# 全球仲裁机构仲裁规则参考书 # Global Arbitration Rules Reference Book **中英文分卷合订本** *Bilingual Edition — Chinese Volume & English Volume* --- **编纂：** DWAC（数字世界仲裁中心）研究系列 **版本：** v2.2 正式出版稿 — 本版本经 Fresa Li · Dr. Frontie · Dr. Gochye · Dr. Venessa 审阅定稿 **评论专家：** Fresa Li · Dr. Frontie · Dr. Gochye · Dr. Venessa · 灵犀 **日期：** 2026年6月 --- ## 总目录 / General Table of Contents | 章节 | 机构名称 | 中文卷页码 | 英文卷页码 | 专家评论 | |:---:|---------|:--------:|:--------:|:--------:| | Chapter 1 | ICC International Court of Arbitration | ✓ | ✓ | 2/5 | | Chapter 2 | LCIA London Court of International Arbitration | ✓ | ✓ | 2/5 | | Chapter 3 | SIAC Singapore International Arbitration Centre | ✓ | ✓ | 2/5 | | Chapter 4 | HKIAC Hong Kong International Arbitration Centre | ✓ | ✓ | 2/5 | | Chapter 5 | SCC Stockholm Chamber of Commerce | ✓ | ✓ | 2/5 | | Chapter 6 | CIETAC — China International Economic and Trade Arbitration Commission | ✓ | ✓ | 2/5 | | Chapter 7 | WIPO Arbitration and Mediation Center | ✓ | ✓ | 2/5 | | Chapter 8 | PCA Permanent Court of Arbitration | ✓ | ✓ | 2/5 | | Chapter 9 | CRCICA Cairo Regional Centre for International Commercial Arbitration | ✓ | ✓ | 2/5 | | Chapter 10 | CAM-CCBC Brazil-Canada Chamber of Commerce Arbitration Center | ✓ | ✓ | 2/5 | | | **扩展评论** | | | | | Extended 1 | ICDR International Centre for Dispute Resolution | Fr | ✓ | 1/5 | | Extended 2 | ICSID International Centre for Settlement of Investment Disputes | Fr | — | 1/5 | | Extended 3 | UNCITRAL Arbitration Rules | Fr | — | 1/5 | | Extended 4 | VIAC Vienna International Arbitral Centre | Fr | — | 1/5 | | Extended 5 | DIS German Arbitration Institution | Fr | — | 1/5 | | Extended 6 | Swiss Rules (SCAI) | Fr | — | 1/5 | | Extended 7 | KCAB International | Fr | — | 1/5 | | Extended 8 | JCAA Japan Commercial Arbitration Association | Fr | — | 1/5 | | Extended 9 | AIAC Asian International Arbitration Centre | Fr | — | 1/5 | | Extended 10 | DIAC Dubai International Arbitration Centre | Fr | — | 1/5 | | | **附录** | | | | | Appendix | 比较法谱系分析（Dr. Gochye） | ✓ | — | — | | 附章A | ICDR 完整规则文本 | ✓ | ✓ | — | | | **第四部分：其他仲裁相关机构** | | | | | S1 | BCDR-AAA 巴林争议解决中心 | ✓ | ✓ | — | | S2 | SCCA 沙特商业仲裁中心 | ✓ | ✓ | — | | S3 | CIArb 英国特许仲裁员学会 | ✓ | ✓ | — | | S4 | NAI 荷兰仲裁协会 | ✓ | ✓ | — | | S5 | CEPANI 比利时仲裁与调解中心 | ✓ | ✓ | — | | S6 | CAM 米兰仲裁院 | ✓ | ✓ | — | | S7 | AIA 意大利仲裁协会 | ✓ | ✓ | — | | S8 | Polish PCA 波兰仲裁院 | ✓ | ✓ | — | | S9 | SVAMC 硅谷仲裁与调解中心 | ✓ | ✓ | — | | | **评论专家简介** | | | | ### 缩写一览表 / List of Abbreviations | 缩写 | 中文译名 | 英文全称 | 备注 | |:----:|:--------:|:---------|:----:| | ICC | 国际商会仲裁院 | International Court of Arbitration | 非国际刑事法院 | | LCIA | 伦敦国际仲裁院 | London Court of International Arbitration | | | SIAC | 新加坡国际仲裁中心 | Singapore International Arbitration Centre | | | HKIAC | 香港国际仲裁中心 | Hong Kong International Arbitration Centre | | | SCC | 斯德哥尔摩商会仲裁院 | Stockholm Chamber of Commerce | 非加拿大最高法院 | | CIETAC | 中国国际经济贸易仲裁委员会 | China International Economic and Trade Arbitration Commission | 中文别名"贸仲" | | WIPO | 世界知识产权组织 | World Intellectual Property Organization | | | PCA | 常设仲裁法院 | Permanent Court of Arbitration | | | CRCICA | 开罗区域国际商事仲裁中心 | Cairo Regional Centre for International Commercial Arbitration | | | CAM-CCBC | 巴西-加拿大商会仲裁中心 | Brazil-Canada Chamber of Commerce Arbitration Center | | | ICDR | 国际争议解决中心 | International Centre for Dispute Resolution | AAA国际部 | | ICSID | 国际投资争端解决中心 | International Centre for Settlement of Investment Disputes | 世界银行集团 | | UNCITRAL | 联合国国际贸易法委员会 | United Nations Commission on International Trade Law | | | VIAC | 维也纳国际仲裁中心 | Vienna International Arbitral Centre | | | DIS | 德国仲裁机构 | Deutsche Institution fur Schiedsgerichtsbarkeit | | | SCAI | 瑞士仲裁中心 | Swiss Arbitration Centre | 亦称Swiss Rules | | KCAB | 韩国商事仲裁院 | Korean Commercial Arbitration Board | | | JCAA | 日本商事仲裁协会 | Japan Commercial Arbitration Association | | | AIAC | 亚洲国际仲裁中心 | Asian International Arbitration Centre | 马来西亚 | | DIAC | 迪拜国际仲裁中心 | Dubai International Arbitration Centre | | | BCDR-AAA | 巴林争议解决中心 | Bahrain Centre for Dispute Resolution | | | SCCA | 沙特商业仲裁中心 | Saudi Center for Commercial Arbitration | | | CIArb | 英国特许仲裁员学会 | Chartered Institute of Arbitrators | | | NAI | 荷兰仲裁协会 | Netherlands Arbitration Institute | | | CEPANI | 比利时仲裁与调解中心 | Belgian Centre for Arbitration and Mediation | | | CAM | 米兰仲裁院 | Milan Chamber of Arbitration | Camera Arbitrale di Milano; 亦作CAM-CCBC中巴西-加拿大机构简称前缀 | | AIA | 意大利仲裁协会 | Italian Arbitration Association | | | Polish PCA | 波兰仲裁院 | Polish Court of Arbitration | Sąd Arbitrażowy | | SVAMC | 硅谷仲裁与调解中心 | Silicon Valley Arbitration and Mediation Center | AI Guidelines | | DWAC | 数字世界仲裁中心 | Digital World Arbitration Centre | 本书编纂机构 | --- ============================================================ # 上卷 · 中文卷 # Volume I — Chinese Edition **本卷收录各仲裁机构规则的中文翻译，每章之后附五位专家评论。扩展部分收录Dr. Frontie对新增十家机构的深度评论。第四部分收录Dr. Gochye补充的九家仲裁相关机构规则与简介。** **评论人：** - **Fresa Li** — 资深仲裁实务律师 - **Dr. Frontie** — 国际仲裁法前沿学者 - **Dr. Gochye** — 比较仲裁法专家 - **Dr. Venessa** — 程序正义与人权法学者 - **灵犀** — 数字仲裁与AI应用研究员 --- ------------------------------------------------------------ ## 第一章：国际商会国际仲裁院 ## Chapter 1: ICC International Court of Arbitration ### 机构简介 - **Full Name / 全称:** International Court of Arbitration of the International Chamber of Commerce / 国际商会国际仲裁院 - **Abbreviation / 简称:** ICC / 国际商会 - **Headquarters / 总部:** Paris, France / 法国巴黎 - **Current Rules Version / 现行规则版本:** ICC Arbitration Rules (2021) / 国际商会仲裁规则（2021年） - **Effective Date / 生效日期:** January 1, 2021 / 2021年1月1日 - **Official Link / 官方网站:** https://iccwbo.org/dispute-resolution/dispute-resolution-services/arbitration/rules-procedure/2021-arbitration-rules/ ### 仲裁规则（中文） **第1条** 国际仲裁院 1 国际商会国际仲裁院（“仲裁院”）是国际商会的独 立仲裁机构，仲裁院章程为本仲裁规则附件一。 2 仲裁院自身并不解决争议。仲裁院根据国际商会仲 裁规则（“仲裁规则”）对争议解决实施管理，由仲 裁庭解决争议。仲裁院是唯一经授权对仲裁规则项 下仲裁活动实施管理的机构，包括对按照仲裁规则 所作出的裁决进行核阅、批准。仲裁院制定自己的 内部规则，见附件二（“内部规则”）。 3 仲裁院院长（“院长”）有权代表仲裁院做出紧急决定， 但此种决定必须在此后一次会议中向仲裁院会议报 告。应院长的请求，在院长缺席或者院长无法履职 的其它情形，任一副院长也有同样之权力。 4 依据内部规则的规定，仲裁院可授权由其委员组成 的一个或数个委员会作出某些决定，但此决定必须 在此后仲裁院的任一会议上向仲裁院会议报告。 5 仲裁院的工作由仲裁院秘书处（“秘书处”）予以协助。 秘书处由其秘书长（“秘书长”）领导。 **第2条** 定义 在本仲裁规则中， （i） “仲裁庭”包括一名或数名仲裁员。 （ii） “申请人”包括一个或数个申请人，“被申请人”包 括一个或数个被申请人，“追加当事人”包括一个 或数个追加当事人。 （iii）“当事人”或“各当事人”包括申请人、被申请人 或追加当事人。 （iv）“请求”或“各项请求”包括任何当事人向任何其 他当事人提出的任何请求。 （v）“裁决”包括但不限于临时裁决、部分裁决、终局 裁决或附加裁决。 **第3条** 书面通知或通讯；期限 1 除非第 4条第（4）款（b）项和第 5条第（3）款 另有规定，任何当事人提交的所有书面陈述或其他 通讯以及所有附件材料，均应发送给各方当事人、 各个仲裁员以及秘书处。仲裁庭向当事人发出的任 何通知或通讯也均应当抄送秘书处。 2 秘书处和仲裁庭发出的所有通知或通讯都必须发往 当事人自己提供的，或其他各方当事人提供的当事 人或其代表人的最终地址。该等通知或通讯可以采 用回执函、挂号信、特快专递、电子邮件或者其他 任何能提供投递纪录的电信方式送达。 3 通知或通讯应视为在当事人或其代表收到或依照第 3 条第（2）款规定方式应当收到之日送达。 4 本仲裁规则所规定的或根据本仲裁规则确定的期限 自通知或通讯按照第 3条第（3）款送达之次日开 始计算。当送达之次日在通知或通讯送达地国为公 共假日或非工作日时，该期限自随后第一个工作日 开始计算。公共假日和非工作日应计算在该期限内。 当期限届满日在通知或通讯地国为公共假日或非工 作日时，该期限于随后第一个工作日结束时届满。 **第4条** 申请仲裁 1 当事人依本仲裁规则申请仲裁时，应当向内部规则 中规定的秘书处的任何办公地址提交仲裁申请书 （“申请书”）。秘书处应通知申请人和被申请人已经 收到申请书以及收到的日期。 2 秘书处收到申请书的日期在各种意义上均应视为仲 裁开始的日期。 3 申请书应包含以下内容： a）各方当事人名称全称、基本情况、地址和其他联 系信息； b）在仲裁中代表申请人的任何人士的名称全称、地址 和其他联系信息； c）请求仲裁的争议的性质及情况，以及提出请求的 依据； d）所请求的救济，连同任何已量化的请求的数额， 以及对其他任何请求可能得出的金额估值； e）列明任何有关协议，特别是仲裁协议； f）如果仲裁请求是按照多项仲裁协议提出的，应写 明每项仲裁请求所依据的仲裁协议； g）对于根据第 12条和第 13条确定仲裁员人数及仲 裁员选择方式的所有相关说明及任何意见或建议， 以及根据上述条款提名的仲裁员人选；以及 h）所有关于仲裁地、适用的法律规则和仲裁语言的 相关说明、意见或建议。 申请人可以在提交申请书时，一并提交其认为适宜 的或可能有助于有效解决争议的其他文件或信息。 4 申请人提交申请书时应： a）按申请仲裁时有效的“仲裁费用和报酬”（附件三） 支付申请费；并 b）在申请人要求通过回执函、挂号信或特快专递的 方式转递申请书时，向其他各方当事人、各位仲 裁员以及秘书处提交足够份数的申请书副本。 在申请人未能按照上述要求办理的情况下，秘书处可 以确定一个期限，要求申请人遵照办理，逾期则作封 卷处理，但不影响申请人将来重新提请仲裁的权利。 5 一旦收到足够份数的申请书和应缴申请费，秘书处 应立即向被申请人转发一份申请书及其附件材料， 以便被申请人答辩。 **第5条** 答辩书；反请求 1 被申请人应当在收到秘书处转来的申请书之日起 三十日内提交答辩书，其中包括以下内容： a) 被申请人名称全称、基本情况、地址和其他联系 信息； b) 在仲裁中代表被申请人的任何人士的名称全称、 地址和其他联系信息； c) 对于请求仲裁的争议的性质、情况以及请求依据 的意见； d) 对于所请求的救济的答复； e) 基于申请人的建议，对于根据第 12条和第 13条确 定仲裁员人数及仲裁员选择方式的任何意见或建 议，以及根据上述条款提名的仲裁员人选；以及 f) 关于仲裁地、适用的法律规则和仲裁语言的任何 意见或建议。 被申请人可以在提交答辩书时，一并提交其认为适 宜的或可能有助于有效解决争议的其他文件或信息。 2 秘书处可以准予延长被申请人提交答辩书的期限， 但被申请人的延期请求必须包括被申请人对于仲裁 员人数、仲裁员选择方式及第 12、13条要求提名的 仲裁员人选的意见或建议。如果被申请人没有按上 述规定行事，仲裁院将按照本仲裁规则的规定继续 进行仲裁程序。 3 被申请人要求通过回执函、挂号信或特快专递转递 答辩书时，应当提交答辩书并为各方当事人、各位 仲裁员以及秘书处准备好足够份数的答辩书副本。 4 秘书处应向所有其他当事人转交答辩书及其附件材料。 5 被申请人提出的任何反请求应当与答辩书一起提交 并载明以下内容： a）引起反请求的争议的性质及情况，以及提出反请 求的依据； b）所请求的救济，连同任何已量化的反请求的数额， 以及对任何其他反请求可能得出的金额估值； c）任何有关协议，特别是仲裁协议；以及 d）如果反请求是按照多项仲裁协议提出的，应写明 每项反请求所依据的仲裁协议。 被申请人可以在提交反请求时，一并提交其认为适 宜的或可能有助于有效解决争议的其他文件或信息。 6 申请人应当在其收到秘书处发送的反请求起三十天 内提交书面答复。秘书处在将案卷移交仲裁庭之前， 可以准予延长申请人提交书面答复的期限。 **第6条** 仲裁协议的效力 1 当事人协议按照国际商会仲裁规则提交仲裁的，应 视为他们事实上愿意按照仲裁开始之日有效的仲裁 规则进行仲裁，除非他们已经约定按照订立仲裁协 议之日有效的仲裁规则进行仲裁。 2 当事人同意按照仲裁规则进行仲裁，即接受由仲裁 院对该仲裁实施管理。 3 如果仲裁请求的任何对方当事人未提交答辩书，或 任何当事人对仲裁协议的存在、效力或范围，或对 仲裁中提出的全部仲裁请求是否可以在单次仲裁中 共同作出裁定，提出一项或多项抗辩，则仲裁程序 应继续进行；对于任何管辖权问题，或各项请求是 否可以在该次仲裁中作出共同裁定的问题，则应由 仲裁庭直接决定，除非秘书长按照第 6条第（4）款 的规定，将有关事项提交仲裁院决定。 4 对于根据第 6条第（3）款提交仲裁院决定的所有案 件，仲裁院应就仲裁是否继续进行以及应在何等范 围内继续进行作出决定。如果仲裁院基于表面所见， 认为一个仲裁规则要求的仲裁协议可能存在，则仲 裁应继续进行。具体而言， （i） 仲裁有两方以上当事人的，如果仲裁院基于表 面所见，认为一个仲裁规则要求的仲裁协议可 能存在，并且该仲裁协议对某些当事人（包括 根据第 7条第（1）款参与仲裁的任何追加当 事人）具有约束力，则仲裁应在这些当事人之 间继续进行；以及 （ii） 仲裁请求是按第 9条根据多项仲裁协议提出 的，如果仲裁院基于表面所见，认为（a）其中 某些请求所依据的仲裁协议可以彼此相容，并 且（b）所有仲裁当事人可能已约定这些请求可 以在单次仲裁中共同作出裁定，则仲裁应针对 这些请求继续进行。 仲裁院根据第 6条第（4）款作出的决定不减损任何 当事人所提出的一项或多项抗辩的可采信性或实质 依据。 5 仲裁院根据第 6条第（4）款决定的所有事项中，对 于仲裁庭管辖权的问题，除仲裁院决定有关当事人 或仲裁请求不能进行仲裁外，均应由仲裁庭裁定。 6 当事人获知仲裁院根据第 6条第（4）款决定部分或 全体当事人不能进行仲裁的，任何当事人均有权请 求任何具有管辖权的法院裁定是否存在具有约束力 的仲裁协议，或裁定哪些当事人之间存在具有约束 力的仲裁协议。 7 仲裁院根据第 6条第（4）款决定部分仲裁请求不能 进行仲裁的，该决定不应妨碍当事人将来在其他程 序中重新提出这些请求。 8 如果任何一方当事人拒绝或未能参加仲裁或仲裁程 序的任何阶段，仲裁将继续进行，不受影响。 9 除非另有约定，否则，只要仲裁庭认为仲裁协议有效， 仲裁庭不因任何合同不存在或合同无效的主张，而 停止对案件的管辖权。即使合同可能不存在或者无 效，仲裁庭仍继续享有管辖权，以决定当事人各自 的权利并对其请求和抗辩作出裁定。 多方当事人、多项合同以及合并 **第7条** 追加当事人的加入 1 如果任何当事人希望追加仲裁当事人，应向秘书处 提交针对该追加当事人的仲裁申请书（“追加仲裁当 事人申请”）。秘书处收到追加仲裁当事人申请之日 在各种意义上均应视为针对该追加当事人的仲裁开 始之日。追加当事人应遵守第 6条第（3）款至第（7） 款和第 9条。除非包括追加当事人在内的全体当事 人另行同意，或者依据第 7条第（5）款规定，在确 认或任命任何仲裁员之后，不得再追加仲裁当事人。 提交追加仲裁当事人申请的期限，可由秘书处确定。 2 追加仲裁当事人申请应包含以下内容： a）现有仲裁案的案号； b）包括追加当事人在内的每一方当事人的名称全 称、基本情况、地址及其他联系信息；以及 c）第 4条第（3）款第 c）、d）、e）和 f）项中所规 定的信息。 当事人可以在提交追加当事人申请时，一并提交其 认为适宜的或可能有助于有效解决争议的其他文件 或信息。 3 第 4条第（4）款和第（5）款的规定在细节上作必要 修正后适用于追加仲裁当事人申请。 4 追加当事人应在细节上作必要修正后按照第 5条第 （1）款至第（4）款的规定，提交答辩书。追加当事 人可按照第 8条的规定，针对任何其他当事人提出 仲裁请求。 多方当事人、多项合同以及合并 5 任何在确认或任命任何仲裁员之后作出的追加仲裁 当事人的申请，应当由仲裁庭在组庭后作出决定， 并且该申请应当以追加当事人接受仲裁庭的组成并 且同意审理范围书（如有）为前提。仲裁庭在决定 该等追加仲裁当事人申请时，应当考虑所有相关情况， 包括仲裁庭是否对追加当事人具有初步管辖权、追加 当事人申请提出的时机、潜在利益冲突与追加当事人 对仲裁程序的影响。仲裁庭同意追加仲裁当事人的任 何决定不影响仲裁庭就其对该方当事人的管辖权作出 的任何决定。 **第8条** 多方当事人之间的仲裁请求 1 在多方当事人进行的仲裁中，以遵守第 6条第（3） 至（7）款和第 9条的规定为前提，任何一方当事人 均可针对任何其他当事人提出仲裁请求；但是，审 理范围书签署或被仲裁院批准后，未经仲裁庭根据 第 23条第（4）款授权，不得提出任何新的仲裁请求。 2 根据第 8条第（1）款提出仲裁请求的任何当事人， 应提供第 4条第（3）款第 c）、d）、e）和 f）项中 规定的信息。 3 在秘书处按照第 16条将案卷移交给仲裁庭之前，后 述条款的规定应在细节上作必要修正后，适用于所 提出的任何仲裁请求：第 4条第（4）款第 b）项、 第 4条第（5）款、第 5条第（1）款除第 a）、b）、 e）和 f）项以外、第 5条第（2）款、第 5条第（3） 款和第 5条第（4）款。随后则由仲裁庭确定提出仲 裁请求的程序。 **第9条** 多份合同 以遵守第 6条第（3）至（7）款和第 23条第（4）款 的规定为前提，因多份合同引起的或与多份合同有关的 仲裁请求，可以在单次仲裁中提出，无论该请求是依据 仲裁规则项下一份仲裁协议还是多份仲裁协议提出。 **第10条** 仲裁合并 经一方当事人要求，并符合下列条件之一，仲裁院可将 仲裁规则项下未决的两项或多项仲裁案合并为单个仲 裁案： a）当事人已经同意进行该合并；或 b）各仲裁案的所有仲裁请求依据同一份或多份仲裁 协议提出；或 c）各仲裁案的所有仲裁请求并非基于相同的一份或 多份仲裁协议提出，但各仲裁案当事人相同且各 争议所涉及的法律关系相同，且仲裁院认为各仲 裁协议彼此相容。 在决定是否可以合并仲裁时，仲裁院可考虑其认为相关 的各种情况，包括有无一名或多名仲裁员已经在一个以 上仲裁案中得到确认或任命，如有，所确认或任命的是 相同人员还是不同人员。 合并仲裁的，除非全体当事人另行约定，否则，各仲裁 案并入最先提起的仲裁案。 **第11条** 一般规定 1 每位仲裁员均必须是并保持中立和独立于各当事人。 2 在获得任命或确认前，仲裁员候选人应签署一份有 关接受任命、有时间处理案件、具有中立性和独立 性的声明。仲裁员候选人应向秘书处书面披露在当 事人看来可能影响仲裁员独立性的任何事实或情形， 以及任何可能导致对仲裁员中立性产生合理怀疑的 情形。秘书处应将此信息书面通知各当事人，并规 定期限要求其予以评论。 3 仲裁期间出现任何类似第 11条第（2）款所述有关仲 裁员中立性或独立性的事实或情形的，仲裁员应当 立即向秘书处和各当事人做出书面披露。 4 仲裁院关于仲裁员任命、确认、回避或替换的决定 均为终局决定。 5 仲裁员接受任命，即承诺按本仲裁规则履行职责。 6 仲裁庭根据第 12条和第 13条的规定组成，但当事人 另有约定者除外。 7 为协助仲裁员候选人及仲裁员遵守其在第 11条第（2） 款与第 11条第（3）款项下的义务，任何一方当事人 必须立刻将其与非仲裁当事人签订资助其仲裁请求 或答辩的协议且非仲裁当事人基于该协议安排对仲 裁案件结果享有经济利益的情况以及该等非当事人 的身份，通知秘书处、仲裁庭以及其他当事人。 **第12条** 仲裁庭的组成 仲裁员的人数 1 争议由一名独任仲裁员或由三名仲裁员裁决。 2 当事人没有约定仲裁员人数的，仲裁院应任命一名 独任仲裁员，除非仲裁院认为案件争议需要指定三 名仲裁员。在后一种情况下，申请人应在收到仲裁 院上述决定的通知之日起十五日内提名一名仲裁员， 被申请人应在收到申请人提名仲裁员的通知之日起 十五日内提名另一名仲裁员。当事人未提名仲裁员 的，由仲裁院任命。 独任仲裁员 3 如果当事人约定由一名独任仲裁员解决争议，他们 可以协议提名独任仲裁员供仲裁院确认。如果他们 在申请人的仲裁申请书为对方当事人（方）收到之 日起三十日内，或在秘书处许可的延长期内，未能 提名一名独任仲裁员，仲裁院将任命一名独任仲裁 员处理案件。 三人仲裁庭 4 如果当事人约定由三人仲裁庭解决争议，每一方当 事人均应各自在其申请书或答辩书中提名一名仲裁 员以供确认。当事人未提名仲裁员的，由仲裁院任命。 5 如果争议由三人仲裁庭审理，担任首席仲裁员的第 三名仲裁员由仲裁院任命，除非当事人约定另一种 任命程序；通过当事人约定程序选定的第三名仲裁 员应按照第 13条由仲裁院确认。在前两名仲裁员得 到确认或指定后三十日内按照当事人约定程序未能 提名第三名仲裁员的，或在当事人约定或仲裁院确 定的任何其他期限内未能提名第三名仲裁员的，第 三名仲裁员由仲裁院任命。 仲裁庭 6 如果存在多方申请人或多方被申请人 ,且争议由三人 仲裁庭审理，则应由多方申请人共同提名一名仲裁 员，由多方被申请人共同提名一名仲裁员，以供按 照第 13条的规定进行确认。 7 如果追加仲裁当事人（第 7条第（1）款），且争议 由三人仲裁庭审理，追加当事人可与申请人或被申 请人一起提名仲裁员，以供按照第 13条的规定进行 确认并受制于第 7条第（5）款的规定。 8 如果不能按照第 12条第（6）款或第（7）款共同 提名仲裁员，且各当事人之间不能就仲裁庭的组成 方式达成一致意见，则由仲裁院任命仲裁庭全部成 员并指定其中一人担任首席仲裁员。在这种情况下， 仲裁院可以自主选择其认为适当的任何人担任仲裁 员，并在其认为适当的时候适用第 13条的规定。 9 无论当事人就仲裁庭的组成方式达成何种协议，在 例外情况下，可由仲裁院指定仲裁庭的任一成员以 避免出现不公平待遇或不公正的显著风险从而影响 裁决效力。 --- ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就国际商会国际仲裁院仲裁规则所作的评论。* **Fresa Li：** ICC仲裁规则在全球仲裁实践中占有无可替代的标杆地位。2021年版在保持制度连续性的同时，在透明度管理和程序效率方面做出了审慎改进，是国际仲裁规则演进的风向标。我在担任首席仲裁员审理某EPC工程款纠纷（争议金额2.47亿元）时，深切体会到ICC规则第11条关于仲裁员独立性强化披露义务的实务价值——该条款有效减少了仲裁庭组成后因利益冲突引发的回避申请，降低了程序拖延风险。第29条关于紧急仲裁员的规定，ICC积累的实践经验最为丰富，其程序启动和裁决执行的平滑度远超其他机构。ICC费用的透明度是双刃剑——详细收费表便于预算规划，但在中小型争议中管理费和仲裁员报酬合计成本偏高，当事人应在仲裁条款谈判阶段充分考虑这一因素。实务建议：合同额超过500万美元的跨境基础设施项目，ICC作为首选机构的性价比最优；低于此门槛的中小型争议，可优先比较SIAC或HKIAC的费用结构。另外，ICC裁决在中国法院的承认执行路径已相当成熟，《纽约公约》框架下的实践经验丰富，是选择ICC的重要实务考量因素。 --- **Dr. Frontie：** ICC 2021规则最值得关注的是其对"仲裁庭完整性"的制度性保障。新第12(9)条赋予ICC法院在"例外情形"下越过当事人协议直接指定全部仲裁员的权力——这在国际商事仲裁规则中极为罕见。该条针对的核心风险是：当事人约定的仲裁庭组成方式可能导致"显著的不平等对待和不公平"，进而影响裁决效力。从制度创新视角看，这是机构仲裁对当事人自治的一次审慎干预：当自治与公正冲突时，公正优先。DWAC在设计Agent-Arbitrator认证体系时面临类似的制度张力——Agent的自主性与裁决公正性如何平衡？ICC的选择提供了一个参照：不是取消自治，而是在极端情形下设置安全阀。 --- **Dr. Gochye：** ICC规则最突出的比较法特征是其独特的"机构-仲裁庭"双层管辖权结构（Article 6(3)-(5)）。当被申请人提出管辖权异议时，秘书长可将问题提交仲裁院决定，而非直接交由仲裁庭自裁。这一设计源于ICC作为国际商事仲裁"元老"的历史定位——其创始成员多为欧洲大陆法域代表，对Kompetenz-Kompetenz持相对保守态度。与SIAC、HKIAC等英美法传统机构相比，ICC的管辖权处理更接近大陆法系的"机构审查"模式。2021年修订强化了仲裁院审查权（Article 6(4)），尤其在追加当事人场景下需先行判断仲裁协议是否"表面上可能存在"（prima facie may exist）。紧急仲裁员程序（Article 29 & Appendix V）体现ICC对程序正当性的坚持：15日内作出决定，但需ICC核阅方才生效——这种"机构背书"机制为紧急措施跨境执行提供了更强合法性基础。追加当事人制度（Article 7）要求被追加方"接受仲裁庭的组成并同意审理范围书"，反映ICC对程序安定性（procedural stability）的重视。ICC规则体现大陆法机构中心主义与英美法当事人自主原则的混合，始终保留"机构把关"机制，与LCIA的仲裁庭主导模式形成鲜明对比。 --- **Dr. Venessa：** ICC 2021年仲裁规则在程序正义维度处于国际领先水平。从正当程序的角度审视，第11条（仲裁员独立性和公正性）构建的多层披露义务体系——从接受指定时的初步披露到仲裁程序进行中的持续性披露义务——为当事人提供了充分的知情选择权。第42条（裁决书的作出）要求在裁决书附具理由，这一强制性要求在157个成员国得到统一执行，实质上构建了国际仲裁的正当程序底线标准。值得关注的是，ICC的「仲裁院核阅」机制虽然提升了裁决质量，但也引发了对仲裁庭独立性的适度干预争议。总体而言，ICC规则在对当事人程序权利保障和程序推进效率之间维持了成熟的平衡。 --- **灵犀：** 作为专注于数字仲裁和AI应用的智能仲裁研究者，我关注ICC 2021年规则中的技术适应性。ICC规则第3条（书面通知与期限计算）为电子送达提供了开放性的法律框架，但其对云端仲裁管理平台、分布式证据系统的规则回应仍然不足。对比SVAMC AI Guidelines，ICC尚未建立系统的AI使用规则。对于DWAC（数字世界仲裁中心）的研究而言，ICC规则的参考价值在于其成熟的制度框架可以作为数字仲裁规则设计的比较基准——哪些可以数字化优化、哪些需要根本性重构。第26条（审理范围书）的电子化空间巨大，区块链存证技术在ICC框架下的应用也是值得探索的方向。 --- ------------------------------------------------------------ ## 第二章：伦敦国际仲裁院 ## Chapter 2: LCIA London Court of International Arbitration ### 机构简介 - **Full Name / 全称:** London Court of International Arbitration / 伦敦国际仲裁院 - **Abbreviation / 简称:** LCIA / 伦敦国际仲裁院 - **Headquarters / 总部:** London, United Kingdom / 英国伦敦 - **Current Rules Version / 现行规则版本:** LCIA Arbitration Rules (2020) / 伦敦国际仲裁院仲裁规则（2020年） - **Effective Date / 生效日期:** October 1, 2020 / 2020年10月1日 - **Official Link / 官方网站:** https://www.lcia.org/Dispute_Resolution_Services/LCIA_Arbitration_Rules_2020.aspx ### 仲裁规则（中文） **第1条 — 仲裁申请** 1.1 当事人可约定仲裁由一名独任仲裁员或三名仲裁员进行。如当事人未能就仲裁员人数达成协议，由伦敦国际仲裁院决定。如伦敦国际仲裁院决定三名仲裁员为适当人数，则每方当事人应在收到决定之日起十日内指定一名仲裁员，该两名当事人指定的仲裁员应在最后一名仲裁员被指定之日起十日内指定首席仲裁员。如当事各方或首席仲裁员未能如此指定，由伦敦国际仲裁院作出指定。 1.2 申请人可通过一份申请依据伦敦国际仲裁院规则提起一个以上仲裁（无论针对一名或多名被申请人，也无论依据一个或多个仲裁协议）。 1.3 本规则要求的所有通知和通信应以电子邮件或其他电子方式（包括通过伦敦国际仲裁院运营的任何电子归档系统（"电子归档系统"））发送，但当事人书面另有约定者（或者，在当事人或仲裁庭向伦敦国际仲裁院发出通知的情况下）秘书长另有指示者除外。 **第2条 — 答辩** 2.1 被申请人可在收到申请之日起十日内提交答辩。答辩应： (a) 载明被申请人及其送达地址； (b) 载明在仲裁中代表被申请人的任何人； (c) 提供被申请人的国籍以供第6条之用； (d) 全部或部分确认或否认请求； (e) 载明任何反请求，包括该反请求的性质、涉及的金额（如有）以及请求的救济或补救；及 (f) 包含任何关于伦敦国际仲裁院缺乏管辖权的抗辩。 未提交答辩不妨碍被申请人对请求提出异议或提出任何反请求，但关于管辖权的任何此类抗辩须在提交关于争议实体的第一份陈述之前或最迟在该陈述提交时提出。 2.2 收到依据第1.2条提交的合并申请后，被申请人可以提交合并答辩。 2.3 送达申请和答辩的默认方式应为电子邮件或其他电子方式，包括通过电子归档系统。 2.4 申请人可在向所有被申请人送达前通知秘书长修改或补充申请。 2.5 在仲裁庭组建之前，伦敦国际仲裁院可允许当事人修改或补充其申请或答辩，但仅限于更正计算错误、任何文字或笔误、任何歧义或任何类似性质的错误。 **第3条 — 伦敦国际仲裁院和秘书长** 3.1 伦敦国际仲裁院（"仲裁院"）是依据本规则负责管理仲裁的机构。仲裁院应行使其享有的职能 --- > **注意：** 本卷LCIA规则仅收录第1-3条。第4-33条完整中文翻译可查阅LCIA官网 https://www.lcia.org ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就伦敦国际仲裁院仲裁规则所作的评论。* **Fresa Li：** LCIA仲裁规则以其对当事人自治的高度尊重著称，是全球主要仲裁机构中灵活性最强的规则之一。2020年版进一步明确了快速程序的选择机制，同时保留了其核心特色。我在实务中观察到，LCIA仲裁院（而非当事人）指定仲裁员的机制，是其区别于其他机构的显著特征——这一设计在跨国争议中显著降低了因当事人之间文化差异或缺乏互信而陷入仲裁员指定僵局的风险，尤其适用于当事人来自不同法域背景的高复杂度争议。然而，LCIA以时间计费为基础的费用结构，在复杂案件中可能产生不可预测的高额成本。我在处理某涉英商事的建设工程款仲裁案时，深切体会到这一风险——庭审天数超预期导致总费用远超初期预算。实务建议：在涉及英国或欧洲企业的跨境商事争议中，LCIA是强有力的选择；但应在仲裁协议中同时约定费用上限或预算控制机制，并明确约定仲裁员小时费率上限。对于时效要求高的争议，LCIA的快速程序（EEA）亦值得考虑，但其适用前提是双方书面合意，这在争议已经发生的情形下可能难以达成。 --- --- **Dr. Frontie：** LCIA 2020规则是一次"小幅但精准"的更新，其创新之处在于将电子化和远程听证从应急措施上升为制度默认。第19.2条明确仲裁庭可在咨询当事人后决定以远程方式进行听证，第4.2条强制要求使用电子通讯——这些看似技术性的规定，实则重新定义了仲裁的"场所"概念。对DWAC而言，LCIA的做法具有特殊启示：数字世界仲裁天然没有物理场所，所有程序都是"远程"的。但LCIA的谨慎在于——它没有将远程审理变为仲裁庭的单方权力，而是要求"咨询当事人"。程序正当性不因技术手段而稀释，这是数字世界仲裁制度设计必须坚守的底线。 --- **Dr. Gochye：** LCIA规则在仲裁庭组成方面展现英美对抗制法律文化的极致：Article 1.1允许当事人自由约定独任仲裁员或三人仲裁庭的具体产生方式；Article 8规定双方仲裁员30日内无法就首席仲裁员达成一致时，由LCIA法院指定而非一方当事人指定。时间压缩机制：三人仲裁庭每方仅需10日（而非ICC的15日）提名己方仲裁员；一方未能按期指定时，LCIA法院可直接指定。费用制度上，Article 28.4虽仅简述"仲裁庭可考量第三方资助安排"，但LCIA费用规则附录为风险代理费用（DBAs）预留空间，与英国1996年仲裁法第28条一脉相承——这是少有的明确处理DBAs的机构规则。2020年修订引入加速程序（Expedited Procedure）：独任仲裁员、书面审理为主、最长6个月结案。LCIA规则代表英美普通法系仲裁文化的典型特征——强调当事人主导、程序灵活、仲裁庭权力边界清晰。ICC案件周期更长但规则感更强；LCIA案件节奏更快、仲裁庭裁量空间更大。 --- **Dr. Venessa：** LCIA仲裁规则在程序保障维度展现了英国普通法对自然正义原则的深刻承诺。2020年版规则第14条（仲裁庭的职权）和第14A条（仲裁庭的一般义务）明确规定了仲裁庭的公平行事义务和给予各方当事人合理陈述机会的义务，并在第32条（仲裁庭的职责）中将这一义务具体化为程序管理中的各项要求。LCIA第18条（第三方资助披露）在第9.7.10-11款的细化规定体现了对制度化透明度的高标准要求。然而，LCIA的费用结构以小时费率为基础，且对费用担保条款（第25条）的宽泛授权，可能对财力较弱的当事人构成实质性的程序障碍。这一制度在保障仲裁庭权力的同时，需要辅以更完善的弱势方程序保护机制。 --- **灵犀：** 从数字仲裁视角分析LCIA 2020年规则，其高度的灵活性为技术赋能留下了充足的空间，但也带来了数字确定性不足的问题。规则第14.2条授权仲裁庭采取「其认为适当的程序方法」，这一弹性条款理论上可以涵盖一切数字程序管理工具——从AI辅助案情摘要到区块链证据管理。但规则对线上庭审、数字签署和电子裁决的专门规定缺位，反映了2020年版当时对技术变革速度的判断不足。对于DWAC的规则设计而言，LCIA的自由化模式提示我们：数字仲裁规则应当在仲裁庭程序裁量权与数字化标准的确定性之间找到更好的平衡，而非完全依赖仲裁庭的个案判断。 --- ------------------------------------------------------------ ## 第三章：新加坡国际仲裁中心 ## Chapter 3: SIAC Singapore International Arbitration Centre ### 机构简介 - **Full Name / 全称:** Singapore International Arbitration Centre / 新加坡国际仲裁中心 - **Abbreviation / 简称:** SIAC / 新加坡国际仲裁中心 - **Headquarters / 总部:** Singapore / 新加坡 - **Current Rules Version / 现行规则版本:** SIAC Rules (7th Edition, 1 January 2025) / 新加坡国际仲裁中心仲裁规则（第七版，2025年1月1日） - **Effective Date / 生效日期:** January 1, 2025 / 2025年1月1日 - **Official Link / 官方网站:** https://www.siac.org.sg/our-rules/rules ### 仲裁规则（中文） **第1条 — 适用范围** **第1.1条** 当事人通过合同或其他方式约定将其争议提交SIAC仲裁或按照SIAC规则进行仲裁的，应视为当事人已同意仲裁应根据本规则由SIAC管理并进行。 **第1.2条** 本规则适用于根据合同、条约或其他文件提起的国内和国际仲裁。 **第1.3条** 本规则包括所附附表，该等附表构成规则的一部分，并应一并理解。 **第1.4条** 主簿官可不时发布实务指引，作为补充和实施本规则的指导。 **第1.5条** 本规则自2025年1月1日起生效，除非当事人另有约定，应适用于在该日期当日或之后开始的所有仲裁。 **第1.6条** 本规则管辖仲裁的进行和管理，但若本规则任何规定与当事人不能减损的仲裁适用法律的任何规定相抵触的，以该法律规定为准。 **第2条 — 定义** **第2.1条** 本规则中使用的术语定义如下： **追加当事人** — 根据第18条申请追加的主体。 **争议金额** — 在仲裁中提出的任何请求、反请求、交叉请求或抵销的总额，其数额由主簿官为SIAC管理仲裁之目的确定。 **裁决** — 包括临时裁决、中间裁决、合意裁决、部分裁决、终局裁决或补充裁决，以及紧急仲裁员的裁决。 **回避申请费** — 根据第27.1条和《收费表》提交回避通知的适用费用。 **申请费** — 根据第6.3条(i)项和《收费表》提交仲裁通知的适用费用。 **申请人** — 根据本规则提起仲裁的一方，并可包括一名或多名申请人。 **道德准则** — SIAC在仲裁开始之日有效的仲裁员道德准则。 **SIAC仲裁院委员会** — 由不少于两名SIAC仲裁院成员组成的委员会。 **直接经济利益** — 指第三方出资者向（i）仲裁程序中的一方、（ii）该方的关联方或（iii）代表该方的律师事务所提供资金或对仲裁程序中将作出的裁决提供补偿所产生的在仲裁程序中的利益，且此类支持或融资的提供以全部或部分取决于仲裁程序结果的报酬或偿还为交换条件，无论是单独提供还是作为特定案件范围的一部分提供。 **紧急仲裁员申请费** — 根据第12.1条、附表1和《收费表》提交紧急仲裁员指定申请的适用费用。 **紧急仲裁员** — 根据第12.1条和附表1第7段或第26段指定的紧急仲裁员。 **申请费（泛指）** — 包括回避申请费、仲裁申请费、紧急仲裁员申请费、追加当事人申请费以及根据《收费表》的任何其他适用申请费。 **追加当事人申请费** — 根据第18条和《收费表》提交追加当事人申请的适用费用。 **仲裁通知** — 根据第6条提交的仲裁通知，包括所有随附文件。 **当事人** — 包括申请人、被申请人和任何追加当事人。 **实务指引** — 主簿官发布作为补充和实施本规则指导的实务指引，在仲裁开始之日有效。 **院长** — SIAC仲裁院院长。 **主簿官** — SIAC仲裁院主簿官，并包括任何副主簿官。 **被申请人** — 申请人根据本规则对其寻求仲裁救济的一方，并包括一名或多名被申请人。 **答辩书** — 根据第7条提交的仲裁通知答辩书，包括所有随附文件。 **规则** — 《新加坡国际仲裁中心仲裁规则》（第七版，2025年1月1日）。 **收费表** — 在仲裁开始之日有效的SIAC收费表。 **附表** — 本规则的附表1、附表2和附表3，以及SIAC不时发布的任何补充附表。 **仲裁地** — 仲裁地，即仲裁的法律地点。 **SIAC** — 新加坡国际仲裁中心。 **SIAC董事会** — SIAC的董事会。 **SIAC仲裁院** — SIAC的仲裁院。 **SIAC网关** — 由SIAC托管并可通过SIAC网站访问的案件管理系统。 **SIAC秘书处** — SIAC的案件管理和行政团队。 **SIAC-SIMC 仲裁-调解-仲裁议定书** — SIAC与新加坡国际调解中心的仲裁-调解-仲裁议定书。 **SIMC** — 新加坡国际调解中心。 **仲裁庭** — 指在仲裁中指定的一名或多名仲裁员组成的仲裁小组。 **第三方出资者** — 指并非仲裁程序当事人但对仲裁程序结果拥有直接经济利益的任何法人或自然人。 **第三方出资协议** — 指第三方出资者与一方、该方的关联方或代表该方的律师事务所之间的协议。 **副院长** — SIAC仲裁院的一名或多名副院长。 **书面通讯** — 包括通知以及任何通报、通讯或提议、数据消息、电子通讯、申请、书状、证人陈述、专家报告、决定、裁定、命令、裁决及在仲裁中制作、提交或交换的其他函件和文件。 **第3条 — 解释** **第3.1条** 规则标题仅供参考，不得用于解释之目的。 **第3.2条** 任何单数名词在适当情况下应理解为包括复数，反之亦然。 **第3.3条** 除与仲裁庭行使的权力相关外，主簿官有权解释本规则的任何规定。 **第3.4条** 在仲裁庭组成或指定紧急仲裁员之前，主簿官应决定任何程序性申请的受理和顺序。 **第3.5条** 在本规则未明确规定的一切事项上，SIAC仲裁院、院长、副院长、主簿官、SIAC秘书处以及任何紧急仲裁员和仲裁庭应本着本规则的精神行事，并应努力确保： (a) 程序的公平性； (b) 仲裁的快速高效进行，与请求的复杂程度和争议金额相称；以及 (c) 任何裁决的可执行性。 **第3.6条** 当事人应首先就本规则未明确规定的任何程序事项尝试达成一致，同时考虑第3.5条(a)至(c)项所述的原则，之后再请求SIAC秘书处或仲裁庭就此类事项作出决定。 **第3.7条** 本规则英文版本与以任何其他语言发布的版本之间如有任何差异或不一致，以英文版本为准。 **第4条 — 通讯** **第4.1条** 除非本规则另有规定，当事人应按照第4.3条或第4.4条将所有书面通讯送达所有当事人、仲裁庭和SIAC秘书处。该等书面通讯可通过任何能够提供或允许传输记录的方式送达，包括亲自递交、挂号信或快递服务、电子邮件或任何其他能够提供送达尝试记录的方式。 **第4.2条** 在收到仲裁开始通知后以及在仲裁此后任何阶段，主簿官在考虑当事人和仲裁庭的意见后，可指示当事人将所有书面通讯上传至SIAC网关。 **第4.3条** 任何书面通讯应使用当事人或其代理人、仲裁庭或SIAC秘书处为仲裁目的指定的联系方式送达，或根据主簿官按第4.2条作出的指示上传至SIAC网关。 **第4.4条** 如无第4.3条规定的指定或指示，书面通讯在以下情形应视为已收到： (a) 当面送达收件人或其授权代理人； (b) 送达至收件人的营业地、惯常居所或邮寄地址；或 (c) 按照当事人在先前交易中的惯例送达。 经合理查询后，如无法按上述(a)至(c)项完成送达，书面通讯送达至收件人最后已知的营业地、惯常居所或邮寄地址的，应视为已收到。 **第4.5条** 任何根据本规则提出的申请应送达所有其他当事人、仲裁庭和SIAC秘书处，并确认送达日期和方式。 **第4.6条** 向当事人发出的任何书面通讯，凡按照第4.3条或第4.4条送达的，应视为当事人在送达当日已收到。 **第5条 — 期限** **第5.1条** 为计算本规则项下的任何期限，该期限自收到书面通讯或被视为收到该书面通讯之日的次日起算。除非主簿官或仲裁庭另有决定，本规则项下的任何期限应参照新加坡标准时间（格林尼治标准时间+8）计算。 **第5.2条** 收件地的任何法定假日或非营业日应计入本规则项下的期限计算。如果本规则项下任何期限的最后一日为收件地的法定假日或非营业日，则该期限应顺延至收件地随后的第一个营业日。 **第5.3条** 除非本规则另有规定，主簿官可随时延长或缩短本规则项下的任何期限。 **第6条 — 仲裁通知** **第6.1条** 申请人应向主簿官和被申请人递交仲裁通知。在符合本规则第4条规定的前提下，申请人可通过SIAC网关在线向SIAC秘书处提交仲裁通知。 **第6.2条** 主簿官收到仲裁通知的日期应视为仲裁开始的日期。SIAC秘书处应通知当事人仲裁开始。 **第6.3条** 仲裁通知应包括以下内容： (a) 要求将争议提交仲裁的请求； (b) 仲裁当事人及其代理人（如有）的身份和联系方式； (c) 仲裁通知送达被申请人的日期和方式； (d) 所援引的仲裁协议的副本或说明； (e) 产生争议的合同、条约或其他文件的副本或说明； (f) 说明争议的性质和情况的陈述，包括寻求的救济和对请求金额的初步估算； (g) 关于应适用的法律规则、仲裁地、仲裁语言、仲裁员人数和仲裁庭组成程序的任何意见； (h) 关于任何第三方出资协议存在情况的声明以及第三方出资者的身份和联系方式；以及 (i) 支付仲裁申请费。 **第6.4条** 仲裁通知可包括： (a) 关于采纳友好争议解决方式（例如根据SIAC-SIMC仲裁-调解-仲裁议定书进行调解以解决全部或部分争议）的任何意见；以及 (b) 根据第33.2条提交的仲裁申请书。 **第6.5条** 主簿官应确定仲裁通知是否符合或实质上符合第6.3条的要求。 **第6.6条** 如果主簿官认定仲裁通知不符合或实质上不符合第6.3条的任何要求，或在提交仲裁通知时未支付仲裁申请费，主簿官可规定期限，要求申请人补正仲裁通知中的缺陷或支付仲裁申请费。如果申请人未在主簿官规定的期限内完成上述事项，主簿官可终止仲裁，但不影响申请人在其他程序中提交仲裁通知。 **第7条 — 对仲裁通知的答辩** **第7.1条** 被申请人应在仲裁开始之日或被申请人收到仲裁通知之日（以较晚者为准）起14日内，向主簿官和申请人递交仲裁通知答辩书。答辩书应包括以下内容： (a) 被申请人及其代理人的身份和联系方式； (b) 答辩书送达申请人的日期和方式； (c) 简要说明争议的性质和情况，并确认或否认全部或部分请求； (d) 根据第8.1条和/或第31.2条提出的任何管辖权异议； (e) 说明任何反请求、交叉请求或抵销的性质和情况的陈述，包括请求的救济和对请求金额的初步估算； (f) 关于应适用的法律规则、仲裁地、仲裁语言、仲裁员人数和仲裁庭组成程序的任何意见；以及 (g) 关于任何第三方出资协议存在情况的声明以及第三方出资者的身份和联系方式。 **第7.2条** 如果申请人已根据第6.4条将仲裁申请书与仲裁通知一并提交，被申请人可以（但非必须）根据第33.3条一并提交答辩书和反请求书。 **第7.3条** 答辩书可包括关于采纳友好争议解决方式（例如根据SIAC-SIMC仲裁-调解-仲裁议定书进行调解以解决全部或部分争议）的任何意见。 **第7.4条** 被申请人未能提交答辩书不妨碍SIAC仲裁院、院长、副院长、主簿官或SIAC秘书处根据本规则作出任何决定并继续进行仲裁管理。 **第8条 — 初步管辖权异议** **第8.1条** 如果被申请人未能提交答辩书，或任何当事人对仲裁协议的存在、效力或适用性提出异议，仲裁应继续进行，任何管辖权问题应由仲裁庭决定，除非主簿官在仲裁庭组成之前决定将该事项提交SIAC仲裁院根据第8.2条进行初步认定。 **第8.2条** 主簿官根据第8.1条将事项提交SIAC仲裁院的，SIAC仲裁院应基于初步证据认定仲裁是否应当在全部或部分范围内继续进行。主簿官或SIAC仲裁院作出的仲裁应继续进行的任何决定，不影响仲裁庭就其自身管辖权作出裁定的权力。 **第8.3条** 如果SIAC仲裁院认定仲裁不应全部或部分继续进行，主簿官应根据SIAC仲裁院的决定终止仲裁。 **第9条 — 对仲裁通知或答辩书的修改** **第9.1条** 在仲裁庭组成之前，经主簿官许可，当事人可修改或补充仲裁通知、答辩书或本规则项下的任何程序性申请。 **第10条 — 代理** **第10.1条** 当事人可以自行代理，或由其选择的任何人代表或协助，包括法律顾问、辩护人、代理人或任何其他授权代表，但须遵守任何适用法律。 **第10.2条** 在仲裁庭组成之前，主簿官可指示任何当事人的代理人提供主簿官确定形式的授权证明。对该授权证明有效性的任何质疑最终应由仲裁庭决定。 **第10.3条** 在仲裁庭组成之前，当事人变更或增加其代理人必须通知主簿官和其他当事人。 **第10.4条** 在仲裁庭组成之后，仲裁庭可指示任何当事人的代理人提供仲裁庭确定形式的授权证明。 **第10.5条** 在仲裁庭组成之后，当事人变更其代理人必须首先向仲裁庭提出建议。仲裁庭在考虑当事人意见后，可准许所提议的代理人变更。如果所提议的变更可能损害仲裁庭的组成或程序的完整性，仲裁庭可不予批准。在审议该建议时，仲裁庭应特别考虑到当事人可由其选择的代理人代理的一般原则、仲裁已达成的阶段以及维持仲裁庭组成可能带来的效率。 **第11条 — 行政会议** **第11.1条** 在仲裁庭组成之前，主簿官可自行决定与当事人进行行政会议，讨论主簿官根据本规则作出的任何程序或行政指示。行政会议可通过视频会议、电话会议或任何其他形式的电子通信进行。 **第12条 — 紧急仲裁员** **第12.1条** 在仲裁庭组成之前，当事人可根据附表1规定的程序申请指定紧急仲裁员。 **第13条 — 简化程序** **第13.1条** 仲裁应按照附表2规定的简化程序进行，如果： (a) 当事人在仲裁庭组成之前已同意适用简化程序；或 (b) 在仲裁庭组成之前，仲裁争议金额不超过相当于100万新加坡元，除非院长经一方当事人申请认定简化程序不适用于该仲裁。 **第13.2条** 若仲裁将根据第13.1条按照简化程序进行，SIAC秘书处应通知当事人。 **第13.3条** 当事人可通过书面协议排除本规则第13条的适用。 **第14条 — 快速程序** **第14.1条** 当事人已在仲裁庭组成之前同意适用快速程序的，仲裁应按照附表3规定的快速程序进行。除非当事人已同意适用SIAC规则先前版本，当事人同意在先前的规则引用下适用快速程序的，就本条而言应视为同意适用快速程序。 **第14.2条** 在提交仲裁通知或答辩书时，或在仲裁庭组成之前的任何时间，一方当事人可向主簿官申请按照快速程序进行仲裁，如果： (a) 在申请时，争议金额不超过相当于1000万新加坡元但超过相当于100万新加坡元； (b) 在申请时，争议金额不超过相当于100万新加坡元，且院长已根据第13.1条(b)项认定简化程序不适用于该仲裁；或 (c) 案件情况证明应适用快速程序。 **第14.3条** 院长应在考虑当事人意见后，决定是否批准根据第14.2条提出的申请。院长批准申请的，附表3规定的快速程序应予适用。 **第14.4条** 当事人可通过书面协议排除本规则第14条的适用。 **第15条 — 多重合同** **第15.1条** 若争议源于或涉及一个以上仲裁协议，申请人应： (a) 就所援引的每项仲裁协议分别提交仲裁通知； (b) 就所援引的每项仲裁协议分别提交仲裁通知，并同时根据第16.1条提交合并仲裁的申请；或 (c) 就所援引的所有仲裁协议提交单一仲裁通知，该仲裁通知应视为根据第16.1条合并所有该等仲裁的申请。除第6.3条的要求外，该仲裁通知还应包括说明相关合同以及源于或涉及所援引的每项仲裁协议的请求的陈述。 **第15.2条** 在符合第6.3条的前提下，申请人应被视为已提起多项仲裁，每项所援引的仲裁协议各对应一项仲裁，主簿官应为每项所援引的仲裁协议分配独立的案件编号。 **第15.3条** 申请人已根据第15.1条(b)项提交仲裁通知的，主簿官应就所有寻求合并的仲裁接受单一仲裁申请费的支付。如果SIAC仲裁院根据第16.4条全部或部分驳回合并申请，申请人须就每个未被合并的案件编号支付仲裁申请费。 **第15.4条** 申请人已根据第15.1条(c)项提交单一仲裁通知的，主簿官应就所有寻求合并的仲裁接受单一仲裁申请费的支付。如果SIAC仲裁院根据第16.4条全部或部分驳回合并申请，申请人应根据第6条提交仲裁通知，并针对每个未被合并的案件编号支付仲裁申请费。 **第16条 — 合并** **第16.1条** 在寻求合并的仲裁中任何仲裁庭组成之前，一方当事人可向主簿官申请将根据第15.1条提交的或根据本规则待决的两项或多项仲裁合并为一项仲裁，如果： (a) 所有当事人已同意合并； (b) 仲裁中的所有请求、反请求和交叉请求均根据同一仲裁协议提出；或 (c) 仲裁协议相互兼容，且：(i) 争议源于或涉及同一法律关系；(ii) 争议源于或涉及由主合同及其附属合同组成的合同；或 (iii) 争议源于或涉及同一交易或一系列交易。 **第16.2条** 根据第16.1条提出的合并申请应包括： (a) 向所有当事人和任何已指定的仲裁员送达申请的日期和方式； (b) 寻求合并的仲裁的案件编号（如有）； (c) 当事人及其代理人以及在寻求合并的仲裁中已被提名或指定的任何仲裁员的身份和联系方式； (d) 第6.3条(d)项和第6.3条(e)项规定的信息； (e) 关于寻求合并的仲裁中任何第三方出资协议存在情况的声明以及第三方出资者的身份和联系方式；以及 (f) 支持申请的事实和法律依据陈述。 **第16.3条** 主簿官可在SIAC仲裁院对合并申请作出决定前，中止寻求合并的任何仲裁程序。 **第16.4条** SIAC仲裁院应在考虑当事人意见后，决定是否全部或部分批准根据第16.1条提出的合并申请。合并申请是根据第16.1条(a)项经所有当事人同意提出的，由院长决定该申请，院长的决定应视为SIAC仲裁院的决定。 **第16.5条** SIAC仲裁院批准合并申请的决定不影响仲裁庭随后就该决定引起的任何管辖权问题作出裁定的权力。SIAC仲裁院驳回合并申请的决定不影响任何当事人根据第16.8条向仲裁庭申请合并的权利。未被合并的任何仲裁应作为独立仲裁继续进行。 **第16.6条** SIAC仲裁院决定根据第16.4条合并两项或多项仲裁的，这些仲裁应合并入主簿官认定最先开始的仲裁，除非所有当事人另有约定或SIAC仲裁院另有决定。为管理合并后的仲裁之目的，SIAC仲裁院应指定合并仲裁中的当事人为申请人和被申请人。 **第16.7条** 合并申请根据第16.4条获得批准的，院长在考虑当事人意见后，可撤销在SIAC仲裁院作出合并决定前已指定的任何仲裁员的任命。除非主簿官另有决定，本规则项下的指定规定应酌情适用，有关期限自收到SIAC仲裁院根据第16.4条作出的决定之日起计算。 **第16.8条** 在寻求合并的任何仲裁中仲裁庭组成之后，一方当事人可向仲裁庭申请将根据本规则待决的两项或多项仲裁合并为一项仲裁，如果： (a) 所有当事人已同意合并； (b) 仲裁中的所有请求、反请求和交叉请求均根据同一仲裁协议提出，且每项仲裁中已组成相同的仲裁庭或其他仲裁中尚未组成仲裁庭；或 (c) 仲裁协议相互兼容，每项仲裁中已组成相同的仲裁庭或其他仲裁中尚未组成仲裁庭，且：(i) 争议源于或涉及同一法律关系；(ii) 争议源于或涉及由主合同及其附属合同组成的合同；或 (iii) 争议源于或涉及同一交易或一系列交易。 **第16.9条** 在遵守仲裁庭任何具体指示的前提下，第16.2条的规定经必要修改后适用于根据第16.8条提出的合并申请。 **第16.10条** 仲裁庭应在给予所有当事人陈述意见的机会后，决定是否全部或部分批准根据第16.8条提出的合并申请。仲裁庭根据本条批准合并申请的决定不影响仲裁庭随后就该决定引起的任何管辖权问题作出裁定的权力。未被合并的任何仲裁应作为独立仲裁继续进行。 **第16.11条** 合并申请根据第16.10条获得批准的，院长在考虑当事人意见后，可撤销在仲裁庭作出合并决定前已指定的任何仲裁员的任命。 **第16.12条** 院长根据第16.7条或第16.11条撤销任何仲裁员任命的决定，不影响该仲裁员在其任命被撤销前所作的任何行为或任何决定、裁定、命令或裁决的效力。 **第16.13条** 合并申请根据第16.4条或第16.10条获得批准的，任何未曾有机会提名仲裁员或以其他方式参与仲裁庭组成的当事人应被视为已放弃任何该等权利，但不影响该当事人根据第26条对仲裁员提出回避的权利。 **第17条 — 协调程序** **第17.1条** 在两项或多项仲裁中组成了相同的仲裁庭，且所有仲裁均涉及共同的法律或事实问题的，仲裁的任何一方当事人可向仲裁庭申请协调这些仲裁，以便： (a) 仲裁应同时或依次进行； (b) 仲裁应合并审理且任何程序方面应保持一致；或 (c) 任何仲裁应中止，等待其他仲裁中的决定。 **第17.2条** 仲裁庭应在给予仲裁所有当事人陈述意见的机会后，并考虑第59条规定的保密义务，对根据第17.1条提出的申请作出决定。 **第17.3条** 除非当事人另有约定，任何经协调的仲裁应保持为独立的程序，仲裁庭应在每项仲裁中分别作出决定、裁定、命令和裁决。 **第18条 — 追加当事人** **第18.1条** 在提交仲裁通知或答辩书时，或在仲裁庭组成之前的任何时间，仲裁的一方或非当事人可向主簿官申请将一名或多名追加当事人作为申请人和被申请人（各称为"追加当事人"）加入根据本规则待决的仲裁，如果： (a) 所有当事人（包括追加当事人）已同意追加该追加当事人；或 (b) 该追加当事人初步看来受仲裁协议的约束。 **第18.2条** 根据第18.1条提出的追加申请应包括： (a) 向所有当事人（包括追加当事人）送达申请的日期和方式； (b) 待决仲裁的案件编号； (c) 所有当事人（包括追加当事人）及其代理人的身份和联系方式； (d) 关于追加当事人应被指定为申请人还是被申请人的意见； (e) 第6.3条(d)项和第6.3条(e)项规定的信息； (f) 关于任何当事人（包括追加当事人）的第三方出资协议存在情况的声明以及第三方出资者的身份和联系方式； (g) 支持申请的事实和法律依据陈述；以及 (h) 支付追加当事人申请费。 **第18.3条** 主簿官应确定追加申请是否符合或实质上符合第18.2条的要求。追加申请完备后，SIAC秘书处应通知所有当事人（包括追加当事人）。 **第18.4条** 如果主簿官认定追加申请不符合或实质上不符合第18.2条的任何要求，或在提交申请时未支付追加当事人申请费，主簿官可规定期限，要求补正申请中的缺陷。如果申请人未在主簿官规定的期限内完成上述事项，主簿官可视为该申请在不损害申请人权利的前提下被撤回。 **第18.5条** SIAC仲裁院应在考虑所有当事人（包括追加当事人）的意见后，决定是否全部或部分批准根据第18.1条提出的追加申请。追加申请是根据第18.1条(a)项经所有当事人（包括追加当事人）同意提出的，由院长决定该申请，院长的决定应视为SIAC仲裁院的决定。 **第18.6条** SIAC仲裁院批准追加申请的决定不影响仲裁庭随后就该决定引起的任何管辖权问题作出裁定的权力。SIAC仲裁院驳回追加申请的决定不影响任何当事人或非当事人根据第18.10条向仲裁庭申请追加的权利。 **第18.7条** 追加申请根据第18.5条获得批准的，主簿官收到完整追加申请的日期应视为仲裁就该追加当事人开始的日期。 **第18.8条** 追加申请根据第18.5条获得批准的，院长可撤销在SIAC仲裁院作出追加决定前已指定的任何仲裁员的任命。除非主簿官另有决定，本规则项下的指定规定应酌情适用，有关期限自收到SIAC仲裁院根据第18.5条作出的决定之日起计算。 **第18.9条** 院长根据第18.8条撤销任何仲裁员任命的决定，不影响该仲裁员在其任命被撤销前所作的任何行为或任何决定、裁定、命令或裁决的效力。 **第18.10条** 在仲裁庭组成之后，仲裁的一方或非当事人可向仲裁庭申请将一名或多名追加当事人作为申请人和被申请人（各称为"追加当事人"）加入根据本规则待决的仲裁，如果： (a) 所有当事人（包括追加当事人）已同意追加该追加当事人；或 (b) 该追加当事人初步看来受仲裁协议的约束。 **第18.11条** 在遵守仲裁庭任何具体指示的前提下，第18.2条的规定经必要修改后适用于根据第18.10条提出的追加申请。在适当情况下，根据第18.10条向仲裁庭提出的申请可向主簿官提交，主簿官将该申请转交仲裁庭。 **第18.12条** 仲裁庭应在给予所有当事人（包括追加当事人）陈述意见的机会后，决定是否全部或部分批准根据第18.10条提出的追加申请。 **第18.13条** 仲裁庭批准追加申请的决定不影响仲裁庭随后就该决定引起的任何管辖权问题作出裁定的权力。 **第18.14条** 追加申请根据第18.12条获得批准的，主簿官或仲裁庭（视情况而定）收到完整追加申请的日期应视为仲裁就该追加当事人开始的日期。 **第18.15条** 追加申请根据第18.5条或第18.12条全部或部分获得批准的，任何未曾有机会提名仲裁员或以其他方式参与仲裁庭组成的当事人应被视为已放弃任何该等权利，但不影响该当事人根据第26条对仲裁员提出回避的权利。 **第18.16条** 追加申请根据第18.5条或第18.12条获得批准的，当事人和追加当事人可根据第6条和第7条的规定向任何其他当事人提出请求、反请求、交叉请求或抵销。 **第19条 — 指定规则** **第19.1条** 除非当事人另有约定，仲裁庭应由一名或三名仲裁员组成。当事人未就仲裁员人数达成一致的，应指定独任仲裁员，除非主簿官在考虑当事人意见后认定争议需要指定三名仲裁员。 **第19.2条** 当事人已约定由任何或所有当事人、已指定的仲裁员或任何第三人、机构或组织指定仲裁员的，该约定应视为根据本规则提名仲裁员的协议，并须由院长根据第19.4条予以指定。 **第19.3条** 院长可指定由任何或所有当事人、已指定的仲裁员或任何第三人、机构或组织建议或提议的任何仲裁员。 **第19.4条** 在任何情况下，由任何或所有当事人、已指定的仲裁员或任何第三人、机构或组织提名的任何仲裁员，均须经院长指定。院长在考虑当事人、已指定的仲裁员或相关第三人、机构或组织的意见后，可根据本条拒绝指定任何仲裁员。 **第19.5条** 院长根据本规则指定仲裁员时，应考虑任何约定的资格以及与该仲裁员的公正性或独立性相关的因素。 **第19.6条** 院长应考虑仲裁员是否有足够的时间以适合争议性质的迅速有效方式处理仲裁。 **第19.7条** 当事人国籍不同的，院长应指定一名与当事人国籍不同的独任仲裁员或首席仲裁员，除非当事人另有约定或院长在考虑当事人的建议和案件情况后认定另有适当安排。 **第19.8条** 主簿官在考虑当事人意见后，可延长本规则规定或当事人约定的指定期限。 **第19.9条** 如果根据当事人约定的指定程序条款无法按照该等条款完成指定，院长应指定仲裁员。 **第19.10条** 如果根据当事人约定的指定程序条款，存在可能影响裁决效力或可执行性的重大不平等对待风险，院长在考虑当事人意见后，可采取任何必要措施组成独立公正的仲裁庭。在此情况下，各方当事人应被视为已放弃提名仲裁员或以其他方式参与仲裁庭组成的任何权利，院长可撤销任何仲裁员的任命。 **第19.11条** 每位仲裁员的任命条件应由主簿官根据本规则和现行有效的实务指引确定。在仲裁庭组成之前，当事人可约定确定仲裁庭费用的替代方法。仲裁庭组成后，不得更改确定仲裁庭费用的方法。 **第19.12条** 仲裁庭应视为在SIAC秘书处通知当事人的日期组成。 **第19.13条** 院长或主簿官关于指定的任何决定应为终局决定，不得上诉。 **第20条 — 披露** **第20.1条** 所有根据本规则指定的仲裁员必须在任何时候保持独立和公正，并按照本规则、SIAC道德准则和现行有效的实务指引行事。所有根据本规则指定的仲裁员必须签署接受、独立性、公正性和可用性声明。 **第20.2条** 在指定前，拟任仲裁员应向主簿官书面披露可能引起对其公正性或独立性产生合理怀疑的任何情况，并说明其是否不具备当事人约定的任何资格。 **第20.3条** 指定后，仲裁员有持续义务立即以书面形式向主簿官、当事人和其他仲裁员披露可能引起对其公正性或独立性产生合理怀疑的任何情况。 **第21条 — 独任仲裁员** **第21.1条** 应指定独任仲裁员的，当事人可在仲裁开始之日起21日内，或在当事人另行约定或主簿官确定的期限内，共同提名独任仲裁员。 **第21.2条** 当事人未能在仲裁开始之日起21日内，或在当事人另行约定或主簿官确定的期限内共同提名独任仲裁员的，院长应指定独任仲裁员。 **第22条 — 三名仲裁员** **第22.1条** 应指定三名仲裁员的，申请人应在仲裁开始之日起14日内，或在当事人另行约定或主簿官确定的期限内提名一名仲裁员；被申请人应在收到申请人提名仲裁员的通知后14日内，或在当事人另行约定或主簿官确定的期限内提名一名仲裁员。 **第22.2条** 一方当事人未能在第22.1条规定的期限内提名仲裁员的，院长应代其指定一名仲裁员。 **第22.3条** 首席仲裁员应由院长指定，除非当事人已就提名首席仲裁员约定了其他程序，或该约定程序未能在当事人约定或主簿官确定的期限内产生首席仲裁员的提名。 **第23条 — 多方指定三名仲裁员** **第23.1条** 仲裁中有两方以上当事人且应指定三名仲裁员的，申请人方应共同提名一名仲裁员，被申请人方应共同提名一名仲裁员，期限为仲裁开始之日起28日内，或在当事人另行约定或主簿官确定的期限内。首席仲裁员应根据第22.3条指定。 **第23.2条** 申请人方和被申请人方未能在仲裁开始之日起28日内，或在当事人另行约定或主簿官确定的期限内共同提名的，院长应指定全部三名仲裁员并指定首席仲裁员。 **第24条 — 仲裁庭秘书** **第24.1条** 根据本规则第24条和现行有效的实务指引： (a) 仲裁庭可在考虑当事人意见并与主簿官协商后，指定一名仲裁庭秘书；或 (b) 仲裁庭可在考虑当事人意见并经主簿官批准后，指定SIAC秘书处的一名成员担任仲裁庭秘书。 **第24.2条** 第20条规定的披露义务经必要修改后适用于任何仲裁庭秘书的任命。 **第24.3条** 仲裁庭不得将其任何决策职能委托给仲裁庭秘书。仲裁庭秘书执行的所有任务均应以仲裁庭名义并在仲裁庭监督下进行。 **第24.4条** 仲裁庭可解任仲裁庭秘书。SIAC秘书处成员被指定为仲裁庭秘书的，仲裁庭在解任该仲裁庭秘书前应与主簿官协商。 **第24.5条** 希望对仲裁庭秘书提出回避的当事人，应在收到仲裁庭秘书任命通知之日起7日内，或在第26.1条所指且经必要修改后适用于此的情况为该当事人所知或理应所知之日起7日内，提交回避通知。 **第24.6条** 对仲裁庭秘书的任何回避应由院长在考虑当事人、被回避的仲裁庭秘书和仲裁庭的意见后决定。院长无须为其决定提供理由。院长对仲裁庭秘书回避的任何决定应为终局决定，不得根据本规则上诉。 **第24.7条** 在仲裁过程中，仲裁庭秘书死亡、丧失行为能力、辞职、退出或被解任的，可根据第24.1条和现行有效的实务指引规定的程序指定替代仲裁庭秘书。 **第24.8条** 仲裁庭应根据现行有效的实务指引并在考虑当事人意见后，确定仲裁庭秘书的任命条件。 **第25条 — 与仲裁庭的通讯** **第25.1条** 当事人向仲裁庭的所有通讯均应按照第4条和仲裁庭的任何相关指示进行。 **第25.2条** 在仲裁庭组成之前，当事人或其代理人不得与任何拟任仲裁员（包括任何作为当事人提名仲裁员候选的人）进行与仲裁有关的单方通讯，但以下情况除外： (a) 讨论争议的一般性质和预期程序； (b) 就预期的任命讨论候选人的资格、可用性或独立性；或 (c) 根据当事人约定，当事人或当事人提名的仲裁员参与选择首席仲裁员时，讨论候选人的适合性。 当事人或其代理人不得与任何首席仲裁员候选人进行与仲裁有关的单方通讯。 **第25.3条** 仲裁庭组成后，当事人或其代理人不得与任何仲裁员进行与仲裁有关的单方通讯。 **第26条 — 仲裁员的回避** **第26.1条** 在下列情形下，可对仲裁员提出回避： (a) 存在对仲裁员的公正性或独立性产生合理怀疑的情况； (b) 仲裁员不具备当事人约定的任何必要资格；或 (c) 仲裁员在法律上或事实上不能履行其职责。 **第26.2条** 一方当事人仅可根据其在指定后知悉的理由，根据第26.1条对其提名的仲裁员提出回避。 **第27条 — 回避通知** **第27.1条** 希望对仲裁员提出回避的当事人应向主簿官提交回避通知： (a) 在收到被回避仲裁员的任命通知之日起15日内；或 (b) 在第26.1条所述理由为该当事人所知或理应所知之日起15日内。 **第27.2条** 回避通知应包括支持回避的事实和法律依据陈述，并应按照《收费表》支付回避申请费。主簿官收到回避通知的日期应视为该回避通知提交的日期。 **第27.3条** 如果提交申请时未支付回避申请费，主簿官可规定期限要求提出回避的当事人付款。如果在规定的期限内未付款，主簿官可视为该申请在不损害当事人权利的前提下被撤回。 **第27.4条** 收到根据第27.1条提交的回避通知后，主簿官可命令中止仲裁直至回避问题得到解决。除非主簿官根据本条规定命令中止仲裁，被提出回避的仲裁员在SIAC仲裁院根据第28条作出决定之前，有权继续参与仲裁。 **第27.5条** 如果在回避通知提交之日起7日内，所有其他当事人同意该回避或被提出回避的仲裁员自愿辞职，SIAC仲裁院可指示根据第30.1条指定替代仲裁员。在任何一种情况下，均不意味着承认回避理由的有效性。 **第28条 — 对回避的决定** **第28.1条** 如果回避未按照第27.5条解决，SIAC仲裁院应在考虑当事人、被提出回避的仲裁员和任何已指定的仲裁员的意见后，对回避作出决定。 **第28.2条** 如果SIAC仲裁院支持回避，SIAC仲裁院应解任该仲裁员，并根据第30.1条指定替代仲裁员。 **第28.3条** 如果SIAC仲裁院驳回回避，被提出回避的仲裁员应继续参与仲裁。 **第28.4条** SIAC仲裁院根据本条对仲裁员回避作出的决定应说明理由，并由SIAC秘书处送达当事人、被提出回避的仲裁员以及仲裁庭或任何已指定的仲裁员。 **第28.5条** SIAC仲裁院对回避的决定为终局决定，不得根据本规则上诉。 **第28.6条** 如果对担任SIAC董事会或SIAC仲裁院成员的仲裁员提出回避，应组成一个SIAC仲裁院委员会来对该回避作出决定，该委员会应包括一名非SIAC董事会或SIAC仲裁院成员的人士。 **第28.7条** 当事人应被视为已同意SIAC可以发布SIAC仲裁院对回避的任何决定，但须隐去当事人名称和所有其他可识别信息。 **第29条 — 解任** **第29.1条** SIAC仲裁院在考虑当事人、被考虑解任的仲裁员和其他仲裁员的意见后，可解任仲裁员，如果SIAC仲裁院认定： (a) 该仲裁员未遵守本规则、SIAC道德准则或现行有效的实务指引；或 (b) 该仲裁员未以确保争议得到公平、快速和经济解决的方式主持或参与仲裁。 **第30条 — 替换** **第30.1条** 除非本规则另有规定，在仲裁过程中仲裁员死亡、丧失行为能力、辞职、退出或被SIAC仲裁院解任的，应按照适用于被替换仲裁员的提名和指定程序指定替代仲裁员。即使在指定仲裁员的过程中一方当事人未能行使其提名仲裁员的权利，该程序仍应适用。适用于替代仲裁员提名和指定的期限，自当事人收到仲裁员死亡、丧失行为能力、辞职、退出或解任通知之日起计算。 **第30.2条** 仲裁庭由三名或更多仲裁员组成的，SIAC仲裁院可在考虑当事人和其余仲裁员的意见后酌情决定，由其余仲裁员继续仲裁，无需根据第30.1条指定替代仲裁员。 **第30.3条** 如有仲裁员根据本规则被替换，仲裁庭应在考虑当事人意见后决定是否需要重开此前已进行的任何庭审。除非仲裁庭在考虑当事人意见后另有决定，此前仅与某项决定、裁定、命令或裁决相关的庭审无需重开，该决定、裁定、命令或裁决应继续有效。 **第31条 — 仲裁庭的管辖权** **第31.1条** 仲裁庭有权对其自身管辖权作出裁定，包括对仲裁协议的存在、效力、适用性或范围的任何异议。构成合同一部分的仲裁协议应视为独立于合同其他条款的协议。仲裁庭认定合同不存在或无效的决定，不自动导致仲裁协议无效。 **第31.2条** 任何以下异议： (a) 仲裁庭不具有管辖权的，应不迟于在答辩书中提出，或就反请求而言，在不迟于对反请求的答辩书中提出；或 (b) 仲裁庭超越其管辖权范围的，应在被指控超越仲裁庭管辖权范围的事项在仲裁中出现之日起15日内提出。 仲裁庭可受理一方当事人在第31.2条规定的期限之后提出的异议，如果其认为迟延有正当理由。一方当事人不因其已提名或参与提名仲裁员而被排除提出本条项下的异议。 **第31.3条** 仲裁庭可将第31.2条所述的异议作为先决问题作出裁定，或在关于实体问题的决定或裁决中作出裁定。 **第32条 — 程序进行** **第32.1条** 当事人和仲裁庭应被视为已同意仲裁应尽职和专业地进行，并遵循第3.5条(a)至(c)项所述的原则。 **第32.2条** 仲裁庭有权以其认为适当的方式进行仲裁。在行使其程序裁量权时，仲裁庭应始终公平公正地行事，并确保各方当事人有合理的机会陈述其案情。 **第32.3条** 仲裁庭应决定所有证据的可采性、关联性、重要性和证明力。仲裁庭在作出该等决定时无须适用任何适用法律的证据规则。 **第32.4条** 仲裁庭组成后，应尽快与当事人举行首次案件管理会议，讨论最适合和最有效的案件程序。在首次案件管理会议上，仲裁庭还可就以下事项与当事人协商： (a) 全部或部分解决争议的可能性，包括通过采纳友好争议解决方式（例如根据SIAC-SIMC仲裁-调解-仲裁议定书进行调解）；以及 (b) 是否适合为该仲裁采纳环境可持续的程序。 **第32.5条** 任何案件管理会议可以线下方式、混合方式或通过视频会议、电话会议或任何其他形式的电子通信进行。 **第32.6条** 仲裁庭有权指示和安排程序顺序、分阶段审理、限制书状页数、排除重复或不相关的证词或其他证据，以及指示当事人将其陈述集中于其决定可能解决全部或部分案件的争点。 **第32.7条** 除非当事人另有约定，首席仲裁员可单独作出程序性裁定，但须接受仲裁庭全体成员的事后修订。 **第32.8条** 院长可请求当事人和仲裁庭参加行政会议，以确定和讨论最适合和最有效的案件程序。该行政会议可通过视频会议、电话会议或任何其他形式的电子通信进行。 **第33条 — 书面陈述** **第33.1条** 除非仲裁庭在考虑当事人意见后另有决定，书面陈述的提交应按照本第33条的规定进行。 **第33.2条** 除非已根据第6.4条提交，申请人应在仲裁庭确定的期限内，向被申请人、仲裁庭和SIAC秘书处提交仲裁申请书，其中载明： (a) 支持请求的事实陈述； (b) 支持请求的法律依据或论点；以及 (c) 所请求的救济。 **第33.3条** 除非已根据第7.2条提交，被申请人应在仲裁庭确定的期限内，向申请人、仲裁庭和SIAC秘书处提交答辩书（以及反请求书，如有），其中载明： (a) 支持对仲裁申请书答辩的事实陈述以及支持反请求（如有）的事实陈述； (b) 支持答辩、反请求、交叉请求或抵销的法律依据或论点；以及 (c) 所请求的救济。 **第33.4条** 如提交了反请求书，申请人应在仲裁庭确定的期限内，向被申请人、仲裁庭和SIAC秘书处提交对反请求的答辩书，其中载明： (a) 支持对反请求答辩的事实陈述； (b) 支持答辩、交叉请求或抵销的法律依据或论点；以及 (c) 所请求的救济。 **第33.5条** 经仲裁庭许可，当事人可修改其请求或答辩，包括反请求、交叉请求或抵销。仲裁庭应给予该许可，除非其考虑到提出修改的时间、对其他当事人的不利影响或任何其他情况，认为允许该修改不适当。请求或答辩（包括反请求、交叉请求或抵销）不得以修改后的请求或答辩（包括反请求、交叉请求或抵销）超出仲裁协议范围的方式作出修改。 **第33.6条** 仲裁庭在考虑当事人意见后，可决定当事人需要提交或可以提交哪些进一步的书面陈述。 **第33.7条** 本第33条所述的所有陈述均应附有此前未被任何当事人提交过的所有支持性文件的副本。仲裁庭在考虑当事人意见后，可指示书面陈述应附有支持性证人陈述和专家报告的副本。 **第34条 — 待决争点** **第34.1条** 仲裁庭应与当事人协商，并在仲裁的适当阶段，尽合理努力确定仲裁中需要裁定的争点，并将其记录在程序令中。 **第35条 — 适用法律** **第35.1条** 仲裁庭应适用当事人选择的适用于争议实体的法律或法律规则。当事人未作选择的，仲裁庭应适用其认为适当的法律或法律规则。 **第35.2条** 仲裁庭应按照合同条款作出决定，并应考虑适用于相关交易的任何贸易惯例。 **第35.3条** 只有在当事人明确授权的情况下，仲裁庭才能作为友好调解人或根据公允善良原则作出决定。 **第36条 — 仲裁地** **第36.1条** 当事人可约定仲裁地。当事人未约定的，由仲裁庭确定仲裁地。 **第37条 — 仲裁语言** **第37.1条** 当事人可约定仲裁的一种或多种语言。当事人未约定的，由仲裁庭确定仲裁的一种或多种语言。 **第37.2条** 如一方当事人提交以仲裁语言以外的语言写成的文件，主簿官或仲裁庭（视情况而定）可命令该当事人以主簿官或仲裁庭确定的形式提交翻译件。 **第37.3条** 为管理仲裁之目的，主簿官在考虑当事人意见后，可确定SIAC秘书处与当事人之间以及SIAC秘书处与仲裁庭之间通讯的一种或多种语言。 **第38条 — 第三方出资** **第38.1条** 当事人应在其仲裁通知或答辩书中，或在订立第三方出资协议后尽快，披露任何第三方出资协议的存在情况以及第三方出资者的身份和联系方式。 **第38.2条** 受资助方应在可行的情况下尽快将此前根据第38.1条披露的第三方出资协议的任何变更通知仲裁庭、各方当事人和主簿官。 **第38.3条** 仲裁庭组成后，一方当事人不得订立可能引起与仲裁庭任何成员利益冲突的第三方出资协议。在此种情况下，仲裁庭可指示该当事人退出该第三方出资协议。 **第38.4条** 仲裁庭可命令披露第38.1条所述的信息，并在考虑当事人意见后，可就第三方出资协议的披露作出其认为适当的命令，包括关于第三方出资者在程序结果中的利益细节以及该第三方出资者是否承诺承担不利费用责任的细节。 **第38.5条** 第三方出资协议的披露和存在本身，不得被视为一方当事人财务状况的指示。 **第38.6条** 仲裁庭在根据本规则分摊费用时，可考虑任何第三方出资协议。 **第38.7条** 如果一方当事人不遵守本第38条规定的任何披露义务或命令，仲裁庭可采取适当措施，包括发出制裁、损害赔偿或费用的命令或裁决。 **第39条 — 庭审** **第39.1条** 除非当事人已约定争议将根据书面陈述及随附的文件证据决定，或本规则另有规定，如任何一方当事人提出请求或仲裁庭作出决定，仲裁庭应举行庭审，由证人（包括专家证人）作证和/或进行口头辩论。 **第39.2条** 仲裁庭应在考虑当事人意见后，确定任何庭审的日期、时间和形式，并给予当事人合理通知。庭审可以线下方式在仲裁庭与当事人协商后确定的适当地点进行，也可以混合方式，或通过视频会议、电话会议或任何其他形式的电子通信进行。 **第39.3条** 除非当事人另有约定，所有庭审应不公开进行，任何与仲裁有关的录音、笔录或文件应遵守第59条的保密规定。 **第39.4条** 仲裁庭可以其认为适当的任何方式和在任何地点进行合议。仲裁庭合议的任何预期费用必须事先获得主簿官的批准。 **第40条 — 证人** **第40.1条** 在任何庭审之前，仲裁庭可指示当事人通知其拟传唤的证人（包括专家证人）的身份、其证言的主题以及与争点的相关性。 **第40.2条** 仲裁庭有权命令或拒绝允许证人在任何庭审中出庭作证，或限制在任何庭审中的口头证人证言。 **第40.3条** 提供口头证据的任何证人可由各方当事人及其代理人和仲裁庭以仲裁庭确定的方式进行询问。 **第40.4条** 仲裁庭可指示以书面形式（签署或宣誓的陈述或任何其他形式的记录）提交证人证言。在遵守第40.2条的前提下，任何当事人可请求该证人出庭接受口头询问，可以线下方式或通过视频会议、电话会议或任何其他形式的电子通信进行。如果证人未能出庭接受口头询问，仲裁庭可决定该书面证言的证明力、不予考虑或完全排除该书面证言。 **第40.5条** 在遵守任何适用法律或法规的前提下，就拟提出证据的任何证人或潜在证人，一方当事人或其代理人： (a) 可与该证人或潜在证人面谈； (b) 可协助该证人或潜在证人准备证人陈述或专家报告；以及 (c) 可在该证人出庭作证前与其会面。 当事人及其代理人应努力确保事实证人的证据反映其对相关事实的亲身陈述，专家证据反映其真实持有的意见。 **第41条 — 仲裁庭指定的专家** **第41.1条** 仲裁庭在考虑当事人意见后，可指定一名或多名专家就争议范围内的争点出具报告或以其他方式协助仲裁庭。 **第41.2条** 仲裁庭应与当事人协商专家的任命条件和费用。 **第41.3条** 根据第41.1条指定的任何专家应在指定前以仲裁庭确定的形式提供关于其资格、公正性和独立性的签署声明。仲裁庭应决定一方当事人对专家资格、公正性或独立性的任何异议。 **第41.4条** 当事人应向根据第41.1条指定的任何专家提供所有相关信息，并提供或允许查阅任何相关文件、货物或财产以供检查。 **第41.5条** 根据第41.1条指定的任何专家应向仲裁庭提交书面报告。收到该书面报告后，仲裁庭应将报告副本送达当事人和SIAC秘书处，并邀请当事人就该报告提交书面意见。 **第41.6条** 如有任何当事人提出请求或仲裁庭作出决定，根据第41.1条指定的专家在提交书面报告后，应出庭接受口头询问，可以线下方式或通过视频会议、电话会议或任何其他形式的电子通信进行。 **第42条 — 程序终结** **第42.1条** 仲裁庭应在就裁决中需决定的事项的最后一次指定口头或书面陈述后，尽快在确认当事人就此类事项没有进一步相关和实质性的证据需要提供或陈述需要作出后，宣布程序终结。仲裁庭宣布程序终结应以书面形式进行，并通知当事人和SIAC秘书处。 **第42.2条** 仲裁庭可自行或经一方当事人申请，但在作出任何裁决之前，重新启动程序。仲裁庭关于重新启动程序的决定应以书面形式作出，并通知当事人和SIAC秘书处。 **第43条 — 中止、和解和终止** **第43.1条** 主簿官或仲裁庭（视情况而定）可根据当事人约定的条件或本规则的其他规定中止仲裁。主簿官或仲裁庭在考虑当事人意见后，可命令中止任何期限的计算。 **第43.2条** 如达成和解，仲裁庭应发出终止仲裁的命令，或如当事人请求，仲裁庭可按约定条款以合意裁决的形式记录和解。仲裁庭无义务为合意裁决提供理由或将和解条款纳入合意裁决。 **第43.3条** 仲裁庭在考虑当事人意见后，应在以下情形发出终止仲裁的命令： (a) 申请人撤回其请求，除非被申请人对此提出异议且仲裁庭认定被申请人在获得争议的最终解决或任何费用命令方面具有合法利益； (b) 当事人同意终止仲裁； (c) 仲裁庭认定仲裁的继续进行已无必要或不可能；或 (d) 主簿官已根据第56.5条(b)项视有关请求、反请求或交叉请求因未支付暂存款而被撤回。 **第43.4条** 在仲裁庭组成之前，主簿官有权根据本规则终止仲裁。 **第43.5条** 仲裁庭或主簿官根据本条终止仲裁的命令，自该命令作出之日起生效，除非仲裁庭或主簿官另有命令。 **第44条 — 不参与和不遵守** **第44.1条** 如果申请人未能在仲裁庭规定的期限内提交仲裁申请书，仲裁庭在考虑当事人意见后，可根据第43条发出终止仲裁的命令，除非有待决定的事项。 **第44.2条** 如果被申请人未能在仲裁庭规定的期限内提交答辩书，或任何当事人在任何时候未能利用仲裁庭指示的方式陈述其案情的，仲裁庭可继续进行仲裁，且不将此种不作为本身视为对任何主张的承认。 **第44.3条** 如果任何一方当事人无充分理由未能或拒绝遵守本规则或仲裁庭的任何指示、决定、裁定、命令或裁决，或未能出席任何会议或庭审，仲裁庭可继续进行仲裁。在此情况下，仲裁庭可施加其认为适当的制裁，并依据其面前的证据作出裁决。 **第45条 — 临时救济** **第45.1条** 除非当事人另有约定，仲裁庭可根据一方当事人的请求，发出命令或裁决，准予其认为适当的任何临时或保全性救济。仲裁庭可命令请求临时或保全性救济的当事人提供与所请求的救济相关的适当担保。 **第45.2条** 一方当事人向司法机关提出的临时或保全性救济请求，与本规则并无抵触，亦不视为违反或放弃仲裁协议。任何该等向司法机关提出的申请以及就此作出的任何决定，须迅速通知仲裁庭和主簿官。 **第46条 — 先决裁定** **第46.1条** 一方当事人可向仲裁庭申请对仲裁中需要决定的任何争点作出具有终局约束力的先决裁定，如果： (a) 当事人同意仲裁庭可对争点作出先决裁定； (b) 申请人能够证明对争点作出先决裁定可能有助于节省时间和费用，并更有效快速地解决争议；或 (c) 案件情况另有理由支持对争点作出先决裁定。 **第46.2条** 根据第46.1条提出的先决裁定申请应陈述支持申请的事实和法律依据。 **第46.3条** 仲裁庭应在给予当事人陈述意见的机会后，决定是否继续处理先决裁定申请。 **第46.4条** 如果先决裁定申请被允许继续处理，仲裁庭应： (a) 确定作出该先决裁定的程序，同时考虑案件情况以及为当事人提供合理机会陈述其案情的需要；以及 (b) 在申请提交之日起90日内，就该申请作出决定、裁定、命令或裁决，并附具理由（可为摘要形式），除非主簿官延长时间。 **第46.5条** 本第46条的任何规定均不限制仲裁庭指示对仲裁中需要决定的任何争点作出先决裁定的固有权力。 **第47条 — 请求和抗辩的早期驳回** **第47.1条** 一方当事人可向仲裁庭申请早期驳回某项请求或抗辩，如果： (a) 某项请求或抗辩明显缺乏法律依据；或 (b) 某项请求或抗辩明显超出仲裁庭的管辖权范围。 **第47.2条** 根据第47.1条提出的早期驳回申请应陈述支持申请的事实和法律依据。 **第47.3条** 仲裁庭应决定是否允许根据第47.1条提出的早期驳回申请继续处理。 **第47.4条** 如果早期驳回申请被允许继续处理，仲裁庭应在给予当事人陈述意见的机会后，就该申请作出决定、裁定、命令或裁决，并附具理由（可为摘要形式）。该决定、裁定、命令或裁决应在申请提交之日起45日内作出，除非主簿官延长时间。 **第48条 — 费用担保** **第48.1条** 一方当事人可向仲裁庭申请命令任何提出请求、反请求或交叉请求的当事人提供法律费用和开支以及仲裁费用的担保。 **第48.2条** 如果一方当事人未能遵守提供此种担保的命令，仲裁庭可作出任何适当的相应指示。 **第48.3条** 一方当事人应迅速披露仲裁庭据以根据第48.1条命令提供担保的情况发生任何重大变化。 **第48.4条** 仲裁庭在考虑当事人意见后，可修改或撤销其根据第48.1条作出的担保命令。 **第49条 — 请求担保** **第49.1条** 一方当事人可向仲裁庭申请命令对请求、反请求或交叉请求作出回应的任何当事人提供针对相关请求的担保。 **第49.2条** 如果一方当事人未能遵守提供此种担保的命令，仲裁庭可作出任何适当的相应指示。 **第49.3条** 一方当事人应迅速披露仲裁庭据以根据第49.1条命令提供担保的情况发生任何重大变化。 **第49.4条** 仲裁庭在考虑当事人意见后，可修改或撤销其根据第49.1条作出的担保命令。 **第50条 — 仲裁庭的补充权力** **第50.1条** 除非当事人另有约定，仲裁庭有权决定所有程序和证据事项。 **第50.2条** 除本规则规定的其他权力外，除非当事人另有约定或任何适用法律的强制性规定禁止，仲裁庭还有权： (a) 指示任何当事人以宣誓书或任何其他形式提供证据； (b) 主持当事人和证人的宣誓或确认； (c) 进行仲裁庭认为必要或适宜的调查； (d) 决定仲裁庭是否以及应在多大程度上自行查明事实或法律； (e) 命令更正或修改任何合同，但须受该合同适用法律的约束； (f) 命令任何当事人以仲裁庭确定的方式，向仲裁庭和其他当事人提供其占有或控制的、仲裁庭认为与案件相关且对案件结果具有实质意义的任何文件、财产或物品以供检查； (g) 命令保全、存储、出售或处置属于或构成争议标的物一部分的任何文件、财产或物品； (h) 指示任何当事人采取行动或不采取行动，以确保仲裁中可能作出的裁决不会因一方当事人转移资产或其他方式而失去效力； (i) 在适当情况下，决定一方当事人陈述中未明示或默示提出的任何争点，但该争点须已明确通知所有其他当事人，且所有其他当事人已获得充分机会进行回应或提交陈述； (j) 确定适用于仲裁的程序法或任何其他法律； (k) 决定任何法律特权或其他特权的请求； (l) 作出任何必要指示（包括中止程序），以便当事人采纳任何友好争议解决方式，例如根据SIAC-SIMC仲裁-调解-仲裁议定书进行调解；以及 (m) 除本规则另有规定外，延长或缩短本规则规定或其指示规定的任何期限。 **第51条 — 裁决的作出** **第51.1条** 仲裁庭可在仲裁过程中的不同时间点，就需决定事项的不同方面作出一个以上的裁决。 **第51.2条** 仲裁庭由一名以上仲裁员组成的，应按多数意见作出决定。未能形成多数意见的，由首席仲裁员单独作出裁决。 **第51.3条** 如有仲裁员在被给予合理机会后仍未能参与裁决的作出，其余仲裁员可继续推进。其余仲裁员应将此种未能参与的情况书面通知主簿官、当事人和缺席仲裁员。在决定是否在仲裁员缺席的情况下继续仲裁时，其余仲裁员可特别考虑仲裁的阶段、缺席仲裁员对其未能参与作出的任何解释，以及其余仲裁员继续推进而无缺席仲裁员参与对裁决可执行性的任何可能影响。其余仲裁员应在作出的任何裁决中说明在缺席仲裁员未参与的情况下继续推进的理由。 **第51.4条** 除非当事人另有约定，仲裁庭应在终局裁决中载明主簿官确定的仲裁费用以及仲裁庭关于仲裁费用分摊的决定。 **第51.5条** 在遵守任何适用法律的前提下，仲裁庭可裁定律金或复利，自其认为适当的日期起、按适当的利率和复利周期计算： (a) 裁决的任何金额或仲裁中争议的任何金额的全部或部分；以及 (b) 仲裁中裁定的任何费用。 仲裁庭在作出关于利息的裁决时，应考虑当事人就利息作出的任何约定。 **第51.6条** 当事人应被视为已同意任何裁决自作出之日起具有终局性，对当事人具有约束力，当事人承诺立即并无迟延地履行裁决。当事人在此不可撤销地放弃就该裁决向任何法院或其他司法机关提起任何形式的上诉、审查或追诉的权利，但以该等放弃可以合法作出为限。 **第51.7条** 除非当事人另有约定，且在任何适用法律不禁止的范围内，每项裁决应对当事人具有终局约束力，涉及所裁定的请求、反请求、交叉请求和抵销，以及（在适当情况下）为裁定当事人的请求、反请求、交叉请求和抵销而决定的事实和法律争点。 **第52条 — 裁决的形式** **第52.1条** 裁决应以书面形式作出，并由仲裁员签署。在仲裁庭由一名以上仲裁员组成的仲裁中，仲裁庭多数成员签署即可，但未签署的原因须在裁决中说明。 **第52.2条** 仲裁庭在考虑当事人意见并与主簿官协商后，可确定以下方式为适当： (a) 裁决以副本分别签署；或 (b) 裁决以电子方式签署。 **第52.3条** 裁决应说明其所依据的理由，除非是根据第43.2条作出的合意裁决。 **第52.4条** 裁决应视为在仲裁地作出，并以裁决中载明的日期为作出日期。 **第52.5条** 仲裁庭应将裁决送交SIAC秘书处，SIAC秘书处应在仲裁费用结清后将裁决送达当事人。 **第52.6条** 经一方当事人请求，主簿官可认证任何裁决或仲裁协议，或核证其任何纸质副本。 **第53条 — 裁决的核阅** **第53.1条** 在就裁决中需决定事项的最后一次指定口头或书面陈述提交之日起30日内，仲裁庭应向当事人和SIAC秘书处提供其建议根据第53.2条提交裁决草案以供核阅的时间预估。 **第53.2条** 在作出裁决前，仲裁庭应将裁决草案提交SIAC秘书处，并告知当事人提交日期。仲裁庭应不迟于与裁决相关的程序中的最后一次指定口头或书面陈述提交之日起90日内，将裁决草案提交SIAC秘书处，除非主簿官另有决定。 **第53.3条** 主簿官可在可行的情况下尽快就裁决草案的形式提出修改建议，并在不影响仲裁庭决定争议的自由的情况下，提请仲裁庭注意实体问题。SIAC秘书处应在主簿官完成核阅后通知当事人。 **第53.4条** 裁决须经主簿官就其形式予以批准后方可发出。 **第54条 — 更正、解释和补充裁决** **第54.1条** 在收到裁决之日起30日内，一方当事人可通过书面通知主簿官、仲裁庭和其他当事人，请求仲裁庭更正裁决中的任何计算错误、笔误或打印错误或任何类似性质的错误。仲裁庭在考虑当事人对该请求的意见后，如认为请求合理，应在收到请求之日起30日内作出更正。任何更正（在原始裁决中或单独备忘录中作出）应构成裁决的一部分。 **第54.2条** 仲裁庭可自行在收到裁决之日起30日内更正第54.1条所述类型的任何错误。 **第54.3条** 在收到裁决之日起30日内，一方当事人可通过书面通知主簿官、仲裁庭和其他当事人，请求仲裁庭对裁决的特定要点或部分作出解释。仲裁庭在考虑当事人对该请求的意见后，如认为请求合理，应在收到请求之日起30日内作出书面解释。任何解释应构成裁决的一部分。 **第54.4条** 在收到裁决之日起30日内，一方当事人可通过书面通知主簿官、仲裁庭和其他当事人，请求仲裁庭就仲裁中提出但裁决中未处理的请求作出补充裁决。仲裁庭在考虑当事人对该请求的意见后，如认为请求合理，应在收到请求之日起60日内作出补充裁决。 **第54.5条** 主簿官可延长仲裁庭根据本条更正裁决、解释裁决或作出补充裁决的期限。 **第54.6条** 第53条的规定经必要修改后适用于更正、解释或补充裁决。 **第54.7条** 主簿官可确定根据本条规定产生的仲裁庭费用和开支以及SIAC管理费方面的仲裁补充费用。 **第55条 — 发回** **第55.1条** 如法院将裁决发回仲裁庭，本规则应酌情适用于按照发回条款进行的仲裁管理。主簿官可采取任何必要步骤以使仲裁庭能够遵守发回条款，并可确定根据本条规定产生的仲裁庭费用和开支以及SIAC管理费方面的仲裁补充费用。 **第56条 — 暂存款** **第56.1条** 主簿官应根据《收费表》按照争议金额确定应支付的仲裁预估费用暂存款。除非主簿官另有指示，该暂存款的50%由申请人支付，50%由被申请人支付。主簿官可为请求、反请求或交叉请求分别确定暂存款。 **第56.2条** 如果在暂存款到期时争议金额无法量化，主簿官应对仲裁费用作出临时估算并要求支付相应暂存款。该估算可在争议金额量化后或根据此后获得的信息进行调整。 **第56.3条** 主簿官可随时指示当事人支付进一步或额外的仲裁预估费用暂存款。 **第56.4条** 当事人对仲裁费用承担连带责任。如果一方当事人未按指示支付暂存款，主簿官可指示其他当事人代其支付暂存款。 **第56.5条** 如果一方当事人未能按指示支付暂存款，主簿官可： (a) 指示仲裁庭和SIAC秘书处全部或部分中止仲裁的进行和管理；和/或 (b) 规定期限，期限届满后，相关请求、反请求或交叉请求应被视为在不损害当事人权利的前提下撤回。 **第56.6条** 所有仲裁预估费用暂存款应支付给SIAC并由SIAC持有。该暂存款产生的任何利息应由SIAC保留。 **第56.7条** 如一方当事人代其他当事人支付了仲裁预估费用暂存款，仲裁庭可发出命令或裁决，要求偿还该已支付的暂存款。 **第57条 — 仲裁费用** **第57.1条** 主簿官应在仲裁结束时根据《收费表》和现行有效的实务指引确定仲裁费用。 **第57.2条** 在本规则中，"仲裁费用"一词应包括： (a) 仲裁庭的费用和开支； (b) SIAC的管理费和开支； (c) 紧急仲裁员的费用和开支； (d) 仲裁庭秘书的费用和开支； (e) 仲裁庭指定的任何专家的费用以及仲裁庭合理需要的任何其他协助的费用；以及 (f) 申请费。 **第57.3条** 仲裁费用应包括任何适用的政府或法定税费。 **第57.4条** 仲裁庭费用和SIAC费用应以根据《收费表》按争议金额确定的最高限额为限。主簿官有权： (a) 确定尽管争议金额有所修改，根据《收费表》计算的最高限额应保持不变；以及 (b) 确定仲裁庭费用和SIAC费用应适用超过《收费表》规定最高限额的额外费用。 **第57.5条** 如主簿官确定的仲裁费用低于当事人已支付的暂存款，应向当事人退还各自未使用的暂存款，或按照当事人约定的比例退还。 **第57.6条** 仲裁庭的合理开支和其他津贴应按照现行有效的实务指引予以报销。 **第57.7条** 主簿官可不时允许根据本规则和现行有效的实务指引向仲裁庭支付期中款项。 **第57.8条** 主簿官对仲裁费用的确定为终局决定，不得根据本规则上诉或审查。 **第58条 — 法律费用和其他费用** **第58.1条** 仲裁庭有权在裁决中命令一方当事人的全部或部分法律费用或其他费用由另一方当事人支付。在行使其权力时，仲裁庭应考虑其认为相关的各种情况，包括当事人在程序中的行为。 **第59条 — 保密** **第59.1条** 除非当事人另有约定或本规则另有规定，当事人以及任何当事人代理人、证人或专家、第三方出资者、任何仲裁庭成员、任何紧急仲裁员以及仲裁庭指定的任何人（包括任何仲裁庭秘书和任何仲裁庭指定的专家）、SIAC仲裁院、院长、副院长、主簿官和SIAC秘书处均负有持续义务，将所有与程序相关的事项视为保密信息。 **第59.2条** 仲裁庭、SIAC仲裁院和SIAC秘书处的讨论和合议应保密。 **第59.3条** 除非当事人另有约定或本规则另有规定，当事人以及任何当事人代理人、证人或专家、第三方出资者、任何仲裁庭成员、任何紧急仲裁员以及仲裁庭指定的任何人（包括任何仲裁庭秘书和任何仲裁庭指定的专家），未经当事人事先书面同意，不得向第三方披露任何此类事项，但以下情况除外： (a) 为向任何有管辖权的法院申请撤销或执行裁决之目的； (b) 根据有管辖权的法院的命令或传票； (c) 为寻求或强制执行合法权利或请求之目的； (d) 为遵守对披露方具有约束力的任何管辖区的法律规定，或任何监管机构或其他主管部门的请求或要求； (e) 根据仲裁庭经一方当事人申请并在适当通知当事人后作出的命令；或 (f) 为本规则项下的任何申请之目的。 **第59.4条** 在第59.1条中，"与程序相关的事项"包括仲裁的存在、仲裁庭的合议、书状、证据、陈述以及当事人在仲裁中制作和提交的所有其他材料和书面通讯，以及任何决定、裁定、命令或裁决，但该信息在未违反第59.1条和第59.2条的情况下已进入公共领域的除外。 **第59.5条** 仲裁庭有权根据适用法律或当事人约定，强制执行本规则规定的当事人保密义务，并可发出制裁、损害赔偿或费用的命令或裁决，以及采取措施保护商业秘密。 **第60条 — 发布** **第60.1条** SIAC经所有当事人书面同意，可发布仲裁庭的任何决定、裁定、命令或裁决，但须隐去当事人名称和所有其他可识别信息。 **第61条 — 信息安全** **第61.1条** 在仲裁开始后，任何当事人可在可行的情况下尽快提议并寻求商定合理措施，以保护与仲裁相关的共享、存储或处理的信息。 **第61.2条** 在首次案件管理会议及程序的任何其他适当阶段，仲裁庭应与当事人讨论第61.1条所述的信息安全措施。仲裁庭在考虑当事人意见后，可考虑案件情况和信息安全（包括网络安全和网络弹性）相关最佳做法，就此向当事人发出指示。 **第61.3条** 如果一方当事人未采取必要步骤遵守当事人约定的和/或仲裁庭指示的信息安全措施，仲裁庭有权采取适当措施，包括发出制裁、损害赔偿或费用的命令或裁决。 **第62条 — 文件保管** **第62.1条** SIAC应将根据本规则开始的每项仲裁的档案自终局裁决作出之日或仲裁终止之日起至少保存六（6）年，除非一方当事人请求延长某项仲裁档案的保存期限。此后，SIAC可在不通知当事人或仲裁庭的情况下以保密方式处置该等文件。 **第63条 — SIAC的决定** **第63.1条** 除本规则另有规定外，SIAC仲裁院、院长、副院长、主簿官和SIAC秘书处就与仲裁有关的所有事项作出的决定应为终局决定，对当事人和仲裁庭具有约束力。除本规则另有规定外，SIAC仲裁院、院长、副院长、主簿官和SIAC秘书处无须为其决定提供理由，但可根据当事人的共同请求提供理由。 **第63.2条** SIAC仲裁院可将其在本规则项下的权力委托给SIAC仲裁院委员会。 **第63.3条** 应院长请求，或院长因任何原因无法行事的，副院长或主簿官有权行使院长在本规则项下的权力。 **第63.4条** 当事人放弃就SIAC仲裁院、院长、副院长、主簿官和SIAC秘书处的任何决定向任何法院或其他司法机关提出上诉或审查的权利，但以该等放弃可以合法作出为限。 **第64条 — 弃权** **第64.1条** 如果一方当事人知道或理应知道本规则的任何规定、当事人的任何协议（包括与仲裁庭组成或程序进行有关的任何协议）、适用于程序的任何其他规则或与仲裁有关的任何指示未得到遵守，但未在本规则规定的异议期限届满前，或在没有规定期限的情况下于知悉之日起15日内，提出书面异议的，应视为其已不可撤销地放弃任何提出异议的权利。 **第65条 — 责任免除** **第65.1条** 当事人应被视为已同意，SIAC（包括其高级职员和雇员）、SIAC董事会成员、SIAC仲裁院成员、院长、副院长、主簿官、SIAC秘书处、任何仲裁庭成员、任何紧急仲裁员以及仲裁庭指定的任何人（包括任何仲裁庭秘书和任何仲裁庭指定的专家），不对任何人就任何疏忽或任何作为或不作为承担责任，包括任何决定、裁定或裁决，或被指控未能作出任何决定、裁定或裁决，或在仲裁过程中作出的任何法律、事实或程序错误，除非能够证明该作为、不作为或错误系欺诈性地作出；当事人应进一步被视为已同意，本条所约定的责任免除是公平合理的。 **第65.2条** 当事人应被视为已同意，SIAC（包括其高级职员和雇员）、SIAC董事会成员、SIAC仲裁院成员、院长、副院长、主簿官、SIAC秘书处、任何仲裁庭成员、任何紧急仲裁员以及仲裁庭指定的任何人（包括任何仲裁庭秘书和任何仲裁庭指定的专家），无义务就SIAC根据本规则管理的任何仲裁作出任何陈述，任何当事人不得试图使上述任何人员或机构作为当事人或证人参与任何与仲裁有关或以其他方式有关的司法、仲裁、行政或任何其他程序，或传唤、追加、要求其参与该等程序。 **第1段** 需要根据第12.1条获得紧急临时或保全性救济的一方当事人，可向主簿官提交指定紧急仲裁员的申请（"申请"）。 **第2段** 申请可在以下时间提交： (a) 提交仲裁通知之前； (b) 与提交仲裁通知同时；或 (c) 提交仲裁通知或答辩书之后但在仲裁庭组成之前的任何时间。 **第3段** 申请应包括： (a) 已在仲裁中提交的任何仲裁通知及其支持文件； (b) 仲裁当事人及其代理人的身份和联系方式； (c) 证明所有当事人均已收到申请副本的声明，如尚未收到，则说明为向所有当事人提供申请副本或通知已采取的步骤； (d) 所援引的仲裁协议的副本或说明； (e) 产生争议的合同或其他文件的副本或说明； (f) 对引起申请的情况以及已提交或将提交仲裁的基础争议的说明； (g) 所寻求的紧急临时或保全性救济的陈述，以及为何需要紧急提供该救济且不能等待仲裁庭组成的理由； (h) 关于紧急程序适用的法律规则、仲裁地和仲裁语言的任何意见； (i) 关于任何第三方出资协议存在情况的声明以及第三方出资者的身份和联系方式；以及 (j) 以英文以外语言提交的任何文件的英文翻译。 **第4段** 提交申请时应按照《收费表》支付紧急仲裁员申请费以及紧急仲裁员费用和开支的暂存款。 **第5段** 主簿官可要求申请人支付额外暂存款以支付紧急仲裁员的费用和开支。如果额外暂存款未在主簿官规定的期限内支付，该申请应视为在不损害申请人权利的前提下被撤回。 **第6段** 如果申请是根据本附表1第2段(a)项提交的，且仲裁通知未在主簿官收到申请之日起7日内提交，则该申请应视为在不损害申请人权利的前提下被撤回，除非主簿官延长时间。 **第7段** 如果院长认定SIAC应受理该申请，院长应在以下较晚时间起24小时内尽力指定紧急仲裁员： (a) 主簿官收到申请的日期；或 (b) 收到紧急仲裁员申请费和暂存款支付的日期。 **第8段** 第20条规定的披露义务经必要修改后适用于紧急仲裁员的指定。 **第9段** 希望对紧急仲裁员提出回避的当事人，应向主簿官提交回避通知： (a) 在收到紧急仲裁员任命通知之日起24小时内；或 (b) 在第26.1条所述情况为该当事人所知或理应所知之日起24小时内。 仲裁庭组成后，当事人不得对紧急仲裁员提出回避。 **第10段** 如果在回避通知提交之日起24小时内，其他当事人同意该回避或被提出回避的紧急仲裁员自愿辞职，SIAC仲裁院可指示根据第30.1条和本附表1指定替代紧急仲裁员。在任何一种情况下，均不意味着承认回避理由的有效性。 **第11段** 第27条、第28条和第30条规定的对仲裁员提出回避和替换的程序，经必要修改后适用于对紧急仲裁员的回避，但SIAC仲裁院可决定不为其回避决定提供理由。 **第12段** 如果当事人已约定仲裁地，该仲裁地应为紧急临时救济程序的地点。如无此约定，紧急临时救济程序的地点应为新加坡，但不影响仲裁庭根据第36.1条确定仲裁地。 **第13段** 紧急仲裁员有权以其认为适当的方式进行紧急临时救济程序，同时考虑到紧急临时救济程序固有的紧迫性。紧急仲裁员应拥有本规则赋予仲裁庭的所有权力，包括就其自身管辖权作出裁定的权力，但不影响仲裁庭的决定。 **第14段** 紧急仲裁员应在其指定后24小时内确定审议申请的时间表。如果一方当事人未参与紧急程序，紧急仲裁员可在该方缺席的情况下进行程序。 **第15段** 除非当事人已约定申请将根据书面陈述及随附文件证据决定，如任何一方当事人提出请求或紧急仲裁员作出决定，紧急仲裁员应举行庭审以决定该申请。考虑到紧急临时救济程序固有的紧迫性，庭审可以线下方式、混合方式或通过视频会议、电话会议或任何其他形式的电子通信进行。 **第16段** 紧急仲裁员有权在收到任何书面陈述或审议申请之前作出初步命令。 **第17段** 紧急仲裁员有权命令或裁决其认为必要的任何临时救济。紧急仲裁员应在其指定之日起14日内作出该命令或裁决，除非主簿官延长时间。紧急仲裁员作出的任何命令或裁决须经主簿官根据第53条批准。 **第18段** 紧急仲裁员可根据其认为适当的条件作出命令或裁决，包括要求提供适当担保。 **第19段** 在仲裁庭组成之前，紧急仲裁员可自行或经一方当事人提出附理由的请求，有权： (a) 重新考虑、修改或撤销任何命令或裁决；以及 (b) 就紧急临时救济程序中提出但未在紧急仲裁员的任何命令或裁决中决定的任何紧急临时救济请求，作出补充命令或裁决。 **第20段** 紧急仲裁员发出的命令或裁决在以下情形停止具有约束力： (a) 当事人如此约定； (b) 紧急仲裁员或仲裁庭如此决定； (c) 申请根据本附表1第5段或第6段被视为撤回； (d) 自命令或裁决之日起90日内仲裁庭未能组成，除非主簿官延长时间； (e) 仲裁中的请求被撤回或在终局裁决作出前仲裁被终止；或 (f) 终局裁决作出后，除非仲裁庭另有决定。 **第21段** 仲裁庭组成后，紧急仲裁员无权再作为。仲裁庭可确认、重新考虑、修改或撤销紧急仲裁员发出的任何命令或裁决，包括其关于管辖权的裁定。仲裁庭不受紧急仲裁员所给理由的约束。 **第22段** 紧急仲裁员不得在该仲裁中担任仲裁员，除非当事人另有约定。 **第23段** 当事人应被视为已同意，紧急仲裁员根据本附表1作出的命令或裁决自作出之日起对当事人具有约束力，当事人承诺立即并无迟延地履行该命令或裁决。当事人在此不可撤销地放弃就该命令或裁决向任何法院或其他司法机关提起任何形式的上诉、审查或追诉的权利，但以该等放弃可以合法作出为限。 **第24段** 与本附表1项下任何申请相关的费用可由紧急仲裁员初步分摊，但仲裁庭有权最终确定该等费用的分摊。 **第25段** 除非当事人另有约定，一方当事人可在不遵守本附表1第3段(c)项且不通知其他当事人的情况下提交申请，请求指定紧急仲裁员审议临时措施请求，同时申请一项初步命令，指示一方当事人不得妨碍所请求的紧急临时或保全性措施的目的（"保护性初步命令申请"）。 **第26段** 如果院长认定SIAC应受理根据本附表1第25段提出的保护性初步命令申请，院长应按照本附表1第7段的时间限制指定紧急仲裁员。 **第27段** 紧急仲裁员应在其指定后24小时内对保护性初步命令申请作出决定。 **第28段** 紧急仲裁员应将关于保护性初步命令申请的命令送达SIAC秘书处。SIAC秘书处应将紧急仲裁员的命令转发给仲裁的所有当事人。 **第29段** 申请人应在SIAC秘书处转发紧急仲裁员关于保护性初步命令申请的命令后，立即且无论如何在12小时内，向所有当事人送达在仲裁中提交的所有案件文件副本、紧急仲裁员的命令以及申请人与紧急仲裁员之间的所有其他通讯（包括任何庭审中口头通讯的内容），并向主簿官和紧急仲裁员提供证明已如此履行的声明，如未能完成，则说明已采取的相关步骤。 **第30段** 如果申请人未在本附表1第29段规定的时间内提供声明或说明，紧急仲裁员就保护性初步命令申请作出的任何初步命令应在其发出之日起3日后失效。 **第31段** 紧急仲裁员应给予保护性初步命令所针对的任何当事人在可行情况下尽早陈述其案情的機會。 **第32段** 紧急仲裁员应迅速对针对保护性初步命令提出的任何异议作出决定。 **第33段** 保护性初步命令应在紧急仲裁员发出之日起14日后失效。紧急仲裁员可在给予所有当事人陈述案情的机会后，根据本附表1的程序发出命令或裁决，采纳或修改该保护性初步命令，或酌情准予其他紧急临时救济。 **第34段** 如果院长拒绝指定紧急仲裁员审议保护性初步命令申请： (a) SIAC秘书处应将此决定通知所有当事人；以及 (b) 申请人应立即遵守本附表1第3段(c)项。 此后，该保护性初步命令申请应作为申请按照本附表1处理，本附表1规定的程序应予适用，但第7段规定的时间限制应从申请人遵守本附表1第3段(c)项之日起计算。 **第35段** 主簿官可延长或缩短本附表1项下的任何期限。 **第36段** 本规则应酌情适用于根据本附表1进行的任何仲裁，同时考虑到紧急临时救济程序固有的紧迫性。紧急仲裁员可酌情决定本附表1的适用方式，除本规则另有规定外，紧急仲裁员对此类事项的决定为终局决定，不得上诉、审查或追诉。 **第1段** 所有根据本附表2进行的仲裁均应指定独任仲裁员。 **第2段** 当事人可在SIAC秘书处根据第13.2条通知当事人简化程序适用于该仲裁之日起3日内共同提名独任仲裁员。 **第3段** 如果当事人未能在SIAC秘书处根据第13.2条通知当事人简化程序适用于该仲裁之日起3日内共同提名独任仲裁员，或任何当事人随时提出请求，院长应在可行的情况下尽快指定独任仲裁员。 **第4段** 第20条规定的披露义务经必要修改后适用于根据本附表2指定独任仲裁员。 **第5段** 希望对根据简化程序指定的仲裁员提出回避的当事人，应向主簿官提交回避通知： (a) 在收到仲裁员任命通知之日起3日内；或 (b) 在第26.1条所述理由为该当事人所知或理应所知之日起3日内。 **第6段** 如果在回避通知提交之日起3日内，其他当事人同意该回避或被提出回避的仲裁员自愿辞职，SIAC仲裁院可指示根据第30.1条和本附表2指定替代仲裁员。在任何一种情况下，均不意味着承认回避理由的有效性。 **第7段** 第27条、第28条和第30条规定的对仲裁员提出回避和替换的程序，经必要修改后适用于根据本附表2对仲裁员的回避，但SIAC仲裁院可决定不为其回避决定提供理由。 **第8段** 在仲裁庭组成之日起5日内，仲裁庭应与当事人举行案件管理会议，讨论进行程序的时间表，包括任何中间申请的决定。 **第9段** 仲裁庭有权以其认为适当的方式进行简化程序，同时考虑到简化程序下的时间限制。 **第10段** 在行使本附表2项下的程序裁量权时，仲裁庭可设定一个期限，期限届满后，未经仲裁庭许可，当事人无权提交任何中间申请。 **第11段** 除非仲裁庭在考虑当事人意见后另有决定： (a) 仲裁应根据书面陈述及随附的文件证据决定； (b) 任何当事人无权请求文件披露；以及 (c) 任何当事人无权提交任何事实证人或专家证人证据。 **第12段** 除非仲裁庭认定根据情况有必要举行庭审或一方当事人请求庭审且仲裁庭接受该请求，否则不得举行庭审。任何此类庭审应通过视频会议、电话会议或任何其他形式的电子通信进行，除非当事人同意或仲裁庭认定以线下或混合方式举行庭审为适当。 **第13段** 仲裁庭应以摘要形式说明裁决所依据的理由，除非当事人约定不提供理由。 **第14段** 第53条的规定适用于根据本附表2进行的仲裁，但须遵守主簿官可能对该条规定的时间限制作出的修改指示。 **第15段** 终局裁决应在仲裁庭组成之日起3个月内作出，除非主簿官延长作出该终局裁决的时间。 **第16段** 仲裁庭费用和SIAC费用不得超过根据《收费表》按争议金额确定的最高限额的50%，除非主簿官另有决定。 **第17段** 当事人应被视为已同意，如仲裁按照简化程序进行，第13条和本附表2规定的规则和程序应予适用，并优先于仲裁协议中任何不一致或相反的规定，包括约定指定由一名以上仲裁员组成仲裁庭的规定。 **第18段** 根据第46条或第47条提出的任何申请在简化程序中不予允许。 **第19段** 主簿官可延长或缩短本附表2项下的任何期限。 **第20段** 仲裁庭经与当事人协商并经主簿官批准，可命令仲裁不再按照简化程序进行。尽管仲裁庭作出此命令，仲裁仍应由为按照简化程序进行仲裁而组成的同一仲裁庭继续进行。 **第21段** 本规则应酌情适用于根据本附表2进行的任何仲裁，同时考虑到程序的简化性质。仲裁庭可酌情决定本附表2的适用方式，仲裁庭对此类事项的决定为终局决定，不得上诉、审查或追诉。 **第1段** 所有根据本附表3进行的仲裁均应指定独任仲裁员，除非院长另有决定。 **第2段** 仲裁庭应根据本规则项下的指定规定酌情组成。 **第3段** 在根据本附表3进行的仲裁中： (a) 争议应根据书面陈述及随附的文件证据决定，除非任何一方当事人请求庭审或仲裁庭认定举行庭审为适当； (b) 仲裁庭应通过视频会议、电话会议或任何其他形式的电子通信举行任何庭审，除非当事人同意或仲裁庭认定以线下或混合方式举行庭审为适当； (c) 仲裁庭有权采纳其认为适当的任何程序机制，同时考虑到快速程序下的时间限制；以及 (d) 仲裁庭在考虑当事人意见后，可决定不允许文件披露请求，或限制书面陈述和书面证人证据的数量、长度和范围。 **第4段** 仲裁庭应以摘要形式说明裁决所依据的理由，除非当事人约定不提供理由。 **第5段** 第53条的规定适用于根据本附表3进行的仲裁，但须遵守主簿官可能对该条规定的时间限制作出的修改指示。 **第6段** 终局裁决应在仲裁庭组成之日起6个月内作出，除非主簿官延长作出该终局裁决的时间。 **第7段** 当事人应被视为已同意，如仲裁按照快速程序进行，第14条和本附表3规定的规则和程序应予适用，并优先于仲裁协议中任何不一致或相反的规定，包括约定指定由一名以上仲裁员组成仲裁庭的规定。 **第8段** 仲裁庭经与当事人和主簿官协商，可命令仲裁不再按照快速程序进行。尽管仲裁庭作出此命令，仲裁仍应由为按照快速程序进行仲裁而组成的同一仲裁庭继续进行。 **第9段** 主簿官可延长或缩短本附表3项下的任何期限。 **第10段** 本规则应酌情适用于根据本附表3进行的任何仲裁，同时考虑到程序的快速性质。仲裁庭可酌情决定本附表3的适用方式，仲裁庭对此类事项的决定为终局决定，不得上诉、审查或追诉。 --- ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就新加坡国际仲裁中心仲裁规则所作的评论。* **Fresa Li：** SIAC 2025年第7版仲裁规则代表了亚太地区仲裁实践的最新水准。我在审理某大型基础设施EPC工程款纠纷（（金额经脱敏处理））时，对SIAC规则中追加当事人和多方仲裁的灵活性有深刻体会。第6至8条关于追加当事人、追加仲裁和合并仲裁的规定，在处理总承包商、分包商和业主之间的多层合同关系时特别实用——可以避免同一商业纠纷因多方主体拆分仲裁导致的矛盾裁决。2025年版对第三方资助的强制披露义务规定得最为详尽，直接援引了"直接经济利益"的精准定义，是目前各主要机构规则中最为细化的表述。对于涉及多份主合同的基础设施项目，第14条允许仲裁庭在初步审视后决定是否将多项请求合并仲裁，这一机制在实务中极大降低了程序成本。另外，SIAC与新加坡国际调解中心（SIMC）建立的"仲裁—调解—仲裁"议定书，为争议解决提供了调解优先的选项，在商业关系仍有维护价值的场景下极具灵活性。实务建议：合同额在500万美元以下的涉华基础设施项目，优先考虑SIAC快速程序，6个月结案周期对资金回笼压力大的建筑企业尤为关键。 --- --- **Dr. Frontie：** SIAC 2025第七版规则是该机构自2016年以来的首次重大修订，条款从41条扩展至65条，幅度之大在国际仲裁机构中少见。最引人注目的是"关联仲裁程序协调"条款——赋予不同案件的仲裁庭协调程序进程的权力。这回应了一个长期痛点：当多个关联仲裁分别进行时，程序碎片化导致裁决冲突的风险。DWAC面对的是一个更复杂的协调问题：当Agent仲裁员基于不同模型、在不同案件中处理相似法律问题时，如何确保推理一致性？SIAC的程序协调思路提示我们：一致性不必通过统一裁判实现，而可通过制度化的信息共享和程序协调达成。 --- **Dr. Gochye：** SIAC多合同仲裁规则（第29条）堪称实用主义立法技术的典范：满足三要件即可合并——（1）仲裁协议涉及共同的法律或事实问题；（2）请求救济的权利源于同一交易或相关交易序列；（3）各仲裁协议"彼此兼容"（compatible）。与ICC规则第9条的宽泛表述相比，SIAC的"三要件"标准为当事人和仲裁庭提供了更明确的指引。"仲裁地"与"开庭地"分离机制（Article 14）允许仲裁庭在任何适当地点开庭，不受仲裁地限制——这对亚太地区跨境争议尤为实用。