consultation with the disputing parties, may allow submissions on further matters within the

Article 7. Exceptions to transparency

44 scope of the dispute from a non-disputing Party to the treaty. In determining whether to allow such submissions, the arbitral tribunal shall take into consideration, among other factors it determines to be relevant, the factors referred to in article 4, paragraph 3, and, for greater certainty, the need to avoid sub missions which would support the claim of the investor in a manner tantamount to diplomatic protection. 3. The arbitral tribunal shall not draw any inference from the absence of any submission or response to any invitation pursuant to paragraphs 1 or 2. 4. The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party. 5. The arbitral tribunal shall ensure that the disputing parties are given a reasonable opportunity to present their observations on any submission by a non-disputing Party to the treaty. Article 6. Hearings 1. Subject to article 6, paragraphs 2 and 3, hearings for the presentation of evidence or for oral argument (“hearings”) shall be public. 2. Where there is a need to protect confidential information or the integrity of the arbitral process pursuant to article 7, the arbitral tribunal shall make arrangements to hold in private that part of the hearing requiring such protection. 3. The arbitral tribunal shall make logistical arrangements to facilitate the public access to hearings (including where appro priate by organizing attendance through video links or such other means as it deems appropriate). However, the arbitral tribunal may, after consultation with the disputing parties, decide to hold all or part of the hearings in private where this becomes necessary for logistical reasons, such as when the cir cumstances render any original arrangement for public access to a hearing infeasible. Article 7. Exceptions to transparency Confidential or protected information 1. Confidential or protected information, as defined in para graph 2 and as identified pursuant to the arrangements referred

Article 8. Repository of published information

46 Integrity of the arbitral process 6. Information shall not be made available to the public pur suant to articles 2 to 6 where the information, if made available to the public, would jeopardize the integrity of the arbitral process as determined pursuant to paragraph 7. 7. The arbitral tribunal may, on its own initiative or upon the application of a disputing party, after consultation with the disputing parties where practicable, take appropriate measures to restrain or delay the publication of information where such publication would jeopardize the integrity of the arbitral process because it could hamper the collection or production of evi dence, lead to the intimidation of witnesses, lawyers acting for disputing parties or members of the arbitral tribunal, or in comparably exceptional circumstances. Article 8. Repository of published information The repository of published information under the Rules on Transparency shall be the Secretary-General of the United Nations or an institution named by UNCITRAL.

Explanatory Note to the UNCITRAL Expedited Arbitration Rules

47 Explanatory Note to the UNCITRAL Expedited Arbitration Rules 1. Expedited arbitration is a streamlined and simplified pro cedure with a shortened time frame, which makes it possible for the parties to reach a final resolution of the dispute in a cost- and time-effective manner. The UNCITRAL Expedited Arbitration Rules (hereinafter the “Expedited Rules”) provide a set of rules which parties may agree for expedited arbitration. The Expedited Rules balance on the one hand, the efficiency of the arbitral proceedings and on the other, the need to preserve due process and fair treatment. 2. Article 1(5) of the UNCITRAL Arbitration Rules (herein after the “UARs”) incorporates the Expedited Rules, which are presented as an appendix to the UARs. The phrase “where the parties so agree” in that paragraph emphasizes the need for the parties’ express consent for the Expedited Rules to apply to the arbitration. 3. In the following, any reference to “article(s)” is to that in the Expedited Rules, unless otherwise expressly indicated. A. Scope of application Article 1 4. Article 1 provides that express consent of the parties is required for the application of the Expedited Rules. 5. Parties are free to agree on the application of the Expedited Rules at any time even after the dispute has arisen (see model arbitration clause in the annex to the Expedited Rules). For example, parties that had concluded an arbitration agreement or had initiated arbitration under the UARs before the effective date of the Expedited Rules (19 September 2021) can sub sequently agree to refer their dispute to arbitration under the Expedited Rules. Likewise, a party may propose to the other party or parties that the Expedited Rules shall apply to the arbitration. 6. However, parties should be mindful of the consequences when changing from non-expedited to expedited arbitration. For

