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UNCITRAL联合国国际贸易法委员会
UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW贸易法委员会投资人与国家间
UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration基于条约仲裁透明度规则
UNITED NATIONS New York, 2014联合国 可向贸易法委员会秘书处索取进一步资料:
© United Nations: United Nations Commission on International Trade Law.UNCITRAL secretariat, Vienna International Centre P.O. Box 500, 1400 Vienna, Austria Telephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813 Internet: www.uncitral.org E-mail: uncitral@uncitral.org 联合国国际贸易法委员会 贸易法委员会投资人与国家间 基于条约仲裁透明度规则 联合国 2014年,纽约 © 联合国:联合国国际贸易法委员会。
January 2014.2014年1月。
All rights reserved.版权所有。
This publication has not been formally edited.本出版物未经正式编辑。
Publishing production: English, Publishing and Library Section. United Nations Office at Vienna.出版:联合国维也纳办事处英文、出版和图书馆科。
Contents目录
Page页次
General Assembly resolution 68/109大会第68/109号决议
1 UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration 5贸易法委员会投资人与国家间基于条约仲裁透明度规则
Article 1.第1条
Scope of application适用范围
5《规则》的适用性
Applicability of the Rules《规则》的适用
5仲裁庭的裁量权和权力
Application of the Rules冲突情况下应适用的文书
5在非贸易法委员会仲裁中的适用
Discretion and authority of the arbitral tribunal第2条
6在仲裁程序启动时公布信息
Applicable instrument in case of conflict第3条
6文件的公布
Application in non-UNCITRAL arbitrations第4条
7第三人提交材料
Article 2.第5条
Publication of information at the  commencement of arbitral proceedings 7 Article 3. Publication of documents 7 Article 4. Submission by a third person 8 Article 5. Submission by a non-disputing Party to  the treaty 9非争议方条约缔约方提交材料
Article 6.第6条
Hearings审理
10第7条
Article 7.透明度的例外情形
Exceptions to transparency机密信息或受保护信息
10仲裁过程完整性
Confidential or protected information第8条
10已公布信息存储处
Integrity of the arbitral process2013年12月16日大会决议 [根据第六委员会的报告(A/68/462)通过]
1268/109.
Article 8.联合国国际贸易法委员会《投资人与国家间
Repository of published information基于条约仲裁透明度规则》和《仲裁规则》 (2010年修订,新增2013年通过的第1条第4款)
12大会,
Resolution adopted by the General Assembly on 16 December 2013回顾其1966年12月17日第2205 (XXI)号决议设立了联合国国际贸易法委员会,其任务是促进国际贸易法之逐渐协调与统一,并在这方面念及所有人民,尤其是发展中国家人民,在国际贸易扩大发展中之利益,
[on the report of the Sixth Committee (A/68/462)]确认仲裁作为解决国际关系中可能产生的争议的一个方法很有价值,而且仲裁广泛用于解决投资人与国家间基于条约的争议,
68/109. United Nations Commission on International Trade Law Rules on Transparency in Treaty-based Investor-State Arbitration and Arbitration Rules (as revised in 2010, with new article 1, paragraph 4, as adopted in 2013)回顾其1976年12月15日第31/98号决议和2010年12月6日第65/22号决议建议采用《联合国国际贸易法委员会仲裁规则》,
The General Assembly,《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第五章,C节;同上,《第六十五届会议,补编第17号》(A/65/17),第三章和附件一。
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 progressive 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,考虑到《仲裁规则》广泛用于解决投资人与国家间基于条约的争议,
Recognizing the value of arbitration as a method of settling disputes that may arise in the context of international relations and the wide use of arbitration for the settlement of treaty-based investor-State disputes,确认关于解决投资人与国家间基于条约争议的透明度规定需要考虑到此类仲裁中所牵涉的公共利益,