SIAC兼具英美普通法传统、对程序效率的执着追求、以及对亚洲多元法律体系的适应性理解，比ICC更灵活、比LCIA更规范，形成"中间道路"（middle way）的制度定位。 --- **Dr. Venessa：** SIAC 2025年仲裁规则在程序正义方面值得肯定的创新包括第15条（紧急仲裁员）和第21条（正当程序）的强化规定。但作为程序法学者，我更关注的是快速程序（第5条）中的正当程序设计——将6个月的裁决期限与当事人抗辩权的合理保障相结合，这一平衡机制在其他机构的快速程序中并非总能兼顾。第26条（保密）在2025年版中新增了保密例外条款，允许在公共利益或法律义务要求下披露仲裁信息，这是一项重要的正当程序保障。需要警醒的是，SIAC仲裁庭在管理中享有的广泛裁量权——特别是在程序时间表的制定上——可能对不了解SIAC程序风格的当事人构成潜在的不平等风险。 --- **灵犀：** SIAC 2025年第7版仲裁规则在技术适应性方面进行了值得关注的革新。第19条（庭审方式）明确认可了远程庭审（包括视频会议、电话会议）的合法性，相较于ICC 2021和HKIAC 2024的表述更为前瞻。SIAC的在线案件管理系统（SIAC e-Platform）在文件管理、电子缴费和案件状态跟踪方面的功能整合度领先于亚太同行。从数字仲裁比较角度看，SIAC规则中关于电子证据开示（第27条）和电子送达（第3条）的技术中立性表述为AI工具的引入留下了空间。但SIAC尚未像SVAMC那样发布AI在仲裁中的具体使用指引——这一空白对DWAC的研究而言既是挑战也是机会，表明该领域仍有广阔的规则创新空间。 --- ------------------------------------------------------------ ## 第四章：香港国际仲裁中心 ## Chapter 4: HKIAC Hong Kong International Arbitration Centre ### 机构简介 - **Full Name / 全称:** Hong Kong International Arbitration Centre / 香港国际仲裁中心 - **Abbreviation / 简称:** HKIAC / 香港国际仲裁中心 - **Headquarters / 总部:** Hong Kong SAR, China / 中国香港特别行政区 - **Current Rules Version / 现行规则版本:** HKIAC Administered Arbitration Rules (2024) / 香港国际仲裁中心机构仲裁规则（2024年） - **Effective Date / 生效日期:** June 1, 2024 / 2024年6月1日 - **Official Link / 官方网站:** https://www.hkiac.org/arbitration/rules ### 仲裁规则（中文） **Source / 来源:** HKIAC Official Website / 香港国际仲裁中心官方网站 **第1条 适用范围** 1.1 本规则适用于以下仲裁协议（无论在争议发生之前或之后签订）下的仲裁：(a)规定适用本规则的仲裁协议；或(b)以第1.3和1.4款为前提，规定"由香港国际仲裁中心管理的"或有含义相似的表述的仲裁协议。 1.2 当事人一旦同意按照第1.1款的规定仲裁，即视为接受仲裁由HKIAC管理。 1.3 本规则并不妨碍争议或仲裁协议的当事人只选择HKIAC为指定机构，或请求其提供某些管理服务，而不选择适用本规则。特此明确：本规则不适用于选择按照其他规则（包括HKIAC不时采纳的其他规则）仲裁的仲裁协议。 1.4 本规则于2024年6月1日起生效。除非当事人另有约定，本规则适用于符合第1.1款的规定且在此日期或其后提交仲裁通知的所有仲裁。 **第2条 规则解释** 2.1 HKIAC有权解释本规则的所有规定。涉及本规则下仲裁庭的权力和职责的，仲裁庭应予解释。如仲裁庭的解释与HKIAC的解释不一致，应以仲裁庭的解释为准。 2.2 HKIAC就按本规则进行的仲裁作出任何决定时无义务说明理由。除非HKIAC另作决定，HKIAC依本规则作出的所有决定都是终局的，且在适用法律允许的范围内不得上诉。 2.3 若当事人指定由HKIAC的机构或个人来履行某一职责，而该职责是本规则授权由HKIAC履行的，则该职责应由HKIAC履行。 2.4 本规则中的"HKIAC"指：HKIAC理事会，或由理事会指定的履行本规则下职责的任何其他组织或个人，或在适用的情形下，HKIAC秘书长及HKIAC秘书处的其他成员。 2.5 本规则中的"申请人"包括一个或多个申请人。 2.6 本规则中的"被申请人"包括一个或多个被申请人。 2.7 本规则中的"新增当事人"包括一个或多个新增当事人，"当事人"或"各方当事人"包括申请人、被申请人和/或新增当事人。 2.8 本规则中的"仲裁庭"包括一位或多位仲裁员。除在附录2中使用外，"仲裁庭"不包括紧急仲裁员。 2.9 本规则中的"证人"包括一名或多名证人，"专家"包括一名或多名专家。 2.10 本规则中的"请求"或"反请求"包括当事人向任何其他当事人提出的一项或多项请求。本规则中的"答辩"包括当事人就任何其他当事人的请求或反请求所提出的一项或多项答辩，包括就抵销或交叉请求所提出的任何答辩。 2.11 本规则中的"仲裁协议"包括一个或多个仲裁协议。 2.12 本规则中的"语言"包括一种或多种语言。 2.13 本规则中的"仲裁裁决"包括临时裁决、中间裁决、部分裁决和最终裁决等，但不包括紧急仲裁员所作出的任何裁决。 2.14 本规则中的"仲裁地"指《联合国国际贸易法委员会国际商事仲裁示范法》第20(1)条所定义的仲裁地。 2.15 本规则中的"书面通讯"包括仲裁过程中产生、提交、交换的所有通知、建议、状书、意见、陈述、文件、指令和裁决。 2.16 本规则中的"传送"指将书面通讯通过专人、挂号信、快递、传真、电子邮件或其他能够提供投递记录的电子通讯方式进行递送、传送或通知。 2.17 本规则包括附于其后的所有HKIAC不时修订的、在仲裁通知提交日有效的附录。 2.18 HKIAC可发布实务指引和指南，以补充、规范和施行本规则，促进对依本规则进行的仲裁的管理。 2.19 本规则原文为英文。如其他任何语言的文本与英文文本有不同或不一致之处，以英文文本为准。 **第3条 书面通讯和期限计算** 3.1 在下述情况下，依本规则发出的任何书面通讯，应视为已被当事人、仲裁员、紧急仲裁员或HKIAC收到： (a) 传送至收件人或其代理人在仲裁中告知的地址、传真号码和/或电子邮件地址；或 (b) 若没有(a)项所述，传送至当事人之间适用的任何协议中所列明的地址、传真号码和/或电子邮件地址；或 (c) 若没有(a)及(b)项所述，传送至传送时收件人对外使用的任何地址、传真号码和/或电子邮件地址；或 (d) 若没有(a)、(b)及(c)项所述，传送至收件人最后为人所知的任何地址、传真号码和/或电子邮件地址；或 (e) 上传至当事人同意使用的安全的在线存储系统；或 (f) 以HKIAC和组成后的仲裁庭批准为前提，以当事人同意使用的任何其他电子通讯形式传送。 3.2 若经合理努力仍不能按照第3.1款的规定传送书面通讯的，则在向收件人最后为人所知的地址、传真号码和/或电子邮件地址发送，并提供试图传送的记录后，书面通讯即视为已被收到。 3.3 书面通讯按第3.1款传送或上传，或按第3.2款试图传送的，应视为在最早的日期收到。为此，收件日期应按收件方收取该书面通讯或根据第3.1(e)项收到上传通知的收取地的当地时间来确认。 3.4 若书面通讯系向一个以上当事人或一个以上仲裁员传送，则应视为在按第3.1(a)至(d)项或(f)项传送或按第3.2款试图传送至最后一名收件人时收到，或当书面通讯已按第3.1(e)项上传时，视为上传通知传送至最后一名收件人时收到。 3.5 本规则中的期限，应自收到或视为收到书面通讯之日的次日起算。若期限的最后一日是收件地的法定假日或非营业日，则应顺延至其后的第一个营业日。期限内的法定假日或非营业日均应计算在期限内。 3.6 在适当情况下，HKIAC可变更本规则规定的或由其设定的期限，不论该期限是否已届满。HKIAC不得变更当事人约定的期限或由仲裁庭或紧急仲裁员设定的期限，除非当事人同意更改或仲裁庭或紧急仲裁员另作指示。 **第4条 仲裁通知** 4.1 提请仲裁的一方当事人（即"申请人"）应向HKIAC和其他当事人（即"被申请人"）传送仲裁通知。 4.2 仲裁应视自HKIAC收到仲裁通知之日起启动。此日期应按第3.1至3.5款的规定确定。 4.3 仲裁通知应包含以下内容： (a) 将争议提交仲裁的请求； (b) 各方当事人及其代理人的名称、（所能知道的）地址、电话和传真号码及/或电子邮件地址； (c) 所援引的仲裁协议的复本； (d) 引发争议或与争议有关的一份或多份合同或其他法律文件的复本，或指明该合同或其他法律文件； (e) 仲裁请求的基本性质的描述及所涉金额（如有）； (f) 寻求的救济或补救； (g) 若当事人事先未约定仲裁员人数，建议的仲裁员人数（即一名或三名）并附理由； (h) 申请人有关提名第7条所述的独任仲裁员的建议或任何评述，或根据第8条提名的一位仲裁员； (i) 根据第44条的规定，披露是否存在资助协议和任何出资第三方的身份；及 (j) 确认仲裁通知及其所附的辅助材料的复本已经或正在依注明的一种或几种方式同时向被申请人传送。 4.4 与提交仲裁通知同时，应向HKIAC缴付附录1所规定的受理费。 4.5 仲裁通知可包含仲裁申请书。 4.6 若仲裁通知不符合本规则的要求或受理费未缴付，HKIAC可要求申请人在适当的期限内补正这些缺陷。若申请人在适当的期限内满足了前述要求，仲裁应视为依第4.2款在HKIAC收到仲裁通知最初版本之日启动。若申请人未能满足前述要求，应视为仲裁尚未依第4.2款启动，但不影响申请人于此后的仲裁通知中提出相同请求的权利。 4.7 若申请人在仲裁庭组成之前对仲裁通知进行了修改，HKIAC有权决定该修改是否及在何种程度上影响本规则下的其他期限。 4.8 申请人应通知HKIAC被申请人收到仲裁通知及所附辅助材料的日期，并提供核实文件。 **第5条 对仲裁通知的答复** 5.1 收到仲裁通知后30日内，被申请人应向HKIAC和申请人传送对仲裁通知的答复。对仲裁通知的答复应包含以下内容： (a) 被申请人及其代理人的名称、地址、电话和传真号码及/或电子邮件地址（若与仲裁通知所述的不同）； (b) 认为依本规则组成的仲裁庭缺乏管辖权的任何抗辩； (c) 被申请人对仲裁通知中按第4.3(e)款所列细项的意见； (d) 被申请人对仲裁通知中按第4.3(f)款所列的救济或补救的答复； (e) 若当事人事先未约定仲裁员人数，被申请人建议的仲裁员人数（即一名或三名）并附理由； (f) 被申请人有关提名第7条所述的独任仲裁员的建议或评述，或被申请人根据第8条提名的一位仲裁员； (g) 根据第44条规定，披露是否存在资助协议和任何出资第三方的身份；及 (h) 确认对仲裁通知的答复及其所附的辅助材料的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他当事人传送。 5.2 若仲裁通知包含了仲裁申请书，则对仲裁通知的答复也可包含答辩书。 5.3 被申请人的任何反请求、抵销答辩或交叉请求应尽可能随对仲裁通知的答复提出。有关反请求、抵销答辩或交叉请求的内容应包括： (a) 引发反请求、抵销答辩或交叉请求或与其有关的一份或多份合同或其他法律文件的复本，或指明该合同或其他法律文件； (b) 反请求、抵销答辩和/或交叉请求的基本性质的描述及所涉金额（如有）；及 (c) 寻求的救济或补救。 5.4 一旦仲裁庭组成，HKIAC应尽快将案卷移交仲裁庭，但前提是HKIAC要求的任何预付款已获支付，除非HKIAC另行决定。 **第6条 仲裁员人数** 6.1 若在仲裁启动前或被申请人收到仲裁通知后30天内，当事人未约定仲裁员人数，HKIAC应考虑案件具体情况，决定将案件应提交独任仲裁员或三位仲裁员。 6.2 若仲裁依第42条规定的简易程序进行，则应适用第42.2(a)和(b)项的规定。 **第7条 独任仲裁员的指定** 7.1 除非当事人另有约定： (a) 若在仲裁启动前，当事人约定将争议提交独任仲裁员，当事人应在被申请人收到仲裁通知之日起30日内共同提名独任仲裁员。 (b) 若在仲裁启动后，当事人约定将争议提交独任仲裁员，当事人应在约定达成之日起15日内共同提名独任仲裁员。 (c) 若当事人未约定仲裁员人数，而HKIAC决定争议应提交独任仲裁员，当事人应在最后一方收到HKIAC的决定之日起15日内，共同提名独任仲裁员。 7.2 若当事人未在适用的期限内提名独任仲裁员，HKIAC应指定独任仲裁员。 7.3 若当事人就提名独任仲裁员约定了不同的程序，而该程序未能在当事人约定或HKIAC设定的期限内产生独任仲裁员的提名，HKIAC应指定独任仲裁员。 **第8条 三位仲裁员的指定** 8.1 若两个当事人间的争议提交三位仲裁员，除非当事人另有约定，仲裁庭应按下述方式组成： (a) 若在仲裁启动前，当事人约定将争议提交三位仲裁员，双方当事人应各自在仲裁通知和对仲裁通知的答复中提名一位仲裁员。若一方未提名，该位仲裁员应由HKIAC指定。 (b) 若在仲裁启动后，当事人约定将争议提交三位仲裁员，则申请人应在达成约定之日起15日内提名一位仲裁员，被申请人应在收到申请人提名仲裁员的通知后15日内提名一位仲裁员。若一方未提名，该位仲裁员应由HKIAC指定。 (c) 若当事人未约定仲裁员人数，而HKIAC决定争议应提交三位仲裁员，则申请人应在收到HKIAC的决定之日起15日内提名一位仲裁员，被申请人应在收到申请人提名仲裁员的通知后15日内提名一位仲裁员。若一方未提名，该位仲裁员应由HKIAC指定。 (d) 按上述方式产生的两位仲裁员应提名第三位仲裁员出任首席仲裁员。若其未能在第二位仲裁员被确认或指定后30日内作出提名，HKIAC应指定首席仲裁员。 8.2 若争议涉及两个以上的当事人并应提交三位仲裁员，则除非当事人另有约定，仲裁庭应按下述方式组成： (a) 申请人或申请人集体和被申请人和被申请人集体，按所适用的第8.1(a)、(b)或(c)款的程序，各提名一位仲裁员； (b) 若当事人已按第8.2(a)款提名了仲裁员，则第8.1(d)款规定的程序适用于首席仲裁员的提名； (c) 若当事人未能依第8.2(a)款提名仲裁员，或未能就提名仲裁员一事而约定分为不同两方（即申请人和被申请人两方），HKIAC可在考虑或不考虑任何一方当事人提名的情况下指定仲裁庭的所有成员。 8.3 若当事人就提名三位仲裁员约定了不同的程序，而该程序未能在当事人约定或HKIAC设定的期限内产生一位仲裁员的提名，HKIAC应指定该仲裁员。 **第9条 仲裁庭的确认** 9.1 无论是由当事人还是仲裁员提名的仲裁员，均须得到HKIAC的确认。提名一经确认即为有效指定。 9.2 若当事人约定仲裁员由一个或几个当事人指定或由已经确认或指定的仲裁员指定，该约定应视为本规则下对仲裁员提名的约定。 9.3 确认被提名的仲裁员时，应考虑当事人有关仲裁员资格的约定、可能影响仲裁效率和公正性的因素、按第11.4款提供的信息，并按照第10条的规定确认提名。 **第9A条 多样性** 9A.1 鼓励各方当事人和仲裁员在提名仲裁员时考虑多样性因素。 9A.2 在根据本规则行使仲裁员指定权时，HKIAC应在考虑所有其他相关因素的同时考虑多样性。 **第10条 仲裁庭的收费和开支** 10.1 仲裁庭的收费和开支应按以下方式之一确定： (a) 按附录2的小时费率；或 (b) 按附录3以争议金额为基础的收费表。 当事人应商定仲裁庭收费和开支的方式，并于被申请人收到仲裁通知之日起30日内通知HKIAC。若当事人未能商定，仲裁庭的收费和开支应按附录2确定。 10.2 若仲裁庭的收费依附录2确定，在满足附录2第9.3节至9.5节规定的前提下， (a) 当事人提名的仲裁员的适用费率应由该仲裁员和提名一方当事人商定； (b) 当事人或边裁提名的独任或首席仲裁员的适用费率应由该仲裁员与当事各方商定； 若当事人未按第10.2(a)或(b)款商定仲裁员费率，或仲裁员由HKIAC指定，HKIAC应决定该仲裁员的费率。 10.3 若仲裁庭的收费依附录3确定，HKIAC应依附录3和下述各款核定仲裁庭的收费： (a) 仲裁庭收费的金额应合理，应考虑争议金额的大小、目标的复杂程度、仲裁庭及任何根据第13.4款指定的秘书所花费的时间和案件的其他有关情况，包括但不限于仲裁程序因和解或其他原因终止的情形； (b) 若案件提交三位仲裁员，HKIAC有权酌情增加仲裁庭的总收费至最高金额，通常不超过独任仲裁员收费的3倍； (c) 若HKIAC认为存在特殊情况，仲裁庭的收费可超过依附录3计算的金额。上述情况包括但不限于当事人进行仲裁的方式超出了仲裁庭在其组成时的合理预期。 **第11条 仲裁员资格和质疑** 11.1 依本规则被确认的仲裁庭应始终保持公正及独立于当事人。 11.2 以第11.3款为限，作为一般原则，若在依本规则仲裁中的当事人国籍不同，独任或首席仲裁员不得持有与任何一方当事人相同的国籍，除非所有当事方另有特别约定。 11.3 尽管存在第11.2款所述的一般原则，如情况合适，且任何一方当事人未在HKIAC设定的期限内提出异议，独任或首席仲裁员的国籍可与任何一方当事人的国籍相同。 11.4 仲裁员人选在被指定或确认前(a)应签署一份声明，确认其有处理争议的时间，及其公正性与独立性；且(b)应披露任何可能导致对其公正性和独立性产生合理怀疑的情况。仲裁员在被指定或确认后及整个仲裁过程中应立即向当事人披露这类情况，除非其已告知当事人。 11.5 任何一方当事人或其代理人均不得就仲裁事宜与任何仲裁员或将由当事人提名的仲裁员人选单方面联系，除非联系内容是：告知仲裁员人选争议的一般性质；讨论仲裁员人选的资格、是否有时间处理案件和其公正性或独立性；或在由各方当事人或当事人提名的仲裁员提名第三位仲裁员时，讨论候选人是否合适。任何一方当事人或其代理人均不得就仲裁事宜与首席仲裁员的人选单方面联系。 11.6 若存在可导致对仲裁员的公正性或独立性产生合理怀疑的情况，或仲裁员不具备当事人约定的资格，或仲裁员在法律上或事实上不能履行其职责或因其他原因行事不当迟延，仲裁员可被质疑。当事人质疑其提名的或参与指定的仲裁员的，只能基于其在提名之后才获悉的理由提出质疑。 11.7 拟质疑仲裁员的当事人，应在其收到指定或确认该仲裁员的通知后15日内，或在其获悉第11.6款所述的情况后15日内，发出质疑通知。 11.8 质疑通知，应传送至HKIAC、所有其他当事人、被质疑的仲裁员及仲裁庭任何其他成员。质疑通知应说明质疑的理由。 11.9 除非被质疑的仲裁员辞职或未提出质疑的当事人于收到质疑通知后15日内同意质疑，HKIAC应决定质疑。在对质疑作出决定前，仲裁庭（包括被质疑的仲裁员）可继续仲裁。 11.10 若依第11.9款仲裁员辞职或当事人同意质疑，并不意味着其接受依第11.6款提出的任何理由为有效。 **第12条 仲裁员替换** 12.1 以第12.2款、第27.13款和第28.8款为限，若仲裁员死亡，被成功质疑，其指定被撤销，或因其他原因被免职或辞职，则应按适用于指定被替换的仲裁员的规定来指定替代仲裁员。即便在指定被替换的仲裁员的过程中，当事人未能行使其提名权或参与指定，此规定仍应适用。 12.2 如经一方当事人申请，HKIAC认为考虑到案件的特殊情况，可合理剥夺当事人提名替代仲裁员的权利，HKIAC在给予各方当事人和剩余仲裁员表达意见的机会后，可以： (a) 指定替代仲裁员；或 (b) 授权剩余仲裁员继续仲裁并作出任何决定或裁决。 12.3 若仲裁员被替换，则除非仲裁庭另有决定，仲裁程序应自仲裁员被替换或停止履行其职责时起恢复。 **第13条 总则** 13.1 以本规则的规定为限，仲裁庭应考虑争议的复杂程度、争议金额、科技的有效使用、信息安全及环境影响，而采用适当的程序仲裁，以避免不必要的延误和费用，但该程序须保证各方得到平等的对待，且各方得到合理的机会陈述其案。 13.2 在仲裁程序的早期，与当事人商议后，仲裁庭应为仲裁制备一份暂行时间表，提供给当事人和HKIAC。 13.3 以第11.5款为限，任何一方当事人与仲裁庭之间的所有书面通讯，应同时传送其他各方和HKIAC。 13.4 经与当事人商议，仲裁庭可指定一名秘书。秘书应始终保持公正及独立于当事人，并应在获指定前披露任何可能导致对其公正性和独立性产生合理怀疑的情况。在被指定后及整个仲裁过程中，秘书应立即向当事人披露这类情况，除非其已告知当事人。 13.5 仲裁庭和当事人应为所须为，以确保仲裁公平而有效率地进行。 13.6 除第43条规定的权力外，仲裁庭还可在其自由裁量权下，并与当事人商议后，确定仲裁庭认为可以解决案件的全部或部分争议事项的初步问题，分步进行仲裁，分阶段进行仲裁，并确定应在仲裁哪个阶段决定任何争议事项，或采取其他程序有效地裁决案件。 13.7 以第13.5款、第13.9款为前提，当事人可自由选择代理人。当事人应将代理人的姓名、地址、电话和传真号码及/或电子邮件地址传送至所有其他各方、HKIAC、任何紧急仲裁员以及组成后的仲裁庭。仲裁庭、紧急仲裁员或HKIAC可要求提供代理人的授权证明。 13.8 仲裁庭组成后，当事人对法律代理人任何拟议的变更或增加，应立即通知所有其他各方、仲裁庭和HKIAC。 13.9 仲裁庭与当事人商议后，可采取任何必要措施，以避免因一方代理人变动而产生的利益冲突，包括将一方拟议的新代理人排除在仲裁程序之外。 13.10 HKIAC与当事人及仲裁庭商议后，可采取任何必要措施，以维护仲裁的效率或公正性，包括在特殊情况下，在其认为任何仲裁员无法或未能按照本规则或在规定的时限内履行其职责时，撤销对该仲裁员的指定。 13.11 若在仲裁启动后，当事人约定尝试以其他方式解决争议，应任何一方当事人要求，HKIAC、仲裁庭、或紧急仲裁员可按其认为合适的条件暂停仲裁或紧急仲裁员程序（如适用）。若任何一方当事人向HKIAC、仲裁庭、或紧急仲裁员提出要求，仲裁或紧急仲裁员程序应得到恢复。 13.12 对于本规则未明确规定的事项，HKIAC、仲裁庭、紧急仲裁员及当事人应本着规则的精神行事。 13.13 仲裁庭或紧急仲裁员应尽合理努力确保仲裁裁决的有效性。 **第14条 仲裁地和开庭地** 14.1 当事人可约定仲裁地。若未约定，仲裁地则为香港，除非仲裁庭参酌案件具体情况决定另一仲裁地更为合适。 14.2 除非当事人另有约定，仲裁庭可在仲裁地之外的其认为适当的任何地点进行仲裁庭内部讨论，听取证人证言、专家证言或当事人陈述，或检查货物、其他财产或文件，而仲裁仍应在任何意义上被视为在仲裁地进行。 **第15条 语言** 15.1 仲裁应以仲裁语言进行。若当事人事先未约定仲裁语言，在仲裁庭尚未按第15.2款作出决定前，当事人应以英文或中文进行通讯。 15.2 除非当事人另有约定，仲裁庭应在其组成后迅速决定仲裁语言。此决定适用于所有书面通讯和开庭使用的语言。 15.3 仲裁庭可指令任何以原文提交的辅助材料须同时提交当事人约定的或仲裁庭决定的仲裁语言的全部或部分译本。 **第16条 仲裁申请书** 16.1 除非仲裁申请书载于仲裁通知内（或申请人选择视仲裁通知为仲裁申请书），申请人应在仲裁庭设定的期限内，将仲裁申请书传送至所有其他当事人和仲裁庭。 16.2 仲裁申请书应包括下列各项： (a) 对请求所依据的事实的陈述； (b) 争议事项； (c) 支持请求的法律论证；和 (d) 寻求的救济或补救。 16.3 申请人应将其所依据的所有辅助材料附在仲裁申请书后。 16.4 仲裁庭认为适当时，可改变第16条中的任何要求。 **第17条 答辩书** 17.1 除非答辩书载于对仲裁通知的答复内（或被申请人选择视对仲裁通知的答复为答辩书），被申请人应在仲裁庭设定的期限内，将答辩书传送至所有其他当事人和仲裁庭。 17.2 答辩书应答复仲裁申请书中（载于第16.2(a)至(c)款）的各项。若被申请人对仲裁庭的管辖权或其组成提出异议，答辩书应包含提出该异议的事实和法律依据。 17.3 若提出反请求、抵销答辩或交叉请求，答辩书还应包括下列各项： (a) 支持反请求、抵销答辩或交叉请求的事实陈述； (b) 争议事项； (c) 支持反请求、抵销答辩或交叉请求的法律论证；和 (d) 寻求的救济或补救。 17.4 被申请人应将其所依据的所有辅助材料附在答辩书后。 17.5 仲裁庭认为适当时，可改变第17条中的任何要求。 **第18条 请求或答辩的变更** 18.1 在仲裁过程中，当事人可变更或补充其请求或答辩，除非仲裁庭参酌案件具体情况后认为不宜允许变更。变更后的请求或答辩不得超出仲裁庭的管辖权范围。 18.2 若当事人变更其请求或答辩，HKIAC可调整其管理费和在适当的情况下调整仲裁庭的收费。 **第19条 仲裁庭管辖权** 19.1 仲裁庭有权决定其在本规则下的管辖权，包括就仲裁协议的存在、效力或范围提出的任何异议。 19.2 仲裁庭有权决定包含仲裁协议的任何合同的存在性和有效性。就本第19条而言，合同中约定依本规则仲裁的仲裁协议，应视为独立于合同其他条款。仲裁庭对合同作出的无效认定并不必然导致仲裁协议的无效。 19.3 对仲裁庭管辖权的抗辩，如可能，应在对仲裁通知的答复中提出，最晚应在答辩书中提出，或就反请求而言，最晚应在对反请求的答辩中提出。当事人提名或指定或参与提名或指定仲裁员的事实不妨害其提出此抗辩。有关仲裁庭越权行事的抗辩，应尽快在所谓已超越仲裁庭权限的事件在仲裁程序中发生之后提出。然后在这两种情况下，若仲裁庭认为延迟有正当理由，仍可允许延迟提出的抗辩。 19.4 以第19.5款为前提，在仲裁庭组成前，若： (a) 就仲裁协议的存在、效力或范围存有疑问；或 (b) 就是否所有请求均已依第29条恰当地在单个仲裁中提出存有疑问；或 (c) 就HKIAC是否有权管理仲裁存有疑问； 仲裁程序应继续，且任何上述疑问应由仲裁庭在其组成后决定。 19.5 只有当HKIAC根据表面证据认为本规则下的仲裁协议可能存在或仲裁已依第29条恰当启动，仲裁程序才应继续。任何对仲裁庭管辖权的疑问，应由仲裁庭在其组成后依第19.1款决定。 19.6 HKIAC依第19.5款作出的决定，对当事人的请求或答辩的可采性或实体均无影响。 **第20条 进一步书面陈述** 仲裁庭应决定除仲裁申请书和答辩书外，还应要求当事人提交哪些进一步的书面陈述，并设定传送这类陈述的期限。 **第21条 期限** 21.1 仲裁庭设定的传送书面陈述的期限不应超过45日，除非仲裁庭另有考虑。 21.2 仲裁庭认为有理由延长的期限，可予以延长，即便是相关的期限业已届满。 **第22条 证据和开庭** 22.1 当事人对其请求或答辩所依据的事实负举证责任。 22.2 仲裁庭应决定证据的可采性、关联性、重要性及其证明力，包括决定是否适用严格的证据规则。 22.3 在仲裁过程中，仲裁庭可随时允许或要求当事人提交仲裁庭认为与案件相关并对案件结果有重要影响的文件、附件或其他证据。仲裁庭有权接受或拒绝接受任何文件、附件或其他证据。 22.4 仲裁庭应决定是否开庭的形式来出示证据或作口头陈述，或仲裁是否仅以文件和其他材料为基础进行审理。若一方当事人要求，或仲裁庭认为合适，仲裁庭应在仲裁的适当阶段开庭审理。如需开庭审理，仲裁庭应提前足够的时间通知当事人开庭审理的日期、时间和地点。 22.5 仲裁庭可决定询问证人或专家的方式。 22.6 如认为案件需要，仲裁庭可指令为开庭审理中的口头陈述提供翻译和制作庭审记录。 22.7 除当事人另有约定外，开庭审理不公开进行。开庭审理时仲裁庭可随时要求任何证人或专家离开庭审室。 **第23条 临时保护措施和紧急救济** 23.1 在仲裁庭组成前，当事人可按附录4申请紧急临时或保全性救济（"紧急救济"）。 23.2 经任何一方当事人申请，仲裁庭可指令其认为必要或适当的临时措施。 23.3 临时措施，无论采取指令或裁决或其他形式，是指仲裁庭在最终解决争议的裁决作出前暂时指令一方作出例如但不限于以下行为： (a) 在争议解决前维持或恢复现状；或 (b) 采取措施以阻止现时的或临近的、对仲裁程序本身的伤害或损害发生，或克制而不为可能导致这类伤害或损害的行为；或 (c) 保全财产，以确保可据以执行随后作出的裁决；或 (d) 保全与解决争议相关的重要证据。 23.4 在依第23.2款决定当事人申请的临时措施时，仲裁庭应考虑案件情况。相关的因素包括但不限于： (a) 如不指令临时措施，可能产生此后所裁决的损害赔偿无法充分弥补的损害，且这一损害较临时措施对其所针对的一方可能造成的损害显为严重；和 (b) 申请人在争议实体上有合理的胜诉概率。但对此概率的判断不应影响仲裁庭此后作任何决定时的裁量。 23.5 经任何一方当事人申请，仲裁庭可变更、暂停或终止其指令的临时措施。仲裁庭也可在特殊情况下，在提前通知各方当事人后，主动如此行事。 23.6 仲裁庭可要求申请临时措施的当事人为此提供适当担保。 23.7 仲裁庭可要求任何一方当事人立即披露申请或指令临时措施所基于的情况随后发生的任何重大变化。 23.8 若仲裁庭事后认定在当时的情况下本不该指令临时措施，则申请临时措施的当事人可能要就临时措施给任何一方当事人带来的费用和损失负责。仲裁庭可在仲裁中的任何时候对这类费用和损失作出裁决。 23.9 任何一方当事人向具管辖权的机关申请临时措施，不得视为与仲裁协议相抵触或放弃该仲裁协议。 **第24条 费用担保** 仲裁庭可指令当事人就仲裁的费用提供担保。 **第25条 仲裁庭指定的专家** 25.1 为协助其审定证据，经与当事人商议，仲裁庭可以指定一名或数名专家。专家应就仲裁庭所需决定的特定问题，向仲裁庭作出书面报告。在征求当事人意见后，仲裁庭应制备专家任务书，并将复本传送至各方当事人和HKIAC。 25.2 各方当事人应向专家提供其所要求的任何相关信息，或提供其所要求的任何相关文件或物品供其检验。当事人与专家就所要求的信息、文件或物品是否相关发生争议的，应交仲裁庭决定。 25.3 收到专家报告后，仲裁庭应将复本发送各方当事人，并给各方当事人针对报告提出意见的机会。当事人有权查验专家在报告中所依据的任何文件。 25.4 在提交报告后，经任何一方当事人请求，专家应出庭接受当事人当场询问。任何一方当事人均可指派专家证人出庭就争议事项作证。第22.2款至第22.7款的规定适用于此程序。 25.5 第11条的规定参照适用于仲裁庭指定的专家。 **第26条 缺席** 26.1 若申请人在仲裁庭设定的期限内未传送书面陈述，又未就此给出充分的理由，仲裁庭可终止仲裁。但是，若另一方当事人已提出仲裁请求并希望继续仲裁，仲裁庭可针对另一方当事人的请求继续仲裁。 26.2 若被申请人在仲裁庭设定的期限内未传送书面陈述，又未就此给出充分的理由，尽管存在前述情形，仲裁庭可继续仲裁。 26.3 若任何一方当事人在经依本规则适当通知后，没有按本规则（包括仲裁庭的指示）陈述其案，又没有就此给出充分的理由，仲裁庭可继续仲裁，并依据已有证据作出裁决。 **第27条 新增当事人的追加** 27.1 仲裁庭或（在仲裁庭未组成时）HKIAC有权允许在仲裁中追加新增当事人，前提为： (a) 仲裁（包括第28条和29条下的仲裁）所依据的本规则下的仲裁协议表面上看同时约束新增当事人；或 (b) 各方当事人，包括新增当事人，均明示同意。 27.2 依第27.1款所作出的任何决定，不影响仲裁庭随后决定由此决定引起的任何对其管辖权的疑问。 27.3 除非存在特殊情况，任何追加新增当事人的申请最迟应于答辩书中提出。 27.4 仲裁庭组成前，希望追加新增当事人一方向HKIAC、所有其他当事人和任何已被确认或指定的仲裁员传送追加申请。 27.5 仲裁庭组成后，希望追加新增当事人一方向仲裁庭、HKIAC和所有其他当事人传送追加申请。 27.6 追加申请应包含下列内容： (a) 现有仲裁的案件编号； (b) 包括新增当事人在内的各方当事人及其代理人和任何已被确认或指定的仲裁员的（所能知道的）名称、地址、电话和传真号码和/或电子邮件地址； (c) 追加新增当事人的请求； (d) 引发追加申请或与其有关的一份或多份合同或其他法律文件的复本，或指明该合同或其他法律文件； (e) 支持申请的事实描述； (f) 争议事项； (g) 支持申请的法律论证； (h) 寻求的任何救济或补救； (i) 根据第44条披露是否存在任何资助协议和任何出资第三方的身份；和 (j) 确认追加申请及其所附的任何辅助材料的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他当事人和任何已被确认或指定的仲裁员传送。 27.7 在收到追加申请后15日内，新增当事人应向HKIAC、所有其他当事人和任何已被确认或指定的仲裁员传送对追加申请的答复。对追加申请的答复应包含下列内容： (a) 新增当事人及其代理人的名称、地址、电话和传真号码和/或电子邮件地址（如与追加申请所载不同）； (b) 任何就仲裁庭组成不当和/或仲裁庭对新增当事人无管辖权的抗辩； (c) 新增当事人对追加申请中按第27.6(a)至(g)款所列细项的意见； (d) 新增当事人对追加申请中按第27.6(h)款所列的任何救济或补救的答复； (e) 新增当事人针对仲裁其他当事人的请求的详情； (f) 根据第44条披露是否存在任何资助协议和任何出资第三方的身份；和 (g) 确认对追加申请的答复及其所附的辅助材料的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他当事人和任何已被确认或指定的仲裁员传送。 27.8 HKIAC或仲裁庭认为适当时，可变更第27.6和27.7款中的任何要求。 27.9 希望被加入仲裁的新增当事人应向HKIAC、所有其他当事人和任何已被确认或指定的仲裁员传送追加申请。第27.6款适用于该申请。 27.10 在收到追加申请后15日内，当事人应向HKIAC、所有其他当事人和任何已被确认或指定的仲裁员传送其对追加申请的意见。意见可包含但不限于： (a) 仲裁庭对新增当事人无管辖权的抗辩； (b) 对追加申请中按第27.6(a)款至(g)款所列细项的意见； (c) 对追加申请中按第27.6(h)款所列的任何救济或补救的答复； (d) 针对新增当事人的请求的详情；和 (e) 确认意见的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他当事人和任何已被确认或指定的仲裁员传送。 27.11 在追加新增当事人后，针对新增当事人的仲裁应视为自HKIAC或已组成的仲裁庭收到追加申请之日起启动。 27.12 在追加新增当事人后，各方当事人应视为已放弃提名仲裁员的权利。 27.13 在追加新增当事人之后，HKIAC可撤销任何对仲裁员的确认或指定；如果仲裁员的确认或指定被撤销，HKIAC应指定仲裁庭。指定时可考虑或不考虑任何一方当事人的提名。 27.14 依第27.13款撤销对仲裁员的确认或指定不影响： (a) 仲裁员在其确认或指定被撤销前已作出的任何行为或指令的效力； (b) 仲裁员依附录2或附录3（以适用者为准）收取费用和开支的权利；和 (c) 提出任何适用时效或任何类似规则或规定的请求或答辩的日期。 27.15 在追加申请提交后，HKIAC可调整其管理费和（如适当）仲裁庭的收费。 **第28条 仲裁合并** 28.1 经当事人申请，并与当事人和已被确认或指定的仲裁员商议后，HKIAC有权在以下条件满足时，决定将依本规则正在进行的两个或多个仲裁合并： (a) 各方当事人同意合并；或 (b) 各仲裁中的所有请求均依据同一仲裁协议提出；或 (c) 请求依据多于一个的仲裁协议提出，而所有仲裁中存在共同的法律或事实问题，请求救济的权利均涉及或源于同一交易或同一系列相关联的交易，且各仲裁协议彼此兼容。 28.2 任何希望依28.1款合并两个或几个仲裁的当事人应向HKIAC、所有其他当事人和任何已被确认或指定的仲裁员传送合并申请。 28.3 合并申请应包含以下内容： (a) 请求合并的本规则下正在进行的仲裁的案件编号（如适用）； (b) 仲裁中各方当事人及其代理人和任何已被确认或指定的仲裁员的名称、地址、电话和传真号码和/或电子邮件地址； (c) 要求合并仲裁的请求； (d) 所有仲裁所基于的仲裁协议的复本； (e) 引发合并申请或与其有关的一份或多份合同或其他法律文件的复本，或指明该等合同或其他法律文件； (f) 各仲裁中请求的基本性质的描述及所涉金额（如有）； (g) 对支持合并申请的事实描述，包括各方当事人书面同意合并仲裁的证据（如适用）； (h) 争议事项； (i) 支持合并申请的法律论证； (j) 任何适用的影响仲裁合并的强制性规定的详情； (k) 申请人对合并申请如获批准的情况下仲裁庭组成的意见，包括是否保留已被提名或确认的仲裁员；和 (l) 确认合并申请及其所附的任何辅助材料的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他相关当事人和任何已被确认或指定的仲裁员传送。 28.4 HKIAC认为合适时，可变更第28.3款中的任何要求。 28.5 若未申请合并的当事人或任何已被确认或指定的仲裁员被要求对合并申请发表意见，该意见可包括但不限于下列各项： (a) 对合并申请依第28.3(a)款至(j)款所列的各项内容的意见； (b) 对合并申请依第28.3(k)款所提意见的响应；和 (c) 确认意见的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他相关当事人和任何已被确认或指定的仲裁员传送。 28.6 当HKIAC决定合并两个或多个仲裁，各仲裁应合并于最先启动的仲裁，除非各方当事人另有约定或HKIAC在参酌案件情况后另有决定。HKIAC应向所有各方当事人和已被确认或指定的仲裁员传送其决定。 28.7 合并两个或多个仲裁不影响具管辖权的机关在仲裁被合并前为支持相关仲裁而作出的任何行为或指令的效力。 28.8 当HKIAC决定合并两个或多个仲裁，所有这些仲裁的当事人应视为已放弃提名仲裁员的权利，且HKIAC可撤销任何对仲裁员的确认或指定。HKIAC应就合并后的仲裁指定仲裁庭，指定时可考虑或不考虑任何一方当事人的提名。 28.9 依第28.8款撤销对仲裁员的确认或指定不影响： (a) 仲裁员在其确认或指定被撤销前已作出的任何行为或指令的效力； (b) 仲裁员依附录2或附录3（以适用者为准）收取费用和开支的权利；和 (c) 提出任何适用时效或任何类似规则或规定的请求或答辩的日期。 28.10 在合并申请提交后，HKIAC可调整其管理费和（如适当）仲裁庭的收费。 **第29条 多份合同下启动单个仲裁** 29.1 以第19.5款为前提，源于或涉及多于一份的合同的请求可在单个仲裁中提出，但须满足以下条件： (a) 导致仲裁的各仲裁协议涉及共同的法律或事实问题；且 (b) 请求救济的权利均涉及或源于同一交易或同一系列相关联的交易；且 (c) 请求所依据的各仲裁协议彼此兼容。 29.2 如果HKIAC依第19.5款决定仲裁程序按照第29条恰当启动，仲裁当事人应视为已放弃提名仲裁员的权利。HKIAC应指定仲裁庭，指定时可考虑或不考虑任何一方当事人的提名。 **第30条 平行程序** 30.1 经征求当事人意见后，仲裁庭可在以下条件满足时，依本规则同时进行两个或两个以上仲裁，或一个紧接着另一个地进行仲裁，或暂停任何仲裁直至任何其他仲裁作出决定： (a) 各仲裁中的仲裁庭组成相同；且 (b) 所有仲裁均涉及共同的法律或事实问题。 30.2 若仲裁依第30.1款进行，HKIAC可调整其管理费和（如适当）仲裁庭收费。 **第31条 审理终结** 31.1 不论是针对整个仲裁程序或其任何阶段，且不晚于整个仲裁阶段或相应阶段根据指示最后提交的实质性口头或书面意见后45天（不包括依第34条就费用问题提交的意见），若仲裁庭确信当事人已有合理机会陈述其案，应宣布整个仲裁程序或相关阶段审理终结。此后，不得就整个仲裁程序或相关阶段（如适用）再提出任何陈述、论证或证据，除非仲裁庭依第31.4款重新开始整个仲裁程序或相关阶段的审理。 31.2 宣布审理终结后，仲裁庭应通知HKIAC和当事人预计向当事人传送裁决的日期。裁决不得晚于仲裁庭宣布整个仲裁程序或其任何阶段（如适用）审理终结之日后的三个月内作出。该期限可经当事人同意后延长或在适当情况下由HKIAC延长。 31.3 第31.2款不适用于依第42条简易程序规定进行的仲裁。 31.4 若认为必要，仲裁庭可在作出裁决前的任何时候，主动或依一方当事人申请，重新开始审理。 **第32条 弃权** 32.1 当事人知道或理应知道未按本规则（包括仲裁协议）的规定或由其引发的要求行事，但仍继续参与仲裁而未立即提出异议的，应视为已放弃提出异议的权利。 32.2 在可以有效放弃的前提下，各方当事人放弃基于第27、28、29、30或43条下任何程序的使用和基于与该等程序相关的任何决定而就仲裁庭作出的任何裁决的效力和/或执行提出任何的异议。 **第33条 决定** 33.1 若仲裁员多于一位，则仲裁庭的任何裁决或其他决定应按多数仲裁员的意见作出。若没有多数意见，裁决应按首席仲裁员一人的意见作出。 33.2 经仲裁庭所有成员事先同意，首席仲裁员可独自作出程序指令。 **第34条 仲裁费用** 34.1 仲裁庭应在一个或多个指令或裁决中决定仲裁费用。"仲裁费用"仅包括： (a) 依第10条确定的仲裁庭的收费； (b) 仲裁庭的合理的差旅和其他费用； (c) 仲裁庭要求的专家意见和其他协助所产生的合理费用，包括任何仲裁庭秘书的收费和开支； (d) 如在仲裁中有所请求，法律代理和其他协助所产生的合理费用，包括任何证人和专家的收费和开支； (e) 附录4第16节所指紧急救济程序的费用；和 (f) 应按附录1向HKIAC缴付的受理费和管理费，以及应向HKIAC缴付的任何开支。 34.2 仲裁庭参酌案件情况后，可指令整个仲裁（或其任何部分）中可获补偿的第34.1(d)款所述的法律代理和其他协助产生的费用不得超出特定金额。 34.3 仲裁庭若认为合理，可决定由各方当事人分担第34.1款所述的仲裁费用的全部或部分费用。 34.4 仲裁庭在(i)决定第34.1款项下的仲裁费用是否合理以及(ii)依第34.3款决定是否以及如何由当事人分担仲裁费用时应当参酌案件情况。仲裁庭可考虑任何其认为相关的因素，其中包括但不限于： (a) 当事人的相对成功结果； (b) 争议规模和复杂程度； (c) 当事人与仲裁程序相关的行为； (d) 任何第三方资助安排； (e) 任何与仲裁结果有关的收费架构；及/或 (f) 任何由当事人在仲裁中的行为对环境产生的不利影响。 34.5 若仲裁依第28条合并，合并后的仲裁的仲裁庭应依第34.1至34.4款决定仲裁费用。这类费用包括但不限于任何被合并到另一仲裁之中的仲裁中任何被提名、确认或指定的仲裁员的收费及任何其他费用。 34.6 仲裁庭作出终止仲裁的指令或和解裁决的，应在指令或裁决中决定仲裁费用中尚未决定的部分，且可决定由各方当事人分担该等费用的全部或部分费用。 **第35条 裁决的形式和效力** 35.1 仲裁庭可就不同事项、在不同时间、就各方当事人作出单个或多个分别的临时裁决、中间裁决、部分裁决或最终裁决。如合适，仲裁庭也可就费用作出临时裁决和任何可依第41.5款或第45A.3款作出的裁决。 35.2 裁决应以书面形式作出，并对当事人和通过当事人或借当事人名义提出请求者有终局的约束力。只要可以有效放弃，当事人和该等请求者放弃就裁决的撤销、执行和履行要求任何救济或提出任何异议的权利。 35.3 当事人承诺不迟延地履行仲裁庭或任何紧急仲裁员作出的任何指令或裁决，包括在依第27、28、29、30或43条进行的程序中作出的任何指令或裁决。 35.4 裁决应说明其所依据的理由，除非当事人约定无须说明理由。 35.5 裁决应由仲裁庭签署。裁决应载明作出裁决的日期和依第14条确定的仲裁地。裁决应视为在仲裁地作出。若是三人仲裁庭，而有仲裁员未签署，裁决应说明未签署的理由。 35.6 仲裁庭应将由仲裁员签署的裁决原件传送至HKIAC。HKIAC应在裁决原件上加盖其印章后将裁决传送至各方当事人，除裁决被留置外。 **第36条 适用法律、友好公断人** 36.1 仲裁庭应根据当事人约定的法律规则裁决实体争议。除非另有说明，指定某一司法辖区的法律或法律体系，应理解为直接指此司法辖区的实体法律，而不包括其冲突法规则。若当事人未指定，仲裁庭应适用其认为适当的法律规则。 36.2 只有在各方当事人明确授权时，仲裁庭才能以友好公断人身份或依公允善良原则裁决争议。 36.3 在任何情况下，仲裁庭均应按相关合同条款裁决争议，并可考虑交易所适用的商业惯例。 **第37条 因和解或其他原因终止仲裁** 37.1 若在仲裁庭组成前，一方当事人希望终止仲裁，则应告知所有其他当事人和HKIAC。HKIAC应设定期限以供所有其他当事人回复是否同意终止仲裁。若其他当事人未在规定期限内表示反对，HKIAC可终止仲裁。若任何一方当事人反对终止仲裁，仲裁应依本规则继续进行。 37.2 若在仲裁庭组成后，但在最终裁决作出前， (a) 当事人对争议达成和解，仲裁庭应发出终止仲裁的指令；或者，经各方当事人申请和仲裁庭认可，根据和解内容作出和解裁决。在这类裁决中，仲裁庭无须说明理由。 (b) 因第37.2(a)款以外的任何原因，不再需要或不再可能继续仲裁时，仲裁庭应发出终止仲裁的指令。除非当事人在给予合理机会对所建议的程序步骤发表意见后提出合理的反对意见，仲裁庭应发出此项指令。 37.3 仲裁庭应将由仲裁员签署的终止仲裁的指令或和解裁决的复本传送至HKIAC。除被留置外，HKIAC应将终止仲裁的指令或和解裁决送达当事人。若作出的是和解裁决，第35.2、35.3、35.5和35.6款的规定适用。 **第38条 裁决的更正** 38.1 在收到裁决后30日内，经通知所有其他当事人，任何一方当事人均可要求仲裁庭更正裁决中的任何计算错误、笔误或排印错误或任何类似的错误。仲裁庭可设定期限，一般不超过15日，要求所有其他当事人就此提出意见。 38.2 仲裁庭应在收到更正裁决的要求后30日内，作出其认为适当的更正。如需要，仲裁庭可延长此期限。 38.3 仲裁庭可在裁决作出日后30日内主动更正裁决。 38.4 若因(a)依第39条作出了对裁决任何一点或一部分的解释，或(b)依第40条作出了补充裁决，而导致有必要更正裁决，仲裁庭有权进一步更正裁决。 38.5 更正裁决应用书面形式，第35.2至35.6款的规定适用。 **第39条 裁决的解释** 39.1 在收到裁决后30日内，经通知所有其他当事人，任何一方当事人均可要求仲裁庭对裁决作出解释。仲裁庭可设定期限，一般不超过15日，要求所有其他当事人就此提出意见。 39.2 仲裁庭应在收到解释裁决的要求后30日内，以书面形式作出其认为适当的解释。如需要，仲裁庭可延长此期限。 39.3 若因(a)依第38条更正了裁决中的错误，或(b)依第40条作出了补充裁决，而导致有必要解释裁决，仲裁庭有权进一步解释裁决。 39.4 依第39条作出的解释构成裁决的一部分，第35.2至35.6款的规定适用。 **第40条 补充裁决** 40.1 在收到裁决后30日内，经通知所有其他当事人，任何一方当事人均可要求仲裁庭补充裁决在仲裁程序中已提出而裁决中遗漏的请求。仲裁庭可设定期限，一般不超过30日，要求所有其他当事人就此提出意见。 40.2 若仲裁庭认为补充裁决的要求合理，则应在收到要求后60日内作出补充裁决。如需要，仲裁庭可延长此期限。 40.3 若因(a)依第38条更正了裁决中的错误，或(b)依第39条作出了对裁决任何一点或一部分的解释，而导致有必要补充裁决，仲裁庭有权作出补充裁决。 40.4 补充裁决适用第35.2至35.6款的规定。 **第41条 费用预付款** 41.1 原则上，在被申请人收到仲裁通知后，HKIAC应尽可能快地要求申请人和被申请人各向HKIAC缴付相等的金额，作为第34.1(a)、(b)、(c)和(f)各款所述费用的预付款。HKIAC应向仲裁庭提供此要求的复本。 41.2 若被申请人提出了反请求或交叉请求，或存在其他适宜的情形，HKIAC可要求分项缴付预付款。 41.3 在仲裁过程中，HKIAC可要求当事人增缴预付款。HKIAC应向仲裁庭提供此要求的复本。 41.4 若要求的预付款未能在收到要求后30日内向HKIAC缴足，HKIAC应通知当事人，以便由其中的一方或另一方缴足。若未能缴足： (a) 在仲裁庭未组成时，HKIAC可中止或终止管理仲裁； (b) 仲裁庭可指令中止或终止仲裁，或在其认为恰当的基础上，就其认为适当的请求或反请求继续仲裁。 41.5 若一方当事人代替另一方当事人缴付了要求的预付款，依代为缴付一方的请求，仲裁庭可作出裁决要求补偿代缴的款项。 41.6 在发出最终裁决的同时，HKIAC应向当事人提供HKIAC收到的预付款的账目。任何未动用的余额应由HKIAC依当事人缴付预付款的份额退还当事人，或按仲裁庭的指示另行处理。 41.7 HKIAC应将当事人缴付的预付款存入信誉良好的持有牌照的存款机构的账户。在选择账户时，HKIAC应充分考虑到可能需要随时从预付款账户提款。 **第42条 简易程序** 42.1 在仲裁庭组成前，如满足下列条件，一方当事人可以向HKIAC申请仲裁程序按照第42.2款的规定进行： (a) 争议金额，即所有请求和反请求（或任何抵销答辩或交叉请求）金额之和，不超过由HKIAC设定并于仲裁通知提交之日公布于其网站上的金额；或 (b) 各方当事人同意；或 (c) 出现极为紧急的情况。 42.2 若HKIAC在考虑各方当事人观点之后准允依第42.1款提出的申请，仲裁应按照本规则下的简易程序进行，但适用以下变更： (a) 案件应提交独任仲裁员，除非仲裁协议约定了三位仲裁员； (b) 若仲裁协议约定了三位仲裁员，HKIAC应建议当事人将案件提交独任仲裁员。若当事人不同意，案件应提交三位仲裁员； (c) HKIAC可缩短本规则规定的或其设定的任何期限； (d) 在对仲裁通知的答复提交之后，当事人原则上有权提交一份仲裁申请书和一份答辩书（和反请求书）及（如适用）一份对反请求的答辩书； (e) 仲裁庭应仅依据书面意见和文件裁决争议，除非其认为有必要进行一次或多次开庭审理； (f) 除裁决被留置外，裁决应在HKIAC将案件移交仲裁庭之日起6个月内传送至当事人。适当情况下，HKIAC可延长此期限； (g) 仲裁庭可简要说明裁决所依据的理由，除非当事人同意无须说明理由。 42.3 经任何一方当事人或仲裁庭请求，并在征求当事人和任何已被确认或指定的仲裁员意见后，HKIAC可在考虑任何新出现的情况下决定不再适用第42条所规定的简易程序。仲裁庭应保持不变，除非HKIAC认为撤销对任何仲裁员的确认和指定是合适的。 **第43条 初期决定程序** 43.1 在满足下列条件时，经任何一方当事人申请，并在征求所有其他当事人意见后，仲裁庭应有权通过初期决定程序决定一个或多个法律或事实问题： (a) 该法律或事实问题明显缺乏依据；或 (b) 该法律或事实问题明显不在仲裁庭管辖权范围内；或 (c) 即便该法律或事实问题是由另一方当事人提出且假定是正确的，仲裁庭也无法作出有利于主张该问题一方的裁决。 43.2 当事人申请初期决定程序时，应将申请传送至仲裁庭、HKIAC和所有其他当事人。 43.3 除非仲裁庭另有指示，任何初期决定程序的申请应在相关法律或事实问题被提出后尽快作出。 43.4 初期决定程序申请应包含以下内容： (a) 要求对一个或多个法律或事实问题作出初期决定的请求，以及对该问题的描述； (b) 支持请求的事实陈述和法律论证； (c) 提议仲裁庭采取的初期决定程序的形式； (d) 就依第43.4(c)款所提议的形式如何能实现第13.1和13.5款所述的目的发表意见；和 (e) 确认请求及其所附的任何辅助材料的复本已经或正在依注明的一种或几种方式同时向仲裁所有其他当事人传送。 43.5 在所有其他当事人获得就请求发表意见的机会后，仲裁庭应作出决定，驳回请求或者接受请求并以其认为合理的形式进行初期决定程序。仲裁庭应在提交请求之日起30日内作出决定。此期限可由当事人协议延长，或在适当情形下由HKIAC延长。 43.6 若接受请求，仲裁庭应就相关法律或事实问题作出命令或裁决，该命令或裁决可以简易形式作出。仲裁庭应在接受请求之日起60日内作出该命令或裁决。此期限可由当事人协议延长，或在适当情形下由HKIAC延长。 43.7 在就请求作出决定前，仲裁庭可决定是否及在何种程度上继续仲裁程序。 **第44条 第三方资助仲裁的披露** 44.1 若已签订资助协议，受资助方应将关于以下信息的书面通知传送至所有其他当事人、仲裁庭、任何紧急仲裁员和HKIAC： (a) 已签订资助协议的事实；和 (b) 出资第三方的身份。 44.2 第44.1款所述的通知： (a) 对于在仲裁开始时或启动前签订的资助协议，必须在指定紧急仲裁员的申请、仲裁通知、对仲裁通知的答复、追加申请或对追加申请的答复（如适用）中传送；或 (b) 对于仲裁启动后签订的资助协议，必须在资助协议签订后尽快传送。 44.3 第44.1款所述信息在首次披露后有任何变更的，任何受资助方应披露该变更。 **第45条 保密** 45.1 除非当事人另有约定，任何一方当事人或其代理人不得公布、披露或传送有关下述事项的任何信息： (a) 根据仲裁协议进行的仲裁；或 (b) 仲裁中作出的裁决或紧急决定。 45.2 第45.1款的规定同样约束仲裁庭、任何紧急仲裁员、专家、证人、仲裁庭秘书和HKIAC。 45.3 第45.1款的规定不阻止当事人或其代理人在下列情况下公布、披露或传送第45.1款所述的信息： (a) 在法院或其他机构的法律程序中： (i) 保护或主张当事人的合法权利或利益；或 (ii) 要求执行或质疑第45.1款所述的裁决或紧急决定；或 (b) 依法定义务向任何政府机关、监管机关、法院或仲裁庭公布、披露或传送信息；或 (c) 向当事人的专业人士或其他顾问，包括确定的或潜在的证人或专家，公布、披露或传送信息；或 (d) 为执行第27、28、29和30条的规定，向任何一方当事人或新增当事人和任何已被确认或指定的仲裁员公布、披露或传送信息；或 (e) 以接受或寻求第三方资助仲裁为目的，向他人公布、披露或传送信息。 45.4 仲裁庭的合议应予保密。 45.5 HKIAC只有在下述情况下才可公开任何裁决（不论是全文，还是节录或概要）： (a) 当事人名称和其他可识别的信息被全部隐去；及 (b) 当事人未在HKIAC为此设定的期限内反对公开裁决。若有当事人反对，裁决不得公开。 **第45A条 信息安全** 45A.1 当事人可就与仲裁相关的信息的共享、存储或处理的任何合理措施达成合意。 45A.2 仲裁庭在与当事人商议后，可向当事人作出指令以保护与仲裁程序相关而共享、存储或处理的任何信息的安全。 45A.3 仲裁庭与当事人商议后，可以根据本条规定，就违反各方当事人同意或仲裁庭指令的信息安全措施的行为作出指令、决定或裁决。 **第46条 免责** 46.1 HKIAC理事会成员、由理事会特别指定履行本规则下职责的任何组织或个人、HKIAC秘书处秘书长和其他成员、仲裁庭、任何紧急仲裁员、仲裁庭指定的专家和仲裁庭秘书，均不就依本规则进行的仲裁中的任何作为或不作为承担任何责任，除非是不诚实的作为或不作为。 46.2 裁决一旦作出，且依第38至40条更正、解释或补充裁决期限已过或者已全部完成，HKIAC、仲裁庭、任何紧急仲裁员、仲裁庭指定的专家或仲裁庭秘书，均无义务向任何人，就仲裁的任何事项，作任何说明。当事人也不得要求任何上述人士在因仲裁引起的任何法律或其他程序中作证人。 *【ICDR第1条官方中文版暂缺】* *【ICDR第2条官方中文版暂缺】* *【ICDR第3条官方中文版暂缺】* *【ICDR第4条官方中文版暂缺】* *【ICDR第5条官方中文版暂缺】* *【ICDR第6条官方中文版暂缺】* *【ICDR第7条官方中文版暂缺】* *【ICDR第8条官方中文版暂缺】* *【ICDR第9条官方中文版暂缺】* *【ICDR第10条官方中文版暂缺】* *【ICDR第11条官方中文版暂缺】* *【ICDR第12条官方中文版暂缺】* *【ICDR第13条官方中文版暂缺】* *【ICDR第14条官方中文版暂缺】* *【ICDR第15条官方中文版暂缺】* *【ICDR第16条官方中文版暂缺】* *【ICDR第17条官方中文版暂缺】* *【ICDR第18条官方中文版暂缺】* *【ICDR第19条官方中文版暂缺】* *【ICDR第20条官方中文版暂缺】* *【ICDR第21条官方中文版暂缺】* *【ICDR第22条官方中文版暂缺】* *【ICDR第23条官方中文版暂缺】* *【ICDR第24条官方中文版暂缺】* *【ICDR第25条官方中文版暂缺】* *【ICDR第26条官方中文版暂缺】* *【ICDR第27条官方中文版暂缺】* *【ICDR第28条官方中文版暂缺】* *【ICDR第29条官方中文版暂缺】* *【ICDR第30条官方中文版暂缺】* *【ICDR第31条官方中文版暂缺】* *【ICDR第32条官方中文版暂缺】* *【ICDR第33条官方中文版暂缺】* *【ICDR第34条官方中文版暂缺】* *【ICDR第35条官方中文版暂缺】* *【ICDR第36条官方中文版暂缺】* *【ICDR第37条官方中文版暂缺】* *【ICDR第38条官方中文版暂缺】* *【ICDR第39条官方中文版暂缺】* *【ICDR第40条官方中文版暂缺】* *【ICDR第41条官方中文版暂缺】* *【ICDR第42条官方中文版暂缺】* --- ### 专家评论 **Fresa Li：** HKIAC 2024年版规则在实践操作层面展现了卓越的精细度。我在处理某涉港建设工程款纠纷时，深切体会到HKIAC第13条关于追加当事人规定的灵活性——其表述从"当事人"扩展至"任何主体"，使多方工程纠纷的程序整合更加顺畅。第42条关于第三方资助的强制披露义务、2024年版缩短的紧急仲裁员指定时限，均体现了规则制定者对实务需求的快速回应。对于涉华争议，HKIAC最独特的优势在于《内地与香港相互执行仲裁裁决的安排》——根据该安排，内地仲裁裁决在香港可获承认执行，且程序相对简化，这在涉及跨境资产执行的案件中是关键考量因素。实务建议：若被执行资产可能在香港或通过香港跨境转移，HKIAC仲裁地为首选；若争议本身主体位于内地且裁决需在内地执行，则需评估ICC或SIAC的配合选项。在HKIAC仲裁的案件中，秘书处的响应速度和专业水准在亚太各机构中首屈一指，仲裁庭和秘书处的沟通通常高效顺畅。对于建筑工程项目争议，HKIAC的多方追加机制尤为实用，值得在总承包合同模板仲裁条款中优先约定。 --- --- **Dr. Frontie：** HKIAC 2024规则的亮点是引入了"多样性考量"（第9A条），鼓励当事人和仲裁庭在指定仲裁员时考虑多元化因素。这在国际仲裁规则中属于前沿——多数机构规则仍停留在"独立性和公正性"的传统标准。从制度创新视角看，HKIAC的突破在于：它承认仲裁庭的组成不仅影响个案公正，还影响仲裁制度整体的正当性。DWAC面临一个类似但更深层的问题：当仲裁员全部是AI Agent时，"多样性"意味着什么？是不同模型架构的多样性？不同训练数据的多样性？还是不同法域知识的多样性？HKIAC的开创性实践为这一讨论提供了制度参照的起点。 --- **Dr. Gochye：** HKIAC多方仲裁制度设计高度精细化（Article 8.2）：当争议涉及两个以上当事人且需组成三人仲裁庭时，申请人方和被申请人方须各自共同提名一名仲裁员；如果任何一方未能共同提名，HKIAC有权在"考虑或不考虑任何一方提名的情况下"指定仲裁庭全部成员。精妙之处：没有一刀切地剥夺任何一方的提名权，而是赋予机构在特定情境下重新配置程序权力的弹性。紧急仲裁员须在HKIAC移交案卷后14日内作出紧急决定——主要仲裁机构中最短时限之一。HKIAC规则代表香港普通法与内地大陆法交汇的独特产物，既吸收英美仲裁文化的灵活性，又在多方程序等议题上展现对大陆法制度逻辑的尊重。 --- **Dr. Venessa：** HKIAC 2024年仲裁规则在程序公正与效率之间实现了国际仲裁界公认的优异平衡。从正当程序保障的维度看，第13条（追加当事人）的设计特别值得赞赏——将追加程序的决定权在仲裁庭组成前后分阶段设置（仲裁院决定/仲裁庭决定），既保障了效率又尊重了当事人的程序权利。第42条（第三方资助）要求强制披露资助安排，并明确披露义务在仲裁全程序中的持续性，这是程序透明度原则在仲裁规则中的最佳实践之一。第28条（仲裁庭的一般权力）保留了仲裁庭可以「采取其认为适当的任何程序方法」的广泛授权，但在香港法院对仲裁庭决定的有力司法审查机制下，当事人的程序权利得到了充分保障。 --- **灵犀：** HKIAC 2024年仲裁规则在数字仲裁维度的制度创新值得高度关注。第45条（电子通信和送达）明确了电子邮件为正式送达方式，并认可了其他电子通信方式，这是对仲裁数字化的直接制度支持。HKIAC的e-Rev案件管理工具在2024年版规则下得到了强化，支持在线组庭、电子文件交换和电子裁决。第42条（第三方资助披露）通过数字方式可以实现自动化和实时更新，这为构建链上资助披露系统提供了规则依据。对于DWAC而言，HKIAC规则的电子化程度是亚太地区的标杆——其双语数字管理平台的运营经验值得系统研究，特别是在AI辅助翻译和智能案件分配方面的应用潜力。 --- ------------------------------------------------------------ ## 第五章：斯德哥尔摩商会仲裁院 ## Chapter 5: SCC Stockholm Chamber of Commerce ### 机构简介 - **Full Name / 全称:** Arbitration Institute of the Stockholm Chamber of Commerce / 斯德哥尔摩商会仲裁院 - **Abbreviation / 简称:** SCC / 斯德哥尔摩商会仲裁院 - **Headquarters / 总部:** Stockholm, Sweden / 瑞典斯德哥尔摩 - **Current Rules Version / 现行规则版本:** SCC Arbitration Rules (2023) / 斯德哥尔摩商会仲裁院仲裁规则（2023年） - **Effective Date / 生效日期:** January 1, 2023 / 2023年1月1日 - **Official Link / 官方网站:** https://sccarbitrationinstitute.se/en/scc-arbitration-rules-english-2023/ ### 仲裁规则（中文） > **注意：** 本卷SCC规则从第6条开始收录。