A. Scope of application

B. General provision on expedited arbitration

51 B. General provision on expedited arbitration 19. Considering that a fair and efficient resolution of the dis pute is a common goal of arbitration under both the UARs and the Expedited Rules, article 3 highlights the expeditious nature of the proceedings under the Expedited Rules and emphasizes the obligation of the parties and the arbitral tribunal to act expeditiously. 20. Paragraph 1 is a reminder to parties that when referring their dispute to arbitration under the Expedited Rules, they are agreeing to cooperate in ensuring the efficiency of the proceed ing as well as for a swift resolution of the dispute, particularly in an ad hoc setting where there is no administering institution to further expedite the process. 21. Paragraph 2 should be read along with article 17(1) of the UARs. Therefore, arbitral tribunals in expedited arbitration have the same duty to conduct the proceedings so as to avoid unnec essary delay and expense and to provide a fair and efficient process to resolve the dispute. The arbitral tribunal should also comply with any due process requirements. 22. When conducting arbitration under the Expedited Rules, arbitral tribunals should be mindful of the objectives of the Expedited Rules, of the parties’ intentions and expectations when they chose the Expedited Rules and of the time frames therein, particularly those in article 16 with regard to the render ing of the award. The annex to the Expedited Rules includes a model statement which parties could request the arbitrator to add to the statement of independence. The model statement highlights that the arbitrator would conduct the arbitration expe ditiously and in accordance with the time frames in the UARs and the Expedited Rules. 23. Designating and appointing authorities as well as arbitral institutions administering arbitration under the Expedited Rules should also be mindful of the objectives of the Expedited Rules as well as any applicable time frames (see para. 58 below). 24. Paragraph 3 emphasizes the discretion provided to the arbitral tribunal to make use of a wide range of technological means to conduct the proceeding, including when communicat ing with the parties and when holding consultations and hear ings. It also mentions that consultations and hearings can be held without the physical presence of the participants and in different locations. The inclusion of such a rule in the Expedited Rules does not imply that the use of technological means is

D. Designating and appointing authorities

56 D. Designating and appointing authorities 40. The appointing authority has a significant role in expedit ing the proceedings, especially with regard to the constitution of the arbitral tribunal. Therefore, it is important that the parties agree on the choice of an appointing authority (see model arbi tration clause, paragraph (a)). When the parties have not agreed on that choice, article 6 of the Expedited Rules provides a mechanism for the Secretary-General of the Permanent Court of Arbitration (PCA) to designate an appointing authority or to serve as one, both of which would lead to an earlier engagement of the appointing authority. 41. Article 6(1) simplifies the process provided for in article 6(2) of the UARs by allowing a party to request the Secretary- General of the PCA to serve as the appointing authority. It provides a streamlined and flexible process, while providing a level of discretion to the Secretary-General of the PCA. 42. The process is accelerated by allowing any party to engage with the Secretary-General of the PCA any time after 15 days have lapsed from the receipt by all parties of a proposal on an appointing authority. In practice, this means that a claimant that has included in its notice of arbitration a proposal for an appointing authority in accordance with article 4(1) is able to make the request to the Secretary-General of the PCA imme diately upon the lapse of the 15-day time frame in article 5(1). 43. It should, however, be noted that article 5(1) provides the respondent 15 days to respond to the notice of arbitration, which should also include a response to the proposal for an appointing authority. Therefore, it would be prudent for the claimant to consider such response before engaging the Secretary-General of the PCA. In any case, the Secretary-General of the PCA in exercising its functions under article 6(1) would be required to give the parties an opportunity to present their views, including any proposals on the appointing authority. 44. Similar to article 6(1), article 6(2) modifies article 6(4) of the UARs and allows a party to request the Secretary-General of the PCA to designate a substitute appointing authority or to serve as one, where the appointing authority refuses or fails to act. However, this would not be possible when the Secretary- General of the PCA is already serving as the appointing authority. 45. Paragraph 3 provides a level of discretion to the Secretary- General of the PCA to address practical questions that could

