(b) the extent to which the submission would assist the Tribunal in the determination of a factual or legal issue related to the 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;
(b) be concise, and in no case longer than as authorised by the Tribunal;
(c) set out a precise statement of the third person's position on issues; and
(d) only address matters within the scope of the dispute.
5. The Tribunal shall ensure that such submissions do not disrupt or unduly burden the proceedings, or unfairly prejudice any disputing party. The Tribunal may adopt any appropriate procedures where necessary to manage multiple submissions.
6. The Tribunal shall ensure that the disputing parties are given a reasonable opportunity to present their observations on any submission by a third person.
4.
1. Confidential or protected information, as defined in paragraph 2 and as identified pursuant to paragraphs 3 to 9, shall not be made available to the public.
2. Confidential or protected information consists of:
(a) confidential business information;
(b) information which is protected against being made available to the public under this Agreement;
(c) information which is protected against being made available to the public, in the case of information of the respondent, under the law of the respondent and in the case of other information, under any law or rules determined to be applicable to the disclosure of such information by the Tribunal.
3. When a document other than an order or decision of the Tribunal is to be made available to the public pursuant to paragraph 1 of Article 1 of this Annex, the disputing party, non-disputing Party or third person who submits the document shall, at the time of submission of the document:
(a) indicate whether it contends that the document contains information which must be protected from publication;
(b) clearly designate the information at the time it is submitted to the Tribunal; and
(c) promptly or within the time set by the Tribunal, submit a redacted version of the document that does not contain the said information.
4. When a document other than an order or decision of the Tribunal is to be made available to the public pursuant to a decision of the Tribunal under paragraph 2 of Article 1 of this Annex, the disputing party, non-disputing Party or third person who has submitted the document shall, within thirty days of the Tribunalâs decision that the document is to be made available to the public, indicate whether it contends that the document contains information which must be protected from disclosure and submit a redacted version of the document that does not contain the said information.
5. Where a redaction is proposed under paragraph 4, any disputing party other than the person who submitted the document in question may object to the proposed redaction and/or propose that the document be redacted differently. Any such objection or counter-proposal shall be made within thirty days of receipt of the proposed redacted document.
6. When an order, decision or award of the Tribunal is to be made available to the public pursuant to paragraph 1 of Article 1 of this Annex, the Tribunal shall give all disputing parties an opportunity to make submissions as to the extent to which the document contains information which must be protected from publication and to propose redaction of the document to prevent the publication of the said information.
7. The Tribunal shall rule on all questions relating to the proposed redaction of documents under paragraphs 3 to 6, and shall determine, in the exercise of its discretion, the extent to which any information contained in documents which are to be made available to the public, should be redacted.
8. If the Tribunal determines that information should not be redacted from a document pursuant to paragraphs 3 to 6 or that a document should not be prevented from being made available to the public, any disputing party, non-disputing Party or third person that voluntarily submitted the document into the record may, within thirty days of the Tribunal's determination:
(a) withdraw all or part of the document containing such information from the record of the proceedings; or
(b) resubmit the document in a form which complies with the Tribunal's determination.
9. Any disputing party that intends to use information which it contends to be confidential or protected information in a hearing shall so advise the Tribunal. The Tribunal shall, after consultation with the disputing parties, decide whether that information should be protected and shall make arrangements to prevent any protected information from becoming public in accordance with Article 2 of this Annex.
10. Information shall not be made available to the public where the information, if made available to the public, would jeopardise the integrity of the dispute settlement process as determined pursuant to paragraph 11.
11. The 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 jeopardise the integrity of the dispute settlement process:
(a) because it could hamper the collection or production of evidence; or
(b) because it could lead to the intimidation of witnesses, lawyers acting for disputing parties, or members of the Tribunal; or
(c) in comparably exceptional circumstances.
5.
The Secretary-General of the United Nations, through the UNCITRAL Secretariat, shall act as repository and shall make available to the public information pursuant to this Annex.
6.
Where this Annex provides for the Tribunal to exercise discretion, the Tribunal shall exercise that discretion, taking into account:
(a) the public interest in transparency in treaty-based investment dispute resolution and of the particular proceedings; and
(b) the disputing parties' interest in a fair and efficient resolution of their dispute.