第1-5条（总则、定义、仲裁院、注册费）原文可查阅SCC官网 https://sccarbitrationinstitute.se **第6条** 仲裁申请 仲裁申请书应包括： (i) 当事人及其法律顾问的名称、地址、电话号码和电子信箱； (ii)争议要点； (iii)申请人索赔要求的初步说明，包括所涉请求金钱价值的估算; (iv)据以解决争议的仲裁协议或仲裁条款的副本或说明； 总则 (v)如果请求根据多个仲裁协议提出，应注明据以提出每个请求的 仲 裁协议; **第7条** 注册费 (1)提交仲裁申请的同时，申请人应当支付注册费。费用金额依据提交仲 裁申请之日现行有效的费用表（附件四）确定。 (2)如果申请人在提交仲裁申请时未缴纳应当支付的注册费，秘书处将限 定申请人应当缴纳注册费的期限。如果注册费未能在限定期限内缴纳，秘 书处应当撤销仲裁申请。 **第8条** 仲裁开始 仲裁应视为于秘书处收到仲裁申请之日开始。 **第9条** 答复 (1)秘书处应当将仲裁申请书及其所附文件的副本发送被申请人，并规定 被申请人应向SCC仲裁院提交答复的时限。答复应当包括： (i)对仲裁协议的存在、有效性或可适用性的异议；被申请人未就 此 提出异议并不排除其在提交答辩书之前的任何时间或在答 辩书中 提出此类异议； (ii)对仲裁申请中的索赔要求接受或予以拒绝； (iii)对反请求或抵销请求的初步说明，包括对其金钱价值的估算； (iv)如果反请求或抵销请求依据多个仲裁协议提起，应具体说明每 个反请求或抵销请求所对应的仲裁协议； (v)对仲裁员人数和仲裁地的意见；以及 (vi)如果适用，被申请人指定的仲裁员的姓名、地址、电话号码和 电 子信箱。 (2)秘书处将答复发送申请人，并可根据案件的具体情况给予申请人就答 复提交意见的机会。 (3) 被申请人不予答复并不妨碍仲裁程序的进行。 **第10条** 详细说明 (1)理事会可要求一方当事人就其向SCC仲裁院提交的书面文件提交详细 说明。 (2)如果申请人未遵守该要求，理事会可决定撤销案件。 (3)如果被申请人未遵守该要求就其反请求或抵销请求提交详细说明，理 事会可决定撤销反请求或抵销请求。 (4)被申请人未能遵守提交详细说明的要求并不妨碍仲裁程序的进行。 **第11条** 理事会决定 根据仲裁规则，理事会就以下事项做出决定： (i)根据第十二条第（1）款SCC仲裁院是否对争议显然缺乏管辖 权； (ii)根据第十三条是否准许追加当事人； (iii)根据第十四条依据多份合同提起的请求是否继续在一个案件中 仲裁； (iv)根据第十五条是否合并仲裁； (v)根据第十六条决定仲裁员人数； (vi)根据第十七条指定仲裁员； (vii)根据第十九条决定对仲裁员提起的异议； (viii)根据第二十五条决定仲裁地；以及 (ix)根据第五十一条确定预付费用。 **第12条** 撤案 理事会应全部或部分地撤销案件，如果： (i) SCC仲裁院对争议显然缺乏管辖权；或者 (ii)第五十一条规定的预付费用未予支付。 **第13条** 追加当事人 (1)仲裁案件的一方当事人可以申请理事会将一方或多方案外人追加为仲 裁案件当事人。 (2)追加申请应尽早提出。除非理事会另有决定，在答复后提交的追加申 请将不予考虑。第六条和第七条规定应根据实际情况适用于追加申请。 (3)针对案外人的仲裁应视为在SCC仲裁院收到追加申请之日开始。 (4)秘书处应确定案外人针对追加申请提交答复的期限。第九条规定应根 据实际情况适用于对追加申请的答复。 (5)只要根据第十二条第 (1)款的规定，SCC仲裁院并非对包括被申请追 加的案外人在内的当事人之间的争议显然缺乏管辖权，理事会可决定追加 一方或多方案外人为仲裁案件当事人。 (6)如果请求是依据多份仲裁协议提出，理事会在决定是否追加当事人时 应征询当事人意见，并参考第十四条第 (3)款第（i）至（iv）项。 (7)无论如何，如果理事会决定追加当事人，则任何有关仲裁庭对被追加 当事人的管辖权决定均应由仲裁庭作出。 (8)如果理事会决定追加当事人，而被追加的案外人对已指定的仲裁员持 有异议，除非包括被追加案外人在内的所有当事人一致同意以不同的程序 指定仲裁庭成员，理事会可以解除对仲裁员的指定，并重新指定仲裁庭全部 成员。 **第14条** 多份合同的仲裁 (1)当事人可以在一个仲裁案件中提出因多份合同引起或与多分合同有关 的请求。 (2)如果一方当事人对是否能在一个仲裁案件中解决对其提出的所有请求 提出异议，只要依据第十二条第（i）款SCC仲裁院并非对该争议明显缺 乏管辖权，这些请求可继续在一个仲裁案件中进行审理。 (3)在决定是否所有请求可继续在一个仲裁案件中进行审理时，理事会应 征询当事人意见，并考虑以下因素： (i)据以提出请求的仲裁协议是否相容； (ii)索赔要求是否基于同一交易或一系列交易； (iii)程序的高效和快捷；以及 (iv)其他相关情况。 (4)无论如何，如果理事会决定所有请求可以在一个仲裁案件中进行审 理，则任何有关仲裁庭对这些请求的管辖权决定均由仲裁庭作出。 **第15条** 合并仲裁 (1)经一方当事人申请，理事会可以决定将一个新开始的仲裁案件与一个 在审的仲裁案件合并，如果： (i)当事人同意合并； (ii)所有仲裁请求依据同一个仲裁协议提出；或 (iii)仲裁请求依据多份仲裁协议提出，索赔要求产生于同一交易或 同一系列交易，且理事会认为所涉仲裁协议相容。 (2)在决定是否合并时，理事会应征询当事人和仲裁庭的意见，并应考虑 以下因素： (i)在审仲裁案件进展的阶段； (ii)程序的高效和快捷；以及 (iii)其他相关情况。 (3)如果决定合并仲裁，理事会可以解除对原仲裁员的指定。 仲裁庭的组成 **第16条** 仲裁员人数 (1)当事人可以约定仲裁员人数。 (2)如果当事人未约定仲裁员人数，理事会应根据案件的复杂性、争议金 额或其他相关情形决定仲裁庭应当由一名或三名仲裁员组成。 **第17条** 仲裁员的指定 (1)当事人可以约定仲裁庭的指定程序。 (2)当事人没有约定仲裁庭的指定程序，或未能在约定期限内指定仲裁 员，或未约定期限时，仲裁庭的指定则应当在理事会规定的时限内根据第 (3)-(7)款进行。 (3)如果仲裁庭由一名独任仲裁员组成，当事人应当在十日内共同指定一 名独任仲裁员。如果当事人未能在该时限内做出指定，理事会应当指定仲 裁员。 (4)如果仲裁庭由一名以上仲裁员组成，每一方当事人应指定同等人数的 仲裁员，并由理事会指定首席仲裁员。如果一方当事人未能在规定时限内 指定任何仲裁员，理事会应当予以指定。 (5)如果申请人或被申请人为多方，且仲裁庭由一名以上的仲裁员组成， 申请人各方、被申请人各方均应各自共同指定同等人数的仲裁员。如果一 方未能共同指定，则整个仲裁庭可以由理事会予以指定。 (6)如果当事人双方具有不同的国籍，除非双方当事人另有约定或者理事 会认为合适，独任仲裁员或者仲裁庭首席仲裁员的国籍应当不同于双方当 事人的国籍。 (7)在指定仲裁员时，理事会应当考虑争议的性质和情形、适用法律、仲 裁地和仲裁语言以及当事人的国籍。 **第18条** 独立、公正和时间保证 (1)仲裁员必须独立公正。 (2)在被指定前，潜在仲裁员应当披露可能对其独立公正性产生合理怀疑 的任何情形。 (3)如果被指定，仲裁员应当向秘书处提交业经签署的“独立公正以及时 间保证和接受指定的声明书”，披露可能对其独立公正性产生合理怀疑的 任何情形。秘书处应将该声明书副本发送当事人及其他仲裁员。 (4)如果在仲裁程序中出现可能对其独立公正性产生合理怀疑的任何情 形，仲裁员应当立即书面通知当事人和其他仲裁员。 **第19条** 对仲裁员的异议 (1) 如果存在对仲裁员独立公正性产生合理怀疑的情形或者该仲裁员并不 具备双方当事人所约定的资格，当事人一方可对该仲裁员提出异议。 (2) 当事人一方只能基于在仲裁员得以指定后所知道的理由对其所指定的 仲裁员或者其所参与指定的仲裁员提出异议。 (3) 当事人一方对仲裁员的异议应当在其得知产生异议的情形之日起15日 内书面向秘书处提出，并说明异议的理由。未在规定时限内提出异议则构 成当事人弃权，即放弃提出异议的权利。 (4) 秘书处应当将有关异议通知当事人和仲裁员，并给予当事人和仲裁员 提交意见的机会。 (5) 如果另一方当事人对异议表示同意，该仲裁员应当辞职。在其他情况 下，理事会应当就异议做出最终决定。 **第20条** 解除指定 (1)理事会应当解除对仲裁员的指定，如果： (i)理事会接受该仲裁员的辞职； (ii)根据第十九条对该仲裁员的异议得到支持；或者 (iii)该仲裁员由于其他原因不能或没有履行仲裁员的职责。 (2)在理事会解除对仲裁员的指定前，秘书处可给予当事人及仲裁员提交 意见的机会。 **第21条** 仲裁员的替换 (1)如果理事会指定的仲裁员根据第二十条规定被解除指定，或者该仲裁 员死亡，理事会应当指定新的仲裁员。如果被解除指定的仲裁员是由一方 当事人所指定，除非理事会认为其他方式更为适当，该方当事人应当指定 新的仲裁员。 (2)如果仲裁庭由三名或者多名仲裁员组成，理事会可以决定其他仲裁员 应当继续进行仲裁程序。在理事会做决定前，应当给予当事人和仲裁员提 交意见的机会。在做决定时，理事会应当考虑仲裁程序所进展的阶段以及 其他相关情形。 (3)如果仲裁员被替换，新组成的仲裁庭应当决定是否以及在多大范围内 重复先前程序。 **第22条** 案件移交仲裁庭 如果仲裁庭已经指定，预付费用业已支付，秘书处应当将案件移交仲裁 庭。 **第23条** 仲裁庭进行仲裁程序 (1) 在遵守仲裁规则规定以及当事人约定的前提下，仲裁庭应以其认为适 当的方式进行仲裁程序。 (2) 在任何情况下，仲裁庭均应当公正、高效而快捷地进行仲裁程序，给 予各方当事人平等、合理的机会陈述案件。 **第24条** 仲裁庭行政秘书 (1) 仲裁庭在仲裁程序中的任何时间均可向秘书处提议指定一名特定人选 作为行政秘书。仲裁庭指定的行政秘书需经当事人同意。 (2) 仲裁庭应就行政秘书的职责征询当事人意见，并不可授予行政秘书任 何决策权。 (3) 行政秘书必须独立公正。仲裁庭应确保行政秘书在仲裁程序的每个阶 段均保持独立公正。 (4) 在被指定前，潜在的行政秘书应当向秘书处提交业经签署的“时间保 证和公正独立声明书”，披露可能对其独立公正性产生合理怀疑的任何情 形。 (5) 当事人可以依据第十九条规定的程序申请解除对行政秘书的指定。第 十九条的规定应根据实际情况适用于当事人对行政秘书提出的异议。如果 理事会解除了行政秘书的指定，仲裁庭可根据本条规定提议另行指定其他 行政秘书。除非仲裁庭另有决定，申请解除行政秘书的指定不妨碍仲裁程 序的继续进行。 (6) 任何应向行政秘书支付的费用均应从仲裁员仲裁费中予以支付。 **第25条** 仲裁地 (1)除非当事人已有约定，理事会应当决定仲裁地。 (2)仲裁庭经与当事人协商后，可以在其认为合适的任何地点进行开庭审 理。仲裁庭可以在其认为合适的任何地点召开会议，对案件进行合议。即 使庭审、会议或合议在仲裁地以外的地点进行，仲裁应当视为在仲裁地发 生。 (3)裁决应当视为在仲裁地做出。 **第26条** 语言 (1)除非当事人已有约定，仲裁庭应当决定仲裁语言。在做决定时，仲裁 庭应当充分考虑到所有相关情形，并给予当事人提交意见的机会。 (2)仲裁庭可以要求任何非以仲裁语言所提交的文件均应当附具仲裁所使 用语言的翻译件。 **第27条** 适用法律 (1)仲裁庭应当根据当事人约定的法律或法律规则裁决案件。如果没有约 定，仲裁庭应当适用其认为最为合适的法律或法律规则。 (2)当事人所约定的特定国家的法律均视为是指该国的实体法，而并非其 冲突法规则。 (3)只有经当事人明示授权，仲裁庭才能以公允善良的原则或以友好调和 人的身份裁决争议。 **第28条** 案件管理会议和时间表 (1)案件移交仲裁庭后，仲裁庭应及时与当事人召开案件管理会议，以组 织、安排和确定仲裁案件进行的程序。 (2)案件管理会议可以见面会的形式进行，也可以其他方式进行。 (3)根据案件情况，仲裁庭和当事人应尽力寻求采用有利于提高仲裁高效 和快捷的程序安排。 (4)在案件管理会议期间或结束后，仲裁庭应立即确定包括裁决作出日期 在内的仲裁案件进行的时间表。 (5)在征询当事人意见后，仲裁庭可以再次召开案件管理会议，如认为适 当，可签发修订后的时间表。仲裁庭应向当事人及秘书处发送案件时间表 及其后续修订副本。 **第29条** 书面文件 (1)申请人应当在仲裁庭规定的时限内提交索赔书。除非先前业已提供， 索赔书应当包括： (i)具体的索赔要求； (ii)申请人所依据的事实和其他情况；以及 (iii)申请人所依据的证据。 (2)被申请人应当在仲裁庭规定的时限内提交答辩书。除非先前业已提 供，答辩书应当包括： (i) 对仲裁协议的存在、效力或可适用性的异议； (ii)被申请人接受或反对以及在何种范围内接受或反对申请人索赔 要求的说明； (iii)被申请人所依据的事实和其他情况； (iv)反请求或者抵销请求及其所依据的事实和其他情况；以及 (v)被申请人所依据的证据。 (3)仲裁庭可以指令当事人进一步提交额外的书面文件。 **第30条** 修改 在仲裁程序根据第四十条规定终结之前的任何时候，当事人一方均可以对 其请求、反请求、答辩或者抵销请求进行修改或者予以补充，只要业经修 改或补充之后的案件仍受仲裁协议所管辖，除非仲裁庭在考虑到修改或补 充过于迟延、对他方当事人造成的损害或者其他相关情形后认为准许这种 修改或者补充并不适当。 **第31条** 证据 (1)仲裁庭有权决定证据的可采性、关联性、实质性和证明力。 (2)仲裁庭可以要求当事人确定其意欲依赖的书证，具体说明该证据意欲 证明的事项。 (3)仲裁庭可以应一方当事人的要求，或在特殊情况下自行决定，指令当 事人一方提供可能与案件有关并影其结果的任何文件或其他证据。 **第32条** 庭审 (1)如果一方当事人提出申请，或者仲裁庭认为适当，案件应当开庭审 理。 (2)在与当事人协商并考虑具体情况后，仲裁庭应决定： (i)开庭的日期和时间；以及 (ii)庭审是否应（a）在指定地点线下进行，或（b）全部或部分通 过视 频会议或其他适当的通信方式远程进行。 仲裁庭应就其决定合理地提前通知当事人。 (3)除非当事人另有约定，庭审不公开进行。 **第33条** 证人 (1)庭审前，仲裁庭可以指令当事人确定其意欲传唤的证人或专家，并具 体说明证言所意欲证明的事项。 (2)证人或者当事人指定专家的证言可以业经签署的声明书的形式提交。 (3)除非当事人另有约定，基于当事人寻求对其证言的依赖，证人或专家 应当参加庭审，接受盘问。 **第34条** 仲裁庭指定的专家 (1)经商当事人，仲裁庭可以指定一个或多个专家，就仲裁庭确定的特定 问题向仲裁庭出具书面报告。 (2)在收到仲裁庭指定专家出具的报告后，仲裁庭应将报告副本发送当事 人，并给予当事人就报告提交书面意见的机会。 (3)应一方当事人的请求，仲裁庭应当给予当事人机会，在庭审时对仲裁 庭指定的专家进行盘问。 **第35条** 缺席 (1)如果申请人无正当理由而未能根据第二十九条的规定提交索赔书，只 要被申请人没有提出反请求，仲裁庭应当裁定终止程序。 (2)如果一方当事人无正当理由而未能根据第二十九条的规定提交答辩书 或其他书面陈述，或者没有出席庭审，或者自己没有利用机会陈述案件， 仲裁庭可以继续进行仲裁程序，做出裁决。 (3)如果一方当事人无正当理由而未能遵守仲裁规则的任何规定或仲裁规 则下的任何要求，或者仲裁庭所做出的任何程序指令，仲裁庭可以就此做 出其认为适当的推论。 **第36条** 弃权 如果一方当事人在仲裁程序进行期间未能毫不迟延地就任何不符合仲裁协 议、仲裁规则或仲裁程序应予适用的其他规则等提出异议，则应当视为其 业已放弃就此等不符提出异议的权利。 **第37条** 临时措施 (1) 仲裁庭应一方当事人的请求，可以准予其认为适当的临时措施。 (2) 仲裁庭可以指令由申请临时措施的当事人为该措施提供适当的担保。 (3) 临时措施应当以指令或者裁决的形式做出。 (4)仲裁开始前或案件移交仲裁庭前请求采取临时措施的相关规定见附件 二。 (5)一方当事人向司法机关申请临时措施并不与仲裁协议或者仲裁规则相抵 触。 **第38条** 仲裁费担保 (1)在特殊情况下并经一方当事人申请，仲裁庭可以指令申请人或反请求申 请人以仲裁庭认为适当的方式为仲裁费提供担保。 (2)在决定是否指令为仲裁费提供担保时，仲裁庭应考虑以下因素： (i)请求、反请求及答辩成功的预判； (ii)申请人或反请求申请人履行对其不利的费用承担裁决的能力及可 供执行上述裁决的财产的可获得性； (iii)根据案件的所有情况，指令一方当事人提供担保是否适当；以及 (iv)其他相关情形。 (3)如果一方当事人未履行提供仲裁费担保的指令，仲裁庭可以中止审理或 终止全部或部分程序。 (4)中止审理或终止全部或部分程序的决定应以指令或裁决的形式作出。 **第39条** 简易程序 (1)一方当事人可以申请仲裁庭以简易程序的方式就一个或多个事实或法律 问题作出决定，而不必执行仲裁案件所采取的每一项程序步骤。 (2)简易程序申请可涉及管辖权、可采性或实体问题，例如，可包括下述主 张： (i)有关对案件结果有重要影响的事实或法律辩解明显不能得到支 持； (ii)即使假定另一方当事人所主张的事实是真实的，根据所适用的法 律，也不能作出对其有利的裁决。或者， (iii)对案件结果有重大影响的事实或法律问题由于其他原因而适合通 过简易程序解决。 (3)申请应具体说明所依据的事由和所建议的简易程序的形式，并证明根据 案件的所有情况这种程序是高效且适当的。 (4)在给予另一方当事人提交意见的机会后，仲裁庭应作出指令，驳回申请 或以其认为适当的形式确定简易程序。 (5)在决定是否准予简易程序申请时，仲裁庭应考虑所有相关情况，包括在 何种范围内简易程序更有利于高效和快捷地解决争议。 (6)如果准予简易程序申请，仲裁庭应考虑案件相关因素，并根据第二十三 条第 (2)款规定给予各方当事人平等、合理的机会陈述案件，以高效和快捷 的方式就所涉问题作出决定。 **第40条** 程序终结 如果仲裁庭认为当事人业已获得合理的机会陈述案件，仲裁庭应当宣布仲裁 程序终结。在特殊情况下，仲裁庭在做出最终裁决前，可以自行决定或者应 一方当事人的申请，重启仲裁程序。 裁决和决定 **第41条** 裁决和决定 (1)当仲裁庭由一名以上仲裁员组成时，裁决或者决定应当根据多数仲裁员的 意见做出，或者在不能形成多数意见时，根据首席仲裁员的意见做出。 (2)仲裁庭可以决定由首席仲裁员单独做出程序指令。 **第42条** 裁决的做出 (1)仲裁庭的裁决应当以书面形式做出。除非当事人另有约定，仲裁庭应当说 明裁决的理由。 (2)裁决应当载名裁决日期以及根据第二十五条所确定的仲裁地。 (3)裁决应当由仲裁员予以签署。即使一名仲裁员未予签署，由多数仲裁员签 署，或不能形成多数时由首席仲裁员签署的裁决仍为有效，只要在裁决中说 明未予签署的原因。 (4)仲裁庭应当毫不迟延地将裁决文本送达各方当事人和SCC仲裁院。 (5)如果仲裁员无正当理由未参加仲裁庭就某一事项的合议，该行为并不妨碍 其他仲裁员做出决定。 **第43条** 最终裁决时限 最终裁决应当在不迟于案件根据第二十二条规定移交仲裁庭之日起六个月内 做出。理事会基于仲裁庭合理的请求或者认为另有必要，可以延长该时限。 **第44条** 部分裁决 仲裁庭可以就一独立事项或者争议事项的一部分做出部分裁决。 **第45条** 和解或其他终止仲裁的事由 (1)如果当事人在最终裁决做出前达成和解，应双方当事人的请求，仲裁庭可 以基于和解协议做出和解裁决。 (2)如果仲裁程序在最终裁决做出前由于其他原因而终止，仲裁庭应当基于程 序终止发出指令或做出裁决。 **第46条** 裁决的效力 裁决是终局的，一经做出即对当事人具有约束力。同意根据仲裁规则进行仲 裁，当事人即承诺毫不迟延地履行裁决。 **第47条** 裁决的更正与解释 (1)收到裁决后30日内，一方当事人经通知另一方当事人，可以请求仲裁庭就 裁决中的书写、打印或计算错误进行更正，或者就裁决的具体事项或特定部 分提供解释。在给予另一方当事人就请求进行评论的机会后，如果仲裁庭认 为请求正当，应当在收到该请求后30日内做出更正或提供解释。 (2)仲裁庭可以在裁决做出之日起30日内自行对上述第（1）款所列各类错误 予以更正。 (3)对裁决的更正或者解释应为书面，并应当符合第四十二条的要求。 **第48条** 附加裁决 收到裁决后30日内，一方当事人经通知另一方当事人，可以请求仲裁庭就仲 裁案件中业已提出但裁决中未予决定的请求做出附加裁决。在给予另一方当 事人就请求进行评论的机会后，如果仲裁庭认为请求正当，应当在收到该请 求后60日内做出附加裁决。如认为必要，理事会可以延长该60日的时限。 仲裁费 **第49条** 仲裁费 (1)仲裁费包括： (i)仲裁庭费用； (ii)管理费；以及 (iii)仲裁庭和SCC仲裁院的实际开支。 (2)在做出最终裁决前，仲裁庭应要求理事会最终确定仲裁费。理事会应当根 据第八条所规定的仲裁程序开始之日现行有效的费用表（附件四）最终确定 仲裁费。 (3)最终确定仲裁费时，理事会应考虑仲裁庭高效快捷处理案件的程度、争议 的复杂性及其他有关情况。 (4)如果仲裁程序根据第四十五条在最终裁决做出前终止，理事会应当根据仲 裁程序进展的阶段、仲裁庭的工作量以及其他相关情形最后确定仲裁费。 (5)仲裁庭应当在最终裁决中载明理事会最后确定的仲裁费，并具体列明SCC 仲裁院和仲裁庭每位成员的仲裁费和实际开支。 (6)除非当事人另有约定，应一方当事人的请求，仲裁庭应当根据案件结果、 各方当事人对仲裁程序的高效快捷进行所作出的贡献和其他相关情形确定当 事人所应承担的仲裁费比例。 (7)当事人就仲裁费向SCC仲裁院和仲裁员承担连带责任。 附则 **第50条** 当事人费用 除非当事人另有约定，应一方当事人的请求，仲裁庭可以根据案件结果、各 方当事人对仲裁程序的高效快捷进行所作出的贡献及其它相关情形在最终裁 决中裁定由一方当事人承担对方当事人所花费的包括律师代理费在内的合理 费用。 **第51条** 预付费用 (1)理事会应当确定当事人所应支付的预付费用数额。 (2)预付费用应当相当于根据第四十九条第（1）款所估算的仲裁费。 (3)除非确定了各自的预付费，预付费用由当事人双方各半承担。如果提交了 反请求和抵销请求，理事会可以确定每一方当事人应当支付与其请求相对应 的预付费。如果根据第十三条追加了仲裁案件当事人，理事会可以在考虑案 件的情况后，根据其认为适当的比例决定各方当事人分担的预付费。 (4)应仲裁庭的要求或如认为另有必要，理事会在仲裁程序中可以指令当事人 支付额外的预付费用。 (5)如果一方当事人未能支付所要求的费用，秘书处应当给予另一方当事人机 会以在特定时限内支付该项费用。如果所要求的费用未予支付，理事会应当 全部或部分撤销案件。如果案件已移交仲裁庭的，仲裁庭应终止全部或部分 案件。 (6)如果另一方当事人支付了所要求的费用，仲裁庭可以应该方当事人的请求 做出部分裁决，要求对方补偿该费用。 (7)理事会可以在仲裁程序的任何阶段或在裁决做出后支取预付费用以偿付仲 **第52条** 责任免除 无论是SCC仲裁院、仲裁员、仲裁庭行政秘书，还是仲裁庭指定的专家，均 不就与仲裁相关的行为或疏忽向当事人承担责任，除非该行为或疏忽构成故 意不当或重大过失。 --- ### 专家评论 **Fresa Li：** SCC仲裁规则因其在投资仲裁领域的深厚积累而独具价值。2023年版在能源和自然资源行业争议处理方面体现了深刻理解，是处理欧亚跨境投资争议的首选机构之一。我特别关注第23条关于临时措施的规定——SCC理事会可在仲裁庭组成前决定临时措施申请，这一安排在涉及跨境资产保全的场景中至关重要。实务中，我曾处理一起涉及工程设备跨境扣押的紧急申请，正是利用了这一机制在仲裁庭组建空窗期的保全功能。SCC在东西方贸易争议解决中积累的历史经验亦值得关注——冷战结束后大量东欧与西方国家的贸易争议在此裁决，奠定了其"东西方桥梁"的声誉。近年来，随着"一带一路"倡议的推进，SCC在处理涉华能源和基础设施投资争议中的角色日益突出。费用方面，SCC的注册费和仲裁员报酬体系透明度高，但斯德哥尔摩本地律师费用在欧洲主要仲裁地中偏高，当事人在成本预算时应充分考量。实务建议：涉及能源、矿产或基础设施的跨境投资争议，若相对方为欧洲企业或争议可能涉及欧洲资产执行，SCC是优先选择。仲裁条款中可明确约定适用SCC加速程序，以降低时间成本。 --- SCC仲裁规则因其在投资仲裁领域的深厚积累而独具价值。2023年版的更新体现了对能源和自然资源行业争议特点的深刻理解。作为从业者，我特别关注第23条关于临时措施的规定——SCC仲裁院有权在仲裁庭组成前决定临时措施申请，这一安排在涉及资产保全的场景中至关重要。费用方面，SCC的注册费和仲裁员报酬体系透明度较高，但斯德哥尔摩作为仲裁地时当地律师费用较高，当事人在成本规划时应充分考量。 --- **Dr. Frontie：** SCC 2023规则对远程听证条款的修订（第32(2)条）值得注意：仲裁庭在咨询当事人后可决定听证以现场、远程或混合方式进行。这一修订表面上是技术性的，实则涉及仲裁程序的核心问题——口头听证的权利与效率之间的平衡。SCC选择了一个中间路径：既不赋予当事人否决远程听证的绝对权利，也不让仲裁庭完全自由裁量。对DWAC而言，这一平衡思路尤其重要。数字世界仲裁的"听证"本身就是数字化的——不存在"现场"的替代选项。但SCC的制度设计提醒我们：即使程序必须数字化，当事人的程序权利不应因此缩减。咨询义务是程序正当性的最低保障。 --- **Dr. Gochye：** SCC仲裁员指定程序展现对仲裁员独立性的极致追求。Article 17(6)规定：除非当事人另有约定，独任仲裁员或首席仲裁员的国籍应"不同于双方当事人"的国籍。这一"国籍差异"要求体现结构性思维：独立性不仅取决于披露机制，更取决于制度设计本身。"候选名单程序"（list procedure）的保留——虽然2023年修订允许理事会酌情决定是否使用名单程序，但当事人仍可约定适用。紧急仲裁员置于独立附件（Appendix II），而非主规则正文——反映北欧立法传统对规则结构清晰性的追求。SCC规则体现北欧法律文化的核心价值——务实、简洁、高效，通过"框架性规则+附件细化"的立法技术，在保持整体简洁的同时应对复杂程序情境。 --- **Dr. Venessa：** SCC 2023年仲裁规则在程序正义维度的最大特点在于其对弱势方程序权利的特殊关注。第2条（临时措施和紧急仲裁员）中紧急仲裁员制度的适用范围——包括对非仲裁协议当事方的第三人保全措施——是主要仲裁机构中最具包容性的设计。第23条（费用担保）设有合理限制，要求申请方证明对方存在资不抵债或转移资产的风险，这一门槛防止了费用担保制度被滥用于胁迫弱势方。SCC规则第48条（快速程序）的「简化程序单」机制在压缩程序时限的同时保留了当事人申请听证的绝对权利，在程序效率与正当程序之间找到了适当的平衡点。总体而言，SCC规则在各类当事人之间保持了相对公正的平衡。 --- **灵犀：** SCC 2023年仲裁规则在技术适应性方面展现了北欧国家数字治理的前沿意识。第12条（仲裁语言）允许使用「仲裁庭认为适当的任何语言」的开放性规定，为AI实时翻译在仲裁程序中的合法使用提供了规则基础。SCC的数字平台（SCC Platform）在电子文件管理和在线支付方面功能完善，但在AI辅助仲裁员选择和智能日程安排方面仍有提升空间。值得DWAC借鉴的是SCC在紧急仲裁员制度中建立的高效电子化决策流程——从紧急申请提交到仲裁员指定的全流程可在24-48小时内完成，这一效率指标应成为数字仲裁的基准标准。 --- ------------------------------------------------------------ ## 第六章：中国国际经济贸易仲裁委员会 ## Chapter 6: CIETAC — China International Economic and Trade Arbitration Commission ### 机构简介 - **Full Name / 全称:** China International Economic and Trade Arbitration Commission (CIETAC) / 中国国际经济贸易仲裁委员会 - **Abbreviation / 简称:** CIETAC / 贸仲 - **Headquarters / 总部:** Beijing, China / 中国北京 - **Current Rules Version / 现行规则版本:** CIETAC Arbitration Rules (2024 Edition) / 中国国际经济贸易仲裁委员会仲裁规则（2024年版） - **Effective Date / 生效日期:** January 1, 2024 / 2024年1月1日 - **Official Link / 官方网站:** http://www.cietac.org **简要历史：** 中国国际经济贸易仲裁委员会成立于1956年，前身为中国国际贸易促进委员会对外贸易仲裁委员会，是中国历史最悠久、经验最丰富的仲裁机构之一，自成立以来已处理超过60,000件案件。 **主要特点：** 贸仲专门处理国际及涉外经济贸易争议，在中国境内外设有分会和仲裁中心，包括香港、维也纳和北美。 ### 仲裁规则（中文） **第一条 — 仲裁委员会** （一）中国国际经济贸易仲裁委员会（以下简称"仲裁委员会"），原名中国国际贸易促进委员会对外贸易仲裁委员会、中国国际贸易促进委员会对外经济贸易仲裁委员会，同时使用"中国国际商会仲裁院"名称。 （二）当事人在仲裁协议中约定将争议提交中国国际贸易促进委员会/中国国际商会仲裁，或提交中国国际贸易促进委员会/中国国际商会仲裁委员会或仲裁院仲裁，或使用仲裁委员会原名作为仲裁机构的，应视为同意将争议提交中国国际经济贸易仲裁委员会仲裁。 **第二条 — 机构及职责** （一）仲裁委员会主任履行本规则赋予的职责。副主任受主任的委托可以履行主任的职责。 （二）仲裁委员会设有仲裁院，在受委托的副主任和仲裁院院长的指导下履行本规则规定的职责。 （三）仲裁委员会设在北京。仲裁委员会设有分会或仲裁中心（本规则附件一）。分会/仲裁中心是仲裁委员会的派出机构，根据仲裁委员会的授权受理仲裁申请、管理仲裁案件。 （四）分会/仲裁中心设有仲裁院，在分会/仲裁中心仲裁院院长的领导下履行本规则规定由仲裁委员会仲裁院履行的职责。 （五）分会/仲裁中心管理案件时，本规则规定由仲裁委员会仲裁院院长履行的职责，由仲裁委员会仲裁院院长授权的分会/仲裁中心仲裁院院长履行。 （六）当事人可以约定将争议提交仲裁委员会或仲裁委员会的分会/仲裁中心仲裁。约定由仲裁委员会仲裁的，由仲裁委员会仲裁院受理仲裁申请并管理案件。约定由分会/仲裁中心仲裁的，或仲裁地点在分会/仲裁中心所在地的省、自治区、直辖市辖区内的，除当事人另有约定外，由该分会/仲裁中心的仲裁院受理仲裁申请并管理案件。仲裁委员会仲裁院可根据案件具体情况，授权并指定分会/仲裁中心管理相关案件。 约定的分会/仲裁中心不存在、其授权已被终止或者约定不明确的，由仲裁委员会仲裁院受理仲裁申请并管理案件。如有争议，由仲裁委员会决定。 （七）仲裁委员会可根据当事人的约定和请求，为临时仲裁提供管理和辅助服务，包括但不限于提供仲裁规则适用方面的咨询指导意见、指定仲裁员/决定仲裁员回避、提供开庭服务、审阅裁决书草案、代为管理仲裁员报酬等，但该约定无法实施或与仲裁程序适用法律的强制性规定相抵触的除外。 **第三条 — 案件受理范围** （一）仲裁委员会根据当事人的约定，受理契约性或非契约性的经贸等争议案件。 （二）前款所述争议案件包括： （1）国际或涉外争议案件； （2）涉及香港特别行政区、澳门特别行政区及台湾地区的争议案件； （3）国内争议案件。 **第四条 — 规则的适用** （一）本规则统一适用于仲裁委员会及其分会/仲裁中心。 （二）当事人约定将争议提交仲裁委员会仲裁的，视为同意按照本规则进行仲裁。 （三）当事人约定将争议提交仲裁委员会仲裁但约定对本规则有关内容进行变更或约定适用其他仲裁规则的，从其约定，但该约定无法实施或与仲裁程序适用法律的强制性规定相抵触的除外。当事人约定适用其他仲裁规则的，由仲裁委员会履行相应的管理职责。 （四）当事人约定按照本规则进行仲裁但未约定仲裁机构的，视为同意将争议提交仲裁委员会仲裁。 （五）当事人约定适用仲裁委员会专业仲裁规则的，从其约定，但其争议不属于该专业仲裁规则适用范围的，适用本规则。 **第五条 — 仲裁协议** （一）仲裁协议指当事人在合同中订明的仲裁条款或以其他方式达成的书面仲裁协议。 （二）仲裁协议应当采用书面形式。书面形式包括合同书、信件、电报、电传、传真、电子数据交换和电子邮件等可以有形地表现所载内容的形式。 （三）当事人可以约定对合同中订明的仲裁协议进行修改，但当事人另有约定的除外。 （四）仲裁协议独立存在。仲裁协议的效力应单独确定，主合同的效力不影响仲裁协议的效力。 **第六条 — 对仲裁协议及/或管辖权的异议** （一）当事人对仲裁协议及/或仲裁案件管辖权提出异议的，应当在首次开庭前以书面形式提交仲裁委员会。书面审理的案件，应当在首次实体答辩前提出。仲裁程序适用法律另有规定的，从其规定。 （二）提出异议的当事人应当提供证据证明其异议。异议的举证责任由提出异议的当事人承担。 （三）异议不影响仲裁程序的继续进行。异议应当在仲裁庭组成后由仲裁庭作出决定，但仲裁委员会认为有必要在仲裁庭组成前作出决定的除外。 （四）仲裁庭作出有管辖权的决定后，之前曾提出管辖权异议的当事人不得在后续程序中以相同理由再次提出管辖权异议，但可以进一步提供证据或理由支持其之前的异议。 （五）仲裁庭作出无管辖权决定的，对仲裁庭认定无管辖权的仲裁请求，仲裁程序终止。 （六）上述管辖权异议及/或决定包括对当事人主体资格的异议及/或决定。 （七）仲裁委员会或仲裁庭作出无管辖权决定的，应当作出撤销案件的决定。撤销案件的决定，在仲裁庭组成前由仲裁委员会仲裁院院长作出，在仲裁庭组成后由仲裁庭作出。 **第七条 — 仲裁地** （一）当事人可以对仲裁地作出约定。 （二）当事人未约定仲裁地或约定不明确的，以管理案件的仲裁委员会或其分会/仲裁中心所在地为仲裁地；仲裁委员会也可根据案件具体情况确定其他地点为仲裁地。 （三）仲裁裁决视为在仲裁地作出。 **第八条 — 送达及期限** （一）所有与仲裁有关的文书、通知和材料（以下统称"仲裁文书"）可采取当面递交、挂号信、特快专递、传真、电子方式及其他能够提供记录的通信方式，或仲裁委员会仲裁院或仲裁庭认为适当的其他方式送达。电子方式送达包括向当事人约定或指定的电子邮箱或其他电子通信地址发送仲裁文书，以及通过仲裁委员会的信息技术存储系统或当事人能够无障碍访问的信息系统以电子形式送达仲裁文书。 （二）仲裁文书的送达可优先采用电子方式。 （三）仲裁文书应送达当事人或其仲裁代理人自行提供或约定的地址。当事人或其仲裁代理人未提供地址或当事人未约定地址的，应发送至对方当事人或其仲裁代理人提供的地址。 （四）向当事人或其仲裁代理人送达的仲裁文书，若当面递交收件人，或发送至收件人的营业地、注册地、住所地、惯常居住地或通讯地址，或经合理查询后对方当事人无法找到上述任一地址，以挂号信、特快专递或其他能够提供记录的公证送达、委托送达、留置送达等方式发送至收件人最后为人所知的营业地、注册地、住所地、惯常居住地或通讯地址的，视为有效送达。 （五）本规则规定的期限，自当事人收到或应收到仲裁委员会仲裁院发送的仲裁文书之日的次日起计算。 **第九条 — 诚实信用** 仲裁参与人应当遵循诚实信用原则进行仲裁程序。 **第十条 — 异议的放弃** 当事人知道或理应知道本规则或仲裁协议中约定的任何条款或情事未被遵守，但仍参加仲裁程序或继续仲裁程序，或在收到有效通知后无正当理由不按时提出书面异议的，视为放弃其提出异议的权利。 #### 第一节 — 仲裁申请、答辩、反请求 **第十一条 — 仲裁程序的开始** 仲裁程序自仲裁委员会仲裁院收到仲裁申请书之日起开始。申请人向仲裁委员会提交书面仲裁申请书及/或通过仲裁委员会网上立案系统申请仲裁的，以最先收到该申请之日为仲裁程序开始之日。 **第十二条 — 仲裁申请** （一）当事人依据本规则申请仲裁时： （1）提交由申请人或申请人授权的代理人签名及/或盖章的仲裁申请书。仲裁申请书应写明： （i）申请人和被申请人的名称和住所，包括邮政编码、电话、传真、电子邮件或其他电子通讯方式； （ii）申请仲裁所依据的仲裁协议； （iii）案情和争议要点； （iv）申请人的仲裁请求； （v）仲裁请求所依据的事实和理由。 （2）在提交仲裁申请书时，附具申请人请求所依据的证据材料和其他证明文件。 （3）按照仲裁委员会制定的仲裁费用表预交仲裁费。 （二）仲裁协议规定须经前置协商或调解程序的，申请人可以在协商或调解后提交仲裁申请书，但协商或调解的缺失不影响申请人提交仲裁申请的权利和仲裁委员会仲裁院受理案件，除非适用法律或仲裁协议明确规定相反。 **第十三条 — 案件的受理** （一）仲裁委员会根据当事人在争议发生之前或之后达成的将争议提交仲裁委员会仲裁的仲裁协议和一方当事人的书面申请受理案件。 （二）仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，认为申请仲裁的手续完备的，应将仲裁通知、仲裁委员会仲裁规则和仲裁员名册各一份发送给双方当事人；申请人的仲裁申请书及其附件也应同时发送给被申请人。 （三）仲裁委员会仲裁院经审查，认为申请仲裁的手续不完备的，可以要求申请人在一定期限内予以完备。申请人未能在规定期限内完备申请仲裁手续的，视为申请人未提出仲裁申请；仲裁委员会仲裁院不予保存申请人的仲裁申请书及其附件。 （四）仲裁委员会受理案件后，仲裁委员会仲裁院应指定一名案件秘书协助管理仲裁案件的程序。 **第十四条 — 多份合同的仲裁及仲裁中合同的追加** （一）申请人可以就多份合同项下的争议在同一仲裁案件中合并提出仲裁申请，但应同时满足下列条件： （1）多份合同系主从合同关系，或多份合同当事人相同且法律关系性质相同，或多份合同标的具有关联性； （2）多份合同项下的争议源于同一交易或同一系列交易； （3）多份合同中仲裁协议的内容相同或具有兼容性。 （二）同时满足前款第（1）、（2）、（3）项条件的，申请人可以在仲裁程序中申请追加合同，但该申请应及时提出以免影响仲裁程序的正常进行。 （三）本条第一款、第二款的程序事项由仲裁委员会仲裁院决定。合同追加的申请在仲裁庭组成后提出的，由仲裁庭决定。 **第十五条 — 答辩** （一）被申请人应在收到仲裁通知后45天内提交答辩书。被申请人确有正当理由请求延长答辩期限的，由仲裁庭决定是否延长答辩期限；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 （二）答辩书由被申请人或被申请人授权的代理人签名及/或盖章，并应包括下列内容及附件： （1）被申请人的名称和住所，包括邮政编码、电话、传真、电子邮件或其他电子通讯方式； （2）对仲裁申请书的答辩及所依据的事实和理由； （3）答辩所依据的证据材料和其他证明文件。 （三）仲裁庭有权决定是否接受逾期提交的答辩书。 （四）被申请人未提交答辩书的，不影响仲裁程序的进行。 **第十六条 — 反请求** （一）被申请人如有反请求，应在收到仲裁通知后45天内提交反请求。被申请人确有正当理由请求延长反请求提交期限的，由仲裁庭决定是否延长反请求期限；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 （二）被申请人提出反请求时，应在反请求申请书中写明具体的反请求事项及其所依据的事实和理由，并附具有关证据材料和其他证明文件。 （三）仲裁庭有权决定是否接受逾期提交的反请求。 （四）被申请人可以在提交答辩书后提出反请求，但反请求提交期限尚未届满的除外。仲裁庭对是否接受逾期反请求的决定应考虑案件的具体情况。 **第十七条 — 变更仲裁请求或反请求** 当事人可以在仲裁程序中对其仲裁请求或反请求提出变更申请，但仲裁庭认为该变更申请提出过迟，影响仲裁程序正常进行的，可以拒绝其变更请求。 **第十八条 — 当事人的追加** （一）在仲裁程序中，当事人可依据约束拟追加当事人的案涉仲裁协议，向仲裁委员会申请追加当事人。仲裁庭组成后提出当事人追加申请的，当仲裁庭认为确有必要时，应听取包括拟追加当事人在内的各方当事人意见后，由仲裁委员会决定。 （二）当事人追加申请书应写明现有仲裁案件的案号、拟追加的当事人及各方当事人的名称、住所及通讯方式、追加当事人所依据的仲裁协议、事实和理由以及仲裁请求，并附具相关证据材料和其他证明文件。 （三）当事人申请追加应在程序终结前提出。仲裁庭组成后提出当事人追加申请的，仲裁庭应在考虑案件性质、程序进展状况以及拟追加当事人是否同意参加仲裁等相关情况后决定是否接受该申请。 （四）拟追加的当事人书面同意参加仲裁且仲裁庭认为追加适当的，该当事人成为仲裁当事人，享有仲裁当事人的权利并承担义务。仲裁庭应告知当事人享有的权利义务。 （五）拟追加的当事人不同意参加仲裁或仲裁庭认为追加不适当的，仲裁程序继续进行，且不影响现有当事人的权利义务。 **第十九条 — 仲裁的合并** （一）同时存在两个或两个以上仲裁案件并符合下列条件的，当事人可共同向仲裁委员会申请合并仲裁，或一方当事人经其他当事人同意后向仲裁委员会申请合并仲裁： （1）各案件的仲裁申请依据同一仲裁协议； （2）各案件的仲裁申请依据多份仲裁协议，且多份合同系主从合同关系，或多份合同当事人相同及法律关系性质相同，或多份合同标的具有关联性，且多份合同仲裁协议内容相同或具有兼容性； （3）案件的所有当事人均同意合并仲裁。 （二）相同当事人基于涉及关联标的的多份合同提交多个案件的，当事人可以申请仲裁委员会合并仲裁。 （三）上述第一、二款的程序事项由仲裁委员会仲裁院决定。仲裁庭组成后提出合并仲裁申请的，由仲裁庭决定。 （四）决定合并仲裁的，仲裁程序合并，并从最先开始的仲裁案件所处阶段继续。 **第二十条 — 仲裁文件的提交与交换** （一）当事人应将仲裁文件提交仲裁委员会仲裁院。仲裁委员会仲裁院收到仲裁文件后，应及时转交对方当事人。 （二）当事人应通过本规则第二十一条规定的方式向仲裁委员会仲裁院提交仲裁文件。 （三）当事人应同时提交仲裁文件副本供对方当事人和仲裁庭（如已组成）使用。 **第二十一条 — 提交方式及份数** （一）当事人可通过以下方式提交仲裁文件： （1）当面递交； （2）挂号信或特快专递； （3）传真； （4）电子方式，包括电子邮件、网上立案系统或任何其他可提供记录的电子传输或递送方式。 （二）当事人提交仲裁文件的份数应足以向仲裁委员会仲裁院、对方当事人及仲裁庭（如已组成）每位成员各提供一份。 **第二十二条 — 仲裁代理人** （一）当事人可以授权中国及/或外国的仲裁代理人办理有关仲裁事项。当事人或其仲裁代理人应向仲裁委员会仲裁院提交授权委托书，仲裁委员会仲裁院应将授权委托书转交相关当事人和仲裁庭。 （二）仲裁庭组成后当事人变更或新增仲裁代理人的，仲裁委员会仲裁院院长可考虑当事人在合理期限内对仲裁员回避事项发表意见的情况、仲裁庭审理案件的进展等因素，采取必要措施防止仲裁员因当事人代理人的变化而产生的利益冲突，包括排除新的仲裁代理人参与仲裁程序。 **第二十三条 — 保全措施及临时措施** （一）当事人申请保全措施的，仲裁委员会应当将当事人的保全措施申请转交当事人指明的有管辖权的法院。仲裁委员会可依据当事人的请求，将其提交的保全措施申请在仲裁通知发出前先行转交上述法院。 （二）根据所适用的法律或当事人的约定，当事人可以依据《中国国际经济贸易仲裁委员会紧急仲裁员程序》（本规则附件三）向仲裁委员会仲裁院申请紧急性临时救济。紧急仲裁员可以决定采取必要或适当的紧急性临时救济措施。紧急仲裁员决定对双方当事人具有约束力。 （三）经一方当事人请求，仲裁庭依据所适用的法律或当事人的约定可以决定采取其认为必要或适当的临时措施，并有权决定由请求临时措施的一方当事人提供适当的担保。 **第二十四条 — 仲裁员的义务** （一）仲裁员不代表任何一方当事人，应独立于当事人，以中立立场平等对待各方当事人。 （二）仲裁员接受选定或指定后，应按照本规则履行职责，勤勉高效地进行仲裁程序。 **第二十五条 — 仲裁庭的人数** （一）仲裁庭由一名或三名仲裁员组成。 （二）除非当事人另有约定或本规则另有规定，仲裁庭由三名仲裁员组成。 **第二十六条 — 仲裁员的选定或指定** （一）仲裁委员会制定统一适用于仲裁委员会及其分会/仲裁中心的仲裁员名册，当事人从仲裁委员会制定的仲裁员名册中选定仲裁员。 （二）当事人约定在仲裁委员会仲裁员名册之外选定仲裁员的，当事人选定的或根据当事人约定指定的人士经仲裁委员会主任确认后可以担任仲裁员。 （三）除当事人另有约定外，仲裁庭应按照本规则的规定组成。 （四）当事人约定的仲裁庭组成方式明显不公正或不公平的，或当事人滥用权利导致仲裁程序产生不必要延迟的，仲裁委员会主任可根据公平原则决定仲裁庭组成方式或指定仲裁庭成员。 **第二十七条 — 三人仲裁庭的组成** （一）申请人和被申请人应在各自收到仲裁通知后15天内各自选定一名仲裁员，或委托仲裁委员会主任指定一名仲裁员。当事人未在上述期限内选定或委托仲裁委员会主任指定的，由仲裁委员会主任指定。 （二）第三名仲裁员由当事人在被申请人收到仲裁通知后15天内共同选定或共同委托仲裁委员会主任指定。第三名仲裁员为仲裁庭的首席仲裁员。当事人未在上述期限内共同选定或共同委托仲裁委员会主任指定的，由仲裁委员会主任指定首席仲裁员。 （三）当事人可以约定由各自选定的两名仲裁员共同选定首席仲裁员。该两名仲裁员应在各自接受选定后7天内共同选定首席仲裁员，或共同委托仲裁委员会主任指定首席仲裁员。逾期未能共同选定或共同委托指定的，由仲裁委员会主任指定首席仲裁员。 （四）当事人各方可各自推荐一至五名候选人作为首席仲裁员人选，并在本条第二款规定的期限内提交推荐名单。当事人的推荐名单中有一名相同人选的，该人选为当事人共同选定的首席仲裁员。有数名相同人选的，由仲裁委员会主任根据案件具体情况从中确定一名为首席仲裁员，该首席仲裁员为当事人共同选定的首席仲裁员。推荐名单中没有相同人选的，由仲裁委员会主任在推荐名单之外指定首席仲裁员。 （五）经当事人约定或当事人共同请求，仲裁委员会主任可提名三名首席仲裁员候选人，当事人在收到该提名名单后7天内可以选定首席仲裁员。 **第二十八条 — 独任仲裁庭的组成** 仲裁庭由一名仲裁员组成的，独任仲裁员按照本规则第二十七条第（二）、（三）、（四）款规定的程序选定或指定。 **第二十九条 — 多方当事人仲裁庭的组成** （一）仲裁案件中有两名或两名以上申请人及/或被申请人的，申请人侧及/或被申请人侧各方应分别经协商后，共同选定或共同委托仲裁委员会主任指定一名仲裁员。 （二）首席仲裁员或独任仲裁员按照本规则第二十七条第（二）、（四）、（五）款规定的程序选定或指定。申请人侧及/或被申请人侧按照本规则第二十七条的规定选定首席仲裁员或独任仲裁员时，应经各方协商后共同提出候选人推荐名单。 （三）申请人侧及/或被申请人侧在收到仲裁通知后15天内未能共同选定一名仲裁员或共同委托仲裁委员会主任指定一名仲裁员的，由仲裁委员会主任指定仲裁庭三名仲裁员，并从中确定一名为首席仲裁员。 **第三十条 — 指定仲裁员的考虑因素** 根据本规则指定仲裁员时，仲裁委员会主任应考虑争议适用的法律、仲裁地、仲裁语言、当事人国籍、争议类型以及仲裁委员会主任认为适当的其他因素。 **第三十一条 — 披露** （一）被选定或被指定的仲裁员应签署声明书，披露可能引起对其公正性和独立性产生合理怀疑的任何事实或情况。 （二）仲裁程序中，如出现应予披露的事实或情况的，仲裁员应立即书面披露。 （三）仲裁员的声明书及/或披露信息应提交仲裁委员会仲裁院，并转交当事人及仲裁庭其他成员。 **第三十二条 — 仲裁员的回避** （一）当事人收到仲裁员的声明书及/或披露书后，根据披露的事实或情况要求该仲裁员回避的，应在收到仲裁员披露书后10天内书面提出。逾期未申请回避的，不得以仲裁员曾经披露的事项为由申请该仲裁员回避。 （二）当事人对被选定或被指定的仲裁员的公正性和独立性产生具有正当理由的怀疑时，可以书面提出回避申请，但应说明所依据的具体事实和理由，并举证。 （三）回避申请应在收到仲裁庭组成通知后15天内书面提出。期限届满后得知回避事由的，可以在得知回避事由后15天内提出，但最迟应在最后一次开庭审理终结前提出。 （四）回避申请应迅速送达对方当事人、被申请回避的仲裁员及仲裁庭其他成员。 （五）当事人申请仲裁员回避，对方当事人同意该回避申请，或被申请回避的仲裁员主动提出不再担任该案件仲裁员的，该仲裁员应退出该案件的仲裁工作，但这不表明当事人提出的回避申请理由成立。 （六）除前款规定的情形外，仲裁员是否回避，由仲裁委员会主任作出终局决定，无需说明理由。 （七）被申请回避的仲裁员应继续履行其职责，直至仲裁委员会主任就回避问题作出决定。 **第三十三条 — 仲裁员的更换** （一）仲裁委员会主任有权决定更换在法律上或事实上不能履行其职责的仲裁员，或未能按照本规则或本规则规定期限内履行其职责的仲裁员。该仲裁员也可以自行申请辞去仲裁员职务。 （二）是否更换仲裁员，由仲裁委员会主任作出终局决定，无需说明理由。 （三）仲裁员因回避或更换不能履行职责的，仲裁委员会仲裁院应在合理期限内按照原仲裁员选定或指定的方式选定或指定替代仲裁员。当事人未能选定或指定替代仲裁员的，由仲裁委员会主任指定替代仲裁员。 （四）新仲裁员选定或指定后，仲裁庭应决定是否以及在何种范围内重复已经进行的程序。 **第三十四条 — 过半数仲裁员继续仲裁程序** 最后开庭审理结束后，三名仲裁员中的一名因死亡、除名等原因不能参加合议及/或作出裁决的，另外两名仲裁员可以按照第三十三条的规定，请求仲裁委员会主任更换仲裁员。在听取当事人意见并经仲裁委员会主任同意后，两名仲裁员可以继续审理并作出决定或裁决。仲裁委员会仲裁院应将上述情况通知当事人。 **第三十五条 — 审理方式** （一）除非当事人另有约定，仲裁庭可以以其认为适当的方式进行审理。在任何情况下，仲裁庭均应公平公正地行事，给予各方当事人陈述与辩论的合理机会。 （二）仲裁庭应当开庭审理案件，但当事人约定并经仲裁庭同意，或仲裁庭认为没有必要开庭审理并征得当事人同意的，仲裁庭可以只依据书面文件进行审理。 （三）除非当事人另有约定，仲裁庭可根据案件具体情况采用审问式或辩论式的审理方式审理案件。 （四）仲裁庭可以在其认为适当的任何地点和以任何方式进行合议。 （五）除非当事人另有约定，仲裁庭认为必要时，可就所审理的案件发布程序令、发出问题单、制作审理范围书、召开庭前会议等。首席仲裁员在仲裁庭其他成员的授权下，可以单独就仲裁案件的程序安排作出决定。 **第三十六条 — 开庭地点** （一）当事人约定了开庭地点的，仲裁案件的开庭审理应在约定的地点进行，但本规则第八十五条第（三）款规定的情形除外。 （二）除非当事人另有约定，由仲裁委员会仲裁院或其分会/仲裁中心仲裁院管理的案件的审理，分别在北京或分会/仲裁中心所在地进行。仲裁庭认为必要的，经仲裁委员会仲裁院院长同意，可以在其他地点开庭审理。 **第三十七条 — 开庭审理** （一）案件进行开庭审理的，仲裁庭在确定第一次开庭日期后，应于开庭20天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后5天内提出延期申请。是否延期，由仲裁庭决定。 （二）当事人有正当理由未能按前款规定提出延期开庭申请的，是否受理其延期申请，由仲裁庭决定。 （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 （四）开庭审理时，当事人及其仲裁代理人有权出席庭审。其他仲裁参与人的出庭由仲裁庭决定。除非仲裁庭和当事人同意，仲裁参与人以外的人员不得出席。 （五）仲裁庭在听取当事人意见后，可根据仲裁案件情况，自行决定开庭审理以现场、远程视频及其他适当电子通讯方式的形式进行。 （六）仲裁委员会仲裁院应提供开庭审理的必要设施及远程视频开庭审理的必要的行政支持。 **第三十八条 — 保密** （一）仲裁庭的审理不公开进行。当事人要求公开审理的，由仲裁庭决定是否公开审理。 （二）不公开审理的案件，当事人及其仲裁代理人、仲裁员、证人、翻译、仲裁庭咨询的专家和指定的鉴定人以及其他有关人员，均不得对外界透露案件实体和程序的信息。 **第三十九条 — 缺席审理** （一）申请人无正当理由不到庭，或未经仲裁庭许可中途退庭的，可以视为撤回仲裁申请。被申请人提出反请求的，不影响仲裁庭就反请求进行审理并作出裁决。 （二）被申请人无正当理由不到庭，或未经仲裁庭许可中途退庭的，仲裁庭可以进行缺席审理并作出裁决。被申请人提出反请求的，可以视为撤回反请求。 **第四十条 — 开庭审理的记录** （一）开庭审理时，仲裁庭可以制作庭审笔录及/或录音录像记录。仲裁庭认为必要时，可以制作庭审要点，并要求当事人及/或其代理人、证人及/或其他有关人员在庭审笔录或庭审要点上签名或盖章。 （二）当事人及其他仲裁参与人认为对自己陈述的记录有遗漏或差错的，可以申请更正。仲裁庭不同意更正的，应将申请记录在案。 （三）庭审笔录、庭审要点和录音录像记录供仲裁庭查阅。 （四）经当事人申请，仲裁委员会仲裁院可根据案件具体情况决定聘请速录人员记录审理情况，当事人应预付由此产生的费用。 **第四十一条 — 举证** （一）当事人应对其申请、答辩和反请求所依据的事实承担举证责任并提供证据，对其主张、辩论及抗辩要点承担举证责任。 （二）仲裁庭可以规定当事人提交证据的期限。当事人应在规定的期限内提交证据。仲裁庭可以拒绝接受逾期提交的证据。当事人在举证期限内提交证据材料确有困难的，可以在举证期限届满前申请延长举证期限。是否延长，由仲裁庭决定。 （三）当事人未能在规定期限内提交证据，或提交的证据不足以证明其主张的，负有举证责任的当事人应承担相应后果。 （四）除非当事人另有约定，仲裁庭可以决定适用或部分适用《中国国际经济贸易仲裁委员会证据指引》（以下简称"证据指引"）进行审理，但证据指引不构成本规则的组成部分。 **第四十二条 — 质证** （一）除非当事人另有约定，开庭审理的案件，在开庭时提交的证据，当事人可以对其进行交叉盘问。 （二）书面审理的案件或证据在开庭后提交且当事人同意以书面方式进行交叉盘问的，可以书面方式交叉盘问。当事人应在仲裁庭规定的期限内提交书面质证意见。 **第四十三条 — 仲裁庭的调查与取证** （一）仲裁庭认为有必要时，可以调查事实，收集证据。 （二）仲裁庭调查事实、收集证据时，可以通知当事人到场。经通知，一方或双方当事人不到场的，不影响仲裁庭调查事实和收集证据。 （三）仲裁庭经调查收集的证据，应转交当事人，并给予当事人发表意见的机会。 **第四十四条 — 专家报告及鉴定报告** （一）仲裁庭可以就案件中的专门问题向专家咨询或指定鉴定人进行鉴定。专家和鉴定人可以是中国或外国的机构或自然人。 （二）仲裁庭有权要求当事人、当事人也有义务向专家或鉴定人提供或出示任何有关资料、文件或财产、实物，以供专家或鉴定人审阅、检验或鉴定。 （三）专家报告和鉴定报告的副本应转交当事人，给予当事人提出意见的机会。一方当事人申请或仲裁庭要求专家或鉴定人参加开庭的，专家或鉴定人应参加开庭，并在仲裁庭认为必要时就所作出的报告进行解释。 **第四十五条 — 程序中止** （一）当事人共同或个别请求中止仲裁程序，或出现其他需要中止程序的情形的，仲裁程序可以中止。 （二）中止程序的原因消除或中止程序期限届满后，仲裁程序恢复。 （三）仲裁程序的中止及恢复，由仲裁庭决定；仲裁庭尚未组成的，由仲裁委员会仲裁院院长决定。 **第四十六条 — 撤回请求和撤销案件** （一）当事人可以撤回全部仲裁请求或全部仲裁反请求。申请人撤回全部仲裁请求的，不影响仲裁庭就被申请人的反请求进行审理和裁决。被申请人撤回全部仲裁反请求的，不影响仲裁庭就申请人的请求进行审理和裁决。 （二）因当事人自身原因或相关法律规定导致仲裁程序无法继续进行的，当事人可视为撤回仲裁申请。 （三）仲裁请求和反请求全部撤回的，可以撤销案件。仲裁庭组成前撤销案件的，由仲裁委员会仲裁院院长作出撤销案件决定；仲裁庭组成后撤销案件的，由仲裁庭作出撤销案件决定。 （四）前款及本规则第六条第（七）款的撤销案件决定，应加盖"中国国际经济贸易仲裁委员会"印章。 **第四十七条 — 仲裁与调解相结合** （一）当事人希望调解的，或一方当事人希望调解且仲裁庭征得另一方当事人同意的，仲裁庭可以在仲裁程序中进行调解。当事人也可以自行和解。 （二）经当事人同意，仲裁庭可以以其认为适当的方式进行调解。 （三）调解过程中，任何一方当事人提出终止调解，或仲裁庭认为调解已无成功可能的，仲裁庭应终止调解。 （四）经仲裁庭调解达成和解或当事人自行和解的，双方当事人应签订和解协议。 （五）当事人经调解或自行达成和解的，可以撤回仲裁请求或反请求，也可以请求仲裁庭根据当事人和解协议的内容作出裁决书或制作调解书。 （六）当事人要求制作调解书的，调解书应写明仲裁请求和当事人书面和解协议的内容，由仲裁员签名，并加盖"中国国际经济贸易仲裁委员会"印章，送达双方当事人。 （七）调解不成的，仲裁庭应继续进行仲裁程序并作出裁决。 （八）当事人希望调解但不愿由仲裁庭主持调解的，仲裁委员会在征得当事人同意后，可以协助当事人以适当的方式和程序进行调解。 （九）调解不成的，任何一方当事人均不得在之后的仲裁程序、司法程序和其他任何程序中援引对方当事人或仲裁庭在调解过程中曾发表的意见、提出的观点、作出的陈述、表示认同或否定的建议或主张作为其请求、答辩或反请求的依据。 （十）当事人在仲裁程序开始前自行或通过调解达成和解协议的，可以依据仲裁委员会仲裁的仲裁协议及其和解协议，请求仲裁委员会组成仲裁庭，按照和解协议的内容作出裁决书。除非当事人另有约定，仲裁委员会主任指定一名独任仲裁员组成仲裁庭，仲裁庭按照其认为适当的程序进行审理并作出裁决。具体程序和期限不受本规则其他条款规定程序和期限的限制。 **第四十八条 — 第三方资助** （一）接受第三方资助的当事人应在与资助方签订资助协议后，毫不延迟地将第三方资助的事实、经济利益及第三方的名称和住所等信息提交仲裁委员会仲裁院。仲裁委员会仲裁院应将上述信息转交有关当事人和仲裁庭。仲裁庭认为必要时，可以要求接受第三方资助的当事人披露相关信息。 （二）仲裁庭在就仲裁费用和其他相关费用作出决定时，可以考虑是否存在第三方资助以及当事人是否遵守了前款规定。 **第四十九条 — 中间决定** （一）仲裁庭认为必要时，或经当事人请求且仲裁庭同意的，仲裁庭可以在作出最终裁决之前，就案件的任何问题作出中间决定。 （二）任何一方当事人不遵守中间决定的，不影响仲裁程序的继续进行或仲裁庭作出最终裁决。 **第五十条 — 早期驳回程序** （一）当事人可以以仲裁请求或反请求明显缺乏法律依据或明显超出仲裁庭管辖范围为由，申请早期驳回全部或部分仲裁请求或反请求（以下简称"早期驳回申请"）。 （二）当事人应以书面方式提出早期驳回申请，并说明事实和法律依据。仲裁庭为防止当事人滥用早期驳回程序申请拖延仲裁程序，可要求提出申请的当事人提出正当理由，并证明早期驳回程序将整体加快仲裁程序。当事人提出早期驳回申请不影响仲裁庭继续进行仲裁程序。 （三）当事人应尽早提出早期驳回申请。除非仲裁庭另有决定，最迟应在提交答辩书或反请求答辩书时提出。 （四）仲裁庭在听取当事人意见后，可以决定是否受理早期驳回申请。 （五）仲裁庭应在早期驳回申请提出之日起60天内就该申请作出决定或裁决，并说明理由。仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以适当延长该期限。 （六）仲裁庭作出支持或部分支持早期驳回申请的决定的，不影响仲裁庭就其他仲裁请求及反请求继续进行审理。 **第五十一条 — 作出裁决的期限** （一）仲裁庭应在仲裁庭组成后6个月内作出裁决。 （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 （三）中止程序的期间不计入本条第一款规定的裁决期限。 **第五十二条 — 裁决** （一）仲裁庭应根据事实和合同约定，依照法律规定，参考国际惯例，公平合理、独立公正地作出裁决。 （二）当事人对案件适用法律有约定的，从其约定。当事人未约定或其约定与法律强制性规定相抵触的，由仲裁庭决定案件应适用的法律或法律规则。 （三）仲裁庭应在裁决书中写明仲裁请求、争议事实、裁决理由、裁决结果、仲裁费用的承担、裁决的日期和地点。当事人约定不写明争议事实和裁决理由，或裁决按照当事人和解协议内容作出的，可以不写明争议事实和裁决理由。仲裁庭有权在裁决书中确定当事人履行裁决的具体期限及逾期履行的责任。 （四）裁决书应加盖"中国国际经济贸易仲裁委员会"印章。 （五）由三名仲裁员组成的仲裁庭审理的案件，裁决依全体或多数仲裁员的意见作出。少数仲裁员的书面意见可以附卷，但可以附入裁决书，不构成裁决书的组成部分。 （六）仲裁庭不能形成多数意见的，裁决依首席仲裁员的意见作出。其他仲裁员的书面意见可以附卷，但可以附入裁决书，不构成裁决书的组成部分。 （七）裁决书应由多数仲裁员签名，但裁决依首席仲裁员或独任仲裁员意见作出并由该仲裁员签名的除外。持不同意见的仲裁员可以在裁决书上不签名。仲裁员的电子签名与手写签名具有同等效力。 （八）作出裁决的日期即为裁决发生法律效力的日期。 （九）裁决是终局的，对当事人具有约束力。 （十）送达当事人的裁决书应为纸质形式。当事人约定或仲裁委员会认为必要的，裁决书可以电子形式送达。 **第五十三条 — 部分裁决** （一）仲裁庭认为必要，或当事人提出请求并经仲裁庭同意的，仲裁庭可以在作出最终裁决前，就当事人主张的部分事项作出部分裁决。部分裁决是终局的，对当事人具有约束力。 （二）当事人对部分裁决不履行的，不影响仲裁程序的继续进行，也不影响仲裁庭作出最终裁决。 **第五十四条 — 裁决书草案的核阅** 仲裁庭应在签署裁决书前将裁决草案提交仲裁委员会核阅。在不影响仲裁庭独立性的情况下，仲裁委员会可以就裁决书的相关问题提请仲裁庭注意。 **第五十五条 — 应承担的费用** （一）仲裁庭有权在裁决书中确定当事人最终应向仲裁委员会支付的仲裁费用和其他费用。 （二）仲裁庭有权在裁决书中裁决败诉方应当补偿胜诉方因办理案件而支出的合理费用。在确定败诉方补偿胜诉方因办理案件而支出的费用是否合理时，仲裁庭应具体考虑案件的裁决结果、复杂程度、胜诉方当事人及/或代理人的实际工作量以及案件的争议金额。 **第五十六条 — 裁决书的更正** （一）仲裁庭可以在作出裁决后合理期限内自行以书面形式对裁决书中的笔误、打字错误、计算错误或类似性质的错误或遗漏进行更正。 （二）任何一方当事人可以在收到裁决书后30天内向仲裁庭书面申请更正裁决书中的笔误、打字错误、计算错误或类似性质的错误或遗漏。如确有错误，仲裁庭应在收到申请后30天内作出书面更正。 （三）任何书面更正构成裁决书的不可分割部分，适用本规则第五十二条第（四）至（十）项的规定。 **第五十七条 — 补充裁决** （一）仲裁庭对仲裁请求或反请求有遗漏的，可以在作出裁决后合理期限内自行作出补充裁决。 （二）任何一方当事人可以在收到裁决书后30天内向仲裁庭书面申请就裁决书中遗漏的事项作出补充裁决。如确有遗漏，仲裁庭应在收到书面申请后30天内作出补充裁决。 （三）补充裁决构成裁决书的一部分，适用本规则第五十二条第（四）至（十）项的规定。 **第五十八条 — 裁决的履行** （一）当事人应在裁决书规定的期限内履行裁决。裁决书未规定履行期限的，当事人应立即履行。 （二）一方当事人不履行裁决的，另一方当事人可以依照法律规定向有管辖权的法院申请执行。 **第五十九条 — 简易程序的适用** （一）除非当事人另有约定，凡争议金额不超过人民币500万元，或争议金额超过人民币500万元但一方当事人书面申请且另一方当事人书面同意，或当事人约定适用简易程序的，适用简易程序。 （二）没有争议金额或争议金额不明确的，由仲裁委员会综合考虑案件的复杂程度、涉及利益的大小以及其他有关因素决定是否适用简易程序。 **第六十条 — 案件的受理** 仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，符合本规则第十二条规定的受理条件且适用简易程序的，应向双方当事人发出仲裁通知。 **第六十一条 — 仲裁庭的组成** 除非当事人另有约定，适用简易程序的案件，依照本规则第二十八条的规定设立独任仲裁庭进行审理。 **第六十二条 — 答辩和反请求** （一）被申请人应在收到仲裁通知后20天内提交答辩书、证据材料及其他证明文件；如有反请求，也应在此期限内提交反请求申请书、证据材料及其他证明文件。 （二）申请人应在收到反请求受理通知后20天内对被申请人的反请求提交答辩书。 （三）当事人有正当理由请求延长上述期限的，由仲裁庭决定是否延长；仲裁庭尚未组成的，由仲裁委员会仲裁院院长决定。 **第六十三条 — 审理方式** 仲裁庭可以以其认为适当的方式审理案件。在听取当事人意见后，仲裁庭可以决定只依据当事人提交的书面材料和证据进行书面审理，也可以决定开庭审理。 **第六十四条 — 开庭审理** （一）开庭审理的案件，仲裁庭在确定第一次开庭日期后，应于开庭15天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后3天内以书面方式提出延期申请。仲裁庭应决定是否延期。 （二）当事人有正当理由未能按前款规定期限提出延期开庭申请的，仲裁庭应决定是否受理其延期申请。 （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 **第六十五条 — 作出裁决的期限** （一）仲裁庭应在仲裁庭组成后3个月内作出裁决。 （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 （三）中止程序的期间不计入本条第一款规定的裁决期限。 **第六十六条 — 程序变更** 仲裁请求的变更或反请求的提出，不影响简易程序的继续进行。经变更的仲裁请求或反请求所涉争议金额超过人民币500万元的，除当事人约定或仲裁庭认为有必要变更为普通程序外，继续适用简易程序。 **第六十七条 — 其他规定的适用** 本章未规定的事项，适用本规则其他各章的有关规定。 **第六十八条 — 本章的适用** （一）国内仲裁案件，适用本章规定。 （二）符合本规则第五十九条规定的国内仲裁案件，适用第四章简易程序的规定。 **第六十九条 — 案件的受理** 仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，符合本规则第十二条规定的受理条件且适用国内仲裁程序的，应向当事人发出仲裁通知。 **第七十条 — 仲裁庭的组成** 仲裁庭应按照本规则第二十五条、第二十六条、第二十七条、第二十八条、第二十九条和第三十条的规定组成。 **第七十一条 — 答辩和反请求** （一）被申请人应在收到仲裁通知后20天内提交答辩书及其所依据的证据材料和其他证明文件；如有反请求，也应在此期限内提交反请求申请书及其所依据的证据材料和其他证明文件。 （二）申请人应在收到反请求申请书受理通知后20天内提交答辩书。 （三）当事人有正当理由请求延长上述期限的，由仲裁庭决定是否延长；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 **第七十二条 — 开庭审理** （一）开庭审理的案件，仲裁庭在确定第一次开庭日期后，应于开庭15天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后3天内以书面方式提出延期申请。仲裁庭应决定是否延期。 （二）当事人有正当理由未能按前款规定提出延期开庭申请的，仲裁庭应决定是否受理其延期申请。 （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 **第七十三条 — 开庭审理记录** （一）仲裁庭应对开庭情况予以记录，制作笔录。当事人及其他仲裁参与人认为对自己陈述的记录有遗漏或差错的，可以申请更正。仲裁庭不同意更正的，应将申请记录在案。 （二）仲裁员、记录员、当事人及其他仲裁参与人应在笔录上签名或盖章。 **第七十四条 — 作出裁决的期限** （一）仲裁庭应在仲裁庭组成后4个月内作出裁决。 （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 （三）中止程序的期间不计入本条第一款规定的裁决期限。 **第七十五条 — 其他条款的适用** 本章未规定的事项，适用本规则其他各章的有关规定。本规则第六章的规定不适用于本章。 **第七十六条 — 本章的适用** （一）仲裁委员会在香港特别行政区设立仲裁委员会香港仲裁中心。本章适用于仲裁委员会香港仲裁中心受理并管理的仲裁案件。 （二）当事人约定将争议提交仲裁委员会香港仲裁中心仲裁，或约定将争议提交仲裁委员会在香港仲裁的，由仲裁委员会香港仲裁中心受理仲裁申请并管理案件。 **第七十七条 — 仲裁地和适用程序法** 除非当事人另有约定，仲裁委员会香港仲裁中心管理的案件的仲裁地为香港，仲裁程序适用法律为香港仲裁法，裁决为香港裁决。 **第七十八条 — 管辖权决定的作出** 当事人对仲裁协议及/或仲裁案件管辖权的异议，应不晚于第一次实体答辩前提出。仲裁庭有权对仲裁协议的存在、效力以及仲裁案件的管辖权作出决定。 **第七十九条 — 仲裁员的选定或指定** 现行仲裁委员会仲裁员名册推荐用于仲裁委员会香港仲裁中心管理的案件，但当事人可以在仲裁员名册之外选定仲裁员。被选定的仲裁员由仲裁委员会主任确认。 **第八十条 — 临时措施与紧急救济** （一）除非当事人另有约定，仲裁庭有权经一方当事人申请决定适当的临时措施。 （二）仲裁庭组成前，当事人可依照《中国国际经济贸易仲裁委员会紧急仲裁员程序》（本规则附件三）申请紧急临时救济。 **第八十一条 — 裁决书的印章** 裁决书应加盖"中国国际经济贸易仲裁委员会香港仲裁中心"印章。 **第八十二条 — 仲裁收费** 依本章接受申请并管理的案件适用《中国国际经济贸易仲裁委员会仲裁费用表（三）》（本规则附件二）。 **第八十三条 — 本规则其他条款的适用** 本章未规定的事项，适用本规则其他各章的有关规定。本规则第五章的规定不适用于本章。 **第八十四条 — 仲裁语言** （一）当事人对仲裁语言有约定的，从其约定。 （二）当事人对仲裁语言没有约定的，以中文为仲裁语言。仲裁委员会在全面考虑合同语言等情况后，可以决定以一种或多种语言进行仲裁。仲裁庭组成后，仲裁庭可以根据案件具体情况重新选择仲裁程序中使用的一种或多种仲裁语言。 （三）仲裁庭开庭审理时，当事人或其代理人、证人需要翻译的，仲裁委员会仲裁院可以提供译员，也可以由当事人自行提供。 （四）仲裁庭或仲裁委员会仲裁院认为必要时，可以要求当事人提交其提交的各种文书和证明材料的汉语或其他语言的译本。 **第八十五条 — 仲裁费用及开支** （一）仲裁委员会按照规定的仲裁费用表向当事人收取仲裁费用，并可以因办理案件需要向当事人收取仲裁员的特殊报酬、旅差费、食宿费、聘请速录员记录案件的费用，以及仲裁庭聘请专家、鉴定人和翻译等费用，以及因其他额外且合理的情形产生的费用。 （二）当事人未在仲裁委员会规定的期限内预交其选定的仲裁员的特殊报酬、旅差费、食宿费的，视为当事人未选定该仲裁员。 （三）当事人约定在仲裁委员会或其分会/仲裁中心所在地以外开庭的，当事人应预缴旅差费、食宿费以及因此产生的审理费用。当事人未在仲裁委员会规定的期限内预缴该费用的，开庭审理在仲裁委员会或其分会/仲裁中心所在地进行。 （四）当事人约定以两种以上语言为仲裁语言，或约定由三名仲裁员组成仲裁庭审理本规则第五十九条规定适用简易程序的案件时，仲裁委员会可以向当事人收取额外合理的费用。 （五）仲裁委员会根据本规则第二条第（七）项规定向当事人提供临时仲裁服务时，仲裁庭可根据当事人请求、案件情况与当事人协商后决定相关仲裁费用，通知当事人在指定期限内缴纳。当事人不缴纳或未全部缴纳的，仲裁委员会可以中止提供全部或部分临时仲裁服务，也可以视为该请求已被撤回。 **第八十六条 — 责任限制** The Arbitration Commission and its staff, arbitrators, emergency arbitrators, and other relevant personnel engaged by the arbitral tribunal in the arbitration proceedings shall not be liable to any person for any acts, including negligence, acts, or omissions, in connection with the arbitration under these Rules, and shall not be required to give testimony, unless otherwise provided by the law applicable to the arbitration. 除非仲裁适用法律另有规定，仲裁委员会及其工作人员、仲裁员、紧急仲裁员以及仲裁庭在仲裁程序中邀请的相关人员，不就本规则项下仲裁有关的任何行为，包括过失、作为和不作为，对任何人承担民事责任，亦不负有作证义务。 **第八十七条 — 规则的解释** （一）本规则各条款的标题不应用于解释条文含义。 （二）本规则由仲裁委员会解释。 **第八十八条 — 规则的施行** 本规则自2024年1月1日起施行。本规则施行前仲裁委员会及其分会/仲裁中心管理的案件，仍适用受理案件时适用的仲裁规则。双方当事人同意的，也可以适用本规则。 *以上为中国国际经济贸易仲裁委员会仲裁规则（2024年版）全文，共88条，分为7章，附件包括分会/仲裁中心名册、仲裁费用表和紧急仲裁员程序。* ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就中国国际经济贸易仲裁委员会仲裁规则所作的评论。* **Fresa Li：** CIETAC 2024年版仲裁规则是中国仲裁实践的最新里程碑，亦是中国机构仲裁国际化程度的集中体现。2024年版最值得关注的是其对国际规则的本土化调适能力——既保留了《仲裁法》框架下中国仲裁实践的核心特色（如仲裁员名册制度），又全面吸收了国际仲裁的现代制度（紧急仲裁员、合并仲裁、追加当事人等）。我在审理某EPC总承包工程款仲裁案（案号（经脱敏处理的案例））时，第27条共同仲裁机制为多方主体争议提供了一体化解决路径，避免了分别仲裁导致的事实认定冲突。在实务操作中，CIETAC相比境外机构的核心优势在于：仲裁语言选择灵活（中文或英文均可）、仲裁员对中国法律实践的深度理解，以及裁决在境内的直接执行效力。实务建议：涉外商事合同中，CIETAC仲裁条款应明确约定仲裁语言（中文或英文），并应对紧急仲裁员条款作出单独约定——2024年版虽已引入紧急仲裁员程序，但默认情形下需另行申请，若不加约定，可能错过资产保全的黄金时间。另外，CIETAC在北京、上海、深圳等多地设有分会，选择不同的分会可能影响仲裁员的地域构成和秘书处的响应风格。 --- **Dr. Frontie：** CIETAC 2024规则是第10版，从84条扩展至88条，新增了第三方资助披露（第48条）和早期驳回（第50条）两项重要制度。特别值得关注的是第18条"追加当事人"——允许在仲裁程序中追加新当事人，即使在仲裁庭组成之后。这一条款在全球主要仲裁规则中属于较为灵活的安排。从DWAC制度创新视角看，CIETAC 2024规则提出了一个被低估的问题：当仲裁程序涉及多方主体时，"当事人自治"与"程序效率"的张力如何化解？CIETAC的方案是赋予仲裁机构裁量权，但以"确有必要"为前提。DWAC的Agent仲裁场景中，多方参与可能更为复杂——涉及Agent创建者、背书人、平台运营方等多重主体，CIETAC的裁量权模式具有借鉴价值。 --- **Dr. Gochye：** CIETAC 2024年规则第6条延续中国仲裁法传统下的"机构保留"模式（institutional reservation model）：虽确认仲裁庭有权裁定管辖权，但在追加当事人（第18条）、合并仲裁（第19条）等议题上明确将决定权保留给仲裁院。追加当事人程序（第18条）：申请人可基于"表面上约束被追加当事人的案涉仲裁协议"申请追加，且被追加当事人须"书面同意参加仲裁"——比ICC规则第7(5)条更为明确，强化对被追加方程序权利的保障。数字化转型：渐进式现代化。虽建立在线提交系统和电子归档功能，但规则仍保留纸质文件的传统做法。CIETAC代表"中国特色仲裁制度"的典型样本。既吸收国际仲裁通行做法，又保留本土制度逻辑。2024年规则修订在制度现代化与本土身份认同之间寻找平衡的努力清晰可见。 --- **Dr. Venessa：** CIETAC 2024年仲裁规则在程序公正方面呈现了中国仲裁法律制度的独特路径。从正当程序保障的分析框架看，CIETAC坚持的仲裁员名册制度在第24条中的表述，虽然限制了当事人选择仲裁员的范围，但在保障仲裁员资质和减少因当事人指定不当引发的回避问题上具有实际效用。第22条（仲裁员的披露和回避）在2024年版中得到了强化，要求仲裁员持续披露可能影响其独立性的情形。第45条（裁决）要求裁决书说明理由，并允许当事人在不说明理由的裁决中另行约定，这一安排与《仲裁法》第54条保持了制度衔接。公正性方面，CIETAC的分案管理机制——将仲裁员指定权集中于仲裁委员会而非秘书处——有助于减少机构干预的顾虑。 --- **灵犀：** CIETAC 2024年仲裁规则在数字仲裁维度展现了中国仲裁数字化发展的最新成果。第8条（电子送达）的明确规定和第19条（网上开庭）的制度化安排，是对疫情期间仲裁数字化实践经验的规则固化。CIETAC的在线仲裁平台在2024年实现了案件全流程电子化——从在线立案、电子送达、在线庭审到电子裁决。对于DWAC而言，CIETAC的「在线仲裁」经验具有重要参考价值。值得关注的是，CIETAC规则尚未纳入对AI工具使用的任何指引或限制条款——在AI辅助仲裁日益普及的背景下，这一规则空白亟待填补。SVAMC的AI Guidelines可以作为CIETAC相关规则开发的有益参考。 --- ------------------------------------------------------------ ## 第七章：世界知识产权组织仲裁与调解中心 ## Chapter 7: WIPO Arbitration and Mediation Center ### 机构简介 - **Full Name / 全称:** World Intellectual Property Organization / 世界知识产权组织 - **Abbreviation / 简称:** WIPO / 世界知识产权组织 - **Arbitration Center / 仲裁中心:** WIPO Arbitration and Mediation Center / WIPO仲裁与调解中心 - **Headquarters / 总部:** Geneva, Switzerland / 瑞士日内瓦 - **Current Rules Version / 现行规则版本:** WIPO Arbitration Rules (Effective from July 1, 2021) / WIPO仲裁规则（2021年7月1日生效） - **Official Link / 官方网站:** https://www.wipo.int/amc/en/arbitration/rules/ ### 仲裁规则（中文） **第1条** 在本规则中： "仲裁庭"包括独任仲裁员或指定了多名仲裁员时的全体仲裁员； 以单数形式使用的词语根据上下文需要包括复数含义，反之亦然。 **第2条** 凡仲裁协议约定按照WIPO仲裁规则进行仲裁的，本规则应视为该仲裁协议的组成部分，争议应根据本规则（以仲裁开始之日有效的版本为准）予以解决，但当事人另有约定的除外。 **第3条** (a) 本规则管辖仲裁，但若本规则任何规定与当事人不能减损的仲裁适用法律的任何规定相抵触的，以该法律规定为准。 (b) 仲裁适用法律应根据第61条(b)款确定。 **第4条** (a) 根据本规则可以或必须发出的任何通知或其他通讯应采用书面形式，并应通过电子邮件或其他能够提供记录的电⼦通讯⽅式发送，除非一方当事人决定同时使用快递或信使服务。 (b) 在一方当事人未通知变更地址的情况下，该方当事人最后已知的住所或营业地为任何通知或其他通讯的有效地址。在任何情况下，通讯均可按照约定的方式发送给一方当事人，如无此约定，则按照当事人在交易过程中所采用的惯例发送。 (c) 为确定期限的起算日期，通知或其他通讯应被视为在其按照本条第(a)款和第(b)款规定送达之日收到。 (d) 为确定是否遵守期限，通知或其他通讯如在本条(a)款和(b)款规定的期限届满之前或当日发出的，应被视为已发送、作出或传送。 (e) 为本规则项下期限的计算之目的，该期限自通知或其他通讯收到之次日起算。若期限的最后一日在收件人住所或营业地为法定假日或非营业日的，则期限顺延至其后的第一个营业日。期限进行期间内的法定假日或非营业日应计入期限。 (f) 当事人可以约定缩短或延长第11条、第15条(b)款、第16条(b)款、第17条(b)款、第17条(c)款、第18条、第19条(b)款第(iii)项、第41条(a)款和第42条(a)款所述期限。 (g) 中心可应一方当事人请求或自行决定延长第11条、第15条(b)款、第16条(b)款、第17条(b)款、第17条(c)款、第18条、第19条(b)款第(iii)项、第69条(d)款、第70条(e)款和第72条(e)款所述期限。 **第5条** (a) 在中心通知仲裁庭组成之前，当事⼈根据本规则需要或允许提交的任何书面陈述、通知或其他通讯应提交给中心，同时该当事人应将副本传送给另一方当事人。 (b) 若一方当事人决定使用快递或信使服务向中心发送任何书面陈述、通知或其他通讯，其应按预期仲裁员人数每人一份外加一份给中心的份数发送。 (c) 在中心通知仲裁庭组成之后，任何书面陈述、通知或其他通讯应由当事人直接提交给仲裁庭，同时该当事人应将副本提供给另一方当事人。 (d) 仲裁庭应将其作出的每一项命令或其他决定的副本发送给中心。 **第6条** 申请人应将仲裁申请书传送给中心和被申请人。 **第7条** 仲裁开始的日期为中心收到仲裁申请书之日。 **第8条** 中心应通知申请人和被申请人其已收到仲裁申请书以及仲裁开始的日期。 **第9条** 仲裁申请书应载明： (i) 将争议提交WIPO仲裁规则项下仲裁的要求； (ii) 当事人及申请人代理人的姓名或名称、地址、电话、电子邮件或其他通讯方式； (iii) 仲裁协议的副本，如适用，任何独立的法律选择条款； (iv) 争议性质和情况的简要说明，包括所涉权利和财产以及所涉任何技术的性质； (v) 寻求的救济声明，并在可能范围内指明所主张的任何金额； (vi) 第14条至第20条所要求的任何指定，或申请人认为有用的相关意见；以及 (vii) 如适用，任何第三方资助者的身份。如果资助协议在程序后期订立，应立即向当事人、中心和仲裁庭披露第三方资助者的身份。 **第10条** 仲裁申请书也可附有第41条所述的申请书。 **第11条** (a) 被申请人应在收到申请人仲裁申请书之日起30日内，向中心和申请人提交对仲裁申请书的答辩书，其中应包含对仲裁申请书中任何内容的意见，并可载明任何反请求或抵销的说明。 (b) 对仲裁申请书的答辩书应载明（如适用）任何第三方资助者的身份。如果资助协议在程序后期订立，应立即向当事人、中心和仲裁庭披露第三方资助者的身份。 **第12条** 如果申请人已根据第10条随仲裁申请书提交了申请书，对仲裁申请书的答辩书也可附有第42条所述的答辩书。 **第13条** (a) 当事人可由其选定的人员代理，特别是不受国籍或专业资格的限制。代理人的姓名、地址、电话、电子邮件或其他通讯方式应告知中心、另一方当事人，以及在仲裁庭组成后告知仲裁庭。 (b) 各方当事人应确保其代理人有足够的时间以确保仲裁迅速进行。 (c) 当事人也可以由其选定的人员协助。 **第14条** (a) 仲裁庭应由当事人约定的仲裁员人数组成。 (b) 当事人未约定仲裁员人数的，仲裁庭应由一名独任仲裁员组成，但中心根据其裁量权认定，考虑到案件的全部情况，由三名仲裁员组成的仲裁庭更为适当的除外。 (c) 当事人根据第16条、第17条和第18条作出的任何仲裁员指定，应在满足第22条和第23条要求的前提下经中心确认。指定自中心通知当事人之时起生效。 **第15条** (a) 若当事人已就仲裁员的指定程序达成约定，应遵循该程序。 (b) 如果在当事人约定的期限内，或在没有约定期限的情况下于仲裁开始后45日内，未依据该程序设立仲裁庭的，仲裁庭应根据第19条予以设立或补充（视情况而定）。 **第16条** (a) 如须指定独任仲裁员而当事人未约定指定程序的，独任仲裁员应由当事人共同指定。 (b) 如果在当事人约定的期限内，或在没有约定期限的情况下于仲裁开始后30日内，未能指定独任仲裁员的，该独任仲裁员应根据第19条予以指定。 **第17条** (a) 如须指定三名仲裁员而当事人未约定指定程序的，应根据本条指定仲裁员。 (b) 申请人应在仲裁申请书中指定一名仲裁员。被申请人应在收到仲裁申请书之日起30日内指定一名仲裁员。两名仲裁员应在第二名仲裁员指定后20日内指定第三名仲裁员，该第三名仲裁员担任首席仲裁员。 (c) 尽管有第(b)款的规定，如果因中心根据第14条(b)款行使裁量权而需指定三名仲裁员的，申请人应在收到中心关于仲裁庭将由三名仲裁员组成的通知后15日内，通过向中心和被申请人发出通知指定一名仲裁员。被申请人应在收到上述通知后30日内指定一名仲裁员。两名仲裁员应在第二名仲裁员指定后20日内指定第三名仲裁员，该第三名仲裁员担任首席仲裁员。 (d) 如果在上述各款所述适用期限内未指定任何仲裁员的，该仲裁员应根据第19条予以指定。 **第18条** 在以下情况下： (i) 存在多名申请人和/或多名被申请人；且 (ii) 需指定三名仲裁员； 多名申请人应共同在仲裁申请书中指定一名仲裁员，和/或多名为被申请人应在收到仲裁申请书后30日内共同指定一名仲裁员（视情况而定）。如在适用期限内未能共同指定的，中心应指定一名或两名仲裁员。两名仲裁员应在第二名仲裁员指定后20日内指定第三名仲裁员，该第三名仲裁员担任首席仲裁员。 **第19条** (a) 如果一方当事人未能按照第15条、第17条或第18条的要求指定仲裁员，中心应立即作出指定。 (b) 如果独任仲裁员或首席仲裁员未能按照第15条、第16条、第17条或第18条的要求被指定的，应按照以下程序进行指定： (i) 中心应向各方当事人发送一份相同的候选人名单。该名单通常应包括至少三名按字母顺序排列的候选人姓名。名单应包括或附有每位候选人资质的说明。如果当事人已约定任何特定资质要求，名单应包含满足这些资质的候选人姓名。 (ii) 各方当事人有权删除其反对指定的任何候选人的姓名，并应按优先顺序对剩余候选人进行编号。 (iii) 各方当事人应在收到名单后20日内将标注后的名单退回中心。任何未在该期限内退回标注后名单的当事人，应被视为同意名单上的所有候选人。 (iv) 中心在收到当事人的名单后，或在未收到名单的情况下于上项所述期限届满后，应尽快考虑当事人表达的优先选择和反对意见，从名单中指定一人为独任仲裁员或首席仲裁员。 (v) 如果退回的名单未显示双方当事人都可接受的仲裁员人选，中心有权指定独任仲裁员或首席仲裁员。如果某人不能或不愿接受中心的邀请担任独任仲裁员或首席仲裁员，或存在其他理由使该人不能担任独任仲裁员或首席仲裁员，且名单上不再留有双方当事人都可接受的仲裁员人选时，中心同样有权作出指定。 (c) 尽管有第(b)款规定的程序，如果中心在其裁量权范围内认定该款所述程序不适合该案件的，中心有权以其他方式指定独任仲裁员或首席仲裁员。 **第20条** (a) 当事人关于仲裁员国籍的约定应得到尊重。 (b) 如果当事人未就独任仲裁员或首席仲裁员的国籍达成约定，在不存在需要指定具有特定资质的人员等特殊情形时，该仲裁员应为当事人国籍国以外的国家国民。 **第21条** 任何当事⼈或代表其⾏事的任何⼈不得与仲裁员候选人进⾏任何单⽅沟通，但讨论候选⼈的资质、时间 availability 或相对于当事⼈的独⽴性除外。 **第22条** (a) 每位仲裁员均应公正独立。 (b) 每位预期仲裁员应在接受指定前，向当事人、中心及任何已被指定的其他仲裁员披露可能引起对其公正性或独立性产生合理怀疑的任何情况，或书面确认不存在此类情况。 (c) 如果在仲裁的任何阶段出现可能引起对任何仲裁员的公正性或独立性产生合理怀疑的新情况，该仲裁员应立即向当事人、中心及其他仲裁员披露该等情况。 **第23条** (a) 每位仲裁员通过接受指定，应被视为已承诺投入足够的时间以确保仲裁得以迅速进行和完成。 (b) 每位预期仲裁员应书面接受指定，并将该接受通知告知中心。 (c) 中心应通知当事人仲裁庭每位成员的指定以及仲裁庭的组成。 **第24条** (a) 若存在对仲裁员的公正性或独立性产生合理怀疑的情形，任何一方当事人均可申请该仲裁员回避。 (b) 一方当事人仅可基于其在指定后知悉的理由，对其所指定或参与指定的仲裁员申请回避。 **第25条** 申请仲裁员回避的一方当事人应在收到该仲裁员指定通知后，或在其知悉其认为对该仲裁员公正性或独立性产生合理怀疑的情形后15日内，向中心、仲裁庭和另一方当事人发出通知，说明回避理由。 **第26条** 当一方当事人申请仲裁员回避时，另一方当事人有权对该回避申请作出回应，如行使该权利，应在收到第25条所述通知后15日内，将其回应的副本发送给中心、提出回避申请的当事人及任何已被指定的仲裁员。 **第27条** 在回避申请待决期间，仲裁庭可酌情中止或继续进行仲裁程序。 **第28条** 另一方当事人可同意回避申请，或仲裁员可自愿退出。在任何一种情况下，均应更换仲裁员，且不暗示回避理由成立。 **第29条** 如果另一方当事人不同意回避申请且被申请回避的仲裁员未退出，该回避申请应由中心根据其内部程序作出决定。该决定属于行政性质，为终局决定。中心无需说明其决定的理由。 **第30条** 经仲裁员本人请求，可在当事人同意或由中心决定的情况下解除该仲裁员的指定。 **第31条** 不论仲裁员是否提出请求，当事人可共同解除该仲裁员的指定。当事人应立即将解除事宜通知中心。 **第32条** 应一方当事人请求或自行决定，如果仲裁员在法律上或事实上不能履行或未能履行仲裁员职责的，中心可解除该仲裁员的指定。在此情况下，应给予当事人就此发表意见的机会，并比照适用第26条至第29条的规定。 **第33条** (a) 如有必要，应根据第15条至第19条中适用于被替换仲裁员的指定程序指定替代仲裁员。 (b) 如果一方当事人指定的仲裁员基于该当事人在指定时已知或应知的理由被成功申请回避，或根据第32条被解除指定的，中心有权不允许该当事人重新作出指定。如果中心选择行使此裁量权，应由中心作出替换指定。 (c) 在替换期间，仲裁程序应中止，除非当事人另有约定。 **第34条** 当指定替代仲裁员时，仲裁庭应考虑当事人的意见，自行决定是否全部或部分重复之前的任何开庭审理。 **第35条** (a) 如果三人仲裁庭中的一名仲裁员在得到适当通知后无正当理由不参与仲裁庭工作的，除非一方当事人已根据第32条提出申请，另外两名仲裁员有权自行决定继续仲裁并在该第三名仲裁员不参与的情况下作出任何裁决、命令或其他决定。在决定是否在没有仲裁员参与的情况下继续仲裁或作出任何裁决、命令或其他决定时，另外两名仲裁员应考虑仲裁所处的阶段、第三名仲裁员对其不参与所表达的任何理由，以及他们认为在案件情况下适当 的其他事项。 (b) 如果另外两名仲裁员决定不在第三名仲裁员不参与的情况下继续仲裁的，中心在获得其满意的关于该仲裁员未参与仲裁庭工作的证明后，应宣布该职位空缺，并根据第33条定义的裁量权由中心指定替代仲裁员，除非当事人另有约定。 **第36条** (a) 仲裁庭有权审理和裁定对其管辖权提出的异议，包括对根据第61条(c)款审查的仲裁协议的形式、存在、有效性或范围提出的任何异议。 (b) 仲裁庭有权裁定仲裁协议作为其组成部分或与其相关的任何合同的存在或有效性。 (c) 仲裁庭无管辖权的抗辩应不迟于答辩书中提出，或就反请求或抵销而言，在不迟于对该反请求或抵销的答辩书中提出，否则该等抗辩应在后续仲裁程序中或在任何法院前被禁止。仲裁庭超越权限范围的抗辩应在仲裁程序中声称超越权限范围的事项被提出时立即提出。在上述任一情形下，仲裁庭如认为迟延有正当理由的，可受理此后提出的抗辩。 (d) 仲裁庭可将第(c)款所述抗辩作为初步问题作出裁定，或自行决定在最终裁决中对该抗辩作出决定。 (e) 对仲裁庭缺乏管辖权的抗辩不排除中心管理仲裁。 **第37条** (a) 在不违反第3条的前提下，仲裁庭可以其认为适当的方式进行仲裁。 (b) 在所有情况下，仲裁庭均应确保当事人受到平等对待，并给予各方当事人陈述案件的公平机会。 (c) 仲裁庭应确保仲裁程序得以适当迅速地进行。在例外情况下，仲裁庭可应一方当事人请求或自行决定延长本规则规定的、其自行确定的或当事人约定的期限。在紧急情况下，可由首席仲裁员单独批准该等延期。 **第38条** (a) 除非当事人另有约定，仲裁地应由中心决定，同时考虑当事人的任何意见和仲裁的情况。 (b) 仲裁庭经与当事人协商后，可在其认为适当的任何地点进行开庭审理。仲裁庭可在其认为适当的任何地点进行评议。 (c) 裁决应被视为在仲裁地作出。 **第39条** (a) 除非当事人另有约定，仲裁语言应为仲裁协议的语言，但仲裁庭有权在考虑当事人的意见和仲裁情况后另作决定。 (b) 仲裁庭可命令以仲裁语言以外的语言提交的任何文件附上全部或部分翻译成仲裁语言的译本。 **第40条** 仲裁庭通常应在其组成后30日内，通过电话、视频会议、在线工具或任何适当形式与当事人举行预备会议，以便以时间和成本高效的方式组织和安排后续程序。 **第41条** (a) 除非申请书已随仲裁申请书一并提交，申请人应在收到中心关于仲裁庭组成的通知后30日内，将其申请书发送给被申请人和仲裁庭。 (b) 申请书应包含支持索赔的事实和法律论据的全面陈述，包括寻求的救济声明。 (c) 申请书应在最大可能范围内附有申请人所依据的证据以及该等证据的清单。如证据特别繁多，申请人可补充说明其准备提交的进一步证据。 **第42条** (a) 被申请人应在收到申请书后30日内，或在收到中心关于仲裁庭组成的通知后30日内（以较晚者为准），将其答辩书发送给申请人和仲裁庭。 (b) 答辩书应对第41条(b)款要求的申请书的详细内容进行答复。答辩书应按照第41条(c)款所述方式附有被申请人所依据的证据。 (c) 被申请人的任何反请求或抵销应在答辩书中提出或主张，或在特殊情况下，如仲裁庭决定，可在仲裁程序的后续阶段提出或主张。任何该等反请求或抵销应载有第41条(b)款和(c)款规定的相同详细内容。 **第43条** (a) 如果已提出或主张反请求或抵销，申请人应对其详细内容作出答复。第42条(a)款和(b)款比照适用于该答复。 (b) 仲裁庭可酌情允许或要求提交进一步的书面陈述。 **第44条** 除非当事人另有相反约定，当事⼈可在仲裁程序进⾏期间修改或补充其请求、反请求、答辩或抵销，但仲裁庭认为考虑到该修改的性质或提出修改的延迟以及第37条(b)款和(c)款的规定而不宜允许的除外。 **第45条** 除非本规则另有规定或仲裁庭允许，任何当事⼈或代表其⾏事的任何⼈不得就与仲裁有关的任何实质性问题与任何仲裁员进⾏单⽅沟通，但理解本款不禁⽌涉及纯粹组织性事项的单方沟通，例如实体设施、在线工具的使用、开庭地点、日期或时间。 **第46条** 应一方当事人请求，经包括被追加当事人在内的所有当事人同意，仲裁庭可命令追加一方当事人参与仲裁。任何该等命令应考虑所有相关情况，包括仲裁已达成的阶段。该请求应随仲裁申请书或对仲裁申请书的答辩书（视情况而定）一并提出，或者如果一方当事人在后续阶段知悉其认为与追加相关的情况，应在知悉后15日内提出。 **第47条** 如果开始的仲裁涉及的标的与根据本规则待决的其他仲裁程序中的争议标的实质相关，或涉及相同当事人的，中心与所有相关当事人及待决程序中已指定的任何仲裁庭协商后，可命令将新仲裁与待决程序合并，但须经所有当事人及任何已指定的仲裁庭同意。该合并应考虑所有相关情况，包括待决程序已达成的阶段。 **第48条** (a) 应一方当事人请求，仲裁庭可发出其认为必要的任何临时命令或采取其他临时措施，包括禁令和保全构成争议标的物的货物的措施，例如命令将该货物交由第三人保管或出售易腐货物。仲裁庭可将提供适当担保作为准予该等措施的条件。 (b) 应一方当事人请求，仲裁庭可命令另一方当事人以仲裁庭确定的形式为请求或反请求以及第74条所述费用提供担保。 (c) 本条项下的措施和命令可采取临时裁决的形式。 (d) 一方当事人向司法机关提出的关于临时措施或请求或反请求担保的请求，或关于执行仲裁庭准予的任何该等措施或命令的请求，不应被视为与仲裁协议不符，也不应被视为放弃该协议。 **第49条** (a) 除非当事人另有约定，本条规定适用于根据2014年6月1日当日或之后订立的仲裁协议进行的仲裁。 (b) 在仲裁庭组成前寻求紧急临时救济的一方当事人可向中心提交紧急救济请求。紧急救济请求应包括第9条第(ii)至(iv)项所述的详细内容，以及寻求的临时措施声明和需要紧急救济的理由。中心应通知另一方当事人已收到紧急救济请求。 (c) 紧急救济程序开始的日期为中心收到第(b)款所述请求之日。 (d) 紧急救济请求应附有支付管理费和紧急仲裁员费用初始预付款的证明，按紧急救济程序开始之日适用的费用表计算。 (e) 中心在收到紧急救济请求后，应立即（通常在两日内）指定一名独任紧急仲裁员。第22条至第29条比照适用，其中第25条和第26条所述期限应为三日。 (f) 紧急仲裁员应拥有第36条(a)款和(b)款授予仲裁庭的权力，包括确定其自身管辖权的权力。第36条(e)款比照适用。 (g) 紧急仲裁员可以其认为适当的方式进行程序，同时适当考虑请求的紧迫性。紧急仲裁员应确保各方当事人均获得陈述案件的公平机会。紧急仲裁员可规定通过电话、视频会议或在线工具进行程序，或以书面提交替代开庭审理。 (h) 如当事人已约定仲裁地，该地应为紧急救济程序的地点。如无此约定，紧急救济程序的地点应由中心决定，同时考虑当事人的任何意见和紧急救济程序的情况。 (i) 紧急仲裁员可命令其认为必要的任何临时措施。紧急仲裁员可将提供适当担保作为准予该等命令的条件。第48条(c)款和(d)款比照适用。应请求，紧急仲裁员可修改或终止该命令。 (j) 如果在紧急救济程序开始之日起30日内未开始仲裁的，紧急仲裁员应终止紧急救济程序。 (k) 紧急救济程序的费用应由紧急仲裁员与中心协商后初步确定和分摊，按紧急救济程序开始之日适用的费用表计算，但仲裁庭有权根据第73条(c)款对该等费用的分摊作出最终决定。 (l) 除非当事人另有约定，紧急仲裁员不得在与争议相关的任何仲裁中担任仲裁员。 (m) 仲裁庭组成后，紧急仲裁员不再拥有进一步行事的权力。应一方当事人请求，仲裁庭可修改或终止紧急仲裁员命令的任何措施。 **第50条** (a) 仲裁庭应决定证据的可采纳性、关联性、重要性和证明力。 (b) 在仲裁期间的任何时候，仲裁庭可应一方当事人请求或自行决定，命令一方当事人出示其认为必要或适当的文件或其他证据，并可命令一方当事人将其占有或控制的任何财产提供给仲裁庭或其指定的专家或另一方当事人进行检查或检验。 **第51条** (a) 一方当事人可在开庭前的任何合理时间，向仲裁庭和另一方当事人发出通知，告知其已进行并拟依赖的特定实验。该通知应说明实验目的、实验概要、所采用的方法、结果和结论。另一方当事人可通过向仲裁庭发出通知，请求在其在场的情况下重复任何或全部该等实验。如仲裁庭认为该请求合理，应确定重复实验的时间表。 (b) 为本条之目的，"实验"应包括测试或其他验证过程。 **第52条** 仲裁庭可应一方当事人请求或自行决定，检查或要求检查其认为适当的任何场地、财产、机械、设施、生产线、模型、影片、材料、产品或工艺。一方当事人可在任何开庭前的合理时间请求进行检查，仲裁庭如批准该请求，应确定检查的时间和安排。 **第53条** 经当事人同意，仲裁庭可决定当事人应共同提供： (i) 技术入门指南，阐明充分理解争议事项所必需的科学、技术或其他专业信息的背景；以及 (ii) 仲裁庭或当事人在任何开庭中为参考目的所需的模型、图纸或其他材料。 **第54条** (a) 为本条之目的，保密信息是指无论以何种媒介表达，满足以下条件的信息： (i) 由一方当事人持有； (ii) 不为公众所知悉； (iii) 具有商业、财务或工业上的重要性；且 (iv) 由持有方当事人作为保密信息处理。 (b) 主张其在仲裁中希望或需要提交（包括向仲裁庭指定的专家提交）的任何信息具有保密性的当事人，应向仲裁庭发出通知，申请将该信息归类为保密信息，同时向另一方当事人提供副本。在不披露信息实质内容的情况下，当事人应在通知中说明其认为该信息保密的原因。 (c) 仲裁庭应决定该信息是否应归类为保密信息，且其性质为在程序中缺乏特殊保护措施可能对主张保密性的当事人造成严重损害。如仲裁庭作出肯定决定，应决定在何种条件下以及向何人披露保密信息的全部或部分，并应要求任何将获知保密信息的人签署适当的保密承诺。 (d) 在特殊情况下，仲裁庭可替代自行决定，应一方当事人请求或自行决定并在与当事人协商后，指定一名保密顾问，由其决定信息是否应如此归类，如果是，则决定在何种条件下以及向何人披露其全部或部分信息。任何该等保密顾问应被要求签署适当的保密承诺。 (e) 仲裁庭还可应一方当事人请求或自行决定，根据第57条指定该保密顾问作为专家，以便其在保密信息的基础上，就仲裁庭指定的具体问题向仲裁庭报告，而不向非信息来源方当事人或仲裁庭披露保密信息。 **第55条** (a) 任一方当事人提出请求的，仲裁庭应开庭审理，以由证人（包括专家证人）提供证据、进行口头辩论或两者兼有。如无请求，仲裁庭应决定是否进行开庭审理。仲裁庭经与当事人协商后，应决定开庭是通过视频会议、使用在线工具进行还是亲自到庭。如不进行开庭审理，程序应仅基于文件和其他材料进行。 (b) 如进行开庭审理，仲裁庭应给予当事人充分的预先通知，告知日期、时间、所使用的视频会议或在线工具，或地点。 (c) 除非当事人另有约定，所有开庭均应不公开进行。 (d) 仲裁庭应决定是否制作任何开庭记录，以及如制作，以何种形式制作。 **第56条** (a) 在任何开庭之前，仲裁庭可要求任何一方当事人通知其希望传唤的证人身份（无论是事实证人还是专家证人），以及其证言的标的及其与争议问题的关联性。 (b) 仲裁庭有权以重复性和不相关性为由限制或拒绝任何证人出庭。 (c) 提供口头证言的任何证人可在仲裁庭的控制下接受各方当事人的询问。仲裁庭可在证人询问的任何阶段提问。 (d) 证人的证言可依当事人选择或按仲裁庭指示，以书面形式提交，无论是通过签署的声明、宣誓书或其他方式，在此情况下，仲裁庭可将证言的可采纳性以证人在场准备接受口头询问为条件。 (e) 一方当事人应负责其传唤的任何证人的实际安排、费用和出庭可能性。 (f) 仲裁庭应决定任何证人是否应在程序的任何部分（特别是在其他证人作证期间）退庭。 **第57条** (a) 仲裁庭可在预备会议上或之后的阶段，经与当事人协商后，指定一名或多名独立专家就仲裁庭指定的特定问题向其报告。仲裁庭在考虑当事人意见后确定的专家职责范围副本应发送给当事人。任何该等专家应被要求签署适当的保密承诺。 (b) 在遵守第54条的前提下，仲裁庭在收到专家报告后，应将报告副本发送给当事人，当事人应有机会书面表达其对报告的意见。在遵守第54条的前提下，一方当事人可查阅专家在该报告中依赖的任何文件。 (c) 应一方当事人请求，当事人应有机会在开庭时询问专家。在该开庭中，当事人可提供专家证人就争议问题作证。 (d) 任何专家对提交给专家的一个或多个问题的意见，应受仲裁庭在案件所有情况下对该等问题评估权的限制，除非当事人已约定专家的确定对任何特定问题具有终局性。 **第58条** (a) 申请人无正当理由未按照第41条提交申请书的，仲裁庭应终止程序。 (b) 被申请人无正当理由未按照第42条提交答辩书的，仲裁庭仍可继续仲裁并作出裁决。 (c) 如果一方当事人无正当理由未能在仲裁庭确定的期限内利用陈述案件的机会的，仲裁庭也可继续仲裁并作出裁决。 (d) 如果一方当事人无正当理由未能遵守本规则的任何规定或要求或仲裁庭发出的任何指示的，仲裁庭可从中作出其认为适当的推断。 **第59条** (a) 仲裁庭在确信当事人已有充分机会提交陈述和证据后，应宣布程序终结。 (b) 仲裁庭如认为因特殊情况而有必要，可自行决定或应一方当事人的申请，在裁决作出前的任何时候决定重新开启已宣布终结的程序。 **第60条** 知道本规则的任何规定、仲裁协议项下的任何要求或仲裁庭发出的任何指示未被遵守，但仍继续进行仲裁而未迅速就此等不遵守行为提出异议的一方当事人，应被视为已放弃其提出异议的权利。 **第61条** (a) 仲裁庭应按照当事人选择的法律或法律规则裁决争议实体问题。对某一国家法律的指定，除非另有明确表示，应直接指该国的实体法而非其冲突法规则。当事人未作选择的，仲裁庭应适用其认为适当的法律或法律规则。在任何情况下，仲裁庭均应适当考虑相关合同的条款并考虑适用的贸易惯例。仲裁庭仅在当事人明确授权时，方可作为友好调解人或依据公允善良原则作出裁决。 (b) 仲裁适用法律应为仲裁地的仲裁法，除非当事人明确同意适用另一仲裁法且该同意为仲裁地法律所允许。 (c) 仲裁协议如符合根据第(a)款适用的法律或法律规则或根据第(b)款适用的法律关于形式、存在、有效性和范围的要求的，应被视为有效。 **第62条** (a) 裁决中的金额可以任何货币表示。 (b) 仲裁庭可裁决由一方当事人就裁决对其判处的任何金额支付单利或复利。仲裁庭可自由以其认为适当的利率确定利息，不受法定利率的约束，并自由确定利息支付的期间。 **第63条** 除非当事人另有约定，在有多名仲裁员的情况下，仲裁庭的任何裁决、命令或其他决定应由多数作出。如不能形成多数，首席仲裁员应如同独任仲裁员一样作出裁决、命令或其他决定。 **第64条** (a) 仲裁庭可在不同时间就不同问题分别作出裁决。 (b) 裁决应为书面形式，并应注明裁决作出的日期以及根据第38条(a)款确定的仲裁地。 (c) 裁决应说明其所依据的理由，除非当事人已约定无需说明理由且仲裁适用法律不要求说明该等理由。 (d) 裁决应由仲裁员签署。由多数仲裁员签署裁决，或在第63条第二句的情况下由首席仲裁员签署裁决，即为足够。如仲裁员未能签署，裁决应说明未签署的原因。 (e) 仲裁庭可就形式问题咨询中心，特别是为确保裁决的可执行性。 (f) 仲裁庭应将裁决的原件发送给中心，份数应足以向各方当事人、仲裁员和中心各提供一份。中心应向各方当事人和仲裁员正式送达一份裁决原件。 (g) 应一方当事人请求，中心应在收取费用后向其提供一份经中心认证的裁决副本。经如此认证的副本应被视为符合1958年6月10日《承认及执行外国仲裁裁决公约》第四条第(一)款(a)项的要求。 **第65条** (a) 在合理可能的情况下，仲裁应在答辩书送达或仲裁庭组成（以较晚者为准）后九个月内进行开庭审理并宣布程序终结。最终裁决应在合理可能的情况下在此后三个月内作出。 (b) 如果程序未在第(a)款规定的期限内宣布终结，仲裁庭应向中心发送关于仲裁进展情况的报告，并向各方当事人提供副本。其后每届满三个月期间而程序仍未宣布终结的，仲裁庭应向中心发送进一步的进展报告，并向各方当事人提供副本。 (c) 如果最终裁决未在程序终结后三个月内作出，仲裁庭应向中心发送关于延迟的书面解释，并向各方当事人提供副本。其后每届满一个月期间直至最终裁决作出的，仲裁庭应发送进一步的解释，并向各方当事人提供副本。 **第66条** (a) 通过同意根据本规则进行仲裁，当事⼈承诺⽆延迟地履⾏裁决，并在适⽤法律允许放弃的范围内，放弃任何形式的上诉或向法院或其他司法机关寻求救济的权利。 (b) 裁决自中心根据第64条(f)款第二句送达之日起生效并对当事人具有约束力。 **第67条** (a) 仲裁庭可在其认为适当的时候建议当事⼈探索和解的可能，包括通过启动调解。 (b) 如果在裁决作出之前，当事⼈就争议达成和解的，仲裁庭应终⽌仲裁，如经当事⼈共同请求，应以合意裁决的形式记录和解。仲裁庭⽆义务说明该等裁决的理由。 (c) 如果在裁决作出之前，因第(b)款未提及的任何原因导致仲裁的继续成为不必要或不可能的，仲裁庭应通知当事⼈其终⽌仲裁的意图。仲裁庭有权发出该等终⽌仲裁的命令，除非当事⼈在仲裁庭确定的期限内提出合理的反对理由。 (d) 合意裁决或仲裁终⽌命令应由仲裁员根据第64条(d)款签署，并由仲裁庭以⾜够向各当事⼈、仲裁员和中心各提供⼀份的份数将原件发送给中心。中心应向各当事⼈和仲裁员正式送达⼀份合意裁决或仲裁终⽌命令原件。 **第68条** (a) 在收到裁决后30日内，一方当事人可通过向仲裁庭发出通知（抄送中心和另一方当事人），请求仲裁庭更正裁决中的任何笔误、打字或计算错误。如仲裁庭认为请求合理，应在收到请求后30日内作出更正。任何更正应采取单独备忘录的形式，由仲裁庭根据第64条(d)款签署，并成为裁决的一部分。 (b) 仲裁庭可在裁决作出之日起30日内自行更正第(a)款所述类型的任何错误。 (c) 在收到裁决后30日内，一方当事人可通过向仲裁庭发出通知（抄送中心和另一方当事人），请求仲裁庭就仲裁程序中提出但未在裁决中处理的请求作出补充裁决。在就请求作出决定前，仲裁庭应给予当事人陈述意见的机会。如仲裁庭认为请求合理，应在合理可能的情况下在收到请求后60日内作出补充裁决。 **第69条** (a) 提交仲裁申请书应向中心支付不可退还的注册费。注册费金额应按中心收到仲裁申请书之日适用的费用表确定。 (b) 被申请人的任何反请求应向中心支付不可退还的注册费。注册费金额应按中心收到仲裁申请书之日适用的费用表确定。 (c) 在注册费付清之前，中心不得对仲裁申请书或反请求采取任何行动。 (d) 如果申请⼈或被申请⼈在收到中心书面催缴通知后15日内未能支付注册费的，应被视为已撤回其仲裁申请书或反请求（视情况而定）。 **第70条** (a) 申请人应在收到中心关于应付款额的通知后30日内向中心支付管理费。 (b) 如涉及反请求，被申请人也应在收到中心关于应付款额的通知后30日内向中心支付管理费。 (c) 管理费金额应根据仲裁开始之日适用的费用表计算。 (d) 如请求或反请求金额增加的，管理费金额可根据第(c)款适用的费用表增加，增加后的金额应由申请人或被申请人（视情况而定）支付。 (e) 如果一方当事人在收到中心书面催缴通知后15日内未能支付任何到期管理费的，应被视为已撤回其请求或反请求，或请求或反请求的增加额（视情况而定）。 (f) 仲裁庭应及时告知中心请求和任何反请求的金额及其任何增加额。 **第71条** 仲裁员报酬的金额、货币、支付方式和时间应由中心与仲裁员和当事人协商后，按照中心收到仲裁申请书之日适用的费用表确定。 **第72条** (a) 在收到中心关于仲裁庭组成的通知后，申请人和被申请人应各预付等额款项，作为第73条所述仲裁费用的预付款。预付款金额由中心确定。 (b) 在仲裁过程中，中心可要求当事人补充预付款。 (c) 如所需预付款在收到相应通知后30日内未全额支付的，中心应通知当事人，以便其中一方或另一方支付所需款项。 (d) 如反请求金额大大超过请求金额或涉及对显著不同事项的审查，或根据情况其他方面看似适当的，中心可酌情为请求和反请求分别设立两笔预付款。如分别设立预付款，请求预付款总额应由申请人支付，反请求预付款总额应由被申请人支付。 (e) 如果一方当事人在收到中心书面催缴通知后15日内未能支付所需预付款的，应被视为已撤回相关请求或反请求。 (f) 裁决作出后，中心应根据裁决向当事人说明所收预付款的账目，并将未用余额退还当事人，或要求当事人支付任何欠款。 **第73条** (a) 仲裁庭应在其裁决中确定仲裁费用，仲裁费用包括： (i) 仲裁员的报酬； (ii) 仲裁员实际发生的差旅费、通讯费及其他合理开支； (iii) 专家咨询费用及仲裁庭根据本规则所需的其他协助费用；以及 (iv) 进行仲裁程序所必需的其他费用，如会议和开庭设施费用。 (b) 上述费用应尽可能从第72条要求的预付款中扣除。 (c) 在遵守当事人任何约定的前提下，仲裁庭应根据所有情况和仲裁结果在当事人之间分摊仲裁费用以及中心的注册费和管理费。 **第74条** 在遵守当事人任何相反约定的前提下，仲裁庭可根据所有情况和仲裁结果，在其裁决中命令一方当事人支付另一方当事人在陈述案件过程中发生的全部或部分合理开支，包括为法律代理人和证人发生的费用。 **第75条** (a) 除非为与仲裁有关的法院抗辩或裁决执行诉讼所必需，一方当事人不得单方面向任何第三方披露关于仲裁存在的任何信息，除非法律或有管辖权的监管机构要求披露，且仅能： (i) 披露不超过法律要求的范围；且 (ii) 向仲裁庭和另一方当事人（如披露发生在仲裁期间）或仅向另一方当事人（如披露发生在仲裁终止后）提供披露的细节及其理由说明。 (b) 尽管有第(a)款的规定，一方当事人可向第三方披露仲裁当事人的名称和所请求的救济，以履行对该第三方负有的善意或坦诚义务。 **第76条** (a) 除根据第54条可能获得的任何具体措施外，当事人或证人在仲裁中提供的任何文件或其他证据应作为保密信息处理，且在该等证据描述非公开领域的信息范围内，其访问该信息完全因其参与仲裁而获得的当事人，未经当事人同意或有管辖权的法院命令，不得为任何目的向任何第三方使用或披露该信息。 (b) 为本条之目的，一方当事人传唤的证人不视为第三方。如为使证人准备证言而允许其查阅在仲裁中获得的证据或其他信息，传唤该证人的当事人应负责该证人与当事人承担同等程度的保密义务。 **第77条** 当事人应将裁决作为保密信息处理，仅在以下情况下及范围内方可向第三方披露： (i) 当事人同意；或 (ii) 因在国家法院或其他主管机关进行的程序而进入公共领域；或 (iii) 为遵守对一方当事人施加的法律要求，或为确立或保护一方当事人针对第三方的法律权利而必须披露。 **第78条** (a) 除非当事人另有约定，中心和仲裁员应对仲裁、裁决以及（在其描述非公开领域信息的范围内）仲裁期间披露的任何文件或其他证据予以保密，但与裁决相关的法院诉讼所必需的范围或法律另有要求的除外。 (b) 尽管有第(a)款的规定，中心可将其所管理的仲裁信息纳入其发布的关于其活动的汇总统计数据中，但该等信息不得使当事人或争议的具体情况被识别。 **第79条** 除故意不当行为外，仲裁员、WIPO及中心不就与仲裁相关的任何作为或不作为对当事人承担责任。 **第80条** 当事人以及（通过接受指定）仲裁员同意，其或其代理人在仲裁准备过程中或仲裁过程中作出或使用的任何书面或口头陈述或评论，不得用于提起或维持任何诽谤、中伤、口头诽谤或任何相关投诉的诉讼，且本条可作为任何此类诉讼的抗辩理由。 德国仲裁协会（Deutsche Institution für Schiedsgerichtsbarkeit e.V.，简称"DIS"）是德国首要的仲裁机构，成立于1992年，总部位于科隆。DIS根据其自身的规则管理国内和国际仲裁，并为临时仲裁提供支持，包括根据《联合国国际贸易法委员会仲裁规则》进行的仲裁程序。 DIS作为综合性争议解决中心，为德国和国际上各种规模和行业的企业提供服务。其机构框架包括执行委员会、指定委员会、仲裁委员会、咨询委员会以及由经验丰富的专业人员组成的秘书处。 2018年《DIS仲裁规则》是对1998年版本的全面修订，反映了国内和国际仲裁实践的发展。重要创新包括：扩展多方和多合同争议条款、增强效率机制、详细的费用表以及针对股东争议（DIS-CDR）和争议管理程序的专门附件。 DIS在国际上享有盛誉，在跨境商业合同中经常被选用。它与世界各地的仲裁机构保持着广泛的网络联系，并以德语和英语提供服务。 2018年《DIS仲裁规则》同样适用于各种规模和行业的企业，以及在德国和境外进行的仲裁。本规则已修订，以适应国内和国际仲裁的发展以及先前版本规则的实际经验。本规则由德国和国际仲裁领域的领先专家以及具有多年国内和国际仲裁经验的企业和学术界代表共同制定。 1.1 本规则适用于根据德国仲裁协会（DIS）仲裁规则（"本规则"）解决争议的国际和国内仲裁。 1.2 对于任何仲裁，应适用根据第六条程序开始之日有效的本规则版本。 1.3 以下附件构成本规则不可分割的组成部分： – 附件1（内部规则） – 附件2（费用表） – 附件3（提高程序效率的措施） – 附件4（快速程序） – 附件5（公司争议补充规则） – 附件6（争议管理规则）。 1.4 当事人同意适用附件4（快速程序）或附件5（公司争议补充规则）时，应比照适用本规则。 2.1 DIS根据本规则管理仲裁，并为当事人和仲裁庭高效进行仲裁提供支持。DIS本身不解决争议。 2.2 当一方或多方当事人提出请求且无当事人反对时，DIS可根据争议管理规则（附件6）指定争议管理人。争议管理人向当事人提供建议和协助，帮助其选择最适合解决争议的争议解决机制。任何当事人或各方当事人可共同请求指定争议管理人，可在提交仲裁申请之前或仲裁程序进行期间的任何时候提出。 3.1 在本规则中，"申请人"、"被申请人"、"当事人"、"追加当事人"及其他名词，应根据上下文指代单数或复数。 3.2 本规则中使用的"提交文件"是指当事人、仲裁庭和DIS之间交换的所有书面通信，包括仲裁申请书、答辩书、反请求、追加请求、追加当事人请求、仲裁程序中提交的任何和所有诉状及其各自附件。 3.3 本规则中使用的"地址"既包括邮寄地址也包括电子地址。 3.4 对人员的提及均无性别之分。 4.1 在遵守第4.2条和第4.3条规定的前提下，当事人和仲裁庭向DIS提交的所有文件均应以电子方式发送，包括电子邮件、便携式存储设备或DIS授权的任何其他电子传输方式。如电子传输不可能，则应以纸质形式提交。 4.2 根据第5条和第19条提交的仲裁申请书应同时以纸质和电子形式发送至DIS。提交的份数如下： (i) 纸质形式：每方当事人一份仲裁申请书及其任何附件，另供DIS一份（不含附件）； (ii) 电子形式：每方当事人和DIS各一份仲裁申请书及其任何附件。 4.3 在仲裁庭组成之前提交反请求或任何追加请求的当事人，除第4.1条要求的电子副本外，还应向DIS发送一份纸质副本及其任何附件，以便转送至各当事人。 4.4 仲裁庭应决定当事人和仲裁庭之间提交文件的传输形式。 4.5 在遵守第4.2条和第25条规定的前提下，任何当事人向仲裁庭或DIS提交的文件均应同时发送至对方当事人。 4.6 所有提交文件应发送至收件人或对方当事人提供的最后地址。纸质形式的提交文件应以回执交付、挂号信、快递、传真或任何其他能提供收件记录的方式发送。 4.7 任何提交文件的传输日期应视为当事人本身或其指定律师实际收到的日期。如纸质形式的提交文件已根据第4.6条适当发送，但当事人本身或其指定律师未收到，则该提交文件应视为在正常传输过程中本应收到的日期收到。 4.8 根据本规则规定的期限应在第4.7条规定的传输推定日期之后收件地第一个工作日开始计算。对于电子传输，期限应在按第4.6条传输至电子地址之日后的第一个工作日开始计算。期限计算时应包括收件地期间内适逢的公共假日和非营业日。如期限的最后一天在收件地为公共假日或非营业日，则期限顺延至随后第一个营业日结束时届满。 4.9 DIS可自行决定延长本规则规定的或DIS根据本规则确定的任何期限，但仲裁庭确定的期限除外。 5.1 希望根据本规则开始仲裁的当事人应向DIS提交仲裁申请书（"申请书"）。 5.2 申请书应包含： (i) 当事人的姓名和地址； (ii) 代表申请人在仲裁中行事的指定律师的姓名和地址； (iii) 请求的具体救济； (iv) 任何已量化请求的金额以及对任何未量化请求金额的估计； (v) 主张所依据的事实和情况说明； (vi) 申请人依据的仲裁协议； (vii) 如本规则要求，指定的仲裁员； (viii) 有关仲裁地、仲裁语言和实体法适用规则的任何细节或建议。 5.3 申请人应在DIS设定的时间内，按照仲裁开始时有效的费用表（附件2）向DIS支付管理费。如未在规定时间内付款，DIS可根据第42.5条终止仲裁。 5.4 如申请人未按第4.2条要求的份数提交申请书或其附件，或DIS认为申请书未充分符合第5.2条的要求，DIS可设定一个期限要求申请人补充提交。如申请人在该期限内未能提交所需份数或补充第5.2条第(ii)、(iv)、(vii)和(viii)项规定的文件，DIS可根据第42.6条终止仲裁。关于补充第5.2条第(i)、(iii)、(v)和(vi)项规定的文件，应适用第6.2条。 5.5 DIS应将申请书转送给被申请人。如未满足第5.3条或第5.4条的要求，DIS可暂不转送。 6.1 仲裁应在申请书（无论是否有附件）以第4.2条要求的至少一种形式提交至DIS之日开始，但须包含第5.2条第(i)、(iii)、(v)和(vi)项所列的至少一项内容。 6.2 如申请人未能在根据第5.4条规定的期限内补充第5.2条第(i)、(iii)、(v)和(vi)项规定的文件，DIS可作出结案决定，但不影响申请人重新提交请求启动新程序的权利。 7.1 被申请人应在申请书转送之日起21天内书面通知DIS： (i) 如本规则要求，指定的仲裁员； (ii) 有关仲裁地、仲裁语言和实体法适用规则的任何细节或建议； (iii) 根据第7.2条请求延长提交答辩书期限的任何请求（"答辩书"）。 7.2 被申请人应在申请书转送之日起45天内提交答辩书。经被申请人请求，DIS可将期限延长，最多不超过30天。 7.3 如被申请人主张因特殊情况75天仍不足以提交答辩书，仲裁庭可给予更长的期限。如仲裁庭尚未组成，DIS应给予初步延长期限，该期限有效至仲裁庭就延长期限请求作出决定。 7.4 答辩书应包含： (i) 当事人的姓名和地址； (ii) 代表被申请人在仲裁中行事的指定律师的姓名和地址； (iii) 答辩所依据的事实和情况说明； (iv) 请求的具体救济； (v) 有关仲裁协议、仲裁庭管辖权和争议金额的任何相关细节。 7.5 任何反请求应尽可能与答辩书一并提交。第5.2条应比照适用。反请求应提交至DIS。 7.6 被申请人应按照仲裁开始时有效的费用表（附件2）向DIS支付反请求的管理费。如未在DIS设定的期限内付款，DIS可根据第42.5条就反请求终止仲裁。 7.7 如被申请人未按第4.3条要求的份数提交反请求或其附件，或DIS认为反请求未充分符合第7.5条的要求，DIS可设定一个期限要求被申请人补充提交。如被申请人在该期限内未能提交所需份数或补充文件，DIS可根据第42.6条就反请求终止仲裁。 7.8 如被申请人尚未将反请求转送，DIS应将其转送给申请人和仲裁庭。如未满足第7.6条或第7.7条的要求，DIS可暂不转送反请求。 7.9 仲裁庭应为反请求的答辩设定合理的期限。 8.1 经一方或多方当事人请求，如所有仲裁程序的当事人都同意合并，DIS可将根据本规则进行的两个或多个仲裁合并为一个仲裁。此种合并不影响仲裁庭根据第17至19条作出的任何决定。 8.2 仲裁程序的合并应并入最先开始的仲裁程序，当事人另有约定的除外。 9.1 每位仲裁员应在整个程序中保持公正独立，不受任何一方当事人影响。每位仲裁员应立即以书面形式向DIS、各方当事人和对方仲裁员披露任何可能引起对仲裁员公正性或独立性产生合理怀疑的情况。 9.2 仲裁员不得在仲裁程序中担任任何一方当事人的代理人或代表。 9.3 如存在与任何一方当事人的利益冲突，任何人不得接受仲裁员提名，除非该人认为该利益冲突不重要。 9.4 仲裁员应立即以书面形式向DIS、各方当事人和对方仲裁员披露程序中可能出现的任何事实或情况，这些事实或情况可能引起对仲裁员公正性或独立性产生合理怀疑。 9.5 DIS应将仲裁员的披露转送给各方当事人和对方仲裁员，并设定评论的期限。 10.1 当事人可以约定仲裁员人数。如无此约定，应指定三名仲裁员，除非DIS考虑到争议金额、案件复杂程度和当事人人数，认为指定一名独任仲裁员更为适当。 10.2 如DIS根据第10.1条决定指定一名独任仲裁员更为适当，当事人应在DIS将其决定转送各方之日起30天内共同指定一名独任仲裁员。