E. Number of arbitrators

57 arise, for example, (i) when a party has previously rejected or rejects a proposal for the Secretary-General of the PCA to serve as appointing authority; (ii) when a party requests the Secretary- General of the PCA to serve as appointing authority and the other party requests it to serve as designating authority; and (iii) when a party requests the Secretary-General of the PCA to either designate an appointing authority or to serve as an appointing authority. 46. Paragraphs 1, 3, 5, 6 and 7 of article 6 of the UARs continue to apply to expedited arbitration. E. Number of arbitrators 47. Article 7 provides that an arbitral tribunal composed of a single arbitrator is the default rule in expedited arbitration. As such, article 7(1) of the UARs is replaced by article 7 of the Expedited Rules. Parties, however, can agree on more than one arbitrator, in light of the particulars of the dispute and if col lective decision-making is preferred. However, they should be mindful that proceedings involving an arbitral tribunal com posed of more than one arbitrator may be less expeditious (see para. 59 below). 48. When the parties have referred their dispute to arbitration under the Expedited Rules and there is no separate agreement on the number of arbitrators, the appointing authority should not have any role in determining that number and should appoint a sole arbitrator in accordance with articles 7 and 8. While the appointing authority may make a prima facie decision on whether the arbitration is to be conducted under the Expe dited Rules, the ultimate determination on the application of the Expedited Rules would be left to the arbitral tribunal (see para. 16 above). 49. Article 7(2) of the UARs continues to apply in expedited arbitration when the parties agreed to constitute the arbitral tribunal with more than one arbitrator. F. Appointment of the arbitrator 50. Article 8 addresses how a sole arbitrator is to be appointed in expedited arbitration. If the parties agreed on more than one arbitrator, articles 9 and 10 of the UARs apply.

F. Appointment of the arbitrator

G. Consultation with the parties

59 when appropriate) an opportunity to present their views. Any proposal made and comments thereon by the parties on the appointment of a sole arbitrator should thus be taken into account. 58. When appointing an arbitrator for expedited arbitration, the appointing authority shall make an effort to secure not only an independent and impartial arbitrator in accordance with arti cle 6(7) of the UARs but also an arbitrator who is available and ready to conduct the arbitration expeditiously in accordance with article 3(2) of the Expedited Rules. The appointing author ity may wish to require the prospective arbitrator to make a statement as provided in the annex to the Expedited Rules. 59. The time frames in article 9 of the UARs on the constitu tion of a three-member arbitral tribunal apply to expedited arbi tration. However, parties may wish to reduce the time frames therein to expedite the constitution of a three-member arbitral tribunal. G. Consultation with the parties 60. Consultation between the arbitral tribunal and the parties at an early stage of the proceedings is particularly key to an efficient and fair organization of expedited arbitration. The terms “consult” and “consultation” are used in article 9 to high light the interactive nature of the engagement between the arbi tral tribunal and the parties when discussing how the arbitration would be conducted. In general, the phrase “after inviting the parties to express their views” is used throughout the UARs as well as in articles 2, 3, 10, 11, 14 and 16 of the Expedited Rules to refer to a situation where the arbitral tribunal is required to give the parties an opportunity to express their sup port, concerns or objections before the arbitral tribunal takes a decision on a certain matter. 61. Article 9 requires the arbitral tribunal to consult the parties on how to organize the proceedings. It thus conveys the expecta tion that the arbitral tribunal will engage actively with the par ties rather than to simply invite them to express their views. A case management conference is one way of conducting such consultation and can be an important procedural tool, particu larly in expedited arbitration, as it permits an arbitral tribunal to give parties a timely indication as to the organization of the proceedings and the manner in which it intends to proceed.