Recalling its resolutions 31/98 of 15 December 1976 and 65/22 of 6 December 2010, in which it recommended the use of the Arbitration Rules of the United Nations Commission on International Trade Law,相信投资人与国家间基于条约仲裁透明度规则将大大有助于建立公平高效解决国际投资争议的统一法律框架,提高透明度,加强问责制,促进善治, 注意到委员会第四十六届会议通过了《投资人与国家间基于条约仲裁透明度规则》,并修正了《仲裁规则》(2010年修订),新增了提及《透明度规则》的第1条第4款, 同上,《第六十八届会议,补编第17号》(A/68/17),第三章和附件一。 同上,第三章和附件二。 又注意到《透明度规则》可供在根据《仲裁规则》以外的规则启动的投资人与国家间仲裁中或在特别程序中使用, 还注意到委员会就拟订《透明度规则》进行了适当的审议,审议工作受益于与各国政府以及有关政府间组织和国际非政府组织的协商, 1. 赞赏联合国国际贸易法委员会拟订并通过《投资人与国家间基于条约仲裁透明度规则》和《仲裁规则》(2010年修订,新增2013年通过的第1条第4款),其案文载于委员会第四十六届会议工作报告附件;
Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), chap. V, sect.《大会正式记录,第六十八届会议,补编第17号》(A/68/17)。
C; and ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), chap. III and annex I. Bearing in mind that the Arbitration Rules are widely used for the settlement of treaty-based investor-State disputes,2. 请秘书长发布并广泛传播《透明度规则》和《仲裁规则》(2010年修订,新增2013年通过的第1条第4款)的案文,包括以电子方式发布并广泛传播,并将单独案文发送给各国政府和对争议解决领域感兴趣的组织; 3. 建议在《透明度规则》第1条界定的适用范围内使用这些规则解决投资争议,并请选择将这些规则纳入其条约的会员国就此通报委员会;
Recognizing the need for provisions on transparency in the settlement of such treaty-based investor-State disputes to take account of the public interest involved in such arbitrations,4. 又建议,除非相关条约有任何规定可能要求更高程度的透明度,否则《透明度规则》应通过适当的机制适用于根据《规则》生效前缔结的保护投资人或投资的条约启动的投资人与国家间的仲裁,但适用时应以符合这些条约为限。
Believing that rules on transparency in treaty-based investor-State arbitration would contribute significantly to the establishment of a harmonized legal framework for a fair and efficient settlement of international investment disputes, increase transparency and accountability and promote good governance,2013年12月16日 第68次全体会议 贸易法委员会投资人与国家间基于条约仲裁透明度规则 第1条 适用范围 《规则》的适用性 1. 《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》)应适用于依照2014年4月1日及之后订立的为投资或投资人提供保护的条约(“条约”),在《贸易法委员会仲裁规则》下提起的投资人与国家间的仲裁,除非该条约缔约方另有约定。 * 就《透明度规则》而言,‘条约’应广义理解为涵盖其中载有保护投资或投资人以及投资人对条约缔约方诉诸仲裁的权利的规定的任何双边或多边条约,包括通常被称为自由贸易协定、经济一体化协定、贸易和投资框架或合作协定或者双边投资条约的任何条约。 ** 就《透明度规则》而言,凡提及“条约缔约方”或“国家”之处,均包括例如成为条约缔约方的区域经济一体化组织。
Noting that the Commission, at its forty-sixth session, adopted the Rules on Transparency in Treaty-based Investor-State Arbitration and amended the Arbitration Rules as revised in 2010 to include, in a new article 1, paragraph 4, a reference to the Rules on Transparency,2. 投资人与国家间的仲裁依照2014年4月1日前订立的条约提起的,本《规则》仅在下列情况下适用:
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), chap. III and annex I. Ibid.(a) 仲裁各方当事人(“争议各方”)同意对该仲裁适用本《规则》;或者,
chap. III and annex II.(b) 条约缔约方,或者涉及多边条约的,申请人所属国和被申请国,在2014年4月1日后同意适用本《规则》。
Noting also that the Rules on Transparency are available for use in investor-State arbitrations initiated under rules other than the Arbitration Rules or in ad hoc proceedings,《规则》的适用
Noting further that the preparation of the Rules on Transparency was the subject of due deliberation in the Commission and that they benefited from consultations with Governments and interested intergovernmental and international non-governmental organizations,3. 在根据条约或者条约缔约方的协议适用《透明度规则》的任何仲裁中:
1. Expresses its appreciation to the United Nations Commission on International Trade Law for having prepared and adopted the Rules on Transparency in Treaty-based Investor-State Arbitration2 and the Arbitration Rules (as revised in 2010, with new article 1, paragraph 4, as adopted in 2013),3 as annexed to the report of the Commission on the work of its forty-sixth session;(a) 争议各方不得以协议或者以其他方式减损本《规则》,除非条约允许这样做;
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17).(b) 除本《规则》某些条款赋予仲裁庭的裁量权之外,仲裁庭还应有权力经与争议各方协商后调整本《规则》任何特定条款的要求,使之适合案件特殊情况,但此种调整应是以务实方式进行仲裁所必需的,并且是与本《规则》的透明度目标相一致的。
2. Requests the Secretary-General to publish, including electronically, and disseminate broadly the text of the Rules on Transparency, both together with the Arbitration Rules (as revised in 2010, with new article 1, paragraph 4, as adopted in 2013) and as a stand-alone text, and to transmit them to Governments and organizations interested in the field of dispute settlement;仲裁庭的裁量权和权力
3. Recommends the use of the Rules on Transparency in relation to the settlement of investment disputes within the scope of their application as defined in article 1 of the Rules, and invites Member States that have chosen to include the Rules in their treaties to inform the Commission accordingly;4. 《透明度规则》规定仲裁庭行使裁量权的,仲裁庭在行使此种裁量权时应考虑到:
4. Also recommends that, subject to any provision in rele­vant treaties that may require a higher degree of transparency than that provided in the Rules on Transparency, the Rules be applied through appropriate mechanisms to investor-State arbitration initiated pursuant to treaties providing for the protection of investors or investments concluded before the date of coming into effect of the Rules, to the extent that such application is consistent with those treaties.(a) 对于投资人与国家间基于条约的仲裁和特定仲裁程序的透明度的公共利益,以及
68th plenary meeting 16 December 2013(b) 争议各方对于公平、高效解决其争议的利益。
UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration5. 本《规则》不影响仲裁庭根据《贸易法委员会仲裁规则》可能享有的以可促进透明度的方式——例如,接受第三方的提交书——进行仲裁的权力。
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 pro­tection 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 multi­lateral 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 understood 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. (b) The arbitral tribunal shall have the power, besides its discretionary authority under certain provisions of these Rules, to adapt the requirements of any specific provision of these Rules to the particular circumstances of the case, after consultation with the disputing parties, if such adaptation is necessary to conduct the arbitration in a practical manner and is consistent with the transparency objective of these Rules. Discretion and authority of the arbitral tribunal 4. Where the Rules on Transparency provide for the arbitral tribunal to exercise discretion, the arbitral tribunal in exercising such discretion shall take into account: (a) The public interest in transparency in treaty-based investor-State arbitration and in the particular arbitral proceedings; and (b) The disputing parties’ interest in a fair and efficient resolution of their dispute. 