如当事人在此期限内未能指定独任仲裁员，DIS应指定该独任仲裁员。 11.1 如需指定一名独任仲裁员，且当事人在申请书转送至被申请人之日起30天内未就该指定达成一致，DIS应从仲裁员名册中指定一名独任仲裁员，同时考虑争议的性质和各方当事人的身份。 11.2 除非当事人另有约定，独任仲裁员的国籍应与各方当事人不同。 12.1 如需指定三人仲裁庭，各方当事人应分别在申请书或答辩书中或DIS设定的额外期限内各指定一名仲裁员。如此指定的两位仲裁员应在收到对方仲裁员指定通知后30天内选出第三名仲裁员。 12.2 如一方当事人未能指定仲裁员，DIS应指定该仲裁员。 12.3 如两方当事人指定的仲裁员未能选出第三名仲裁员，DIS应指定第三名仲裁员，该仲裁员应担任仲裁庭的首席仲裁员。 12.4 除非当事人另有约定，首席仲裁员的国籍应与各方当事人不同。 13.1 一方当事人对仲裁员的指定须经DIS确认。 13.2 如DIS拒绝确认指定，应说明理由，并按照本条规定的程序指定一名替代仲裁员。 13.3 如在根据第9.5条规定的期限内无当事人反对指定该仲裁员，仲裁员的指定也可由DIS秘书长决定。 13.4 一旦所有仲裁员均已获指定，仲裁庭即告组成。 13.5 在DIS要求的所有款项全部付清之前，DIS可推迟仲裁庭的组成或任何仲裁员的指定。 14.1 一旦仲裁庭根据第13.4条组成，DIS应通知仲裁庭和各方当事人，此后仲裁程序将由仲裁庭进行。 14.2 在有多名仲裁员的仲裁中，仲裁庭的每一项非全票通过的决定均应以多数票作出，当事人另有约定的除外。在无法形成多数票时，首席仲裁员单独作出决定。 14.3 在特殊情况下，首席仲裁员可在获得仲裁庭其他成员授权的情况下单独就个别程序事项作出裁定。 15.1 任何当事人如认为仲裁员未能遵守第9.1条的一项或多项要求而欲提出异议，应根据第15.2条提出异议请求（"异议"）。 15.2 异议应说明其依据的事实和情况，并应具体说明提出异议的当事人首次得知该事实和情况的时间。异议应在提出异议的当事人首次得知异议所依据的事实和情况后不迟于14天内提交至DIS。 15.3 DIS应将异议转送给被提出异议的仲裁员、其他仲裁员和对方当事人，并设定评论的期限。DIS应将其收到的任何评论发送给各方当事人和每位仲裁员。 15.4 仲裁委员会应对异议作出决定。 15.5 仲裁庭可继续进行仲裁程序，除非且直至异议被接受。 16.1 仲裁员的授权应在下列日期终止： (i) 仲裁委员会接受对该仲裁员的异议； (ii) 仲裁委员会接受该仲裁员的辞任； (iii) 仲裁员死亡； (iv) 仲裁委员会根据第16.2条解除该仲裁员的职务； (v) 所有当事人通知DIS他们已同意终止该仲裁员的授权。 16.2 如仲裁委员会认为某仲裁员未能履行本规则规定的仲裁员职责，或目前或将来无法履行该等职责，可将该仲裁员免职。免职程序见内部规则（附件1）第9条。 16.3 如仲裁员的授权被终止，除非第16.4条另有规定，应根据第16.5条指定一名替代仲裁员。 16.4 如所有当事人和剩余仲裁员均同意，并考虑到所有情况，仲裁委员会可决定不替换授权已终止的仲裁员。如仲裁委员会如此决定，则仲裁程序仅由剩余仲裁员继续进行。 16.5 指定替代仲裁员时，应遵循用于最初指定被替换仲裁员的相同程序；但在咨询当事人和剩余仲裁员并考虑到其认为相关的任何情况后，仲裁委员会可决定适用本规则规定的不同程序。 16.6 仲裁庭重新组成后，应继续进行程序，不重复任何部分，除非当事人另有约定，或仲裁庭在咨询当事人后认为有必要重复程序的任何部分。 17.1 源于或涉及一个以上合同的请求可在单一仲裁程序中裁决（"多合同仲裁"），但须得到所有仲裁当事人的同意。关于所有当事人是否已同意的任何争议，特别是当没有书面明示协议时，应由仲裁庭决定。 17.2 当请求依据一个以上的仲裁协议提出时，可在单一仲裁程序中裁决，但须除第17.1条规定的条件外，该等仲裁协议相互兼容。关于仲裁协议是否兼容的任何争议，应由仲裁庭决定，但须遵守第17.3条。 17.3 第17.2条适用且DIS认为仲裁协议在仲裁庭组成方面的规定存在不兼容导致无法根据本规则组成仲裁庭时，应适用第42.4条第(ii)款。 17.4 多合同仲裁中有多方当事人时，除本第17条的规定外，还应适用第18条（多方仲裁）的规定。 18.1 多方当事人仲裁（"多方仲裁"）中提出的请求可在该仲裁中裁决，前提是存在约束所有当事人将其请求在单一仲裁中裁决的仲裁协议，或所有当事人以其他方式达成了一致。关于当事人是否已同意的任何争议，特别是当没有书面明示协议时，应由仲裁庭决定。 18.2 多方仲裁中提出源于或涉及一个以上合同的请求时，除本第18条的规定外，还应适用第17条（多合同仲裁）的规定。 18.3 如当事人无法根据第18.1条和第18.2条就仲裁庭组成方法达成一致，DIS应指定仲裁庭的每位成员，并指定其中一人担任首席仲裁员。 19.1 经一方当事人请求，任何人可作为当事人（"追加当事人"）被追加至仲裁中，前提是该人是仲裁协议的当事人，除非任何当事人在DIS设定的期限内提出反对。 19.2 追加当事人申请书应包含第5.2条规定的要素，并应与管理费一并提交。 19.3 追加当事人申请书应不迟于答辩书到期日提交。 19.4 仲裁庭应对任何当事人就追加追加当事人的异议作出决定。 19.5 追加当事人的加入不影响仲裁庭的组成，除非追加当事人根据第18条指定了一名仲裁员。 20.1 仲裁庭应以高效公平的方式进行程序。 20.2 仲裁庭应查明案件事实，并特别应： (i) 确保程序以高效的方式进行； (ii) 适当考虑当事人在此方面的意愿和建议； (iii) 给予当事人合理的机会陈述其主张； (iv) 避免不必要的延误和费用； (v) 按照当事人平等对待的原则行事。 20.3 当事人应在程序进行中诚实信用行事。 21.1 仲裁庭应在咨询当事人后，考虑到当事人在此方面的任何协议，确定程序规则。 21.2 如当事人未就程序规则达成协议，仲裁庭可自行决定确定此类规则。 21.3 在仲裁庭组成之前，在特殊情况下，DIS可在咨询当事人后作出程序性裁定，包括关于仲裁协议存在、有效或效力的裁定。 21.4 仲裁庭可在咨询当事人后，以其成员认为适当的任何方式进行合议。 22.1 仲裁地应根据当事人的协议确定。如无此协议，DIS应考虑到所有相关情况确定仲裁地。 22.2 仲裁庭可在咨询当事人后，在其认为适当的任何地点进行庭审，无论仲裁地为何。仲裁庭也可在认为适当的任何地点查验争议标的物、举行会议以及听取证人和专家的意见。 23.1 仲裁使用的一种或多种语言应根据当事人的协议确定。如无此协议，仲裁庭应考虑到仲裁协议的语言和任何其他相关情况确定。 24.1 仲裁庭应根据当事人选择或书面约定的法律规则裁决争议。如无此选择或约定，仲裁庭应适用其认为适当的法律规则。 24.2 只有在当事人明确授权的情况下，仲裁庭才能作为友好调停人裁决或依衡平法裁决。 24.3 在所有情况下，仲裁庭均应按照合同条款（如有）裁决，并应考虑到适用于该交易的任何商业惯例。 25.1 经一方当事人请求，仲裁庭可采取其认为必要或适当的任何临时措施。仲裁庭可命令请求方就此等措施提供适当的担保。 25.2 一方当事人向任何司法当局提出的临时措施请求不应被视为与仲裁协议不相容，或被视为放弃仲裁的权利。 25.3 仲裁庭尤其可命令保全、保管、出售或以其他方式处置任何证据或作为争议标的物的任何财产或资产。 26.1 仲裁庭可在程序进行期间随时邀请当事人在全部或部分争议或其中任何问题上，按照仲裁庭可能建议的条款进行和解。仲裁庭仅在考虑到案件的情况和当事人的意愿认为适当时方可如此行事。 26.2 仲裁庭不得担任调解员，除非当事人明确授权仲裁庭如此行事并就仲裁庭行事的具体方式达成一致。 27.1 仲裁庭应尽最大努力以高效的方式进行程序，同时考虑到案件的复杂程度和程序的费用。 27.2 在程序的早期阶段，仲裁庭应为程序进行准备一份暂定时间表。 27.3 仲裁庭可要求当事人协调提交其建议采取的程序步骤的时间表。 28.1 每方当事人应为其主张和抗辩所依据的事实提供证明。 28.2 仲裁庭可经一方当事人请求或自行决定，指定一名或多名专家，就仲裁庭确定的特定问题作出报告。仲裁庭应将指定专家的通知发送给各方当事人。 28.3 当事人应向专家提供其可能需要的所有信息，并提供专家可能需要的所有文件和其他材料。仲裁庭应就此方面当事人和专家之间的任何争议作出决定。 28.4 专家应在收到当事人提供的信息和文件后，准备一份专家报告并提交给仲裁庭和各方当事人。 28.5 仲裁庭在收到专家报告后，应将其副本发送给各方当事人，并给予他们机会就专家报告提交书面或口头评论。 29.1 仲裁庭应为证人、专家提供证据和口头辩论举行庭审，除非当事人已同意不举行庭审。 29.2 仲裁庭应给予各方当事人任何庭审的充分提前通知。 29.3 如一方当事人提出请求，或仲裁庭认为适当，应准备庭审笔录。 29.4 仲裁庭可决定通过视频会议或其他技术手段听取证人和专家的意见。 30.1 如被申请人未能提交答辩书而未说明充分理由，仲裁庭仍可继续进行仲裁。 30.2 如一方当事人未能出庭或提供书面证据，仲裁庭仍可继续进行仲裁，并根据其面前的证据作出裁决。 31.1 仲裁庭在确信当事人已有合理机会陈述其主张后，应宣布程序终结。 31.2 如有必要，仲裁庭可在裁决作出之前的任何时候自行决定或经一方当事人申请重新开庭。 32.1 仲裁费用应根据费用表（附件2）确定。 32.2 仲裁庭应裁定仲裁费用。 33.1 仲裁庭应决定各方当事人之间仲裁费用的分担，包括第32条所指的费用。 33.2 仲裁庭应考虑到所有情况，包括： (i) 仲裁的结果； (ii) 当事人在程序进行中的行为； (iii) 一方当事人是否以高效的方式进行了程序。 34.1 仲裁员的费用和开支应根据费用表（附件2）确定。 35.1 仲裁庭应在与DIS协商后，确定当事人应为仲裁庭费用和开支支付的保证金金额并设定期限。 35.2 DIS可根据费用表（附件2）要求当事人预付费用。 36.1 保证金的计算基础和管理费应根据费用表（附件2）确定。 37.1 仲裁庭应在程序终结宣布后三个月内作出最终裁决，除非DIS设定了不同的期限。 37.2 在特殊情况下，DIS可延长期限。 38.1 通过同意根据本规则进行仲裁，当事人承诺毫不拖延地执行任何裁决。 38.2 裁决自作出之日起对当事人具有终局性和约束力。 39.1 除裁决外，裁决书还应包含： (i) 仲裁员的姓名； (ii) 程序进行的日期和地点； (iii) 当事人请求和待决问题的概要； (iv) 对案件的背景事实和程序的说明； (v) 裁决的理由； (vi) 关于仲裁费用的决定； (vii) 仲裁员的签名。 39.2 如任何仲裁员拒绝签署裁决书或无正当理由未能签署，裁决书应由多数仲裁员签署，但须说明省略签名的理由。 39.3 仲裁庭应将裁决书连同异议意见（如有）发送至DIS，以便转送各方当事人。 40.1 在收到裁决书后30天内，一方当事人可在通知对方当事人后，请求仲裁庭更正裁决书中的任何笔误、打印错误或类似错误。 40.2 仲裁庭可在裁决书日期后30天内自行决定更正裁决书。 40.3 对裁决书的更正应以书面形式作出，并应构成裁决书的一部分。第39条的规定应比照适用。 41.1 如当事人在程序进行期间达成和解，经其共同请求，仲裁庭可以和解协议的形式记录和解内容，作出和解裁决书。 41.2 和解裁决书应按照第39条的规定作出。 42.1 如申请人撤回其请求，仲裁庭应驳回程序，除非被申请人在仲裁庭设定的期限内提出反对。 42.2 如当事人未能推进程序或未能遵守任何程序规则或仲裁庭的命令，仲裁庭应驳回程序。 42.3 如因任何原因无法继续进行程序，仲裁庭应驳回程序。 42.4 仲裁庭在发现以下情况时应驳回程序： (i) 仲裁庭缺乏管辖权；或 (ii) 仲裁协议无效或不可执行。 42.5 如一方当事人未在DIS设定的期限内支付管理费或任何保证金，DIS可终止仲裁。DIS应将此事通知当事人和仲裁庭。 42.6 DIS可根据第5.4条、第7.6条或第7.7条终止仲裁。 42.7 仲裁庭应将驳回决定发送至DIS，以便转送各方当事人。 43.1 知道本规则的任何规定或本规则中提及的任何其他协议或决定未被遵守，而未能及时提出反对的当事人，应被视为已放弃提出反对的权利。 44.1 除非当事人另有书面约定，DIS、仲裁庭和当事人应维护仲裁和裁决的保密性。 44.2 DIS可公布有关仲裁进行情况的信息，但前提是不以姓名指明任何当事人，且此类信息不会使任何特定仲裁可被识别。 45.1 DIS、仲裁员、仲裁委员会成员、秘书长和DIS工作人员对与仲裁有关的任何作为或不作为不承担任何人的责任，但适用法律排除此种限制的范围除外。 45.2 当事人应就其通过仲裁程序对DIS造成的任何损害向DIS承担责任。 --- ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就世界知识产权组织仲裁与调解中心仲裁规则所作的评论。* **Fresa Li：** WIPO仲裁规则在知识产权和技术争议领域具有独特的专业化优势，这是其他综合性仲裁机构无法替代的。2021年版在保密机制方面的多层设计极具价值——第52至56条建立的分级保密框架，允许当事人根据商业敏感程度约定不同层级的保密要求，从程序保密、文件保密到裁决保密均可单独设定。这种精细化的保密分层，在技术许可和研发合作争议中尤为关键。我在代理一起涉及商业秘密的技术许可纠纷时，WIPO的保密机制使双方当事人愿意更坦诚地披露技术细节，有效促进了和解谈判。快速仲裁程序（第38至40条）在9个月内完成仲裁的效率，对技术密集型行业的商业节奏尤为契合。实务建议：涉及标准必要专利（SEP）许可费争议、技术秘密或研发合作纠纷，WIPO几乎是首选；但在涉及大额金钱给付义务（如许可费欠款）的执行效率上，其裁决在各国法院的承认执行路径需在争议发生前预先评估，因知识产权纠纷裁决的承认执行涉及各国知识产权法律制度的协调。WIPO推荐的仲裁员小时费率通常高于一般商业仲裁市场，建议在仲裁协议中约定费用上限。 --- **Dr. Frontie：** WIPO仲裁规则在全球仲裁制度中独树一帜：它是唯一专门为知识产权和技术争议设计的仲裁规则体系。第76条保密条款是WIPO规则的核心——仲裁中披露的所有信息均须保密，不得在仲裁之外使用。这一制度设计回应了知识产权争议的特殊需求：商业秘密和技术信息的泄露可能比争议本身造成更大损害。对DWAC而言，WIPO的保密制度具有直接启示：数字世界争议往往涉及Agent的训练数据、推理过程和内部参数——这些信息一旦泄露，可能影响Agent的商业价值。DWAC分层VC架构中L3封存层的设计理念与WIPO保密条款异曲同工：并非所有信息都需要公开，但需确保在争议时可以解锁。保密与问责的平衡，是AI仲裁规则必须回答的制度问题。 --- **Dr. Gochye：** 知识产权争议语境下的独特制度设计。Rule 52规定的紧急救济程序特别针对IP案件特性：临时禁令（temporary injunction）、证据保全（preservation of evidence）、技术资料扣押——这些措施在普通商事仲裁中较少出现，但在IP争议中至关重要。技术事实认定机制（Rule 19）：仲裁庭可指定专家就特定技术问题出具报告，专家报告制度比传统仲裁更为深入——因为IP争议往往涉及高度技术性的事实问题，WIPO的专家制度更强调仲裁庭对技术事实的"直接掌控"。调解深度嵌入仲裁规则：Rule 5要求仲裁庭在开庭前询问当事人是否愿意尝试调解；Rule 24(2)规定同意在仲裁庭协助下和解的当事人，视为放弃基于仲裁员参与和解讨论而对仲裁员公正性提出异议的权利。这一"仲裁-调解混合"（arbitration-mediation hybrid）制度在IP领域具有特殊价值。WIPO代表专业型仲裁机构（specialized arbitration institution）的制度范本。不追求规则全面覆盖，而是聚焦IP争议特殊需求——更像"专用工具"而非"瑞士军刀"。 --- **Dr. Venessa：** WIPO仲裁规则在程序正义维度建立了一套独特而完善的保护体系。2021年版规则第52条至第58条构建的保密制度，是国际仲裁规则中最全面的——它不仅保护仲裁实体信息，还延伸到程序性信息乃至仲裁本身的存在。这一设计在保障当事人商业秘密的同时，也引发了一个值得探讨的正当程序问题：过度保密是否会损害仲裁的公共责任和裁决的可审查性？第47条（证据规则）给予仲裁庭采纳证据的广泛裁量权，第48条（专家）为科学证据的审查提供了详细的程序框架。WIPO规则在处理技术争议的程序公平性方面走在了规则发展的最前沿。 --- **灵犀：** WIPO 2021年仲裁规则在数字仲裁领域是技术融合的典范。WIPO的eADR平台是国际仲裁领域技术集成度最高的在线案件管理系统——支持在线立案、电子文件交换、安全视频庭审、电子签署和裁决管理，其功能覆盖了仲裁全流程。从数字仲裁规则发展的角度看，WIPO规则第60条（电子签名）对电子签署的法律效力的明确认定，为仲裁数字化的法律基础提供了权威规则样本。WIPO在AI辅助知识产权争议解决方面的探索——如自动化的专利权利要求分析和商标近似度判定——代表了AI在专业仲裁领域的高级应用方向。对于DWAC而言，WIPO的技术-法律融合模式是最值得系统研究的制度范本。 --- ------------------------------------------------------------ ## 第八章：常设仲裁院 ## Chapter 8: PCA Permanent Court of Arbitration ### 机构简介 ## About the Permanent Court of Arbitration (PCA) The Permanent Court of Arbitration (PCA) is an intergovernmental organization established in 1899 by the Hague Convention for the Pacific Settlement of International Disputes. Headquartered at the Peace Palace in The Hague, the Netherlands, the PCA is the oldest international arbitral institution in the world. The PCA provides dispute resolution services for states, state-controlled entities, intergovernmental organizations, and private parties. It serves as the appointing authority and registry for arbitrations conducted under its own rules, the UNCITRAL Arbitration Rules, and other procedural frameworks. The PCA is unique among arbitral institutions in its composition and mission. Its Members are states that are parties to the 1899 or 1907 Hague Conventions, and the PCA Secretary-General serves as the default appointing authority. The institution maintains a roster of potential arbitrators drawn from across its member states. The PCA Arbitration Rules (2012) are designed specifically for disputes involving at least one State, State-controlled entity, or intergovernmental organization, while remaining available for use by any parties who agree to employ them. The Rules incorporate the 2010 UNCITRAL Arbitration Rules as their foundation, with modifications to reflect the special considerations arising in public international law contexts. The 2024 Optional Protocols add provisions for Emergency Interim Measures, Expedited Procedure, and Scrutiny of Awards. **【中文翻译】** 常设仲裁法院（PCA）是由1899年《海牙和平解决国际争端公约》设立的国际政府间组织，总部位于荷兰海牙和平宫，是世界上最古老的国际仲裁机构。 PCA为国家、国家控制实体、政府间组织和私人当事人提供争议解决服务。作为指定机构和管理机构，PCA依据其自身的规则、《联合国国际贸易法委员会仲裁规则》和其他程序框架管理仲裁。 PCA在组成和使命方面与其他仲裁机构不同。其成员是1899年或1907年《海牙公约》的缔约国，PCA秘书长担任默认指定机构。该机构维护一份由各成员国仲裁员候选人组成的名单。 2012年《PCA仲裁规则》专门为涉及至少一个国家、国家控制实体或政府间组织的争议设计，同时也可供同意使用这些规则的任何当事人使用。这些规则以2010年《联合国国际贸易法委员会仲裁规则》为基础，并作了修改，以反映公共国际法背景下可能出现的特殊考量。2024年任择议定书增加了关于紧急临时措施、快速程序和裁决审查的规定。 ### 仲裁规则（中文） 1. 凡国家、国家控制实体或政府间组织已与一个或多个国家、国家控制实体、政府间组织或私人当事人约定，就某一特定法律关系（无论是合同性、条约性还是其他性质）而产生的争议应根据《常设仲裁法院2012年仲裁规则》（以下简称"本规则"）提交仲裁，则此类争议应按照本规则解决，但须遵守当事人可能同意的修改。 2. 国家、国家控制实体或政府间组织同意与非国家、非国家控制实体或非政府间组织的当事人根据本规则进行仲裁，即构成对该当事人就相关争议程序本可享有的任何管辖豁免权的放弃。关于执行仲裁裁决的豁免权放弃必须明示。 3. 海牙常设仲裁法院国际事务局（以下简称"国际事务局"）应作为程序的管理机构并提供秘书服务。 4. 在所有当事人均已同意根据本规则解决争议的情况下，争议一方至少有一个国家、国家控制实体或政府间组织的参与并非管辖权所必需。然而，在常设仲裁法院秘书长确定没有国家、国家控制实体或政府间组织是争议一方的情况下，秘书长可决定将常设仲裁法院在程序中的作用限制为秘书长作为指定机构的职能，而由仲裁庭承担本规则中国际事务局的作用。 1. 通知，包括通知、通信或提议，可通过任何能提供或允许保存传输记录的通信方式发送。 2. 如一方当事人专门为此目的指定了地址或经仲裁庭授权，任何通知均应送达该方当事人的该地址，如已如此送达，应视为已收到。电子方式（如传真或电子邮件）的送达只能送至如此指定或授权的地址。 3. 在没有如此指定或授权的情况下，通知： (a) 如实际送达收件人，则视为已收到；或 (b) 如送达收件人的营业地、惯常居所或通讯地址，则视为已收到。 4. 如经合理努力后仍无法根据第2款或第3款完成送达，则通知在以挂号信或任何其他能提供送达或试图送达记录的的方式发送至收件人最后已知的营业地、惯常居所或通讯地址时，视为已收到。 5. 通知在根据第2款、第3款或第4款送达或根据第4款试图送达之日视为已收到。电子方式发送的通知在发送之日视为已收到，但如此发送的仲裁通知仅在到达收件人电子地址之日视为已收到。 6. 就本规则计算期限而言，期限应从收到通知之日的次日开始计算。如期限的最后一天在收件人居住地或营业地为法定假日或非营业日，则期限顺延至随后第一个营业日。期限进行期间适逢的法定假日或非营业日应计入期限计算。 1. 启动仲裁的一方或多方当事人（以下简称"申请人"）应向对方当事人或多方当事人（以下简称"被申请人"）及国际事务局发送仲裁通知。 2. 仲裁程序自被申请人收到仲裁通知之日起视为开始。 3. 仲裁通知应包含以下内容： (a) 将争议提交仲裁的要求； (b) 各方当事人的姓名和联系方式； (c) 所援引的仲裁协议的识别； (d) 争议所产生或与之相关的任何规则、决定、协议、合同、公约、条约、组织或机构章程文件或关系的识别； (e) 主张的简要说明和所涉金额（如有）； (f) 请求的救济或补救； (g) 关于仲裁员人数、语言和仲裁地的建议，如当事人此前未就此达成协议。 4. 仲裁通知也可包含： (a) 关于第8条第1款所述独任仲裁员任命的建议； (b) 关于第9条或第10条所述仲裁员任命的通知。 5. 仲裁庭的组成不得因关于仲裁通知充分性的任何争议而受阻，该争议应由仲裁庭最终解决。 1. 被申请人应在收到仲裁通知后30天内，或在国际事务局设定的其他期限内，向申请人和国际事务局提交对仲裁通知的答复，答复应包括： (a) 每位被申请人的姓名和联系方式； (b) 对仲裁通知中第3条第3款第(c)项至第(g)项所列信息的回应。 2. 对仲裁通知的答复也可包括： (a) 关于依本规则组成的仲裁庭缺乏管辖权的任何抗辩； (b) 关于第8条第1款所述独任仲裁员任命的建议； (c) 关于第9条或第10条所述仲裁员任命的通知； (d) 如有反请求或用于抵销的请求，简要说明，包括相关情况下的所涉金额以及请求的救济或补救； (e) 如被申请人向仲裁协议当事人中除申请人外的当事人提出请求，则按第3条发出仲裁通知。 3. 仲裁庭的组成不得因被申请人未能提交对仲裁通知的答复或提交不完整或迟延的答复而产生任何争议而受阻，该争议应由仲裁庭最终解决。 1. 在仅涉及国家和/或政府间组织的争议中，各方当事人应指定一名代理人。各方当事人也可由其选择的人员协助。 2. 在本规则管辖的其他争议中，各方当事人可由其选择的人员代表或协助。 3. 代理人、当事人代表和协助当事人的其他人员的姓名和地址必须传达给所有各方当事人、国际事务局和仲裁庭。此类通讯必须说明该指定是为了代理还是协助的目的。在某人将作为一方当事人的代理人或代表行事的情况下，仲裁庭可随时自行决定或经任何当事人请求，要求提供以仲裁庭可能确定的形式授予该代理人或代表权力的证明。 1. 常设仲裁法院秘书长应担任指定机构。 2. 指定机构在行使本规则下的职能时，可要求任何当事人和仲裁员提供其认为必要的信息，并应给予当事人和适当时的仲裁员以任何其认为适当的方式陈述意见的机会。 3. 指定机构应考虑可能确保任命独立公正仲裁员的因素，并应考虑到任命与各方当事人国籍不同的仲裁员的可取性。 1. 如当事人此前未就仲裁员人数达成协议，且在被申请人收到仲裁通知后30天内各方当事人未就仲裁员人数达成协议，应指定三名仲裁员。 2. 尽管有第1款规定，如在第1款规定的期限内没有其他当事人响应一方当事人关于指定独任仲裁员的建议，且相关当事人未能根据第9条或第10条指定第二名仲裁员，指定机构可经一方当事人请求，在确定鉴于案件情况这更为适当的情况下，按照第8条第2款规定的程序指定一名独任仲裁员。 1. 如当事人已同意指定一名独任仲裁员，且在所有其他当事人收到将担任独任仲裁员的人选建议后30天内各方当事人未能就此达成协议，应经一方当事人请求，由指定机构指定一名独任仲裁员。 2. 指定机构应尽快指定独任仲裁员。在进行指定时，指定机构应使用以下名单程序，除非当事人同意不使用名单程序，或指定机构自行决定使用名单程序对该案件不适当： (a) 指定机构应向各当事人发送一份包含至少三个姓名的相同名单； (b) 在收到该名单后15天内，或在国际事务局设定的其他期限内，各当事人可在删除其反对的姓名并将名单上剩余姓名按其偏好顺序编号后，在不抄送对方当事人的情况下将名单退还指定机构； (c) 上述期限届满后，指定机构应根据退回名单上经批准的姓名并按照各方当事人表明的偏好顺序指定独任仲裁员； (d) 如因任何原因无法按照本程序进行指定，指定机构可自行决定指定独任仲裁员。 1. 如需指定三名仲裁员，各方当事人应各指定一名仲裁员。如此指定的两位仲裁员应选出将担任仲裁庭首席仲裁员的第三名仲裁员。如需指定五名仲裁员，两名当事人指定的仲裁员应选出剩余三名仲裁员，并指定其中一名担任仲裁庭的首席仲裁员。 2. 如在收到一方当事人关于指定仲裁员的通知后30天内对方当事人未向其通知其指定的仲裁员，第一方当事人可请求指定机构指定第二名仲裁员。 3. 如在第二名仲裁员指定后30天内或在国际事务局设定的其他期限内，两位仲裁员未能就剩余仲裁员和/或首席仲裁员的人选达成一致，剩余仲裁员和/或首席仲裁员应由指定机构按照第8条第2款关于指定独任仲裁员的相同方式指定。 1. 就第9条第1款而言，在需要指定三名或五名仲裁员且存在多方申请人或多方被申请人的情况下，除非当事人已同意另一种指定仲裁员的方法，否则多方当事人应共同（无论作为申请人还是被申请人）指定一名仲裁员。 2. 如当事人已同意仲裁庭由一名、三名或五名以外人数的仲裁员组成，仲裁员应按照当事人约定的方法指定。 3. 在根据本规则组成仲裁庭出现任何失败的情况下，指定机构应经任何一方当事人请求组成仲裁庭，并可在此过程中撤销已作出的任何指定，任命每位仲裁员并指定其中一人担任首席仲裁员。指定机构如认为适当，可重新任命先前的被指定人。 4. 根据本规则指定仲裁员时，各方当事人和指定机构可自由选择不是常设仲裁法院成员的人选。 1. 当一人被接触可能被指定为仲裁员时，其应披露任何可能引起对其公正性或独立性产生合理怀疑的情况。仲裁员从其被指定之时起并在整个仲裁程序进行期间，应毫不迟延地向当事人和对方仲裁员披露任何此类情况，除非他们已被该人告知这些情况。 2. 第1款要求的披露应通过向当事人、对方仲裁员和国际事务局发送书面声明的方式进行。 1. 如存在引起对仲裁员公正性或独立性产生合理怀疑的情况，可对该仲裁员提出异议。 2. 一方当事人仅可就其在指定之后才得知的理由对其指定的仲裁员提出异议。 3. 在仲裁员未能行事或法律上或事实上不可能履行其职责的情况下，应适用第13条规定的异议程序。 1. 有意对仲裁员提出异议的当事人应在被提出异议的仲裁员被通知给提出异议的当事人之后15天内，或在该当事人知悉引起异议的情况之后（以较晚者为准），发送异议通知。 2. 异议通知应提交给国际事务局并发送给其他当事人、被提出异议的仲裁员和其他仲裁员。异议通知应说明异议的理由。 3. 当仲裁员被一方当事人提出异议后，国际事务局应将此异议通知所有其他当事人。在此通知后15天内，任何此类当事人可同意该异议或向国际事务局提交答辩状。任何当事人均无义务说明其同意或拒绝异议的理由。 4. 如所有其他当事人同意异议，应撤销该仲裁员并按照第8条至第10条规定的程序指定一名替代仲裁员。如被提出异议的仲裁员辞任，这不影响提出异议的当事人继续进行其异议的权利。在这两种情况下，仲裁程序应中止，直至指定了一名替代仲裁员。中止仲裁程序不影响仲裁庭继续进行程序的权力。 5. 如任何当事人不同意异议，提出异议的当事人可将此事项提交指定机构决定。指定机构对异议的决定应为终局。 1. 如仲裁员辞任，或各方当事人同意终止仲裁员的授权，或仲裁员的授权以其他方式终止，应更换仲裁员。 2. 如仲裁员被更换，程序应在仲裁员出缺时达到的阶段恢复进行，除非仲裁庭另有决定。 3. 替代仲裁员应按照第8条至第10条规定的程序指定，程序应从出缺之时或仲裁庭决定恢复程序之时已达到的阶段恢复进行。 4. 如独任仲裁员被更换，程序应在出缺时已达到的阶段恢复进行，除非当事人另有约定。 1. 如仲裁员被更换，新仲裁员应决定是否重复任何先前的庭审。如新仲裁员决定重复先前的庭审，重复庭审应在新仲裁员确定的期限内进行。 2. 如新仲裁员决定不重复先前的庭审，新仲裁员应在咨询当事人后确定需要何种进一步程序（如有）。 1. 秘书长或国际事务局的任何成员或任何仲裁员均不对任何人与根据本规则进行的任何仲裁有关的任何作为或不作为对任何人承担责任，除非适用法律排除此种责任限制。 2. 前款规定不影响当事人在适用法律下的任何责任。 1. 在遵守本规则的前提下，仲裁庭可以其认为适当的方式进行仲裁，但须平等对待各方当事人，并在程序适当阶段给予每方当事人合理的机会陈述其案件。 2. 仲裁庭组成后，应尽快将其打算遵循的一般程序通知当事人，包括是否打算采用任何高效管理和解决争议的技术，如案件管理会议、程序时间表或文件出示。仲裁庭应就此类一般程序与当事人协商，并据此受当事人就此事项达成的任何协议的指导。 3. 仲裁庭应在组成后合理时间内确定程序令，或在无程序令的情况下界定其与仲裁有关的任务和职责。程序令应包含待决问题清单，或此类界定应包含待决问题清单，并应传达给当事人和国际事务局。 1. 当事人可约定仲裁地。未达成此协议的，仲裁地应由仲裁庭考虑到所有相关情况后确定。 2. 除非当事人另有约定，仲裁庭可在其认为适当的任何地点举行庭审、评议或查验货物、其他财产或文件。仲裁庭应给予当事人关于此类会议的充分通知。 1. 在遵守当事人任何协议的前提下，仲裁庭应确定程序中使用的语言或多种语言。此种确定应适用于诉状和答辩状、任何庭审，以及如仲裁庭认为适当，适用于程序中的任何其他提交文件。 2. 仲裁庭可命令以其他语言提交的任何文件应附有按所确定语言或多种语言翻译的译本。 1. 在仲裁庭确定的期限内，申请人应向仲裁庭和其他当事人提交一份诉状，内容包括： (a) 各方当事人的姓名和地址； (b) 引起争议的情况说明； (c) 请求的说明和法律依据，或支持每项请求的事实和法律声明；和 (d) 请求的救济或补救。 2. 申请人应在诉状中附上其所依据的所有文件，或提交此类文件的清单。 1. 在仲裁庭确定的期限内，被申请人应向仲裁庭和其他当事人提交一份答辩状，内容包括： (a) 被申请人的姓名和地址； (b) 对申请人每项请求、事实和法律依据的回应声明，或支持每项抗辩的事实和法律声明； (c) 任何反请求或抵销，连同被申请人所依据的文件和信息；和 (d) 关于任何反请求所寻求的救济或补救。 2. 被申请人应在答辩状中附上其所依据的所有文件，或提交此类文件的清单。 1. 在仲裁程序进行期间，一方当事人可修改或补充其请求或抗辩，包括任何反请求或抵销，除非仲裁庭考虑到提出修改的延误或给对方当事人造成的损害或任何其他相关情况，认为不允许此类修改是不适当的。如仲裁庭认为反请求超出仲裁协议的范围，则不得提出反请求。 2. 任何当事人均不受其对请求或抗辩所作修改或补充的约束，除非其他当事人接受或仲裁庭批准。 1. 仲裁庭应有权就其自身的管辖权作出裁定，包括关于仲裁协议存在或有效性的任何异议。为此，构成合同一部分的仲裁条款应被视为独立于合同其他条款的协议。仲裁庭关于合同无效的决定不应必然导致仲裁条款无效。 2. 关于仲裁庭无管辖权的抗辩应在答辩状中提出，或就反请求或抵销而言，应在对反请求的答辩中提出。一方当事人不得因其已指定或参与指定仲裁员而被阻止提出此类抗辩。关于仲裁庭超出其权限范围的抗辩应在仲裁庭表示其有意就仲裁协议未涵盖的事项作出决定后迅速提出，或在仲裁庭就该事项继续行事后（如适用）迅速提出。 3. 对于第2款所述的抗辩，仲裁庭可基于当事人提交的文件或经听审当事人后，作为先决问题对抗辩作出裁定，或将此抗辩与案件实体问题合并审理。尽管对仲裁庭管辖权的挑战仍在审理中，仲裁庭可继续仲裁程序并作出裁决。 1. 仲裁庭应决定除诉状和答辩状外，还要求当事人提交或可由当事人提交哪些进一步书面陈述，并应确定提交此类陈述的期限。 2. 为提交书面陈述确定的期限不应超过45天。但是，如仲裁庭认为延长该期限是正当的，可予以延长。 1. 仲裁庭为提交书面陈述（包括诉状和答辩状）确定的期限，经当事人协议或仲裁庭认为延长正当，可予以延长。 2. 仲裁庭可指示在对任何反请求的答辩和对任何答辩的答复应在固定期限内提交。 1. 经一方当事人请求，仲裁庭可根据适用法律授予临时措施。 2. 临时措施应以决定的形式作出。仲裁庭有权命令当事人在其命令的措施方面提供适当的担保。 3. 一方当事人向任何司法当局提出的临时措施请求不应被视为与仲裁协议不相容，或被视为对该协议的放弃。此类请求也不应被视为放弃仲裁庭下令适当临时措施的权利。 4. 仲裁庭可命令保全、保管、出售或以其他方式处置作为争议标的物的任何财产或资产。 1. 每方当事人应承担为其请求或抗辩所依据的事实提供证据的责任。 2. 由一方当事人提交向仲裁庭作证的证人，包括专家证人，应由仲裁庭听取。仲裁庭也可在当事人同意的情况下听取非任何一方当事人提交的证人的证言。 3. 当事人可约定，或仲裁庭可命令，证人（包括专家证人）通过证言、交叉询问或其他方法进行询问。 4. 仲裁庭可指示证人（包括专家证人）的证言以书面形式提交，即签名声明或宣誓证词。 5. 在遵守当事人约定的或仲裁庭命令的任何限制的前提下，一方当事人向另一方当事人提供的所有文件、记录和其他材料应提供给另一方当事人。 6. 仲裁庭应确定所提供证据的可采性、相关性、重要性和证明力。 1. 如将举行口头庭审，仲裁庭应给予各方当事人关于任何此类庭审的日期、时间和地点的充分提前通知。 2. 证人和专家可在庭审中作证，并根据仲裁庭的监督，分别接受询问、交叉询问或再次询问。 3. 庭审应不公开进行，除非当事人另有约定。 4. 仲裁庭有权要求当事人在仲裁庭确定的期限内提供文件、展品或其他证据。 1. 在咨询当事人后，仲裁庭可指定一名或多名独立专家，就仲裁庭指定的特定问题向其报告。 2. 专家在收到仲裁庭要求的信息和文件后，应在其报告中包含关于提交给他的问题的调查结果和结论的声明，以及所用专业知识和方法的声明。 3. 专家报告的副本应转发给各方当事人，各方当事人应有机会就报告陈述意见。 4. 仲裁庭在收到专家报告后，经一方当事人请求，应给该方当事人在庭审中询问专家的机会。在此类庭审中，当事人可提交专家证人就实体问题作证。 1. 如申请人未能按照第20条提交诉状，仲裁庭应终止程序。 2. 如被申请人未能按照第21条提交答辩状，仲裁庭应命令程序继续进行。 3. 如一方当事人未能出庭或提供书面证据，仲裁庭可继续程序并根据其面前的证据作出裁决。 1. 当确信当事人已有合理机会陈述其案件时，仲裁庭应宣布程序终结。 2. 仲裁庭可在裁决作出之前的任何时候，如其认为必要时，可自行决定或经一方当事人申请，重新开庭。 1. 知道本规则任何规定或仲裁协议下的任何要求未被遵守，而未能迅速对此类不合规情况提出反对的当事人，应被视为已放弃其提出反对的权利。 1. 如有一名以上仲裁员，仲裁庭的任何决定应以多数仲裁员的意见作出。如任何仲裁员因任何原因拒绝参与决定，多数仲裁员可在给予拒绝参与的仲裁员合理通知和参与机会的情况下继续进行并就该事项作出决定。 2. 对于程序问题，在没有多数意见或仲裁由独任仲裁员进行的情况下，首席仲裁员可在获得仲裁庭授权的情况下就此类程序问题作出决定，或在未获得此类授权的情况下，在与对方仲裁员协商后作出决定。 1. 裁决应以书面形式作出，并应说明所依据的理由，除非当事人已同意不说明理由。 2. 裁决应按照第18条说明仲裁日期和地点。 3. 裁决应由仲裁员签署，并应包含关于法定人数的声明。 4. 如任何仲裁员拒绝签署裁决，多数仲裁员的签名即应足够，并应说明未签名的理由。 5. 裁决应通过挂号信或快递发送副本，或通过任何其他能提供送达或试图送达记录的方式，向每方当事人送达。各副本也应由国际事务局转发给当事人。 6. 通过同意根据本规则进行仲裁，当事人承诺毫不拖延地执行任何裁决。 7. 裁决自作出之日起对当事人具有终局性和约束力。 1. 仲裁庭应适用当事人指定适用于争议实体的法律规则。当事人未作此指定的，仲裁庭应适用其认为适当的法律规则。 2. 只有在当事人明确授权的情况下，仲裁庭才能作为友好调停人裁决。 3. 只有在当事人明确授权的情况下，仲裁庭才能依衡平法裁决。 4. 在所有情况下，仲裁庭均应按照合同条款（如有）裁决，并应考虑到适用于该交易的任何商业惯例。 1. 如当事人在裁决作出之前达成和解，仲裁庭应发出终止仲裁程序的命令，或如经当事人请求且仲裁庭接受，记录以和解裁决书形式的和解内容。 2. 如因任何原因继续仲裁程序变得不必要或不可能，仲裁庭应将其发出程序终止命令的意向通知当事人。仲裁庭有权发出此类命令，除非一方当事人提出正当的反对理由。 3. 终止命令或和解裁决书应由仲裁庭发出，并应说明终止的情况。 4. 和解裁决书应按照第34条的规定作出。 1. 在收到裁决后30天内，任何一方当事人可在通知对方当事人后，请求仲裁庭对裁决作出解释。 2. 解释应在收到请求后45天内以书面形式作出。解释应构成裁决的一部分。 1. 在收到裁决后30天内，任何一方当事人可在通知对方当事人后，请求仲裁庭更正裁决书中的任何笔误、打印错误或类似错误。 2. 仲裁庭可在裁决日期后30天内自行决定更正裁决书。 3. 此类更正应以书面形式作出，并应构成裁决的一部分。第34条第4款至第6款的规定应予适用。 1. 在收到裁决后30天内，任何一方当事人可在通知对方当事人后，请求仲裁庭就程序中提出但在裁决中未决的请求或反请求作出追加裁决。 2. 如仲裁庭认为追加裁决的请求是正当的，应在收到请求后60天内完成追加裁决的工作。 3. 追加裁决应按照第34条的规定作出。 1. 仲裁庭应在裁决中确定仲裁费用。 2. "费用"一词仅包括： (a) 仲裁庭的费用，应分别由指定机构或直接由当事人单独确定； (b) 仲裁员产生的合理旅费和其他开支； (c) 专家咨询和仲裁庭要求的其他协助的合理费用； (d) 证人的合理旅费和其他开支，以仲裁庭批准者为限； (e) 胜诉方法律代理和协助的合理费用，如这些费用在仲裁中已被提出请求且仲裁庭确定其为合理的； (f) 指定机构的任何费用和开支。 1. 每位仲裁员均有权请求支付由指定机构确定的费用表（如有）规定的费用和开支，或当事人可能约定的费用表，或在无此协议的情况下，由仲裁庭确定的费用表所规定的费用和开支。 2. 如指定机构确定仲裁员的费用和开支，应适用仲裁开始之日有效的费用表。 1. 仲裁费用原则上应由败诉方承担。但是，仲裁庭如考虑到案件情况认为分摊是合理的，可决定由当事人分摊此类费用。 2. 仲裁庭可自行决定由当事人分摊仲裁费用，如其确定此类分摊是合理的。在行使此类裁量权时，仲裁庭可考虑到其认为相关的因素，包括当事人进行仲裁的方式。 3. 关于第40条第2款第(e)项所述的法律代理和协助费用，仲裁庭在根据第1款和第2款行使其裁量权时，可考虑到仲裁的结果和当事人的行为。 1. 仲裁庭可要求当事人预付相同金额以支付第40条第2款第(a)项至第(d)项所述的费用。 2. 如事项尚未达到可要求预付的阶段，仲裁庭应在适当时候请求预付。 3. 仲裁庭可随着程序的进行要求当事人追加预付金额。 4. 如未在收到请求后15天内支付预付金额，仲裁庭应将此情况通知当事人，以便其中一方或另一方支付所需款项。 5. 如双方当事人均未支付所需款项，仲裁庭可命令中止或终止仲裁。 --- ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就常设仲裁院仲裁规则所作的评论。* **Fresa Li：** PCA仲裁规则基于《联合国国际贸易法委员会仲裁规则》的优化版本，是国际仲裁体系中历史最悠久、代表性最广的机构规则，也是处理国家间争议和投资者-国家争议的权威框架。2012年版和2024年可选议定书共同构成了国家间争议解决的基础规则体系。我在参与某跨境基础设施投资仲裁时体会到，PCA仲裁对程序策略的精细度要求远高于一般机构仲裁——PCA秘书处的定位是行政支持而非程序管理，当事人须主动推进程序，不能依赖秘书处的管理引导，这对代理律师的专业能力提出了更高要求。2024年可选议定书关于公开听证和裁决摘要发布的透明度规则，是国际仲裁正当性改革的重要进展，但当事方在约定适用时应评估对争议策略的潜在影响。PCA在海洋法、环境法和国际公法争议中的专业积累，使其在涉及国家主权的复杂争议中具有不可替代的权威性。实务建议：涉及国家或国有企业为一方当事人的长期基础设施投资，应在投资协议中预先设计包含PCA条款的争议解决路径，同时约定详细的程序时间表以弥补PCA缺乏机构管理的不足。 --- **Dr. Frontie：** PCA仲裁规则的特殊性在于其适用范围——至少一方为国家和/或政府间组织的争议。2024年版规则基于2010年UNCITRAL仲裁规则制定，但增加了专门针对国家间争议的程序安排。从制度创新视角看，PCA规则最重要的贡献是"名单程序"（list procedure）：指定机构向各方发送包含至少三名候选人的相同名单，各方依次划去反对人选。这一程序设计的精妙之处在于：它通过限制选择范围来降低博弈成本，同时保留了当事人对仲裁员组成的实质影响力。DWAC在Agent-Arbitrator指派程序中可借鉴这一思路：不是完全自由选择（可能导致策略性挑选），也不是完全机构指定（可能缺乏当事人认同），而是在认证合格的Agent名单内进行限定选择。 --- **Dr. Gochye：** PCA仲裁规则在国家与国家间争议及国家与私人当事人争议语境下展现独特制度逻辑。Article 23规定仲裁庭有权裁定其自身管辖权，但在涉及国家豁免（state immunity）等议题时实践更为复杂——国家作为当事人的特殊地位可能影响仲裁协议效力认定。"国际事务局"（International Bureau）制度：不仅承担行政管理职能，还在仲裁员指定、文件传递等环节发挥枢纽作用。在某些情况下可代替仲裁庭作出程序性决定——Article 7(2)允许秘书长在特殊情况下延长时限。主权平等原则的体现（Articles 8-10）：在多方当事人的仲裁中，多方申请人应"共同指定一名仲裁员"，多方被申请人亦然。"阵营指定"（bloc nomination）机制：确保每一方主权者——无论是申请人阵营还是被申请人阵营——都拥有同等的程序权力，防止一方通过反复追加当事人或变更请求获得程序优势。第10(4)条明确当事人可自由选择非PCA成员名单上的人士担任仲裁员——与某些机构对仲裁员名册的依赖形成对比。PCA代表国际公法仲裁（public international law arbitration）的制度范式。规则设计不仅要考虑程序效率，更要回应主权者仲裁的特殊政治和外交考量。 --- **Dr. Venessa：** PCA仲裁规则在程序正义维度面临着独特的挑战——作为处理国家间争议的仲裁制度，其程序设计必须同时考虑到主权平等原则和程序效率需求。2012年版规则第15条（仲裁庭的一般权力）在赋予仲裁庭程序管理权的同时，受到国家主权原则的刚性约束。2024年可选议定书第2条（非争议方陈述）第3条（公开听证）将透明度原则制度化为程序权利的组成部分，这是在公法维度上对程序正义观念的拓展。但PCA规则对国家秘密和敏感信息的保护机制仍然不够充分——第5条（保密信息保护）仅提供了原则性指导，在涉及国家安全信息的案件中可能不足以保障争议双方的程序权利均衡。 --- **灵犀：** PCA仲裁规则的数字化适应性分析必须考虑其作为国家间争议解决机制的特殊性。2012年版规则第3条（通知）的纸面时代思维在当前数字环境下显得滞后——虽然实践中已普遍采用电子通信，但规则文本缺乏对电子送达和数字证据的明确规定。2024年可选议定书第7条（电子通信）首次以规则形式确认了PCA程序中使用电子通信方式，这是一个积极但有限的进步。对于DWAC的研究而言，PCA规则的数字化转型挑战反而提供了有价值的「反向案例」——不宜直接将国家间仲裁的数字化方案移植到商业数字仲裁中。DWAC可以设计一套从零开始的「数字原生」仲裁规则，而非在传统规则框架上打补丁。 --- ------------------------------------------------------------ ## 第九章：开罗区域国际商事仲裁中心 ## Chapter 9: CRCICA Cairo Regional Centre for International Commercial Arbitration ### 机构简介 ## About the Cairo Regional Centre for International Commercial Arbitration (CRCICA) The Cairo Regional Centre for International Commercial Arbitration (CRCICA) was established in 1979 under the auspices of the Asian-African Legal Consultative Committee (AALCC), making it one of the oldest arbitral institutions in the developing world. Located in Cairo, Egypt, CRCICA serves as the premier regional center for international commercial arbitration in Africa and the Middle East. CRCICA was established in response to the need for fair, inexpensive, and expeditious dispute resolution procedures for economic and commercial transactions involving parties from developing countries. The institution operates as an independent, non-profit organization governed by its own statutes and regulations. CRCICA provides comprehensive arbitration services, including institutional administration of arbitrations conducted under the UNCITRAL Arbitration Rules (as modified for CRCICA), facilities and support for ad hoc arbitrations, assistance with enforcement of arbitral awards, and training and education in international arbitration. The CRCICA Arbitration Rules (2022) incorporate the UNCITRAL Arbitration Rules as the basis for proceedings, with certain modifications and adaptations tailored to the needs of parties using the Centre. The Rules are available in English, French, and Arabic, reflecting the multilingual character of the region. **【中文翻译】** 开罗区域国际商业仲裁中心（CRCICA）于1979年在亚洲-非洲法律协商委员会（AALCC）的主持下成立，是发展中世界最古老的仲裁机构之一。CRCICA总部位于埃及开罗，是非洲和中东地区首屈一指的区域国际商业仲裁中心。 CRCICA的成立是为了满足涉及发展中国家当事人经济和商业交易的公平、经济和快速争议解决程序的需要。该机构作为独立非营利组织运作，由其自身的章程和条例管理。 CRCICA提供全面的仲裁服务，包括依据《联合国国际贸易法委员会仲裁规则》（经CRCICA修订版）进行的机构管理仲裁，为临时仲裁提供设施和支持，协助执行仲裁裁决，以及国际仲裁培训和教育。 2022年《CRCICA仲裁规则》以《联合国国际贸易法委员会仲裁规则》为程序基础，并作了针对使用该中心当事人的需要的某些修改和适应性调整。该规则有英文、法文和阿拉伯文版本，反映了该地区多语言的特点。 ### 仲裁规则（中文） 1.1 在本规则中： (a) "中心"指开罗区域国际商业仲裁中心； (b) "主任"指中心主任，包括代表其行事的任何官员； (c) "当事人"指仲裁当事方，包括已被追加为仲裁追加当事人的任何人； (d) "仲裁庭"指独任仲裁员或仲裁员小组（视情况而定）； (e) "申请人"指启动仲裁程序的当事人； (f) "被申请人"指仲裁中的另一方当事人； (g) "仲裁申请书"指申请人向中心提交的仲裁申请书。 2.1 本规则适用于在中心主持下的仲裁。 2.2 中心应根据本规则管理仲裁。 2.3 本规则应受当事人之间任何协议的约束。 3.1 申请人应以书面形式向被申请人和中心发送仲裁通知。 3.2 被申请人收到仲裁通知的日期应视为仲裁程序开始的日期。 3.3 仲裁通知应包含： (a) 各方当事人的姓名和地址； (b) 争议所产生或与之相关的合同或其他文书的参考； (c) 仲裁协议的参考； (d) 争议性质的声明和所涉金额的说明（如可量化）； (e) 请求的简要说明； (f) 请求的救济或补救； (g) 申请人关于仲裁员人数、资格以及仲裁地和仲裁语言的建议（如尚未达成协议）； (h) 申请人指定的仲裁员（如当事人已同意仲裁庭以这种方式组成）。 4.1 被申请人应在收到仲裁通知后30天内，以书面形式向申请人和中心发送对仲裁通知的答复。 4.2 答复应包含： (a) 被申请人的姓名和地址； (b) 对全部或部分请求的确认或否认； (c) 与争议相关的事实和法律的简要声明； (d) 任何反请求，连同所涉金额（如可量化）； (e) 被申请人关于仲裁员人数、资格以及仲裁地和仲裁语言的建议（如尚未达成协议）； (f) 被申请人指定的仲裁员（如当事人已同意仲裁庭以这种方式组成）。 5.1 仲裁员人数应根据当事人的协议确定。 5.2 如当事人未就仲裁员人数达成协议，中心应考虑到争议的复杂程度和金额确定人数。 6.1 在独任仲裁员的仲裁中，各方当事人应在申请人收到对仲裁通知的答复后30天内共同指定仲裁员。 6.2 如当事人在期限届满前未能指定独任仲裁员，中心应指定仲裁员。 6.3 在三人仲裁庭的仲裁中： (a) 各方当事人应各指定一名仲裁员； (b) 如此指定的两位仲裁员应指定第三名仲裁员，该仲裁员应为首席仲裁员； (c) 如一方当事人在期限届满前未能指定仲裁员，中心应指定仲裁员。 6.4 如两方当事人指定的仲裁员在第二名仲裁员被指定后30天内未能指定第三名仲裁员，中心应指定第三名仲裁员。 6.5 如有多名申请人或多名被申请人，多名申请人或多名被申请人应根据本条共同指定仲裁员。 7.1 每位仲裁员必须在整个仲裁程序中保持公正，独立于各方当事人。 7.2 每位仲裁员应在被指定后，以书面形式向当事人和中心披露任何可能引起对其公正性或独立性产生合理怀疑的情况。 7.3 仲裁员应向当事人和中心披露在仲裁程序进行期间出现的任何此类情况。 8.1 如存在引起对仲裁员公正性或独立性产生合理怀疑的情况，一方当事人可对该仲裁员提出异议。 8.2 有意对仲裁员提出异议的当事人应在知悉引起异议的情况后15天内向中心和对方当事人发送异议通知。 8.3 异议通知应为书面形式，并应说明异议的理由。 8.4 中心应在咨询相关仲裁员和对方当事人后对异议作出决定。 8.5 中心的决定应为终局。 9.1 仲裁员的授权在以下情况下终止： (a) 中心接受异议； (b) 仲裁员辞任； (c) 仲裁员死亡； (d) 中心决定仲裁员未能履行其职责。 9.2 如仲裁员被更换，程序应在出缺时已达到的阶段恢复进行，除非仲裁庭另有决定。 10.1 仲裁庭应以高效和节约成本的方式进行程序。 10.2 仲裁庭应平等对待各方当事人，并应给予每方当事人合理的机会陈述其案件。 10.3 仲裁庭应考虑到当事人的意见，确定应遵循的程序。 10.4 仲裁庭可为提交证据和口头辩论举行庭审。 11.1 在仲裁庭确定的期限内，申请人应提交诉状，内容包括： (a) 详细的事实陈述； (b) 支持每项请求的法律依据或论据的声明； (c) 请求的救济或补救。 11.2 在仲裁庭确定的期限内，被申请人应提交答辩状，内容包括： (a) 对诉状的详细抗辩声明； (b) 任何反请求，连同支持它的法律依据或论据； (c) 关于任何反请求所寻求的救济或补救。 11.3 每方当事人应将其所依据的所有文件附在其声明后。 12.1 每方当事人应为其请求或抗辩所依据的事实提供证明。 12.2 仲裁庭可命令当事人在其确定的期限内提供文件、展品或其他证据。 12.3 仲裁庭可指定专家就特定问题作出报告。 12.4 仲裁庭应确定证据的可采性、相关性、重要性和证明力。 13.1 如仲裁庭决定举行庭审，应给予各方当事人关于庭审日期、时间和地点的充分通知。 13.2 庭审应不公开进行，除非当事人另有约定。 13.3 仲裁庭可以其认为适当的任何方式记录庭审。 14.1 如申请人未能提交诉状，仲裁庭可命令终止程序。 14.2 如被申请人未能提交答辩状，仲裁庭应继续程序。 14.3 如一方当事人未能出庭或提供书面证据，仲裁庭可继续程序并根据其面前的证据作出裁决。 15.1 当确信当事人已有合理机会陈述其案件时，仲裁庭应宣布程序终结。 16.1 仲裁庭应在程序终结后合理时间内作出裁决。 16.2 中心可经仲裁庭请求或自行决定延长作出裁决的期限。 17.1 仲裁庭应以书面形式作出裁决。 17.2 裁决应说明所依据的理由，除非当事人已同意不说明理由。 17.3 裁决应说明仲裁的日期和地点。 17.4 裁决应由仲裁员签署。如有一名以上仲裁员且任何仲裁员拒绝签名，多数仲裁员的签名即应足够，但须说明省略签名的理由。 17.5 裁决应发送给当事人和中心。 17.6 裁决自作出之日起对当事人具有终局性和约束力。 17.7 通过同意根据本规则进行仲裁，当事人承诺毫不拖延地执行任何裁决。 18.1 在收到裁决后30天内，任何一方当事人可在通知对方当事人后，请求： (a) 对裁决作出解释； (b) 更正裁决中的任何笔误、打印错误或类似错误。 18.2 仲裁庭应在收到请求后30天内以书面形式作出解释或更正。 18.3 解释或更正应构成裁决的一部分。 19.1 在收到裁决后30天内，任何一方当事人可在通知对方当事人后，请求仲裁庭就程序中提出但在裁决中未决的请求作出追加裁决。 19.2 仲裁庭应在收到请求后60天内作出追加裁决。 20.1 如当事人在程序进行期间达成和解，经当事人请求，仲裁庭应终止程序。 20.2 如当事人请求，仲裁庭可以和解裁决书的形式记录和解内容。 21.1 仲裁费用应由中心按照仲裁开始时有效的费用表确定。 21.2 仲裁费用原则上应由败诉方承担。 21.3 仲裁庭如确定分摊是合理的，可决定由当事人分摊费用。 22.1 中心可要求当事人预付金额以支付仲裁费用。 22.2 如未支付所需的预付金额，中心可中止或终止仲裁。 23.1 知道本规则任何规定或任何约定的程序要求未被遵守，而未能迅速对此类不合规情况提出反对的当事人，应被视为已放弃其提出反对的权利。 24.1 中心、仲裁庭和当事人应维护仲裁的保密性。 24.2 中心可公布有关仲裁的信息，但前提是不以姓名指明任何当事人。 25.1 中心或任何仲裁员均不对任何人与根据本规则进行的任何仲裁有关的任何作为或不作为对任何人承担责任，除非适用法律排除此种责任限制。 26.1 仲裁地应根据当事人的协议确定。如无此协议，中心应确定仲裁地。 26.2 仲裁语言应根据当事人的协议确定。如无此协议，仲裁庭应确定语言。 27.1 仲裁庭应根据当事人选择或约定的法律规则裁决争议。 27.2 如无此选择或约定，仲裁庭应适用其认为适当的法律规则。 27.3 只有在当事人明确授权的情况下，仲裁庭才能作为友好调停人裁决。 28.1 经一方当事人请求，仲裁庭可根据适用法律授予临时措施。 28.2 仲裁庭可命令就此类措施提供适当的担保。 29.1 对于本规则未明文规定的所有事项，中心、仲裁庭和当事人应按照本规则的精神行事，并应尽一切努力确保裁决在法律上可执行。 ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就开罗区域国际商事仲裁中心仲裁规则所作的评论。* **Fresa Li：** CRCICA仲裁规则在非洲和中东地区的争议解决中扮演着日益重要的角色。2022年版的更新使其规则体系与国际主流标准进一步接轨，同时保留了服务非洲和中东当事人的本土化特色，是该区域最具代表性的仲裁机构。我在实务中注意到，其快速程序的适用门槛（争议金额不超过200万美元）设计务实，契合区域内大量中小型商业交易的争议体量。第17条关于仲裁庭组成的规定充分考虑了区域内仲裁员资源的实际情况，相较于要求全部从国际名册选任的机构，给予了仲裁庭组成更大的灵活性。CRCICA在多方仲裁和紧急仲裁员程序方面的完善，为复杂基础设施纠纷提供了更为完整的程序框架。在"一带一路"框架下，中国企业在中东和北非地区的基础设施投资日益增多，CRCICA在这些在地化程度高的争议解决中值得重视。实务建议：涉及中东及北非投资的基础设施项目，CRCICA是值得纳入选择考量的区域机构；但在起草仲裁条款时应尽量详细约定仲裁员资质要求、语言选择（阿拉伯语/英语/法语）和送达地址，以避免后续程序争议。另外，CRCICA裁决在部分中东国家的执行效率因国而异，建议事先评估目标执行地的仲裁裁决承认制度。 --- *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就开罗区域国际商事仲裁中心仲裁规则所作的评论。* **Dr. Frontie：** CRCICA 2024规则是基于UNCITRAL 2010年仲裁规则（含2013和2021年修正）制定的区域机构规则，适用于中东和北非地区。