H. Time frames and the discretion of the arbitral tribunal

61 H. Time frames and the discretion of the arbitral tribunal 66. Article 10 addresses the discretion of the arbitral tribunal with regard to time frames in expedited arbitration. It should be read along with the second sentence of article 17(2) of the UARs. 67. Article 10 clarifies that the arbitral tribunal may extend or abridge any period of time prescribed under the UARs and the Expedited Rules or agreed by the parties. Even after a time frame has been fixed in accordance with article 10, flexibility is provided to adjust the time period when the adjustment is justified. However, this discretion is subject to article 16, which provides a specific rule with regard to the time frames for ren dering the award and their extensions (see paras. 84–92 below). 68. Article 10 clarifies and reinforces the discretionary power of the arbitral tribunal to adapt the proceedings to the circum stances of the case, further limiting the risk of challenges at the enforcement stage. In other words, it provides the arbitral tribunal with a robust mandate to act decisively without fearing that its award could be set aside for a breach of due process. 69. While shorter time frames constitute one of the key char acteristics of expedited arbitration, arbitral tribunals should preserve the flexible nature of the proceedings and comply with due process requirements. 70. With regard to the consequences of non-compliance by the parties with the time frames, article 30 of the UARs on default applies to expedited arbitration. With regard to late sub missions, considering that flexibility is provided to the arbitral tribunal in setting and modifying time frames, the arbitral tri bunal can reject or disregard such submissions, while such dis cretion should be exercised with care. I. Hearings 71. Article 11 emphasizes the discretionary power of the arbi tral tribunal to not hold hearings in expedited arbitration in the absence of a request by any party. It should be read together with article 17(3) of the UARs, which provides that: (i) the arbitral tribunal shall hold hearings if any party so requests at an appro priate stage of the proceedings; and (ii) in the absence of such a request, the arbitral tribunal shall decide whether to hold hear ings. Parties themselves may agree to hold hearings, in which case that agreement is binding on the arbitral tribunal.

J. Counterclaims and claims for the purpose of set-off

63 J. Counterclaims and claims for the purpose of set-off 77. Article 12 preserves the right of the parties to make coun terclaims and claims for the purpose of set-off (hereinafter referred to as “counterclaims”), but introduces certain qualifica tions, which can be lifted by the arbitral tribunal. This is to ensure that counterclaims do not result in delays in expedited arbitration. 78. Article 12 replaces article 21(3) of the UARs and intro duces a higher threshold for counterclaims. Paragraph 1 requires the respondent to make any counterclaim at the latest in its statement of defence. A counterclaim can be made at a later stage of the proceedings, but only when the arbitral tribunal considers it appropriate under the circumstances. K. Amendments and supplements to a claim or defence 79. Article 13 replaces article 22 of the UARs. It introduces a higher threshold for parties to make amendments and supple ments to a claim or defence, including a counterclaim or a claim for the purposes of set-off (hereinafter referred to as “amend ments”) in the context of expedited arbitration. Nonetheless, it provides flexibility in its application to different circumstances. Accordingly, a party is not allowed to make amendments unless the arbitral tribunal considers it appropriate to allow such amendments. When determining whether to allow amendments, the arbitral tribunal should take into account at which stage of the proceedings such a request for the amendment is made, prejudice to other parties in allowing the amendment and any other circumstances. 80. Counterclaims and amendments might result in the expe dited arbitration no longer being appropriate for resolving the dispute. In such a circumstance, parties may agree that that the Expedited Rules shall no longer apply to the arbitration or a party may request the arbitral tribunal to determine that the Expedited Rules shall no longer apply in accordance with article 2 (see paras. 10–14 above). L. Further written statements 81. Article 14 emphasises the discretionary power of the arbitral tribunal under article 24 of the UARs to limit further written