5. These Rules shall not affect any authority that the arbitral tribunal may otherwise have under the UNCITRAL Arbitration Rules to conduct the arbitration in such a manner as to promote transparency, for example by accepting submissions from third persons. 6. In the presence of any conduct, measure or other action having the effect of wholly undermining the transparency objectives of these Rules, the arbitral tribunal shall ensure that those objectives prevail. Applicable instrument in case of conflict 7. Where the Rules on Transparency apply, they shall supplement any applicable arbitration rules. Where there is a conflict between the Rules on Transparency and the applicable arbitration rules, the Rules on Transparency shall prevail. Notwithstanding any provision in these Rules, where there is a conflict between the Rules on Transparency and the treaty, the provisions of the treaty shall prevail. 8. Where any of these Rules is in conflict with a provision of the law applicable to the arbitration from which the disputing parties cannot derogate, that provision shall prevail. Application in non-UNCITRAL arbitrations 9. These Rules are available for use in investor-State arbi­trations 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 respondent, 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 sub­missions 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. 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 prescribed 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 documents 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 arbitral 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 financial 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); (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 arbitration 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 submission on behalf of the third person;6. 如果存在任何具有完全削弱本《规则》透明度目标的行为、措施或其他行动,仲裁庭应确保这些目标得以实现。
(b) Be concise, and in no case longer than as authorized by the arbitral tribunal;冲突情况下应适用的文书
(c) Set out a precise statement of the third person’s position on issues; and7. 适用《透明度规则》的,《透明度规则》应补充任何适用的仲裁规则。
(d) Address only matters within the scope of the dispute.《透明度规则》与适用的仲裁规则有冲突的,应以《透明度规则》为准。
5. The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party.《透明度规则》与条约有冲突的,不论本《规则》有何规定,仍以条约规定为准。
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.8. 本《规则》任一条款与仲裁所适用的某项法律规定有冲突,而争议各方又不得减损该法律规定的,应以该法律规定为准。
Article 5. Submission by a non-disputing Party to the treaty在非贸易法委员会仲裁中的适用
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.9. 本《规则》可在根据《贸易法委员会仲裁规则》以外的规则提起的投资人与国家间的仲裁中或者在临时程序中使用。
2. The arbitral tribunal, after consultation with the disputing parties, may allow submissions on further matters within the scope of the dispute from a non-disputing Party to the treaty.第2条
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 submissions which would support the claim of the investor in a manner tantamount to diplomatic protection.在仲裁程序启动时公布信息
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 2.一俟被申请人收到仲裁通知,争议各方即应迅速将仲裁通知副本发送给第8条所述及的存储处。