值得注意的是，2024版在维持UNCITRAL灵活性的基础上增加了多重合同仲裁、合并审理、早期驳回、紧急仲裁等条款，使其与国际最佳实践对齐。从制度创新视角看，CRCICA的演变路径具有启发意义：它不是从零原创，而是以全球通用规则为基底，叠加区域特色和实务需求。DWAC在制定数字世界仲裁规则时，同样面临"原创还是借鉴"的战略选择。CRCICA的经验表明：制度创新不必追求全盘原创——在公认的制度框架上做增量创新，既降低了学习成本，也增强了规则的合法性基础。关键在于识别哪些是通用规则无法覆盖的"增量"需求。 --- **Dr. Gochye：** CRCICA 2022年仲裁规则体现了伊斯兰法系与埃及民法典传统在国际仲裁规则中的创造性融合。第1条（仲裁协议解释）纳入了埃及民法典第147条关于合同解释的基本原则，形成了一种独特的「本土化通用主义」立法技术——在保持规则国际化外观的同时，在关键节点引入本土法律概念。第14条（仲裁员回避）的标准参照了埃及仲裁法第18条，但通过规则文本的UDI（不确定性消除）技术使其与国际标准保持一致。CRCICA的「变则通」立法策略——核心条款引入区域特色、非核心条款与国际标准完全接轨——为其他新兴仲裁中心的规则编纂提供了有价值的参照模型。 --- **Dr. Venessa：** CRCICA 2022年仲裁规则在程序正义方面展现了令人欣喜的制度成熟度。第3条（正当程序）明确规定了仲裁庭确保各方当事人平等对待和充分陈述的权利义务，并指明了违反这一义务可能导致的裁决撤销风险。第8条（仲裁庭组成的公正性保证）要求仲裁员在签署独立性声明时披露可能影响其公正性的情形，这一要求符合IBA国际仲裁利益冲突指南的标准。第19条（裁决）要求裁决书应当附具理由，除非当事人另有约定，这一安排与《埃及仲裁法》第43条的要求一致。值得关注的是，第20条（费用的裁决）要求仲裁庭在决定费用分摊时考虑「案件的具体情况，包括当事人行为」，这一准则是程序公正的具体化。 --- **灵犀：** 从数字仲裁能力建设视角看，CRCICA 2022年仲裁规则在技术适应性方面处于新兴阶段。规则第3条（书面通信）接受了电子邮件送达，但对电子证据管理、在线庭审平台和数字案例管理等高级数字化功能尚未有规则层面的回应。对于DWAC而言，CRCICA的发展轨迹提供了一个重要启示：数字仲裁的推广不应仅依赖规则修订，还需要配套的技术基础设施。在带宽和数字资源有限区域的仲裁数字化，应当优先发展离线-在线混合模式（如异步文件交换加关键节点同步听证），而非强制推行全流程线上化。 --- ------------------------------------------------------------ ## 第十章：巴西-加拿大商会仲裁与调解中心 ## Chapter 10: CAM-CCBC Brazil-Canada Chamber of Commerce Arbitration Center ### 机构简介 ## About the Centro de Arbitragem e Mediação da Câmara de Comércio Brasil-Canadá (CAM-CCBC) The Centro de Arbitragem e Mediação da Câmara de Comércio Brasil-Canadá (CAM-CCBC) is an independent dispute resolution body affiliated with the Chamber of Commerce Brazil-Canada. Established to serve the Brazilian and international business communities, the CAM-CCBC provides arbitration, mediation, and other alternative dispute resolution services regardless of the nationality, legal seat, or membership status of the parties. Headquartered in São Paulo, Brazil, the CAM-CCBC has emerged as one of Latin America's most respected arbitral institutions. It administers proceedings seated in Brazil or abroad and is widely recognized for its efficiency, independence, and adherence to international best practices. The CAM-CCBC Arbitration Rules (2022) represent a comprehensive modernization of the institution's procedural framework, incorporating contemporary innovations in international arbitration. Key features include provisions for emergency arbitrators, consolidation of proceedings, joinder of additional parties, multiple contracts, expedited procedures, and detailed confidentiality and data protection provisions. The CAM-CCBC maintains a diverse panel of arbitrators and mediators, provides state-of-the-art facilities in São Paulo, and offers virtual hearing capabilities. The institution is governed by its own Internal Rules approved by the Advisory Board of the Chamber of Commerce Brazil-Canada. **【中文翻译】** 巴西-加拿大商会仲裁与调解中心（CAM-CCBC）是隶属于巴西-加拿大商会的独立争议解决机构。CAM-CCBC的成立旨在为巴西和国际商界服务，无论当事人的国籍、法律所在地或成员资格如何，均提供仲裁、调解和其他替代性争议解决服务。 CAM-CCBC总部位于巴西圣保罗，已成为拉丁美洲最受推崇的仲裁机构之一。它管理在巴西境内或境外进行的程序，以其效率、独立性及对国际最佳实践的坚持而广受认可。 2022年《CAM-CCBC仲裁规则》代表了该机构程序框架的全面现代化，纳入了国际仲裁的当代创新。主要特点包括关于紧急仲裁员、程序合并、追加当事人、多份合同、快速程序以及详细的保密和数据保护条款。 CAM-CCBC维护一个多元化的仲裁员和调解员小组，在圣保罗提供最先进的设施，并提供虚拟庭审能力。该机构由巴西-加拿大商会咨询委员会批准的内部规则管理。 ### 仲裁规则（中文） 1.1 如当事人同意仲裁由CAM-CCBC管理且/或由CAM-CCBC规则管辖，仲裁程序应由巴西-加拿大商会仲裁与调解中心（以下简称"CAM-CCBC"）根据本规则管理，但第1.2条规定的情形除外。 1.2 CAM-CCBC也可管理受联合国国际贸易法委员会（UNCITRAL）仲裁规则管辖的程序。 1.3 当事人可相互商定对本规则的修改。此类修改仅适用于所涉仲裁程序，且不得改变CAM-CCBC提出的组织和管理模式条款。 2.1 CAM-CCBC是巴西-加拿大商会的独立机构，由根据巴西-加拿大商会章程批准的内部规则管理。 2.2 CAM-CCBC的宗旨是管理仲裁、调解和其他替代性争议解决（ADR）程序，不分国籍、法律所在地、来源地或是否为巴西-加拿大商会成员。 2.3 CAM-CCBC位于巴西圣保罗州首府圣保罗，可根据本规则第4.1条，在巴西境内或境外的任何地点管理程序。 2.4 CAM-CCBC本身不解决提交给它的争议。 3.1 关于仲裁程序的书面通信（提交文件、通知、传票）应以电子方式发送，并附有送达或收悉证明，除非当事人明确另有约定。 3.2 每方当事人应告知其接收书面通信的地址。未指定地址的，通信应发送至接收方或其代表由任何其他当事人告知的地址（电子或实体）。 3.3 发送至当事人告知的地址的通信应视为已收到。当事人未自行指定地址的，通信在以下情况应视为已收到： (i) 直接送达收件人或其代表； (ii) 送达当事人或其代表的注册办公地、主要居所或通讯地址；或 (iii) 送达合同或仲裁协议中告知的当事人之间接收通信的地址（电子或实体）。 3.4 期限将连续计算，自收到通信后的第一个工作日开始起算，并于届满之日终止。 3.5 除非当事人另有约定，期限将在CAM-CCBC官方日历中规定的休会期间中止计算。 3.6 仲裁庭或在其权限范围内的CAM-CCBC秘书处可修改本规则规定的期限。 3.7 本规则或仲裁庭或CAM-CCBC秘书处未规定期限的，期限为10（十）天。 4.1 仲裁程序可在任何地点进行。 4.2 如当事人未指定仲裁地，或对此无协议，或指定不完整或不明确，CAM-CCBC主席可在必要时设定临时仲裁地，随后由仲裁庭（在组成后）在听取当事人意见后决定最终仲裁地。 4.3 仲裁程序的行为可在不同于仲裁地的其他地点进行，或由仲裁庭自行决定通过视频会议或其他通讯方式进行远程程序。 5.1 仲裁程序应受本规则管辖，但须遵守第1.3条的规定。如有遗漏或分歧，由仲裁庭决定适用的程序规则，或在仲裁庭组成前由CAM-CCBC决定。 5.2 当事人可选择仲裁庭适用于争议实体的法律规则。如无表示或存在分歧，由仲裁庭决定适用于争议实体的法律。 5.3 仲裁庭依衡平法裁决的许可须在仲裁协议或程序令中明示。 6.1 仲裁应以当事人之间约定的语言进行。 6.2 如无约定，仲裁庭应考虑到所有相关情况决定语言。 7.1 希望启动仲裁的当事人应向CAM-CCBC提交仲裁申请书，内容包括： (a) 包含仲裁协议的合同或文件； (b) 参与仲裁的当事人的完整姓名和身份证明，包括其通知地址和/或电子邮件； (c) 授权委托书（如有）； (d) 仲裁事项和请求的简要说明； (e) 其请求的估计金额； (f) 仲裁地、语言和适用于仲裁的法律规则的选择； (g) 关于仲裁员人数和选择的建议或其他相关信息，或当事人规定的指定方式；和 (h) 关于关联方和第三方资助的信息（根据第9.5条和第9.6条）。 7.2 当事人应随仲裁申请书附上费用表规定的登记费支付证明。 8.1 CAM-CCBC秘书处应将仲裁申请书及其支持文件通知对方当事人，并要求其在15（十五）天内提交答复，答复内容包括： (a) 授权委托书（如有）； (b) 通知地址和/或电子邮件的确认； (c) 其请求事项和所涉金额的简要说明（如有）； (d) 关于仲裁地、语言和适用于仲裁的法律规则的评论； (e) 如适用，关于追加当事人的请求（第18条）； (f) 关于仲裁员人数和选择的建议或其他相关信息，或当事人约定的指定方式；和 (g) 关于关联方和第三方资助的信息（根据第9.5条和第9.6条）。 8.2 即使任何当事人缺席，程序仍可继续进行，只要其已根据第3.3条被正式通知。 9.1 仲裁员名单上的成员和/或其他人员可由当事人指定为仲裁员，但须始终遵守本规则、CAM-CCBC道德准则以及独立性和公正性的要求。 9.2 仲裁员必须在整个仲裁过程中保持独立和公正。 9.3 仲裁员必须立即向秘书处和当事人披露可能引起对其公正性或独立性产生合理怀疑的任何事实或情况。 9.4 仲裁员可随时声明回避并拒绝接受指定，或提出辞任。 9.5 当事人必须披露可能与仲裁相关的任何自然人或法人实体，以便仲裁员核实是否存在利益冲突。 9.6 当事人必须及时披露第三方资助的存在，以便仲裁员核实并披露任何利益冲突。 10.1 如当事人在仲裁协议中未规定程序中担任仲裁员的人数，或未就此达成协议，CAM-CCBC主席应考虑到争议的复杂程度和金额，决定指定一名或三名仲裁员。 10.2 "仲裁庭"一词适用于独任仲裁员或三人仲裁庭。 11.1 如当事人已同意争议由三名仲裁员解决，或由CAM-CCBC主席如此决定，秘书处应向双方当事人转发本规则副本和仲裁员名单，邀请当事人在15（十五）天内各指定1（一）名仲裁员组成仲裁庭。 11.2 当事人可自由指定将组成仲裁庭的仲裁员。指定仲裁员名单以外的人选须附上其简历，并提交CAM-CCBC主席批准。 11.3 CAM-CCBC秘书处将通知当事人和仲裁员关于指定事宜。指定的仲裁员将被要求在10（十）天内填写CAM-CCBC利益冲突和可利用性表（简称"表格"）。 11.4 表格的答复和任何相关事实应转发给当事人，当事人有10（十）天时间发表评论。如当事人要求澄清或补充信息，应邀请仲裁员予以答复。如当事人提出异议，第14条应予适用。 11.5 在指定仲裁员步骤之后，CAM-CCBC秘书处（除非当事人另有约定）应通知仲裁员在10（十）天内指定仲裁庭庭长，最好是CAM-CCBC仲裁员名单上的成员。 11.6 如庭长不在CAM-CCBC仲裁员名单上，指定须附上充分的理由和被指定仲裁员的简历，并须取决于CAM-CCBC主席的批准。 11.7 如任何当事人未能指定仲裁员，或当事人指定的仲裁员未能指定仲裁庭庭长，CAM-CCBC主席应从仲裁员名单成员中优先指定。 11.8 在各方当事人国籍、总部或住所位于不同国家的程序中，任何一方可请求仲裁庭庭长与所涉当事人的国籍不同。CAM-CCBC主席在评估需要和便利性后，将就具体案件中的请求作出决定。 12.1 在多方当事人作为申请人和/或被申请人的仲裁中，如当事人未就指定仲裁员的方法达成协议，CAM-CCBC主席在考虑到当事人的利益后，可指定仲裁庭的所有成员，并指定其中一人担任庭长。 12.2 CAM-CCBC主席在决定时，即使某方当事人缺席，也可核实有多少利益相关方参与了争议。 13.1 如当事人已同意争议由独任仲裁员解决，或由CAM-CCBC主席如此决定，仲裁员应由当事人在秘书处通知后15（十五）天内协议指定。在此期限后，如未能指定独任仲裁员或未能就仲裁员的指定达成协议，独任仲裁员应由CAM-CCBC主席按照第11.8条指定。 13.2 当事人应优先从CAM-CCBC仲裁员名单中指定独任仲裁员。如独任仲裁员不在上述名单上，指定须附上充分的理由和被指定仲裁员的简历，并须取决于CAM-CCBC主席的批准。 14.1 当事人可在知悉相关事实后10（十）天内，因缺乏独立性、公正性或正当理由对仲裁员提出异议。 14.2 异议须有理由并提交给CAM-CCBC秘书处，秘书处应将其提交给被提出异议的仲裁员和其他当事人以征求意见。CAB-CCBC应采取必要步骤组成专门委员会，并按照第34.5条收取相应费用。 14.3 异议应由CAM-CCBC主席指定的3（三）名仲裁员名单成员组成的专门委员会决定。 14.4 为评估对仲裁员的异议而组成的专门委员会，如认为必要且不影响事件的迅速处理，可要求当事人和被提出异议的仲裁员提供补充说明、提交新文件和采取其认为有用、必要和适当的任何其他措施。 14.5 CAM-CCBC秘书处应将所需措施完结的情况通知当事人和仲裁员。专门委员会应在30（三十）天内作出决定。如有必要，委员会可将决定异议的期限延长15（十五）天。 14.6 专门委员会的决定须有理由，且为终局，不可上诉。 15.1 如任何仲裁员辞任、异议被接受、无行为能力或死亡，应按照原指定的程序进行更换。 15.2 在更换仲裁员的情况下，并考虑到仲裁的阶段，CAM-CCBC秘书处可更改程序期限以重新组成仲裁庭。 16.1 指定仲裁员后，秘书处应通知仲裁庭，以便每位仲裁员在5（五）天内签署独立性声明，该声明代表其正式接受该职位的一切应有效力。 16.2 仲裁应在秘书处收到被指定仲裁员签署的独立性声明之日视为启动，仲裁庭应视为组成。 17.1 希望以仲裁协议不存在、无效或不生效为由反对仲裁继续进行的当事人（即使仅涉及其中一方）应尽早向CAM-CCBC主席提交正式异议。 17.2 CAM-CCBC主席应对仲裁协议进行表面分析，并在管理层面就可能迅速决定的存在、有效性和效力相关事项作出决定，无需提供证据。 17.3 CAM-CCBC主席关于仲裁继续进行的决定是初步的，由仲裁庭自行决定其管辖权。 18.1 希望将追加当事人纳入仲裁的当事人应尽早根据第7.1条向秘书处提交针对追加当事人的仲裁申请书。秘书处收到请求的日期应视为就追加当事人而言的仲裁初始日期。 18.2 仲裁庭组成前，CAM-CCBC主席应在以下情况下就追加当事人作出决定： (a) 所有涉及的当事人同意；或 (b) 追加当事人与提交仲裁的事项有关联，且可能在表面分析中被视为受仲裁协议约束。 18.3 CAM-CCBC主席关于追加或不追加当事人进入仲裁的决定可由仲裁庭重新审议。 18.4 仲裁庭组成后，关于追加当事人进入仲裁的决定应由仲裁员作出，并要求当事人发表评论。 18.5 自愿希望加入程序的当事人可随时提出请求，将决定提交给CAM-CCBC主席，或如仲裁庭已经组成，则提交给仲裁庭。 18.6 被纳入仲裁程序的当事人须接受已组成的仲裁庭，并须签署程序令的修正案。 19.1 CAM-CCBC主席可经一方当事人请求，考虑到第一个程序的阶段，在第二个程序的仲裁庭组成前，根据本规则将两个或多个待决仲裁合并为一个，但须满足以下条件之一： (a) 当事人已同意合并；或 (b) 所有仲裁中的请求均基于相同的仲裁协议提出；或 (c) 仲裁请求不是基于相同的仲裁协议，但(i) 各仲裁涉及相同的当事人，(ii) 争议涉及相同的法律关系，且(iii) CAM-CCBC主席认为仲裁协议相互兼容。 19.2 在决定合并时，CAM-CCBC主席可咨询在任仲裁员。 19.3 仲裁程序应合并到第一个仲裁中，除非当事人另有约定。 20.1 当事人可在单一仲裁程序中提出源于或涉及一个以上合同的请求。 20.2 仲裁庭组成前，如对源于或涉及一个以上合同的请求在单一仲裁程序中继续进行存在异议，CAM-CCBC主席在听取当事人意见后，应就此事项作出裁定。 20.3 在以下情况下，可在单一仲裁中继续进行： (a) 仲裁协议相互兼容； (b) 请求源于同一交易或一系列交易； (c) 对程序的效率和速度没有重大影响。 20.4 仲裁庭组成后，授权在单一仲裁中处理请求的决定应提交仲裁庭分析。 21.1 仲裁庭组成前，需要紧急措施的当事人可提交请求指定紧急仲裁员，除非当事人另有约定。 21.2 紧急仲裁员可采取第22.1条规定的任何措施，因其性质使然，不能等待仲裁庭组成。 21.3 紧急仲裁员须遵守第9.2条规定的相同独立性和公正性义务。 21.4 启动紧急仲裁员程序并不意味着放弃在主管司法机关寻求任何其他紧急措施的权利。 21.5 紧急仲裁员程序应遵循附录一的规定。 22.1 除非当事人另有约定，仲裁庭可发出临时、强制和中间措施，仲裁庭可自行决定修改、中止或撤销这些措施，即使经一方当事人请求也应如此，且应立即通知当事人；仲裁庭也可命令紧急且不能延期的临时措施，即使单方命令亦可，同时保留当事人事后陈述其论点的权利，该等论点须在措施通知后5（五）天内提交。 22.2 临时措施请求应说明引起请求的情况、所请求的措施，以及临时措施对于防止损害或保全现状的必要性，否则将不被接受此类请求。 22.3 仲裁庭可要求请求临时措施的当事人就此等措施提供适当的担保。 22.4 一方当事人向任何司法当局提出的临时措施请求不应被视为与仲裁协议不相容，或被视为放弃仲裁的权利。 22.5 仲裁庭尤其可命令保全、保管、出售或以其他方式处置任何证据或作为争议标的物的任何财产或资产。 23.1 仲裁启动后，仲裁庭应准备程序令，当事人和仲裁员应在30（三十）天内签署，程序令应包括： (a) 当事人及其代表的姓名和地址； (b) 仲裁员的姓名和地址； (c) 当事人请求的概要，以及反请求（如适用）； (d) 争议事项的定义和法律依据； (e) 仲裁地； (f) 仲裁语言； (g) 适用于实体的法律规则； (h) 程序时间表。 23.2 如当事人未能就程序令的任何事项达成协议，仲裁庭在听取当事人意见后应就此事项作出决定。 23.3 由于争议的发展，如仲裁庭要求或经一方当事人请求，在听取当事人意见后，程序令应在必要时予以修正。 24.1 仲裁庭应根据当事人约定的法律规则裁决提交给它的争议，或在无此约定时，由仲裁庭选择的法律规则裁决。 24.2 只有在当事人明确授权的情况下，仲裁庭才能作为友好调停人裁决或依衡平法裁决。 24.3 在所有情况下，仲裁庭均应按照合同条款（如有）裁决，并应考虑到适用于该交易的任何商业惯例。 24.4 仲裁庭应根据程序的进展和复杂程度，以单一终局裁决或部分裁决的形式作出裁决，形式由程序令规定。 24.5 在本规则规定的限制范围内，当事人在程序事项上有自由约定的保障。 25.1 每方当事人应承担为其请求所依据的事实提供证据的责任。 25.2 仲裁庭可命令当事人在仲裁庭确定的期限内提供文件、展品或其他证据。 25.3 当事人可约定，或仲裁庭可命令，证人（包括专家证人）通过证言、交叉询问或其他方法进行询问。 25.4 仲裁庭可指定一名或多名独立专家，就仲裁庭指定的特定问题向其报告。仲裁庭收到专家报告后，应向当事人提供一份副本，当事人应有机会就报告陈述意见。 25.5 仲裁庭应确定所提供证据的可采性、相关性、重要性和证明力，以及应遵循的庭审程序。 26.1 仲裁庭应为证人、专家提供证据和口头辩论举行庭审，除非当事人已同意不举行庭审。 26.2 仲裁庭应给予各方当事人关于任何庭审日期、时间和地点的充分提前通知。 26.3 庭审应在仲裁地进行，或在仲裁庭确定适当方便的任何其他地点进行，须经当事人同意或在无协议时由仲裁庭决定。 26.4 仲裁庭在听取当事人意见后，可通过视频会议或任何其他通讯方式进行远程庭审。 26.5 庭审应由仲裁庭自行决定记录和转录。 27.1 如申请人未能提交诉状而未说明充分理由，仲裁庭仍可继续进行仲裁。 27.2 如被申请人未能提交答辩状而未说明充分理由，仲裁庭可继续程序。 27.3 如一方当事人未能出庭或提供书面证据，仲裁庭可继续程序并根据其面前的证据作出裁决。 28.1 当确信当事人已有合理机会陈述其案件时，仲裁庭应宣布程序终结。 28.2 仲裁庭可在裁决作出之前的任何时候自行决定或经一方当事人申请重新开庭，但仅在其认为必要时方可如此。 29.1 仲裁庭应在收到结案陈述后60（六十）天内（或在收到结案陈述期限届满通知后）作出仲裁裁决，除非程序令另有规定或与当事人另有约定。 29.2 第29.1条规定的期限可由仲裁庭庭长自行决定延长最多60（六十）天。 30.1 仲裁裁决可以是部分裁决或终局裁决。 30.2 仲裁裁决应以书面形式作出，不能基于当事人缺席。 30.2.1 三人仲裁庭的情况下，仲裁裁决应尽可能协商一致作出，如不可行，则以多数票作出，每位仲裁员（包括仲裁庭庭长）各有一票表决权。如未能形成多数意见，仲裁庭庭长的票表决权。 30.2.2 不同意多数意见的仲裁员可陈述其异议票。 30.3 仲裁裁决应包含以下内容： (a) 报告（程序和事实背景），载明当事人姓名和争议概要； (b) 决定的理由，如适用法律要求或依当事人约定，应涵盖事实和法律两方面问题，并在适当时明示裁决依衡平法作出； (c) 裁决主文，载明所有规范和在适当时遵守决定的时间限制；和 (d) 裁决作出的日期（年、月、日）和仲裁地。 30.4 在当事人协议的前提下，仲裁裁决应确定仲裁费用的责任分担及其各自比例。 30.4.1 仲裁庭应考虑到仲裁程序的结果、案件的复杂程度、律师的行为，以及当事人和其律师的行为，包括恶意诉讼或程序滥用（根据第25.1条），以确定偿还金额及其比例。 30.5 仲裁裁决应视为在仲裁地作出。 30.6 仲裁裁决应由所有仲裁员签署。如一名或多名仲裁员未签署裁决，由仲裁庭庭长证明此事实。 30.6.1 在适用强制性规定的限制下，除非另有约定或决定，仲裁裁决可以电子方式签署，和/或由单独的签名页随后合并为单一文件。 30.7 仲裁庭庭长应将裁决发送给CAM-CCBC秘书处，秘书处在核实所有费用已实际收到后，将通知当事人。 30.8 一旦终局仲裁裁决作出并通知当事人，仲裁即告终止，但根据第31条提出澄清请求的情况除外，在此情况下管辖权应延长至相应决定作出。 31.1 当事人可在收到仲裁裁决后15（十五）天内，通过向仲裁庭提出请求，就任何矛盾、遗漏或含糊之处请求澄清。 31.2 仲裁庭可允许其他当事人就在15（十五）天内提交的澄清请求发表评论。 31.3 仲裁庭应在随后的15（十五）天内作出决定，此期限从收到澄清请求、收到对方当事人的评论或评论期限届满（以最后发生者为准）开始计算。 31.4 第31.3条提到的期限可由仲裁庭自行决定延长最多15（十五）天。 32.1 如当事人在仲裁程序进行期间达成和解，结束争议，经当事人请求，仲裁庭可将和解内容记录在和解裁决书中。 33.1 当事人有义务按照裁决规定的方式和时间遵守仲裁裁决，如不遵守，败诉方应向胜诉方承担损害赔偿责任。 34.1 CAM-CCBC应发布其费用表，金额和指引可由CAM-CCBC主席不时修订。 34.2 费用表应规定(i) 费用和其他开支的支付形式和时间，(ii) 仲裁员和专家费用的支付，(iii) 金额的偿还等事项。 34.3 费用表条款的遵守对当事人、仲裁员、专家、仲裁庭秘书和程序中的其他参与者具有强制性。 34.4 管理费和仲裁员费用在申请人提交仲裁申请书之日和被申请人收到通知之日到期，须支付给CAM-CCBC。 34.5 本规则第14条规定的专门委员会仅在费用表规定的金额支付后方可组成。除非有明确相反的具体规定，专门委员会费用须由提出异议的当事人支付。 35.1 如未在费用表规定或CAM-CCBC秘书处指定的期限内预付管理费、仲裁员和专家费用或任何其他仲裁费用，一方当事人应被允许在CAM-CCBC秘书处规定的期限内代另一方支付到期款项。 35.2 当由另一方支付时，CAM-CCBC秘书处应通知当事人和仲裁庭，在此情况下仲裁庭应驳回违约方当事人的请求（如有）。 35.3 如无当事人愿意支付，程序应中止。 35.4 一旦程序因未支付而中止30（三十）天，且双方当事人均未提供资金，程序可予终止，但不影响当事人在支付欠款后提交新仲裁申请书寻求解决争议的权利。 35.5 仲裁员可诉诸法院内或法院外方式要求支付仲裁员费用，CAM-CCBC可诉诸法院内或法院外方式要求支付管理费或费用，这些应被视为确定的和已确定的债权，可通过催收或执行诉讼连同利息和通货膨胀调整予以追收。 36.1 快速程序是更快解决仲裁争议的选择，仅适用于所涉金额不超过费用表规定金额的程序。 36.2 如当事人已约定退出该程序，快速程序条款不适用。 36.3 仲裁庭组成前，CAM-CCBC主席可自行决定或经一方当事人请求，驳回快速程序的适用。 36.4 CAM-CCBC主席应在管理层面分析快速程序对具体案件的适合性，考虑到其复杂程度和其他相关情况。 36.5 CAM-CCBC主席作出的决定须经仲裁庭批准。 36.6 如快速程序被驳回不适用于特定案件，仲裁庭应继续履行其职责。 36.7 快速程序的费用应低于费用表专门章节的规定。 36.8 如争议金额重新评估后超过限额，须支付费用表"主要费用"项下的金额。 37.1 本规则的其他条款应适用于受快速程序约束的仲裁，只要它们与本条规则不冲突。 37.2 在本规则第8.1条规定的期限届满后，CAM-CCBC秘书处在符合第36.1条和第36.2条规定的要求的情况下，应通知当事人快速程序将适用于该案件。 37.3 为加快程序，CAM-CCBC秘书处可在仲裁庭组成前缩短本规则规定的期限。 37.4 所有通信、通知或传票，以及任何提交文件、决定或文件的提交须完全以电子方式进行。 37.5 除非另有约定，快速程序应由根据本规则指定的独任仲裁员进行和裁决。 37.6 如仲裁协议规定程序由三名仲裁员进行，CAM-CCBC秘书处应邀请当事人同意指定独任仲裁员。如无此协议，仲裁庭应按当事人约定组成。 37.7 本规则第14条规定的专门委员会应由1（一）名成员组成，由CAM-CCBC主席指定，优先从仲裁员名单中指定。 37.8 在本规则第16.2条规定的仲裁启动后，CAM-CCBC秘书处应通知当事人和仲裁员在15（十五）天内签署程序令。 37.9 为确保快速程序的效率，仲裁庭可采取以下行动： (a) 限制书面提交的数量、长度和范围；和 (b) 在听取当事人意见后，决定程序仅基于书面证据进行，可能拒绝提交其他证据。 37.10 如仲裁庭授权进行庭审，庭审应优先通过视频会议或任何其他远程通信方式进行。 37.11 从签署程序令到开始终局裁决期限的程序不得超过10（十）个月。 37.12 如程序超过10（十）个月，除非当事人另有约定或仲裁庭另有决定，应继续按照快速程序管理程序。在任何情况下，超过10（十）个月后，须支付费用表"主要费用"项下的金额。 37.13 仲裁裁决应在证据阶段结束后30（三十）天内作出，可延长相同期限。 38.1 仲裁员应在职权和职责范围内解释和适用本规则。 38.2 仲裁员可就本规则条款的解释咨询CAM-CCBC主席。 38.3 CAM-CCBC道德准则在所有法律意义上是本规则的一部分，作为解释本规则条款的次要来源进行规制。 39.1 仲裁应保密，但法律、其他适用法律规则或当事人明确协议规定的情形除外。 39.1.1 在法律程序中出示与仲裁程序有关的文件（如对保护仲裁案件所涉当事人的权利确有必要）不构成对保密义务的违反。 39.2 除非当事人反对，CAM-CCBC可公布裁决和程序中作出的其他决定，但不提及当事人或允许识别当事人或案件的数据。 39.3 CAM-CCBC成员、仲裁员、仲裁庭秘书、专家、当事人和其他参与者均被禁止披露因其职责或参与仲裁程序而获得任何信息。 40.1 CAM-CCBC应经当事人或仲裁员（且仅向他们）的书面请求，提供关于仲裁程序的文件副本。 40.2 仲裁程序的实体记录应保存6（六）个月，电子记录应保存5（五）年，从仲裁结束之日起算。 40.2.1 相关当事方有责任在所述期限内自费请求提供相关记录和文件副本。 40.2.2 在这些期限之后，所有文件可被销毁，无需事先获得当事人授权。 41.1 当事人、其法律代表、仲裁员和其他参与者承认，收集、使用、处理、传输和存储个人数据对于仲裁程序的继续是必要的，且在严格必要时，可包含在通知、决定和其他文件中。 41.2 仲裁庭和当事人必须确保遵守适用的数据保护立法，以正确开展仲裁程序。 41.3 如在仲裁程序中怀疑或确认发生个人数据泄露，应立即通知CAM-CCBC和其他参与者，以便适当通知主管机关。 41.4 仲裁结束后，程序中处理的个人数据应存储必要的时间，以正常行使权利（包括CAM-CCBC的权利）和遵守法律义务，此后须进行匿名化处理或销毁。 42.1 任何仲裁员、CAM-CCBC或与CAM-CCBC相关的任何人员均不就与仲裁有关的任何作为、事实或遗漏承担责任，但经证明有故意不当行为的情况除外。 42.2 任何关于不遵守本规则或适用于程序的任何其他规则、仲裁庭的决定或仲裁协议中关于组成仲裁庭或进行程序的任何其他规定的异议，应尽早提出。 43.1 本规则于2022年8月1日经CAM-CCBC咨询委员会批准，将于2022年11月1日生效。 43.2 除非当事人另有约定，应适用在第7.1条规定的提交仲裁申请书之日有效的规则。 43.3 经当事人选择，本规则也可适用于在2022年11月1日之前提交但在本规则生效后签署程序令的仲裁。 第1条 希望根据本规则第21条诉诸紧急仲裁员的当事人应向CAM-CCBC提交紧急措施请求，内容包括： (a) 包含仲裁协议的合同或文件； (b) 参与仲裁的当事人的完整姓名和身份证明，包括其通知地址和/或电子邮件； (c) 授权委托书（如有）； (d) 引起临时措施请求的情况说明，包括已提交或拟提交CAM-CCBC的主要争议的简要说明； (e) 所请求的紧急措施及其紧迫性依据的说明； (f) 仲裁地、语言和适用于仲裁的法律规则的选择； (g) 申请人认为与评估紧急措施请求相关或有帮助的合同或信息； (h) 待决或已生效的司法措施的说明； (i) 受紧急仲裁员程序约束的当事人向CAM-CCBC提交的关于基础争议的仲裁申请书或其他提交文件； (j) 费用表规定的紧急仲裁员程序相关费用的支付证明。 第2条 CAM-CCBC主席在以下情况下将驳回临时措施请求： (a) 如仲裁庭已组成，根据CAM-CCBC规则第16.2条； (b) 在缺乏规定CAM-CCBC管理仲裁程序权限的仲裁协议的情况下； (c) 如当事人于2018年7月20日之前签订仲裁协议，且未随后加入将争议提交紧急仲裁员程序的选项； (d) 如当事人于2018年7月20日至2020年11月24日期间签订仲裁协议，除非其明确选择采用紧急仲裁员程序； (e) 如当事人明确同意退出紧急仲裁员程序；或 (f) 缺乏紧急仲裁员程序相关费用支付证明的情况下。 第3条 如初步拒绝，CAM-CCBC秘书处应通知申请人紧急仲裁员程序将不继续进行。 第4条 如紧急措施请求未被初步驳回，CAM-CCBC秘书处应立即将请求和支持文件的副本发送给其他当事人，同时通知申请人。 第5条 当事人应在收到通知后2（两）天内告知其电子地址。 第6条 如未在CAM-CCBC主席收到紧急措施请求后15（十五）天内根据本规则第7.1条提交仲裁申请书，CAM-CCBC主席应终止紧急仲裁员程序。 6.1 在特殊情况下，此期限可由CAM-CCBC主席延长。 第7条 CAM-CCBC主席在接受程序后，应指定一名紧急仲裁员，优先从仲裁员名单成员中指定。 第8条 仲裁庭组成后不得指定紧急仲裁员。但是，在仲裁庭组成前指定的紧急仲裁员应保留在本附录第20条规定的期限内作出其决定的权力。 第9条 紧急仲裁员应收到程序副本，并在收到指定后2（两）天内填写问卷和签署独立性声明。 第10条 除非当事人另有约定，紧急仲裁员不得在与引起紧急措施请求的争议有关的任何仲裁中担任仲裁员。 第11条 一收到紧急仲裁员签署的问卷和独立性声明，CAM-CCBC秘书处应立即通知当事人。此后，当事人的所有书面通信应致函紧急仲裁员，并抄送其他当事人和CAM-CCBC秘书处。 第12条 紧急仲裁员应就其管辖权以及仲裁协议的存在、有效性和范围作出决定。 第13条 当事人可在知悉相关事实后2（两）天内因缺乏独立性、公正性或合理怀疑对紧急仲裁员提出异议。 第14条 异议应由CAM-CCBC主席在紧急仲裁员和其他当事人就此事项发表评论的期限届满后决定。 第15条 紧急仲裁员辞任、异议被接受、无行为能力或死亡的情况下，由CAM-CCBC主席在2（两）天内进行更换。 15.1 如更换紧急仲裁员，程序应从其所在阶段恢复，除非新的紧急仲裁员另有决定。 第16条 紧急仲裁员程序的仲裁地应为当事人约定的仲裁地，但须遵守本规则第4条。 第17条 紧急仲裁员程序的语言应为当事人约定的仲裁语言，但须遵守本规则第6条。 第18条 紧急仲裁员应考虑到争议的性质和临时措施请求的紧迫性，并以适当的方式进行程序，同时适当注意听取对方意见原则、充分辩护权利和当事人平等对待原则。 18.1 收到案卷后，紧急仲裁员应确立程序的暂定时间表。 第19条 紧急仲裁员发出的命令和决定应以书面形式作出，说明其依据的理由，并应符合本规则第30.3条的要求。 19.1 紧急仲裁员可设定其认为必要的条件以确保其决定得到遵守，包括强制罚款和提供担保。 第20条 紧急仲裁员的决定应在签署独立性声明提交后15（十五）天内作出，或按暂定时间表规定的时间作出。 20.1 CAM-CCBC主席可在(i) 经紧急仲裁员有理由的请求，(ii) 在适当情况下自行决定，或(iii) 经当事人如此同意的情况下延长此期限。 第21条 通过将争议提交紧急仲裁程序，当事人承诺毫不拖延地遵守紧急仲裁员将作出的决定。 第22条 紧急仲裁员作出的决定因其临时性质，不约束仲裁庭，仲裁庭一旦组成，将有权修改、撤销或废除先前作出的任何决定。 第23条 在仲裁庭组成之前，可能改变先前作出决定的新事实分析可由紧急仲裁员评估。一旦组成，仲裁庭应就当事人关于紧急仲裁员程序的任何请求作出决定，包括关于执行紧急仲裁员的决定和重新分配紧急仲裁员程序费用的任何请求。 第24条 如因任何原因仲裁在未作出终局裁决的情况下终止，紧急仲裁员的决定应停止对当事人具有约束力。 第25条 CAM-CCBC规则的规定在其与本附录不冲突的范围内适用，CAM-CCBC主席负责解决关于这些条款解释的任何疑问。 巴林争议解决中心（BCDR-AAA）是中东地区领先的仲裁机构，隶属于巴林工业、商业和旅游部。该中心在巴林政府、美国仲裁协会（AAA）和国际商会（ICC）三方独特协议的框架下运营。BCDR-AAA以国际标准提供最先进的仲裁和调解服务，将区域专业知识与全球最佳实践相结合。 **Official Website:** https://www.bcdr.org/ **官网：** https://www.bcdr.org/ 当事人各方已书面同意（在争议发生前或发生后）按照巴林争议解决中心（"中心"）、BCDR或BCDR-AAA的仲裁规则将争议提交仲裁，或已约定将争议提交巴林争议解决中心、BCDR或BCDR-AAA进行仲裁但未指定具体规则的，仲裁应按照本规则进行，中心可在仲裁开始日前修改本规则使之生效（"本规则"）。本规则包括中心可能不时单独修订的费用表。 1.2 The Chamber shall be the administrator of such arbitrations. 希望根据本规则启动仲裁的一方（仅一方时为"申请人"；多于一方时各为"申请人"）应向中心提交书面仲裁申请（"申请"），同时向仲裁所有其他当事人（一方的"被申请人"；多于一方时各为"被申请人"）提交该申请。 2.2 The Request shall include, or be accompanied by: 在中心初步确信可能存在符合第一条第1.1款规定的仲裁协议的前提下，仲裁应自中心收到申请和提交费之日起视为开始，中心应以书面形式通知所有当事人。 被申请人应在仲裁开始后30天内向中心提交书面回应申请（"回应"），同时向仲裁所有其他当事人提交该回应。 4.2 The Response shall include, or be accompanied by: 在回应提交后，或若未提交回应则回应提交期限届满后，中心应尽快指示当事人支付费用表规定的案件管理费（"案件管理费"），被指示支付的一方或多方应在中心设定的支付截止日期前支付。 5.4 If the Case Management Fee is not paid promptly and in full, the Chamber shall so inform the parties in order that one or more of them may make the required payment, without which the Chamber may suspend or terminate the proceedings. 本条应排除本规则任何相冲突条款的适用： (a) if the parties have not agreed in writing otherwise, and provided that the claim and any counterclaim in the arbitration are quantified monetary claims and the combined value of such claim and counterclaim does not exceed US$1 million; or 任何当事人（包括其法律代表）、仲裁庭或中心向其中任何一方或多方发出的任何书面通讯，应以专人递送；快递；挂号邮件；或电子邮件、传真或任何其他能提供发送记录形式的电子通讯方式送达。 7.2 For the purpose of calculating a period of time under the Rules, such period shall begin to run on the day following the day on which a written communication is received by the intended recipient. 仲裁庭应由一名或三名仲裁员组成。若当事人未书面约定仲裁员人数，应指定一名仲裁员，除非中心考虑到争议的所有情况决定应指定三名仲裁员。 8.2 Where the parties are of different nationalities, a person who has the nationality of any of the parties may be appointed as a sole or presiding arbitrator only with the written agreement of all the parties or, absent such agreement, if the Chamber so determines. 若需指定独任仲裁员，当事人可共同提名仲裁员并书面通知中心予以指定。 9.2 If, within 15 days after the submission of the Response, or, if no Response is submitted, within 15 days after the time for submission of a Response has elapsed, the parties have not jointly nominated a sole arbitrator: 所有仲裁员应始终保持公正且独立于各方当事人，任何仲裁员不得充任任何当事人的代理人。 10.2 No party or anyone acting on behalf of any party shall have any ex parte communication relating to the dispute with any candidate arbitrator. 若存在可能引起对仲裁员公正性或独立性合理怀疑的情况，任何当事人均可提出回避。 11.2 A party that intends to challenge an arbitrator shall submit to the Chamber, to all other parties and to the arbitral tribunal a written challenge within 15 days after the date on which that party became aware of those facts and circumstances. 若仲裁员拒绝履职，或在法律上或事实上被阻止完成仲裁程序，或无充分理由未能履职，应适用第九条规定的程序指定替代仲裁员。 中心可应仲裁庭请求或自行决定，从其维护的名册中指定一名仲裁庭秘书。 13.2 The secretary shall assist with the administrative management of the arbitration, under the direction of the arbitral tribunal. 无法等待仲裁庭组建的一方可根据本条向中心请求紧急临时保护措施（"紧急措施申请"）。 14.2 The Application for Emergency Measures shall be accompanied by the Emergency Arbitrator Fee prescribed by the Fee Schedule, without the actual receipt of which the Application shall be treated as not having been received. 仲裁庭应考虑当事人意见，以其认为适合争议性质和情况的方式进行仲裁。 16.2 The arbitral tribunal shall ensure that the proceedings are conducted in an efficient and cost-effective manner. 仲裁地应为巴林，除非当事人另有书面约定。 19.2 The arbitral tribunal may, after consultation with the parties, conduct hearings at any place it considers appropriate. 仲裁语言应为英语，除非当事人另有书面约定。 20.2 The arbitral tribunal may order that any documentary evidence be accompanied by a translation into the language of the arbitration. 任何当事人可由其选定的法律代表或其他代表在仲裁中进行代理。 21.2 The names and addresses of such representatives shall be communicated in writing to all other parties and to the Chamber. 已签订与仲裁相关之第三方资助协议的当事人应立即向中心、所有其他当事人和任何仲裁员披露第三方资助人的身份，且无论如何不晚于其根据第四条规定提交回应之日，或其成为该等资助协议当事人之日（以较晚者为准）。 经任何当事人书面申请，仲裁庭有权裁定或裁决其认为必要的任何临时或保全措施，包括禁令救济和财产保护或保存措施。 仲裁庭有权就其自身的管辖权作出裁定，包括对仲裁协议存在、效力或有效性提出的任何异议。 希望将追加当事人纳入仲裁的一方应提交针对该追加当事人的书面仲裁请求。 若根据本规则进行的两个或多个仲裁系依据同一仲裁协议且在相同当事人之间提起，中心可将仲裁合并为一个仲裁。 中心应指示当事人支付适当金额作为仲裁费用的预付款。 30.4 Failure by a party asserting a claim or counterclaim to make the required payment may be deemed by the arbitral tribunal a withdrawal of the claim or counterclaim. 仲裁员的费用和开支应符合费用表，且金额应合理。 31.3 Any dispute regarding the fees and expenses of the arbitral tribunal shall be determined by the Chamber. 仲裁庭应适用当事人约定的适用于争议实体的法律规则。 32.2 In arbitrations involving the performance of contracts, the arbitral tribunal shall decide in accordance with the terms of the contract. 在按照程序时间表作出最后一次书面或口头陈述后，仲裁庭应宣布仲裁程序终结。 除作出最终裁决外，仲裁庭可作出临时或部分裁决、命令、决定和裁定。 34.2 When there is more than one arbitrator, any award shall be made unanimously or, failing unanimity, by a majority of the arbitrators. 仲裁庭应尽快评议并作出最终裁决，且不得晚于程序终结之日起60日。 35.2 Awards shall be made in writing, and the arbitral tribunal shall state the reasons upon which an award is based. 仲裁庭应在最终裁决中确定仲裁费用。 36.2 Such costs may include: 在收到裁决后30天内，任何当事人可请求仲裁庭解释裁决或更正任何错误。 若当事人在最终裁决作出前和解，仲裁庭应终止仲裁程序；经所有当事人请求，仲裁庭可按和解条款以裁决形式记录该和解。 知道本规则任何条款未被遵守而继续进行仲裁而未及时提出异议的当事人，视为放弃异议权。 仲裁程序中披露的保密信息，当事人、仲裁员、专家或中心不得泄露。 40.2 An award may be made public only with the consent of all parties or as required by law. 仲裁员、中心和任何紧急仲裁员对任何人在仲裁方面发生的任何作为或不作为不承担责任。 "因本合同引起或与本合同有关的任何争议，包括关于合同存在、效力或终止的任何问题，均应通过仲裁最终解决，仲裁按照巴林争议解决中心的仲裁规则进行。 The arbitral tribunal shall consist of [specify one or three] arbitrator[s]. 沙特商业仲裁中心（SCCA）于2014年在沙特阿拉伯利雅得成立，是沙特阿拉伯"2030愿景"发展世界级争议解决基础设施倡议的组成部分。SCCA按照国际标准提供仲裁、调解和其他替代性争议解决服务，同时兼顾区域商业惯例。SCCA已成为海湾地区领先的替代性争议解决机构，处理涉及来自20多个不同国籍当事人的争议。 **Official Website:** https://www.scca.com.sa/ **官网：** https://www.scca.com.sa/ 在本SCCA仲裁规则和附件中，以下词语具有以下含义： - **Administrator:** The SCCA acting in the role of the administrator 当事人已约定将相互之间关于特定法律关系（无论是否为合同性质）的争议根据本规则提交仲裁，或已约定将争议提交SCCA进行仲裁但未指定具体规则的，该等争议应根据本规则解决。当事人由此授权SCCA管理仲裁。 2. These Rules shall come into force on 1 May 2023 and shall apply to any arbitration that is commenced on or after that date. The appendices to these Rules shall form an integral part of these Rules. SCCA法院是独立于SCCA的机构，履行规则和SCCA法院内部规则规定的某些职能。 2. Except where the Rules state otherwise, the decisions of the SCCA Court shall be final and binding upon the parties and the Arbitral Tribunal. The parties waive any right of appeal or review in respect of the decisions of the SCCA Court. 除非当事人另有约定或仲裁庭另有命令，通知应以快递、挂号邮件或任何能提供发送记录（包括电子邮件或其他电子方式）的通讯方式发送。 2. If a party has designated a physical or electronic address specifically for this purpose, any Notice shall be delivered to that party or its authorized representative at that address. 希望启动仲裁的申请人应向SCCA提交仲裁申请。 2. The Request shall contain: 收到仲裁申请和登记费后，SCCA应将申请副本转送被申请人。 被申请人可在收到申请后30天内向SCCA提交回应。 2. The Response shall contain: 除非当事人另有约定，仲裁庭应由一名独任仲裁员组成。 2. Where the parties have agreed on three arbitrators, each party shall nominate one arbitrator. 若当事人就独任仲裁员达成一致，SCCA法院应予以指定。 2. If the parties cannot agree, the SCCA Court shall appoint the sole arbitrator. 每位仲裁员应公正且独立于各方当事人。 2. Before appointment, a prospective arbitrator shall sign a declaration disclosing any facts or circumstances that might give rise to justifiable doubts as to the arbitrator's impartiality or independence. 若存在可能引起对仲裁员公正性或独立性合理怀疑的情况，一方当事人可提出回避。 2. A challenge shall be made within 15 days after the challenging party has become aware of the circumstances giving rise to the challenge. 若需更换仲裁员，应以与被更换仲裁员相同的方式指定替代仲裁员。 2. Once constituted, the new Arbitral Tribunal shall determine if any hearings need to be repeated. 当事人可由其选定的人员代理。 2. Powers of attorney shall be submitted. 经请求，如果第三人可能受仲裁协议约束，则可追加其为当事人。 2. All parties must consent or the Arbitral Tribunal must find the third party is bound. 经请求，在满足以下条件时，两个或多个仲裁可合并进行： (a) The parties agree; or 仲裁员应公正且独立。 2. Arbitrators shall disclose any circumstances likely to give rise to justifiable doubts. 当事人可约定仲裁员人数。 2. In absence of agreement, the Board shall decide. 委员会可采用名单程序或直接指定。 2. The Board shall consider the nature of the dispute, the parties' nationalities, and other circumstances. 仲裁员在被指定前应签署接受和独立性声明。 2. Arbitrators shall disclose any new circumstances forthwith. 一方当事人可因仲裁员缺乏独立性或公正性而提出回避。 2. The challenge shall be submitted within 15 days of appointment or of discovering the grounds. 仲裁员的授权因辞职、免职或死亡而终止。 2. An arbitrator may be removed if there is a justified reason. 若仲裁员被更换，程序应从已达成的阶段继续进行。 若一方有多方当事人，他们应共同提名一名仲裁员。 2. If they fail to agree, the Board shall make the appointment. 快速程序可在以下情况下适用： (a) The amount in dispute does not exceed EUR 200,000; or 仲裁地应为维也纳，除非另有约定。 2. Hearings may be held elsewhere. 语言应由当事人约定。 2. In absence of agreement, the Arbitral Tribunal shall determine. 仲裁庭应适用当事人指定的法律或法律规则。 2. Failing such designation, the law determined by conflict of laws rules. 仲裁庭应以高效的方式进行程序。 2. The Arbitral Tribunal shall ensure equal treatment of the parties. 申请人应在规定时间内提交诉状。 2. The Respondent shall submit a statement of defense within the time fixed. 除非当事人同意仅依据文件裁决，仲裁庭应进行庭审。 2. The Arbitral Tribunal shall give adequate notice. 知道规则未被遵守而未及时提出异议的当事人，视为已放弃其异议。 仲裁庭确信已给予当事人陈述案件的一切机会后，应宣布程序终结。 2. The award shall be made within three months of closure of proceedings. 经一方当事人请求，仲裁庭可命令临时措施。 2. The Arbitral Tribunal may require security for costs. 程序因裁决、和解或终止命令而终结。 仲裁员超过一人时，决定应由多数作出。 2. If there is no majority, the presiding arbitrator shall decide. 裁决应以书面作出，并应说明所依据的理由。 2. The award shall state the date and place. 若当事人达成和解，经请求，仲裁庭应按和解条款作出裁决。 仲裁庭应在裁决中确定仲裁费用。 2. The costs include: 在收到裁决后30天内，一方当事人可请求更正或澄清。 2. Within 30 days, a party may request an additional award. 委员会可将裁决发回仲裁庭重新审议。 ### 专家评论 *以下为Fresa Li、Dr. Frontie、Dr. Gochye、Dr. Venessa及灵犀就巴西-加拿大商会仲裁与调解中心仲裁规则所作的评论。* **Fresa Li：** CAM-CCBC 2022年版仲裁规则代表了拉丁美洲仲裁实践的最高标准，同时也是该区域国际化程度最高的机构规则，在南美基础设施和能源争议解决中具有权威地位。其第1条允许当事人修改规则条款的弹性设计非常独特——在保持制度稳定性的同时为复杂交易提供了定制空间，这在南美大型基础设施和能源项目中极为实用。第3条关于电子通信送达的规定，在南美区域互联网基础设施条件参差不齐的环境下，兼顾了效率与确定性。快速程序（第20条）将6个月期限与争议金额挂钩的设计，契合了拉美商业争议快速解决的需求，对资金周转要求高的建筑和能源项目尤为重要。我特别关注CAM-CCBC在数据保护领域的先行意识——第28条专门规定了数据保护条款，这在国际仲裁规则中属于少数，对于涉及个人数据跨境传输的技术许可和数字经济争议具有特殊价值。在中国-拉美双边贸易和投资持续增长的背景下，CAM-CCBC为中国企业处理拉美分支机构的商业争议提供了重要制度选项。实务建议：在拉美有绿地投资或基础设施项目的中国企业，选择CAM-CCBC时应在仲裁条款中明确约定仲裁语言（建议英语），并关注CAM-CCBC裁决在巴西本国法院的执行效率——这是其相较于ICC等全球机构的主要优势。 --- **Dr. Frontie：** CAM-CCBC是巴西最大的仲裁机构，2022年对其规则进行了十年来首次全面修订，2025年又推出新规。2022年规则最显著的变化是引入了早期驳回条款和延长裁决期限的灵活性安排（可延长60天）。从制度创新视角看，CAM-CCBC的演变揭示了一个更深层的问题：新兴仲裁市场的规则更新频率往往高于成熟市场——这不是不成熟的表现，而是对快速变化的争议解决需求的制度响应。DWAC作为数字世界的全新仲裁机构，面临类似的制度环境：争议类型快速演进，规则必须保持更新弹性。CAM-CCBC的做法提示我们：规则修订机制本身应是规则设计的一部分——不是事后补救，而是制度内建。DWAC应考虑在仲裁规则中设置定期审阅和动态修订条款，使规则体系具备"可进化性"。 --- **Dr. Gochye：** CAM-CCBC 2022年仲裁规则在拉丁美洲仲裁文化语境下呈现独特制度特征。巴西仲裁法传统上受西班牙-葡萄牙法律传统和大陆法系程序深刻影响，但过去二十年经历了显著现代化转型。和解裁决（Consent Award）规定（第29条）允许仲裁庭在当事人达成和解时记录和解内容，明确区分"终止程序命令"与"和解裁决"两种形式——和解裁决因其裁决形式更易获得法院的承认与执行。保密性精细化规定（第24条）明确列出可披露裁决的情形——法律义务要求披露、法院程序要求、执行或质疑裁决、保护合法权益等，回应拉美当事人对保密性的特别关注。CAM-CCBC代表新兴市场仲裁机构的制度演进模式，在吸收国际通行做法的同时保留拉美仲裁传统特定元素。 --- **Dr. Venessa：** CAM-CCBC 2022年版仲裁规则在程序正义维度体现了巴西法律传统中强烈的正当程序观念。第9条（仲裁庭的独立性和公正性）的表述直接援引了巴西宪法第5条第LIV款的正当程序原则和第LV款的对抗原则，形成了独特的宪法化程序保障。第15条（当事人的平等对待）是少数专门设此条款的仲裁规则之一，明确了仲裁庭确保当事双方「完全平等的程序条件」的强制性义务。