K. Amendments and supplements to a claim or defence

L. Further written statements

M. Evidence

64 statements. It clarifies that the arbitral tribunal may decide that the statement of claim and the statement of defence are sufficient and that no further written statements are required from the par ties. It should, however, not be interpreted that arbitral tribunals do not have such discretion under article 24 of the UARs. M. Evidence 82. Article 15 clarifies the discretionary power of the arbitral tribunal with regard to taking of evidence in expedited arbitra tion. Article 27(3) of the UARs provides that the arbitral tribu nal may require the parties to produce documents and other evidence during the proceedings. The first sentence of article 15(1) clarifies that the arbitral tribunal may decide which docu ments or other evidence are to be produced by the parties. The second sentence reaffirms the discretionary power of the arbitral tribunal to not provide for a procedure where a party requests another party to produce documents (often referred to as the “document production” phase). The inclusion of article 15(1) in the Expedited Rules should, however, not be interpreted as meaning that arbitral tribunals do not have such discretion under article 27(3) of the UARs. 83. Article 15(2) provides that in expedited arbitration, state ments by witnesses shall be presented in written form and signed by them. Paragraph 2 thus replaces the second sentence of article 27(2) of the UARs. While the rules for meeting the requirements of “in writing” and “signature” through electronic communication vary depending on the jurisdiction, it should be noted that article 9(2) and (3) of the United Nations Convention on the Use of Electronic Communications in International Con tracts provides a functional equivalence rule. N. Period of time for making the award 84. Article 16 provides the time frame for making the award, which refers to the final award. Paragraph 1 provides for a six- month time frame for making the award and a mechanism for extending that time frame in certain circumstances. The six- month time frame for rendering the award commences with the constitution of the arbitral tribunal. Parties are free to agree on a time frame different from that in paragraph 1, which may be shorter or longer depending on their needs. 85. The general discretion provided to arbitral tribunals under article 10 to extend or abridge any period of time prescribed

N. Period of time for making the award

O. Model arbitration clause for expedited arbitration

68 rendering the award and allow the arbitral tribunal to meet the time frame in the Expedited Rules. However, unless the parties have agreed that no reasons are to be given, arbitral tribunals in expedited arbitration shall state the reasons upon which the award is based. Requiring the arbitral tribunal to provide a rea soned award can assist its decision-making and provide comfort to the parties as they will find that their arguments have been duly considered and would be aware of the basis upon which the award was rendered. The absence of reasoning in an award could have an impact on the control mechanism and its scope, as such reasoning might be necessary for the court or any other competent authority to consider whether some of the grounds for setting aside the award or refusing its recognition and enforcement exist. O. Model arbitration clause for expedited arbitration 97. The annex to the Expedited Rules contains a model arbi tration clause for parties to agree to expedited arbitration under the Expedited Rules. The model arbitration clause notes that the parties should consider adding the appointing authority, the place and the language of arbitration. 98. When considering whether to refer a dispute that has arisen or could arise in the future to arbitration under the Expe dited Rules, the parties should take into account, among others, the following elements: – The urgency of resolving the dispute; – The complexity of the transactions and the number of par ties involved; – The anticipated complexity of the dispute; – The anticipated amount of the dispute; – The financial resources available to the party in proportion to the expected cost of the arbitration; – The possibility of joinder or consolidation; and – The likelihood of an award being rendered within the time frames provided in article 16 of the Expedited Rules.

P. The Expedited Rules and the Transparency Rules

69 P. The Expedited Rules and the Transparency Rules 99. The suitability of the Expedited Rules for investment arbi tration is a question left to the disputing parties, as express consent of the parties is required for the Expedited Rules to apply (see paras. 2, 4 and 5 above). States could refer to and consent to the Expedited Rules in their respective investment treaty, based on which an investor claimant may consent to refer a dispute under the Expedited Rules. However, a reference to the UARs in investment treaties (regardless of whether the refer ence was included prior to or after the effective date of the Expedited Rules) should not be construed as consent by the State Parties to the Expedited Rules as express consent is neces sary for the application of the Expedited Rules. 100. According to article 1(4) of the UARs (as adopted in 2013), the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (“Transparency Rules”) form part of the UARs. Article 1 of the Transparency Rules addresses the applicability of the Transparency Rules to “investor-State arbi tration initiated under the UNCITRAL Arbitration Rules”. As the Expedited Rules are presented as an appendix to the UARs, an investor-State arbitration initiated under the Expedited Rules should be considered as being initiated under the UARs and therefore, the Transparency Rules could apply. 101. If the investor-State arbitration is initiated pursuant to an investment treaty concluded before 1 April 2014, the Transpar ency Rules would only apply when the disputing parties have agreed to their application or the States Parties to the treaty have agreed to their application after 1 April 2014. Therefore, even if the disputing parties agree to the application of the Expedited Rules, the proceedings would not be subject to the Transparency Rules unless above-mentioned conditions are met. 102. If the investor-State arbitration is initiated pursuant to an investment treaty concluded on or after 1 April 2014, the Trans parency Rules would apply unless the States Parties to the treaty have agreed otherwise. In other words, if States Parties to the treaty have not agreed otherwise and the disputing parties agree to the application of the Expedited Rules, the proceedings would be subject to the Transparency Rules. 103. Parties that have agreed to refer an investor-State dispute to arbitration under the Expedited Rules may agree that the Transparency Rules shall not apply to the arbitration. For exam ple, States could include a reference to the Expedited Rules in their investment treaties, while opting out of the Transparency