ANNEX 9. RULES OF PROCEDURE FOR ARBITRATION
General provisions
1. In Section B (Resolution of Disputes between Parties) of Chapter Three (Dispute Settlement) and under this Annex:
"adviser" means a person retained by a Party to advise or assist that Party in connection with the arbitration panel proceeding;
"arbitrator" means a member of an arbitration panel established under Article 3.29 (Establishment of the Arbitration Panel);
"assistant" means a person who, under the terms of appointment of an arbitrator, conducts research or provides assistance to the arbitrator;
"complaining Party" means any Party that requests the establishment of an arbitration panel under Article 3.28 (Initiation of Arbitration Procedure);
"Party complained against" means the Party that is alleged to be in violation of the provisions referred to in Article 3.25 (Scope);
"arbitration panel" means a panel established under Article 3.29 (Establishment of the Arbitration Panel);
"representative of a Party" means an employee or any person appointed by a government department or agency or any other public entity of a Party who represents the Party for the purposes of a dispute under this Agreement
2. This Annex shall apply to dispute settlement proceedings under Chapter Three (Dispute Settlement) Section B (Resolution of Disputes between Parties) unless the Parties agree otherwise.
3. The Party complained against shall be in charge of the logistical administration of dispute settlement proceedings, in particular the organisation of hearings, unless otherwise agreed. The Parties shall share equally the expenses derived from organisational matters, including the expenses of the arbitrators.
Notifications
4. The Parties and the arbitration panel shall transmit any request, notice, written submission or other document by e-mail, with a copy submitted on the same day by facsimile transmission, registered post, courier, delivery against receipt or any other means of telecommunication that provides a record of the sending thereof. Unless proven otherwise, an e-mail message shall be deemed to be received on the same date of its sending.
5. A Party shall provide an electronic copy of each of its written submissions and rebuttals to each of the arbitrators and simultaneously to the other Party. A paper copy of the document shall also be provided.
6. All notifications shall be addressed to the Director, North America and Europe Division, Singapore Ministry of Trade and Industry and to the Directorate-General for Trade of the European Commission of the Union, respectively.
7. Minor errors of a clerical nature in any request, notice, written submission or other document related to the arbitration panel proceeding may, unless the other Party objects, be corrected by delivery of a new document clearly indicating the changes.
8. If the last day for delivery of a document falls on an official legal holiday of Singapore or of the Union, the document shall be delivered on the next business day.
Commencing the arbitration
10. (a) If pursuant to Article 3.29 (Establishment of the Arbitration Panel) or to Rules 22, 24 or 51 of this Annex, the arbitrators are selected by lot, representatives of both Parties are entitled to be present when lots are drawn.
(b) Unless the Parties agree otherwise, they shall meet the arbitration panel within seven days of its establishment in order to determine such matters that the Parties or the arbitration panel deems appropriate, including the remuneration and expenses to be paid to the arbitrators. Arbitrators and representatives of the Parties may take part in this meeting via telephone or video conference.
11. (a) Unless the Parties agree otherwise within seven days from the date of establishment of the arbitration panel, the terms of reference of the arbitration panel shall be:
"to examine, in the light of the relevant provisions of the Agreement, the matter referred to in the request for establishment of the arbitration panel made pursuant to Article 3.28; to rule on the compatibility of the measure in question with the provisions referred to in Article 3.25 by making findings of law and/or fact, together with the reasons thereof; and to issue a ruling in accordance with Articles 3.31 and 3.32.".
(b) Where the Parties have agreed on the terms of reference of the arbitration panel, they shall notify such agreement to the arbitration panel forthwith.
Initial submissions
12. The complaining Party shall deliver its initial written submission no later than twenty days after the date of establishment of the arbitration panel. The Party complained against shall deliver its written counter-submission no later than twenty days after the date of delivery of the initial written submission.
Working of arbitration panels
13. The chairperson of the arbitration panel shall preside at all its meetings. An arbitration panel may delegate to the chairperson authority to make administrative and procedural decisions.
14. Unless otherwise provided in Chapter Three (Dispute Settlement) Section B (Resolution of Disputes between Parties), the arbitration panel may conduct its activities by any means, including telephone, facsimile transmissions or computer links.
15. Only arbitrators may take part in the deliberations of the arbitration panel, but the arbitration panel may permit its assistants to be present at its deliberations.
16. The drafting of any ruling shall remain the exclusive responsibility of the arbitration panel and shall not be delegated.