4. The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party.存储处从被申请人处收到仲裁通知,或者存储处收到仲裁通知及该通知已发给被申请人的记录,即应迅速向公众提供关于争议各方名称、所涉经济部门以及提出有关申请所依据的条约的信息。
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第3条
1. Subject to article 6, paragraphs 2 and 3, hearings for the presentation of evidence or for oral argument (“hearings”) shall be public.文件的公布
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 appropriate by organizing attendance through video links or such other means as it deems appropriate).1. 除第7条另有规定外,应向公众提供下列文件:仲裁通知、对仲裁通知的答复、申请书、答辩书以及任何争议方提交的任何进一步书面陈述或书面材料;上述文件的所有证物以及专家报告和证人陈述的证物的清单(尚未为程序编拟的此种清单不在此列),但并非证物本身;非争议方条约缔约方以及第三人提交的任何书面材料、审理笔录(如果有)以及仲裁庭的命令、决定和裁决。
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 circumstances render any original arrangement for public access to a hearing infeasible. Article 7. Exceptions to transparency2. 除第7条另有规定外,经任何人向仲裁庭提出请求,应向公众提供专家报告和证人陈述,但专家报告和证人陈述的证物不包括在内。
Confidential or protected information3. 除第7条另有规定外,仲裁庭可以自行或者经任何人请求,经与争议各方协商后,决定是否以及如何公布证物以及向仲裁庭提供的或者由仲裁庭印发的不在前述第1款或第2款范围之内的其他任何文件。 例如,这可以包括在规定的场所公布此种文件。 4. 根据第1款和第2款向公众提供的文件,应由仲裁庭尽早发送给第8条所述及的存储处,但须遵守第7条规定的保护机密信息或受保护信息的任何相关安排或时限。 根据第3款将公布的文件,可在获得此种文件时由仲裁庭发送给第8条所述及的存储处,适用的,应根据第7条以检禁形式发送。 存储处应以所收到文件的原有形式和语文及时公布这些文件。 5. 根据第3款获准查阅文件的人应负担向其提供这些文件的相关行政管理费,如文件影印费和向其运送文件的费用,但不包括通过存储处向公众提供这些文件的费用。 第4条 第三人提交材料
1. Confidential or protected information, as defined in paragraph 2 and as identified pursuant to the arrangements referred to in paragraphs 3 and 4, shall not be made available to the public pursuant to articles 2 to 6.1. 经与争议各方协商后,仲裁庭可允许既不是争议方又不是非争议方条约缔约方的人(“第三人”)就争议范围内的事项向仲裁庭提交书面材料。
2. Confidential or protected information consists of:2. 第三人希望提交材料的,应向仲裁庭提出申请,并应以仲裁所使用的语文,以简洁方式,在仲裁庭规定的页数限制内提供下列书面材料:
(a) Confidential business information;(a) 说明第三人的情况,相关的,包括其成员身份和法律地位(例如行业协会或其他非政府组织)、其总目标、其活动的性质以及任何上级组织(包括对第三人直接或间接进行控制的任何组织);
(b) Information that is protected against being made available to the public under the treaty;(b) 披露第三人与任何争议方的任何直接或间接关联;
(c) Information that is protected against being made available to the public, in the case of the information of the respondent State, under the law of the respondent State, and in the case of other information, under any law or rules determined by the arbitral tribunal to be applicable to the disclosure of such information; or(c) 提供关于向第三人提供了下述援助的任何政府、个人或组织的信息: = 1 \* GB4 ㈠在准备提交材料过程中提供的任何资金或其他援助;或者 = 2 \* GB4 ㈡在第三人根据本条提出申请之前的两年中有一年提供了大量援助(例如,为第三人全年经营总费用注资约20%);
(d) Information the disclosure of which would impede law enforcement.(d) 说明第三人在仲裁中的利益的性质;以及
3. The arbitral tribunal, after consultation with the disputing parties, shall make arrangements to prevent any confidential or protected information from being made available to the public, including by putting in place, as appropriate:(e) 指明第三人希望在其书面提交材料中阐述的仲裁中的具体事实或法律问题。 3. 在确定是否允许提交此类材料时,除仲裁庭确定的其他相关因素外,仲裁庭应考虑到下列方面: (a) 第三人是否在仲裁程序中有重大利益;以及 (b) 所提交的材料将在何种程度上通过提出不同于争议各方的观点、特别知识或见解而有助于仲裁庭确定与仲裁程序相关的某一事实或法律问题。 4. 第三人提交的材料应:
(a) Time limits in which a disputing party, non-disputing Party to the treaty or third person shall give notice that it seeks protection for such information in documents;(a) 由代表第三人提交材料的人注明日期并签名;
