New UNCITRAL Arbitration Rules on Transparency: Application, Content and Next Steps

The report examines the UNCITRAL Rules on Transparency adopted in July 2013, which shift the presumption in investor-State arbitration from privacy to openness. It details the rules' application—default for treaties concluded after April 1, 2014, and 'opt-in' for earlier treaties—and outlines mandatory disclosures of notices, documents, and hearings. The document also discusses the role of the UN Secretary-General as the information repository and suggests next steps, including the development of a transparency convention to facilitate broader adoption.

• The UNCITRAL Rules on Transparency apply by default to investor-State arbitrations under treaties concluded on or after April 1, 2014, unless the treaty parties agree otherwise.
• For treaties concluded before April 1, 2014, the Rules on Transparency only apply if the disputing parties agree to them or if the State parties to the treaty agree to their application after that date.
• The rules mandate the prompt public disclosure of basic case information—including the names of the parties, the economic sector, and the applicable treaty—once the respondent receives the notice of arbitration.
• Certain documents are subject to automatic mandatory disclosure, including the notice of arbitration, statements of claim and defence, hearing transcripts, and the tribunal's final awards.
• Expert reports and witness statements are not automatically disclosed but must be made public if any person requests them from the tribunal.
• Hearings are generally required to be public, though the tribunal may hold parts in private to protect confidential information, maintain the integrity of the process, or for logistical reasons.
• The rules allow for submissions from third persons (amicus curiae) and non-disputing State parties to the treaty, with the latter being required to be accepted for issues of treaty interpretation.
• Exceptions to transparency exist for confidential business information, information protected by the respondent State's law, and information that would impede law enforcement or jeopardize the integrity of the process.
• Respondent States have a self-judging exception to withhold information they consider contrary to their essential security interests.
• The UN Secretary-General is designated as the primary repository for published information, with the Permanent Court of Arbitration (PCA) serving as a temporary alternative if resources are unavailable.

APA

Johnson, L., & Bernasconi-Osterwalder, N. (2013). New UNCITRAL Arbitration Rules on Transparency: Application, Content and Next Steps. Center for International Environmental Law. https://www.ciel.org/wp-content/uploads/2015/06/UNCITRAL_Transparency_Aug2013.pdf

Chicago

Johnson, Lise, and Nathalie Bernasconi-Osterwalder. New UNCITRAL Arbitration Rules on Transparency: Application, Content and Next Steps. Center for International Environmental Law, 2013. https://www.ciel.org/wp-content/uploads/2015/06/UNCITRAL_Transparency_Aug2013.pdf.

Wikipedia

{{cite report |last1=Johnson |first1=Lise |last2=Bernasconi-Osterwalder |first2=Nathalie |title=New UNCITRAL Arbitration Rules on Transparency: Application, Content and Next Steps |publisher=Center for International Environmental Law |date=August 2013 |url=https://www.ciel.org/wp-content/uploads/2015/06/UNCITRAL_Transparency_Aug2013.pdf |access-date=23 October 2026 |via=Climate Insights Directory}}

BibTeX

@techreport{johnson2013new, author = {Johnson, Lise and Bernasconi-Osterwalder, Nathalie}, title = {{New UNCITRAL Arbitration Rules on Transparency: Application, Content and Next Steps}}, institution = {Center for International Environmental Law}, year = {2013}, month = aug, url = {https://www.ciel.org/wp-content/uploads/2015/06/UNCITRAL_Transparency_Aug2013.pdf}, urldate = {2026-10-23}, note = {Indexed by Climate Insights Directory} }