17. Where a procedural question arises that is not covered by Chapter Three (Dispute Settlement) Section B (Resolution of Disputes between Parties) and its Annexes, the arbitration panel, after consulting the Parties, may adopt an appropriate procedure that is compatible with those provisions.
18. When the arbitration panel considers that there is a need to modify any time limit applicable in the proceedings or to make any other procedural or administrative adjustment, it shall inform the Parties in writing of the reasons for the change or adjustment and of the period or adjustment needed.
Replacement
19. If an arbitrator is unable to participate in the proceeding, withdraws, or must be replaced, a replacement shall be selected in accordance with Article 3.29 (Establishment of the Arbitration Panel).
20. Where a Party considers that an arbitrator does not comply with the requirements of the Code of Conduct under Annex 11 (hereinafter referred to as "Code of Conduct"), and for this reason should be replaced, this Party should notify the other Party within fifteen days from the time at which it came to know of the circumstances underlying the arbitrator's non-compliance with the Code of Conduct.
21. Where a Party considers that an arbitrator other than the chairperson does not comply with the requirements of the Code of Conduct, the Parties shall consult and, if they so agree, replace the arbitrator and select a replacement following the procedure set out in Article 3.29 (Establishment of the Arbitration Panel).
22. If the Parties fail to agree on the need to replace an arbitrator, any Party may request that such matter be referred to the chairperson of the arbitration panel, whose decision shall be final.
If, pursuant to such a request, the chairperson finds that an arbitrator did not comply with the requirements of the Code of Conduct, a new arbitrator shall be selected.
The Party which had selected the arbitrator who needs to be replaced, shall select one arbitrator from among the remaining relevant individuals on the list established under paragraph 2 of Article 3.44 (Lists of Arbitrators). If the Party fails to select an arbitrator within five days of the finding of the chairperson of the arbitration panel, the chair of the Committee or the chair's delegate shall select an arbitrator, by lot from the remaining relevant individuals on the list established under paragraph 2 of Article 3.44 (Lists of Arbitrators), within ten days of the finding of the chairperson of the arbitration panel.
Should the list provided for in paragraph 2 of Article 3.44 (Lists of Arbitrators) not be established at the time required pursuant to paragraph 4 of Article 3.29 (Establishment of the Arbitration Panel), the Party which had selected the arbitrator who needs to be replaced or, if that Party fails, the chair of the Committee or the chair's delegate shall select an arbitrator within five days of the finding of the chairperson of the arbitration panel:
(a) where the Party had failed to propose individuals, from among the remaining individuals proposed by the other Party pursuant to paragraph 2 of Article 3.44 (Lists of Arbitrators);
(b) where the Parties had failed to agree on a list of names pursuant to Article paragraph 2 of Article 3.44 (Lists of Arbitrators), from among the individuals the Party had proposed pursuant to paragraph 2 of Article 3.44 (Lists of Arbitrators).
23. Where a Party considers that the chairperson of the arbitration panel does not comply with the requirements of the Code of Conduct, the Parties shall consult and, if they so agree, replace the chairperson and select a replacement following the procedure set out in Article 3.29 (Establishment of the Arbitration Panel)
24. If the Parties fail to agree on the need to replace the chairperson, any Party may request that such matter be referred to a neutral third party. If the Parties are unable to agree on a neutral third party, such matter shall be referred to one of the remaining members on the list referred to under paragraph 1 of Article 3.44 (Lists of Arbitrators). Her or his name shall be drawn by lot by the chair of the Committee, or the chair's delegate. The decision by this person on the need to replace the chairperson shall be final.
If this person decides that the original chairperson did not comply with the requirements of the Code of Conduct, the Parties shall agree on the replacement. If the Parties fail to agree on a new chairperson, the chair of the Committee, or the chair's delegate, shall select by lot from among the remaining members on the list referred to under paragraph 1 of Article 3.44 (Lists of Arbitrators). The remaining members on the list shall exclude, where relevant, the person who decided that the original chairperson did not comply with the requirements of the Code of Conduct. The selection of the new chairperson shall be done within five days of the finding of the need to replace the chairperson.
25. The arbitration panel proceedings shall be suspended for the period taken to carry out the procedures provided for in Rules 19, 20, 21, 22, 23 and 24 of this Annex.