(b) Procedures for the prompt designation and redaction of the particular confidential or protected information in such documents; and(b) 行文简洁,篇幅无论如何不超过仲裁庭允许的限数;
(c) Procedures for holding hearings in private to the extent required by article 6, paragraph 2.(c) 准确阐明第三人在所涉问题上的立场;并且
Any determination as to whether information is confidential or protected shall be made by the arbitral tribunal after consultation with the disputing parties.(d) 只涉及争议范围内的事项。
4. Where the arbitral tribunal determines that information should not be redacted from a document, or that a document should not be prevented from being made available to the public, any disputing party, non-disputing Party to the treaty or third person that voluntarily introduced the document into the record shall be permitted to withdraw all or part of the document from the record of the arbitral proceedings.5. 仲裁庭应确保任何提交材料不对仲裁程序造成干扰或不适当的负担,或对任何争议方造成不公正的损害。
5. Nothing in these Rules requires a respondent State to make available to the public information the disclosure of which it considers to be contrary to its essential security interests.6. 仲裁庭应确保给予争议各方就第三人提交的任何材料发表意见的合理机会。
Integrity of the arbitral process第5条 非争议方条约缔约方提交材料 1. 仲裁庭应在遵守第4款的前提下,允许非争议方条约缔约方就条约解释问题提交材料,或者经与争议各方协商后,可邀请非争议方条约缔约方就条约解释问题提交材料。 2. 经与争议各方协商后,仲裁庭可允许非争议方条约缔约方就争议范围内的进一步事项提交材料。 在决定是否允许提交此种材料时,除仲裁庭确定的其他相关因素外,仲裁庭应考虑到第4条第3款中提及的若干因素,以及为更加明确起见,考虑到需要避免以相当于外交保护的方式支持投资人请求的提交材料。 3. 根据第1款或第2款邀请提交材料而未收到任何提交材料或答复的,仲裁庭不应由此作出任何推论。 4. 仲裁庭应确保任何提交材料不对仲裁程序造成干扰或不适当的负担,或对任何争议方造成不公正的损害。 5. 仲裁庭应确保给予争议各方就非争议方条约缔约方提交的任何材料发表意见的合理机会。 第6条 审理 1. 除第6条第2款和第3款另有规定外,为出示证据或进行口头辩论而进行的审理(“审理”)应公开举行。 2. 依照第7条有必要保护机密信息或者仲裁程序完整性的,仲裁庭应作出安排,不公开举行需要此种保护的审理部分。 3. 仲裁庭可作出实际安排,便利公众列席审理(酌情包括通过视频链接或其认为适当的其他手段安排列席)。 但是,经与争议各方协商后,仲裁庭可决定在出于实际原因而变得有必要时(例如,情况使得原来安排的公众列席审理不可行)不公开举行全部或部分审理。 第7条 透明度的例外情形 机密信息或受保护信息 1. 第2款所界定以及按照第3款和第4款述及的安排所指明的机密信息或受保护信息,不应根据第2条至第6条提供给公众。 2. 机密信息或受保护信息包括: (a) 商业机密信息; (b) 根据条约受到保护而不得向公众提供的信息; (c) 根据被申请国的法律受到保护而不得向公众提供的被申请国的信息,以及根据仲裁庭认定适用于其他信息披露的任何法律或规则受到保护而不得向公众提供的此种其他信息;或者 (d) 披露信息将妨碍执行法律的信息。 3. 经与争议各方协商后,仲裁庭应作出安排,防止向公众提供任何机密信息或受保护信息,包括酌情实施: (a) 争议方、非争议方条约缔约方或第三人应就其寻求保护文件中的此类信息发出通知的时限; (b) 迅速指定并检禁此类文件中特定机密信息或受保护信息的程序;以及 (c) 在第6条第2款规定的限度内举行非公开审理的程序。 关于信息是否属于机密信息或受保护信息的裁定,应由仲裁庭经与争议各方协商后作出。 4. 仲裁庭裁定不应从某一文件中检禁信息的,或者不应阻止向公众提供某一文件的,应允许自愿将该文件纳入记录的任何争议方、非争议方条约缔约方或第三人从仲裁程序记录中撤出整份文件或文件的一部分。 5. 被申请国认为信息披露将违背其基本安全利益的,本《规则》概不要求被申请国向公众提供有关信息。 仲裁过程完整性
6. Information shall not be made available to the public pursuant 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 7.6. 根据第2条至第6条向公众提供信息,如果会对仲裁过程完整性造成第7条所确定的损害,不得提供此种信息。
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 evidence, lead to the intimidation of witnesses, lawyers acting for disputing parties or members of the arbitral tribunal, or in comparably exceptional circumstances.7. 公布信息将因为可能妨碍收集或出示证据或者导致对证人、争议各方代理律师或仲裁庭成员的恐吓而损害仲裁过程完整性的,或者在相当的特殊情形下损害仲裁过程完整性的,仲裁庭可自行或根据争议一方的申请,在实际可行的情况下经与争议各方协商后,采取适当措施,限制或推迟公布信息。
Article 8. Repository of published information第8条 已公布信息存储处
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.《透明度规则》下的已公布信息存储处应为联合国秘书长或贸易法委员会指定的一个机构。