Q. Time frames in the Expedited Rules

70 Rules, for example, by making a reference to (i) the 2010 ver sion of the UARs as modified by the Expedited Rules or (ii) the Expedited Rules without article 1(4) of the UARs. 104. However, the flexibility for the disputing parties to opt out of the Transparency Rules in investor-State arbitration initi ated pursuant to an investment treaty concluded on or after 1 April 2014 which includes a reference to the UARs will be restricted, if the States Parties to that treaty have not opted out of the Transparency Rules. For example, if two States conclude a treaty after 1 April 2014 allowing an investor to refer a dispute to the UARs and the States have not opted out of the Transpar ency Rules, it would not be possible for a claimant investor and the respondent State to agree to the Expedited Rules with out being subject to the Transparency Rules. Q. Time frames in the Expedited Rules 105. The following provides an overview of the different time frames in the Expedited Rules. In the “time frame” column, “A + number (days(d)/months(m))” indicates “within” the number of days/months from stage A (in certain cases, receipt thereof).

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Resolution adopted by the General Assembly on ** December 2021 (A/RES/76/108)

UNCITRAL Arbitration Rules

Section I. Introductory rules

Scope of application*

Notice and calculation of periods of time

Notice of arbitration

Response to the notice of arbitration

Representation and assistance

Designating and appointing authorities

Section II. Composition of the arbitral tribunal

Number of arbitrators

Appointment of arbitrators (articles 8 to 10)

Disclosures by and challenge of arbitrators** (articles 11 to 13)

Replacement of an arbitrator

Repetition of hearings in the event of the replacement of an arbitrator

Exclusion of liability

Section III. Arbitral proceedings

General provisions

Place of arbitration

Language

Statement of claim

Statement of defence

Amendments to the claim or defence

Pleas as to the jurisdiction of the arbitral tribunal

Further written statements

Periods of time

Interim measures

Evidence

Hearings

Experts appointed by the arbitral tribunal

Default

Closure of hearings

Waiver of right to object

Section IV. The award

Decisions

Form and effect of the award

Applicable law, amiable compositeur

Settlement or other grounds for termination

Interpretation of the award

Correction of the award

Additional award

Definition of costs

Fees and expenses of arbitrators

Allocation of costs

Deposit of costs

Annex

Model arbitration clause for contracts

Possible waiver statement

Model statements of independence pursuant to article 11 of the Rules

Appendix

UNCITRAL Expedited Arbitration Rules

Scope of Application

Conduct of the parties and the arbitral tribunal

Notice of arbitration and statement of claim

Response to the notice of arbitration and statement of defence

Designating and appointing authorities

Number of arbitrators

Appointment of a sole arbitrator

Consultation with the parties

Discretion of the arbitral tribunal with regard to periods of time

Hearings

Counterclaims or claims for the purpose of set off

Amendments and supplements to a claim or defence

Further written statements

Evidence

Period of time for making the award

Annexes to the UNCITRAL Expedited Arbitration Rules

Model arbitration clause for contracts

Model statement

UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration

Article 1. Scope of application

Article 2. Publication of information at the commencement of arbitral proceedings

Article 3. Publication of documents

Article 4. Submission by a third person

Article 5. Submission by a non-disputing Party to the treaty

Article 7. Exceptions to transparency

Article 8. Repository of published information

Explanatory Note to the UNCITRAL Expedited Arbitration Rules