Hearings
26. The chairperson shall fix the date and time of the hearing in consultation with the Parties and the other arbitrators, and confirm this in writing to the Parties. This information shall also be made publicly available by the Party in charge of the logistical administration of the proceedings unless the hearing is closed to the public. Unless a Party disagrees, the arbitration panel may decide not to convene a hearing.
27. Unless the Parties agree otherwise, the hearing shall be held in Brussels if the complaining Party is Singapore and in Singapore if the complaining Party is the Union.
28. The arbitration panel may convene additional hearings if the Parties so agree.
29.All arbitrators shall be present during the entirety of any hearings.
30, The following persons may attend the hearing, irrespective of whether the proceedings are open to the public or not:
(a) representatives of the Parties;
(b) advisers to the Parties;
(c) administrative staff, interpreters, translators and court reporters; and
(d) arbitrators' assistants.
Only the representatives of and advisers to the Parties may address the arbitration panel.
31. No later than five days before the date of a hearing, each Party shall deliver to the arbitration panel, and simultaneously to the other party, a list of the names of persons who will make oral arguments or presentations at the hearing on behalf of that Party and of other representatives or advisers who will be attending the hearing.
32. The hearings of the arbitration panels shall be open to the public, unless the Parties decide that the hearings shall be partially or completely closed to the public. Where the hearings are open to the public, unless the Parties agree otherwise:
(a) public viewing shall take place via simultaneous closed circuit television broadcast to a separate viewing room at the venue of the arbitration;
(b) registration for public viewing of the hearings shall be required;
(c) no audio or video recording or photography shall be permitted in the viewing room;
(d) the panel shall have the right to call for a closed session of any of the hearings in order to address issues related to any confidential information.
The arbitration panel shall meet in closed session when the submission and arguments of a Party contains confidential information. Exceptionally, the panel shall have the right to conduct the hearings in a closed session at any time on its own initiative or at the request of either Party.
33. The arbitration panel shall conduct the hearing in the following manner, ensuring that the complaining Party and the Party complained against are afforded equal time:
Submissions
(a) submission of the complaining Party;
(b) counter-submission of the Party complained against;
Rebuttals
(a) rebuttal of the complaining Party;
(b) counter-rebuttal of the Party complained against.
34. The arbitration panel may direct questions to either Party at any time during the hearing.
35. The arbitration panel shall arrange for a transcript of each hearing to be prepared and delivered as soon as possible to the Parties.
36. Each Party may deliver to the arbitration panel and simultaneously to the other Party a supplementary written submission concerning any matter that arose during the hearing within ten days of the date of the hearing.
Questions in writing
37. The arbitration panel may at any time during the proceedings address questions in writing to one or both Parties. Each of the Parties shall receive a copy of any questions put by the arbitration panel.
38. Each Party shall also provide a copy of its written response to the arbitration panel's questions to the arbitration panel and simultaneously to the other Party. Each Party shall be given the opportunity to provide written comments on the other Party's reply within five days of the date of receipt.
Confidentiality
39. The Parties and their advisers shall maintain the confidentiality of the arbitration panel hearings where the hearings are held in closed session, in accordance with Rule 32 of this Annex, the deliberations and interim panel report, and all written submissions to, and communications with, the panel. Each Party and its advisers shall treat as confidential any information submitted by the other Party to the arbitration panel which that Party has designated as confidential. Where a Party's submission to the arbitration panel contains confidential information, that Party shall also provide, upon request of the other Party, within fifteen days, a non-confidential version of the submission that could be disclosed to the public. Nothing in this Annex shall preclude a Party from disclosing statements of its own positions to the public to the extent that, when making reference to information submitted by the other Party, it does not disclose any information designated by the other Party as confidential.
Ex parte contacts
40. The arbitration panel shall not meet, hear or otherwise contact a Party in the absence of the other Party.
41. No arbitrators may discuss any aspect of the subject matter of the proceedings with a Party or the Parties in the absence of the other arbitrators.
Amicus curiae submissions
42. Unless the Parties agree otherwise within three days of the date of the establishment of the arbitration panel, the arbitration panel may receive unsolicited written submissions from interested natural or legal persons of the Parties, provided that they are made within ten days of the date of the establishment of the arbitration panel, that they are concise and in no case longer than 15 typed pages, including any annexes, and that they are directly relevant to the factual issue under consideration by the arbitration panel.
43. The submission shall contain a description of the person making the submission, whether natural or legal, including its nationality or place of establishment the nature of their activities and the source of its financing, and specify the nature of the interest that the person has in the arbitration proceeding. It shall be drafted in the languages chosen by the Parties in accordance with Rule 46 of this Annex.
44. The arbitration panel shall list in its ruling all the submissions it has received that conform to Rules 42 and 43 of this Annex. The arbitration panel shall not be obliged to address in its ruling the arguments made in such submissions. Any submission obtained by the arbitration panel under this Annex shall be submitted to the Parties for their comments.
Urgent cases
45. In cases of urgency referred to in Chapter Three (Dispute Settlement) Section B (Resolution of Disputes between Parties), the arbitration panel, after consulting the Parties, shall adjust the time limits referred to in this Annex as appropriate and shall notify the Parties of such adjustments.
Translation and interpretation
46. During the consultations referred to in Article 3.26 (Consultations), and no later than the meeting referred to in Rule 10(b) of this Annex, the Parties shall endeavour to agree on a common working language for the proceedings before the arbitration panel.
47. Any Party may provide comments on any translated version of a document drawn up in accordance with this Annex.
48. In the event of any divergence over the interpretation of this Agreement, the arbitration panel shall take account of the fact that this Agreement was negotiated in English.
Calculation of time-limits
49. Where, by reason of the application of Rule 8 of this Annex, a Party receives a document on a date other than the date on which this document is received by the other Party, any period of time that is calculated on the basis of the date of receipt of that document shall be calculated from the last date of receipt of that document.
Other procedures
50. This Annex is also applicable to procedures established under paragraph 2 of Article 3.34 (Reasonable Period of Time for Compliance), paragraph 2 of Article 3.35 (Review of Any Measure Taken to Comply with the Arbitration Panel Ruling), paragraph 3 of Article 3.36 (Temporary Remedies in Case of Non-compliance), paragraph 2 of Article 3.37 (Review of Any Measure Taken to Comply After the Adoption of Temporary Remedies for Non-Compliance). The time-limits laid down in this Annex shall be adjusted in line with the special time-limits provided for the adoption of a ruling by the arbitration panel in those other procedures.
51. In the event of the original panel, or some of its members, being unable to reconvene for the procedures established under paragraph 2 of Article 3.34 (Reasonable Period of Time for Compliance), paragraph 2 of Article 3.35 (Review of Any Measure Taken to Comply with the Arbitration Panel Ruling), paragraph 3 of Article 3.36 (Temporary Remedies in Case of Non- compliance), paragraph 2 of Article 3.37 (Review of Any Measure Taken to Comply After the Adoption of Temporary Remedies for Non-Compliance), the procedures set out in Article 3.29 (Establishment of the Arbitration Panel) shall apply. The time limit for the notification of the ruling shall be extended by fifteen days.
ANNEX 10. MEDIATION PROCEDURE FOR DISPUTES BETWEEN PARTIES
1. Objective and Scope
1. The objective of this Annex is to facilitate the finding of a mutually agreed solution through a comprehensive and expeditious procedure with the assistance of a mediator.
2. This Annex shall apply to any measure under the scope of this Agreement adversely affecting trade or investment between the Parties, except as otherwise provided.
2. Request for Information
1. Before the initiation of the mediation procedure, a Party may request at any time in writing information regarding a measure adversely affecting trade or investment between the Parties. The Party to which such request is made shall provide, within twenty days, a written response.
2. Where the responding Party considers that a response within twenty days is not practicable, it shall inform the requesting Party of the reasons for the delay, together with an estimate of the shortest period within which it will be able to provide its response.
3. Initiation of the Procedure
1. A Party may request, at any time, that the Parties enter into a mediation procedure. Such request shall be addressed to the other Party in writing. The request shall be sufficiently detailed to present clearly the concerns of the requesting Party and shall:
(a) identify the specific measure at issue;
(b) provide a statement of the alleged adverse effects that the requesting Party believes the measure has, or will have, on trade or investment between the Parties; and
(c) explain how the requesting Party considers that those effects are linked to the measure.
2. The Party to which such request is addressed shall give sympathetic consideration to the request and reply by accepting or rejecting it in writing within ten days of its receipt.
4. Selection of the Mediator
1. The Parties shall endeavour to agree on a mediator no later than fifteen days after the receipt of the reply to the request referred to in paragraph 2 of Article 3 (Initiation of the Procedure) of this Annex.