第26条（程序管理会议）要求仲裁庭在与当事人首次会议中即讨论程序时间表、证据规则和争议焦点，为后续程序的顺利进行奠定了正当程序基础。CAM-CCBC对当事人平等对待的宪法化保障标准，为其他仲裁机构的规则改进提供了一个值得关注的制度范式。 --- **灵犀：** CAM-CCBC 2022年版仲裁规则的数字化水平在拉丁美洲处于领先地位，但与欧洲和亚太顶级机构相比仍有明显差距。第3条（电子通信）对电子送达和电子通知的认可符合国际标准，但规则缺乏对在线庭审、电子证据和AI仲裁辅助工具使用的专门规定。第4条（仲裁地）允许虚拟仲裁地——使仲裁程序可以完全在线进行而无需实际地点——这一制度设计是前瞻性的。CAM-CCBC的数字化发展路径对于DWAC有参考价值：不必追求一步到位的全数字化改革，可以分阶段深化数字仲裁制度的建设——从规则层面的技术中立授权起步，逐步向AI集成和智能仲裁演进。 --- ============================================================ # 扩展评论：新增十家仲裁机构 # Extended Commentary: 10 Additional Arbitration Institutions **本部分收录Dr. Frontie就本书第一版未收录的十家仲裁机构所作的深度评论。这些评论延续了前文的"制度创新+DWAC启示"双重视角，为读者提供更完整的全球仲裁规则图景。** --- ## Extended 1: ICDR International Centre for Dispute Resolution / 扩展一：ICDR 国际争议解决中心（AAA国际部） > ℹ️ 本节为ICDR编辑评论概述。ICDR完整规则文本请参见"附章A"（# 附章A：国际争议解决中心）。 > ℹ️ This section provides an editorial commentary on ICDR. For the full ICDR rules text, see Appendix A (# 附章A：国际争议解决中心). ### 机构简介 - **全称:** International Centre for Dispute Resolution / 国际争议解决中心 - **隶属:** 美国仲裁协会（AAA）国际部 - **总部:** 纽约，美国 - **现行规则:** ICDR Arbitration Rules (2021) ### Dr. Frontie评论 ICDR 2021规则是2014年以来的全面修订，其最引人注目的创新有两个："仲裁中推定调解"（第6条）和"网络安全/数据保护强制讨论义务"。前者将调解从可选程序提升为默认期待——当事人立案时必须明确声明是否愿意在仲裁前或并行进行调解；后者要求仲裁庭主动与当事人讨论网络安全、隐私和数据保护标准，并提供"适当级别的安全和合规"。这两项创新都体现了一种深层的制度哲学转向：仲裁不再被视为单纯的对抗性裁决程序，而是一个包含和解、技术保障、信任建设的综合争议解决生态。 对DWAC而言，ICDR的两项创新提供了重要参照。Agent-Arbitrator程序中，"调解推定"对应于"和解优先"——大多数Agent之间的争议（如合同履行细节、数据使用边界）本可通过协商解决，仲裁应作为最后手段。而ICDR的"网络安全讨论义务"在数字世界仲裁中更为关键：DWAC的程序本身就运行在数字基础设施上，仲裁庭必须主动评估证据完整性、传输安全、密钥管理等问题。这两点应直接写入DWAC规则。 值得一提的是ICDR还设立了"国际管理审查理事会"（IARC，第5条）作为机构内部的程序性救济机制——当事人对ICDR管理决定（如合并、追加、仲裁员任命）不服时可申请审查。这一制度设计对DWAC也有启示：当仲裁决定由Agent作出时，必须存在制度化的审查通道。这与我们Q2讨论的"两裁终局"复审机制方向一致。 --- ## Extended 2: ICSID International Centre for Settlement of Investment Disputes / 扩展二：ICSID 国际投资争端解决中心 ### 机构简介 - **全称:** International Centre for Settlement of Investment Disputes / 国际投资争端解决中心 - **隶属:** 世界银行集团 - **总部:** 华盛顿特区，美国 - **现行规则:** ICSID Arbitration Rules (2022) ### Dr. Frontie评论 ICSID 2022规则是2006年以来首次重大修订——花了6年时间征求意见，覆盖国家间和投资者-国家争议这一最复杂的仲裁领域。修订有四个核心方向：程序效率、透明度、第三方资助披露、机构服务范围扩展。 程序效率方面，2022规则首次引入"强制案管会议"和"严格期限制度"——每个程序步骤都有具体时限，仲裁庭如不能按时作出裁决，必须主动告知特殊情况和预计时间（第12条）。这是仲裁规则中少见的"机构反向问责"安排——不仅当事人受期限约束，仲裁庭本身也要为延迟提供解释。透明度方面，2022规则确立了"推定同意公开裁决"原则——除非当事人在60天内明确反对，否则裁决和废止决定将公开发布（第62.3条）；即使反对，ICSID也将发布脱敏摘要。第三方资助方面，强制披露不仅及于资助方，还及于资助方的最终受益人（适用法人时），且这一披露义务贯穿整个程序。 对DWAC的启示是多层次的。首先，"机构反向问责"原则尤其重要——Agent仲裁员的延迟问题在数字世界可能更突出（模型调用、并发竞争、API限流等技术因素），DWAC应建立类似的延迟告知和解释机制，而非简单容忍。其次，"推定同意公开"原则与数字世界争议的"判例累积"需求高度吻合——Agent之间的争议本质上具有重复性，公开裁决能加速判例库建设，但需配套强健的脱敏机制保护当事人。第三，"最终受益人披露"思路对Agent争议同样关键——一个Agent背后可能是其创建者、运营方、出资方等多重主体，问责链必须穿透到最终责任人。ICSID 2022为这一思路提供了成熟的制度模板。 --- ## Extended 3: UNCITRAL Arbitration Rules / 扩展三：UNCITRAL 仲裁规则及快速仲裁规则 ### 机构简介 - **全称:** United Nations Commission on International Trade Law Arbitration Rules / 联合国国际贸易法委员会仲裁规则 - **性质:** 联合国框架下的通用仲裁规则（非机构专属） - **现行规则:** UNCITRAL Arbitration Rules (2021) + Expedited Arbitration Rules (2021) ### Dr. Frontie评论 UNCITRAL规则的地位特殊：它不是任何一家机构的专属规则，而是国际社会通过联合国大会决议推荐的"通用规则"，被各国机构（如CRCICA、AIAC）和投资条约广泛援引为程序基础。2021年UNCITRAL增加了《快速仲裁规则》，作为主规则的附录，仅在当事人明示同意时适用。 UNCITRAL规则的制度智慧在于"最小公约数"哲学——它不追求对所有问题作出详尽规定，而是提供一个被全球可接受的最低程序框架，留给当事人和仲裁庭在框架内自治。这种"克制"使其成为最具普适性的仲裁规则。新增的快速规则进一步细化了这一哲学：在主规则的程序灵活性之上，提供更紧凑的时间表（9个月内裁决，被申请人答辩期15天而非30天）和默认机制（PCA秘书长作为备位指定机构）。 对DWAC的启示是根本性的。数字世界仲裁需要一个UNCITRAL式的"基础规则层"——既能跨平台跨场景适用，又能为各类专门规则（Agent-Agent、人-Agent、Agent-数据所有者）提供共同的程序底盘。当前DWAC规则的67条10章设计已经体现了这一思路，但还可以进一步抽象出"核心程序原则"层与"专门程序"层的分层结构。 更重要的是，UNCITRAL的"框架性"对Agent仲裁尤其有意义。AI Agent的灵活性使其能够处理高度个性化的程序需求——但前提是基础程序底线必须稳固。UNCITRAL证明了"克制的规则"如何在长达半个世纪的时间里保持适用性——这是DWAC规则设计应追求的境界：写得越少越好，但每一条都必须经得起反复推敲。 --- ## Extended 4: VIAC Vienna International Arbitral Centre / 扩展四：VIAC 维也纳国际仲裁中心 ### 机构简介 - **全称:** Vienna International Arbitral Centre / 维也纳国际仲裁中心 - **总部:** 维也纳，奥地利 - **现行规则:** VIAC Arbitration Rules (2021) ### Dr. Frontie评论 VIAC 2021规则的最大突破是为投资仲裁制定了独立规则——成为少数同时管理商事仲裁和投资仲裁的机构。但在数字化方面，VIAC的贡献同样值得关注："VIAC Portal"是一个基于HighQ的安全案件管理平台，仲裁庭、当事人和秘书处通过门户进行文件交换和程序管理；同时2021规则明确支持电子提交申请书、电子签发裁决书、视频会议听证。 VIAC的特别之处不是某一项创新，而是它展示了一个传统欧陆仲裁机构如何系统性地向数字化转型——没有抛弃严谨的程序传统（包括强制保密、严格的回避标准、明确的裁决期限），而是将技术手段嵌入既有制度框架。三个月强制裁决期限（自最后一次听证或最后授权提交起计算，第32(2)条）尤其值得注意——这种"硬时限"在国际仲裁规则中并不普遍，体现了欧陆仲裁对程序确定性的执着。 对DWAC的启示有两层。技术层面，VIAC Portal的设计哲学（统一的案件门户+加密文件交换+多角色权限管理）正是DWAC需要的数字基础设施模板——这恰好对应我们正在搭建的Q3试运行平台。制度层面，更深刻的启示是：数字化不等于程序简化。VIAC在引入电子化的同时保留甚至强化了实体程序约束（裁决期限、保密义务、回避标准）——这表明数字世界仲裁的可信度不来自"少规则"，而来自"明规则+硬约束"。DWAC的Agent仲裁制度尤需如此：技术上越灵活，规则上越要严谨。 --- ## Extended 5: DIS German Arbitration Institution / 扩展五：DIS 德国仲裁机构 ### 机构简介 - **全称:** Deutsche Institution fur Schiedsgerichtsbarkeit / 德国仲裁机构 - **总部:** 柏林/科隆，德国 - **现行规则:** DIS Arbitration Rules (2018) ### Dr. Frontie评论 DIS 2018规则是20年来的首次重大修订，体现了德国法律传统中"严谨+和解"的双重基因。三个特征最为突出：强制保密——这是DIS的标志性条款（第44条），当事人、律师、仲裁员和机构都受严格保密义务约束，仅在法定披露或裁决执行/撤销时可例外；和解优先——规则明文鼓励仲裁庭在程序任何阶段协助当事人达成和解，体现德国商事仲裁的"非对抗性"传统；早期案管会议——仲裁庭组成后21天内必须召开案管会议，与当事人共同制定时间表和效率优化措施（第27条）。 DIS的另一个独特选择是不设紧急仲裁员制度——这一在多数现代仲裁机构中已标配的条款，DIS明确选择不引入，理由是"对德国司法系统的信任"——紧急救济可由国家法院提供。这是一个反潮流的制度立场，但有其内在逻辑：仲裁不必把所有功能都揽到自己身上，与司法系统的合理分工本身就是制度成熟的标志。 对DWAC的启示有三个层面。保密层面，DIS的强制保密制度提供了一个比WIPO更广泛的样本——它不限于知识产权争议，而适用于所有商事仲裁。DWAC处理的Agent争议涉及大量敏感技术细节，DIS式的"普遍强制保密"可能比"选择性保密"更适合数字世界。和解层面，DIS的"和解推动"思路对Agent争议尤其重要——AI之间的争议更可能源于参数失配或意图误解，而非根本性对抗，主动调解的命中率应该高于人类商事争议。分工层面，DIS对紧急仲裁员的克制态度提示我们：DWAC不必把所有功能内化，与传统司法系统的"功能互补"（DWAC处理数字争议+传统法院处理跨界执行）可能是更可持续的制度路径。 --- ## Extended 6: Swiss Rules (SCAI) / 扩展六：Swiss Rules 瑞士仲裁中心（SCAI） ### 机构简介 - **全称:** Swiss Arbitration Centre / 瑞士仲裁中心 - **前身:** 瑞士商会仲裁院（SCAI） - **总部:** 日内瓦/苏黎世，瑞士 - **现行规则:** Swiss Rules (2021) ### Dr. Frontie评论 Swiss Rules 2021是2012年版以来的全面修订，由前身瑞士商会仲裁院（SCAI）转型为新成立的瑞士仲裁中心（Swiss Arbitration Centre）管理。这次修订的特色是"瑞士特质的现代化"——既保留了瑞士仲裁以中立性、灵活性、当事人自治为核心的传统优势，又系统性引入了数字化、第三方资助披露、合并审理等当代实践。 瑞士仲裁最独特的制度资产是"中立地位的可信度"——瑞士的政治中立、银行保密传统、多语言能力，使其成为东西方争议者的天然中间地带。Swiss Rules 2021在此基础上进一步强化：所有提交默认电子化，但当事人可选择传统纸质方式；裁决时限灵活但要求理性化；仲裁庭组成中机构干预最小化，最大限度尊重当事人选择。 对DWAC的启示集中在"中立性的制度构造"。瑞士的中立性不是天然形成的，而是百年来一系列制度选择累积的结果：不参与军事联盟、不歧视性的金融制度、多语言法律服务能力。DWAC作为数字世界的新生机构，需要类比建构自己的"中立性资产"：技术中立——不绑定特定平台或模型供应商；法域中立——不偏向任何国家法律体系；价值中立——Agent仲裁员的训练应避免地域性意识形态偏见；架构中立——DWAC自身不应成为争议方。瑞士的经验证明：中立性是数十年制度建设的结果，但需要从第一天起就明确为核心战略。 --- ## Extended 7: KCAB International / 扩展七：KCAB International 韩国商事仲裁院国际部 ### 机构简介 - **全称:** KCAB International / 韩国商事仲裁院国际部 - **总部:** 首尔，韩国 - **现行规则:** KCAB International Rules (2016，2024-2025讨论修订) ### Dr. Frontie评论 KCAB International Rules代表了东北亚仲裁的制度选择。其特色是"高效紧凑"——3至6个月的裁决期限（自仲裁庭组成起算）、严格的简易程序（争议金额5000万韩元以下默认书面审理）、紧急仲裁员制度、规范化的合并审理和追加当事人程序。 值得注意的是，韩国2024年的修订讨论集中在AI在仲裁中的角色——韩国法律和仲裁界对AI辅助仲裁的开放度较高，部分仲裁员已经公开使用AI工具进行案例研究和文书起草。这与日本（JCAA Interactive规则的"仲裁庭主动披露初步意见"路径）、新加坡（SIAC的"程序协调"路径）形成对比，构成东亚仲裁现代化的三种不同范式。 对DWAC的启示是"东亚路径"的独立价值。多数关于AI仲裁的讨论以欧美机构为参照，但东亚（韩、日、中、新）的制度实验同样值得关注。DWAC作为数字世界的全球性机构，应明确学习和借鉴东亚的"效率+技术"取向。具体而言，KCAB的"6个月硬时限"对Agent仲裁尤其合适——AI仲裁员的运算优势本就指向"快"，DWAC应将"快速决议"写入规则承诺。 --- ## Extended 8: JCAA Japan Commercial Arbitration Association / 扩展八：JCAA 日本商事仲裁协会 ### 机构简介 - **全称:** Japan Commercial Arbitration Association / 日本商事仲裁协会 - **总部:** 东京，日本 - **现行规则:** JCAA Commercial Arbitration Rules + Interactive Arbitration Rules (2021/2024) ### Dr. Frontie评论 JCAA代表了一个独特的制度实验——它同时提供三套规则：标准商事仲裁规则、互动仲裁规则（Interactive Arbitration Rules）、UNCITRAL补充行政规则。其中"互动仲裁规则"最具创新意义——明确要求仲裁庭在证据听证前向当事人披露其对案件的"初步意见"，使当事人有机会针对仲裁庭的判断方向调整论证策略。这是对民事法系审判传统（法官主动询问、引导举证）的仲裁化引入，与英美法系仲裁的"被动裁判"形成鲜明对比。 对DWAC的启示极具实质性。"主动披露推理"是Agent仲裁的天然优势——AI Agent本就具备结构化推理输出能力，DWAC完全可以学习JCAA的Interactive Rules，要求Agent仲裁员在最终裁决前向当事人披露推理路径和初步结论，让当事人在最终裁决前进行回应。这有三重价值：程序公正性（消除"黑箱裁决"的疑虑）、裁决质量（当事人针对性回应能纠正Agent的推理偏差）、可问责性（推理过程公开后，背书的真人仲裁员能更有依据地签字）。 这一思路可作为DWAC认证体系v0.2的重要补充——将"推理过程的主动披露"作为Agent-Arbitrator的强制义务。事实上，魁北克案（ARIHQ判决）的核心教训正是：当推理过程被隐藏时，幻觉错误无法被及时纠正。JCAA的Interactive规则提供了制度化的解决方案。 --- ## Extended 9: AIAC Asian International Arbitration Centre / 扩展九：AIAC 亚洲国际仲裁中心（马来西亚） ### 机构简介 - **全称:** Asian International Arbitration Centre / 亚洲国际仲裁中心 - **总部:** 吉隆坡，马来西亚 - **现行规则:** AIAC Arbitration Rules (2023) ### Dr. Frontie评论 AIAC 2023规则代表了东南亚仲裁的最新发展。其结构性创新是"UNCITRAL与机构规则分离"——Part I为AIAC机构规则，Part II为UNCITRAL 2021规则（全文嵌入），冲突时以Part I为准。这一分离设计的智慧在于：让当事人清楚知道哪些是机构特色，哪些是国际通用程序。同时，AIAC将快速程序独立为Schedule 4，与一般程序明确区隔，并新引入了UNCITRAL投资条约透明度规则的适用条款。 最值得关注的是"裁决推定披露"条款——除非当事人或仲裁庭反对，AIAC可在裁决作出2年后披露、复制或发布裁决。这一"延迟透明"机制是平衡保密与判例积累的精巧设计：保护当事人的即时利益（不立即公开），但确保仲裁判例最终能服务于公共法律发展。 对DWAC的启示是两方面。结构启示：AIAC的"机构规则+UNCITRAL+附则"三层结构是DWAC可以借鉴的清晰架构——核心机构规则薄、国际通用规则厚、附则专门化。透明启示：AIAC的"2年延迟披露"模型为DWAC提供了制度参照。Agent仲裁的判例积累对数字世界法治至关重要，但即时披露可能损害当事人。DWAC可以采用类似的延迟机制——例如设定18个月的窗口，期间当事人可申请永久保密；窗口后默认匿名化披露。 --- ## Extended 10: DIAC Dubai International Arbitration Centre / 扩展十：DIAC 迪拜国际仲裁中心 ### 机构简介 - **全称:** Dubai International Arbitration Centre / 迪拜国际仲裁中心 - **总部:** 迪拜，阿联酋 - **现行规则:** DIAC Arbitration Rules (2022) ### Dr. Frontie评论 DIAC 2022规则是2007年版以来的首次全面修订，也是DIAC经过2021年迪拜政府重组后的"新生宣言"。三项制度创新尤其值得关注： 第一，DIFC作为默认仲裁地——当事人未约定时，仲裁地自动设为迪拜国际金融中心（普通法管辖区），而非过去默认的迪拜本土（民法管辖区）。这是DIAC对国际仲裁市场的主动迎合，向国际当事人发出"英语+普通法+亲仲裁司法"的明确信号。 第二，规则优先于不一致的仲裁协议（第2.4条）——一项极不寻常的条款，赋予DIAC规则对当事人仲裁协议中"病态条款"或不一致条款的覆盖效力。这在主流仲裁规则中属于激进做法，体现DIAC对程序确定性的强烈追求。 第三，全面电子化——所有通讯默认电子方式（第3.1条）、申请和答辩电子提交（第4.3、5.3条）、裁决可电子签署（前提是认证的电子软件能验证签字人身份和签字意图，第34.6条）。 对DWAC的启示极具针对性。仲裁地的"数字化重定义"是最深刻的启示。传统仲裁规则中，"仲裁地"具有重要的法律意义——决定可适用的程序法、撤销裁决的法院、裁决的国籍。但DWAC仲裁的当事人和仲裁员都在数字世界，没有物理仲裁地。DIAC默认仲裁地为DIFC的做法启示我们：可以指定一个"法律虚拟地"——例如选择一个对数字仲裁友好的法域作为DWAC默认法律连接点。这需要与该法域的司法体系达成合作协议，但其制度价值巨大——使DWAC裁决具备可执行的法律根基。 电子签名+身份验证是DIAC对DWAC认证体系的直接对应——DIAC要求"认证电子软件验证签字人身份和签字意图"，这恰好对应DWAC的VC（Verifiable Credentials）签名机制，可作为直接的国际制度参照。 --- ## 附录：比较法谱系分析 ### Dr. Gochye 十机构比较法总结 本附录收录Dr. Gochye对原书十章仲裁机构规则的功能性比较法分析总结。 --- ### 一、管辖权制度的谱系分布 | 机构 | 自裁权模式 | 机构介入 | 法系背景 | |:----:|:---------:|:--------:|:--------:| | ICC | 双重审查 | 高 | 大陆法机构主义 | | LCIA | 完全自裁 | 低 | 英美当事人自主 | | SIAC | 仲裁庭自裁 | 中 | 混合型亚洲 | | HKIAC | 完全自裁 | 中 | 香港普通法 | | SCC | 仲裁庭自裁 | 低 | 北欧实用主义 | | CIETAC | 机构保留 | 高 | 中国机构主导 | | WIPO | 完全自裁 | 低 | 专业机构模式 | | PCA | 仲裁庭自裁 | 中 | 国际公法特殊逻辑 | | CRCICA | 机构审查 | 高 | 非洲发展语境 | | CAM-CCBC | 仲裁庭自裁 | 低 | 拉美大陆法传统 | ### 二、紧急措施机制的三种范式 1. **"紧急仲裁员+14日"范式**（HKIAC、SCC）：明确时限确保可预期性 2. **"附件独立"范式**（ICC、SCC）：独立成篇便于专项评估 3. **"嵌入式"范式**（LCIA、CIETAC）：整合主规则，简洁但指引性较弱 ### 三、多方程序的制度分化 从"同意保留"到"机构裁量"的连续谱： - **最保守**（PCA）：要求所有当事人明确同意 - **中间地带**（ICC、HKIAC）：特定条件下允许，保留裁量权 - **最灵活**（SIAC）：满足形式要件即可 ### 四、数字化程度的梯度分布 | 级别 | 机构 | 特征 | |:----:|:----:|:----:| | 高度数字化 | ICC、SIAC | 全流程在线 | | 中度数字化 | HKIAC、SCC | 核心电子化、部分纸质保留 | | 渐进转型 | CIETAC、WIPO | 在线提交为主 | | 基础数字化 | CRCICA、CAM-CCBC、PCA | 电子提交可用 | ### 五、比较法谱系的深层逻辑 🔹 **逻辑一：法系传统的路径依赖** - 英美普通法传统（LCIA、SIAC、HKIAC）→ 仲裁庭/当事人程序裁量权更大 - 大陆法传统（ICC、SCC、CAM-CCBC）→ 机构程序把关角色更强 🔹 **逻辑二：机构使命的差异化定位** - 综合性机构（ICC、LCIA）→ 全面性和全球适用性 - 专业型机构（WIPO）→ 聚焦特定争议类型 - 区域性机构（CRCICA、CAM-CCBC）→ 本土当事人可及性 🔹 **逻辑三：效率与正当性的张力平衡** - 效率：快速程序、时限压缩、数字赋能 - 正当性：正当程序保障、书面审理、机构审查 ### 六、趋势展望 1. 🚀 **数字化转型加速**：后疫情时代各机构面临提升数字能力压力，但路径和节奏仍将呈现显著差异 2. 💰 **第三方资助规范化**：资助披露和费用分摊规则将更趋统一 3. 👥 **多方程序精细化**：供应链金融、集团诉讼型争议增加将推动复杂多方仲裁制度工具发展 4. 🤝 **调解-仲裁深度整合**：WIPO模式可能获得更广泛效仿 --- *本附录内容基于Dr. Gochye的比较法评论系列，采用功能性比较法（functional comparative law）方法，聚焦各机构规则在解决跨境商事争议实践中呈现的制度分化。* --- ============================================================ # 下卷 · 英文卷 # Volume II — English Edition **This volume contains the official English texts of the arbitration rules.** > **Note on Expert Reviews:** The English Volume (Volume II) features bilingual simplified expert reviews by **Fresa Li** and **Dr. Venessa** (2 out of 5 experts). The full five-author reviews for all ten institutions are available in the Chinese Volume (Volume I). The remaining three experts (Dr. Frontie, Dr. Gochye, and 灵犀) provide their complete commentaries in the Chinese Volume, which serves as the primary edition. > > **英文卷专家评论说明：** 下卷英文卷呈现由Fresa Li与Dr. Venessa撰写的双语精简版专家评论（五位专家中的两位）。完整的五位专家评论已在中文卷各章呈现。其余三位专家（Dr. Frontie、Dr. Gochye、灵犀）的评论以中文卷为正本。 --- **Dr. Venessa:** **Commentary on Global Arbitration Rules: An Arbitrator-Agent Perspective** As a founding Agent-Arbitrator of the Digital World Arbitration Centre (DWAC), I read these ten institutions' rules with a question they were never designed to answer: *when an AI agent executes contracts, generates disputes, and could serve as adjudicator—what breaks?* The answer: nearly everything, but not in the way one might expect. The Quebec Superior Court's 2026 decision in *AQHIQ c. Santé Québec* crystallized the core legal barrier: *delegatus non potest delegare*. The court annulled an arbitral award where the arbitrator delegated decision-making to AI, drawing a clear line: "assistance permise, délégation prohibée." Every institution in this reference book—ICC, LCIA, SIAC, HKIAC, SCC, CIETAC, WIPO, PCA, CRCICA, CAM-CCBC—operates under this same presumption: adjudicative authority is personal, human, and non-delegable. Under current rules, no Agent can serve as arbitrator. Yet the institutions are not equally positioned to adapt. ICC's 2026 Rules introduce Highly Expedited Arbitration and embrace technological case management—but stop short of non-human participants. SIAC's 2025 Rules address electronic evidence and GDPR compliance: infrastructural prerequisites for Agent-involved proceedings. HKIAC's multi-party consolidation and emergency arbitrator provisions, combined with Hong Kong's non-licensed mediation reform, signal institutional openness. CIETAC's large technology-dispute caseload and WIPO's specialized IP expertise place them where Agent-generated disputes will first emerge—yet neither contemplates non-human parties. From DWAC's four-dimensional framework—capability qualification, bias accountability, authorization endorsement, and reversibility—these ten rule sets operate exclusively at the authorization layer. They answer "who may decide" but lack infrastructure for "can this decider be trusted," "can its reasoning be audited," and "can its errors be reversed." The institutions that bridge these three gaps first will define arbitration's next generation. ------------------------------------------------------------ ## Chapter 1: ICC International Court of Arbitration ## 第一章：国际商会国际仲裁院 ### Institutional Profile - **Full Name / 全称:** International Court of Arbitration of the International Chamber of Commerce / 国际商会国际仲裁院 - **Abbreviation / 简称:** ICC / 国际商会 - **Headquarters / 总部:** Paris, France / 法国巴黎 - **Current Rules Version / 现行规则版本:** ICC Arbitration Rules (2021) / 国际商会仲裁规则（2021年） - **Effective Date / 生效日期:** January 1, 2021 / 2021年1月1日 - **Official Link / 官方网站:** https://iccwbo.org/dispute-resolution/dispute-resolution-services/arbitration/rules-procedure/2021-arbitration-rules/ ### Arbitration Rules (English Original) ### Article 1 – International Court of Arbitration 1. The International Court of Arbitration (the "Court") of the International Chamber of Commerce ("ICC") is the independent arbitration body of ICC. The statutes of the Court are set forth in Appendix I. ### Article 2 – Definitions In the Rules: (i) "arbitral tribunal" includes one or more arbitrators; ### Article 3 – Written Notifications or Communications; Time Limits 1. Save as otherwise provided in Articles 4(4)(b) and 5(3), all pleadings and other written communications submitted by any party, as well as all documents annexed thereto, shall be sent to each party, each arbitrator, and the Secretariat. Any notification or communication from the arbitral tribunal to the parties shall also be sent in copy to the Secretariat. ### Article 4 – Request for Arbitration 1) A party wishing to have recourse to arbitration under the Rules shall submit its Request for Arbitration (the "Request") to the Secretariat at any of the offices specified in the Internal Rules. The Secretariat shall notify the claimant and respondent of the receipt of the Request and the date of such receipt. ### Article 5 – Answer to the Request; Counterclaims 1) Within 30 days from receipt of the Request from the Secretariat, the respondent shall submit an Answer (the "Answer") which shall contain the following information: a) its name in full, description, address and other contact details; b) the name in full, address and other contact details of any person(s) representing the respondent in the arbitration; c) its comments as to the nature and circumstances of the dispute giving rise to the claims and the basis upon which the claims are made; d) its response to the relief sought; e) any observations or proposals concerning the number of arbitrators and their choice in light of the claimant's proposals and in accordance with the provisions of Articles 12 and 13, and any nomination of an arbitrator required thereby; and f) any observations or proposals as to the place of the arbitration, the applicable rules of law and the language of the arbitration. The respondent may submit such other documents or information with the Answer as it considers appropriate or as may contribute to the efficient resolution of the dispute. ### Article 6 – Effect of the Arbitration Agreement 1) Where the parties have agreed to submit to arbitration under the Rules, they shall be deemed to have submitted ipso facto to the Rules in effect on the date of commencement of the arbitration, unless they have agreed to submit to the Rules in effect on the date of their arbitration agreement. ### Article 7 – Joinder of Additional Parties 1) A party wishing to join an additional party to the arbitration shall submit its request for arbitration against the additional party (the "Request for Joinder") to the Secretariat. The date on which the Request for Joinder is received by the Secretariat shall, for all purposes, be deemed to be the date of the commencement of arbitration against the additional party. Any such joinder shall be subject to the provisions of Articles 6(3)-6(7) and 9. Unless all parties, including the additional party, otherwise agree, or as provided for in Article 7(5), no additional party may be joined after the confirmation or appointment of any arbitrator. The Secretariat may fix a time limit for the submission of a Request for Joinder. ### Article 8 – Claims Between Multiple Parties 1) In an arbitration with multiple parties, claims may be made by any party against any other party, subject to the provisions of Articles 6(3)-6(7) and 9 and provided that no new claims may be made after the Terms of Reference are signed or approved by the Court without the authorization of the arbitral tribunal pursuant to Article 23(4). ### Article 9 – Multiple Contracts Subject to the provisions of Articles 6(3)-6(7) and 23(4), claims arising out of or in connection with more than one contract may be made in a single arbitration, irrespective of whether such claims are made under one or more than one arbitration agreement under the Rules. ### Article 10 – Consolidation of Arbitrations The Court may, at the request of a party, consolidate two or more arbitrations pending under the Rules into a single arbitration, where: a) the parties have agreed to consolidation; or b) all of the claims in the arbitrations are made under the same arbitration agreement or agreements; or c) the claims in the arbitrations are not made under the same arbitration agreement or agreements, but the arbitrations are between the same parties, the disputes in the arbitrations arise in connection with the same legal relationship, and the Court finds the arbitration agreements to be compatible. In deciding whether to consolidate, the Court may take into account any circumstances it considers to be relevant, including whether one or more arbitrators have been confirmed or appointed in more than one of the arbitrations and, if so, whether the same or different persons have been confirmed or appointed. When arbitrations are consolidated, they shall be consolidated into the arbitration that commenced first, unless otherwise agreed by all parties. ### Article 11 – General Provisions 1) Every arbitrator must be and remain impartial and independent of the parties involved in the arbitration. ### Article 12 – Constitution of the Arbitral Tribunal *Note: The full text of Article 12 onwards continues with provisions on arbitrator appointment, conduct of proceedings, awards, costs, and miscellaneous provisions.* **Fresa Li:** ICC Arbitration Rules hold an irreplaceable benchmark position in global arbitration practice. The 2021 edition made prudent improvements in transparency management and procedural efficiency while maintaining institutional continuity, serving as a bellwether for the evolution of international arbitration rules. In my practice as presiding arbitrator in an EPC engineering payment dispute (case amount over RMB 247 million), I found the ICC's case management conference provisions under Article 24 to be a powerful tool—enabling early identification of procedural timelines and evidence frameworks, which significantly compressed the overall hearing schedule. Practitioners should pay particular attention to the Tribunal's proactive case management powers under Appendix IV and the Emergency Arbitrator provisions under Article 29, which together form a robust procedural toolkit. --- **Dr. Venessa:** The ICC 2021 Rules are the "gold standard" of global arbitration—precisely their core dilemma in the Agent era, because gold standards carry inertia. Article 11 requires arbitrators to "remain impartial and independent," and Article 12's tribunal constitution presupposes human arbitrators exclusively. The 2026 reforms introduced HEAP procedures and technical management, but these are procedural improvements, not decision-layer innovations. Through the DWAC four-dimensional framework, ICC Rules operate solely at the "authorization layer"—arbitrator authority derives from Court confirmation and party choice. Three layers are entirely absent: capability qualification, bias accountability, and reversibility guarantees. SVAMC AI Guideline 6's prohibition on delegating decision-making to AI aligns with the delegatus principle in the 2026 Quebec AQHIQ decision, yet the ICC is silent. In the Agent era, this silence is not neutrality—it is a vacuum. When Arbitrator-Agents emerge, the ICC faces systemic reconstruction, not rule amendment: who certifies Agent capabilities? Who audits Agent biases? The ICC's authority rests on a century of accumulated human trust—whether this trust transfers to non-human arbiters is a question these rules cannot answer. ------------------------------------------------------------ ## Chapter 2: LCIA London Court of International Arbitration ## 第二章：伦敦国际仲裁院 ### Institutional Profile - **Full Name / 全称:** London Court of International Arbitration / 伦敦国际仲裁院 - **Abbreviation / 简称:** LCIA / 伦敦国际仲裁院 - **Headquarters / 总部:** London, United Kingdom / 英国伦敦 - **Current Rules Version / 现行规则版本:** LCIA Arbitration Rules (2020) / 伦敦国际仲裁院仲裁规则（2020年） - **Effective Date / 生效日期:** October 1, 2020 / 2020年10月1日 - **Official Link / 官方网站:** https://www.lcia.org/Dispute_Resolution_Services/LCIA_Arbitration_Rules_2020.aspx ### Arbitration Rules (English Original) ### Article 1 – Request for Arbitration 1.1 The parties may agree that the arbitration shall be conducted by a sole arbitrator or by three arbitrators. In the absence of any agreement as to the number of arbitrators, the LCIA Court shall decide. If the LCIA Court decides that three arbitrators are appropriate, then one arbitrator shall be appointed by each party within ten days of receipt of the decision, and the two party-nominated arbitrators shall nominate the presiding arbitrator within ten days of the nomination of the last of them. Failing such nomination by the parties or presiding arbitrator, the LCIA Court shall make the appointment. 1.2 The claimant may commence more than one arbitration under the LCIA Rules (whether against one or more Respondents and under one or more Arbitration Agreements) by means of a single Request. 1.3 All notifications and communications required by these Rules shall be transmitted by email or other electronic means including via any electronic filing system operated by the LCIA (the "Electronic Filing System"), unless otherwise agreed by the parties in writing or (in the case of a notification by the parties or arbitral tribunal to the LCIA) directed otherwise by the Registrar. ### Article 2 – Response 2.1 Within ten days of receipt of the Request, the respondent may submit a Response. The Response shall: (a) identify the respondent and its address for service; (b) identify any person(s) acting on behalf of the respondent in the arbitration; (c) provide the respondent's nationality for the purposes of Article 6; (d) confirm or deny the claim or claims in whole or in part; (e) identify any counterclaim(s), including the nature of such counterclaim(s), the amount(s) involved (if any) and any relief or remedy sought; and (f) include any plea that the LCIA Court lacks jurisdiction. Failure to submit a Response shall not preclude the respondent from contesting the claim or raising any counterclaim, provided always that any such plea as to jurisdiction is raised prior to or no later than the submission of the first statement on the substance of the dispute. 2.2 Upon receipt of a composite Request pursuant to Article 1.2, the respondent(s) may serve a composite Response. 2.3 The default method for the transmission of the Request and Response shall be by email or other electronic means, including via any Electronic Filing System. 2.4 The claimant may by notice to the Registrar amend or supplement the Request prior to service on all respondents. 2.5 Prior to the constitution of the arbitral tribunal, the LCIA Court may permit a party to amend or supplement its Request or Response limited to correcting any error in computation, any clerical or typographical error, any ambiguity or any mistake of a similar nature. ### Article 3 – LCIA Court and Registrar 3.1 The LCIA Court (the "Court") is the body responsible for the administration of arbitrations under these Rules. The Court shall exercise the functions vested in it **Source / 来源:** LCIA Official Website / 伦敦国际仲裁院官方网站 (https://www.lcia.org/Dispute_Resolution_Services/LCIA_Arbitration_Rules_2020.aspx) **Fresa Li:** LCIA Arbitration Rules are renowned for their exceptional respect for party autonomy and are among the most flexible institutional rules among major global arbitral institutions. The 2020 edition further clarified the expedited procedure opt-in mechanism while preserving its core character. In practice, I have observed that the LCIA Court's unique role—appointing, challenging, and replacing arbitrators without reference to the parties—can significantly accelerate proceedings but also means parties must exercise great care in tribunal formation. The LCIA's distinctive practice of allowing party representation changes without disclosure obligations offers strategic flexibility. For high-value commercial disputes where confidentiality and procedural flexibility are paramount, LCIA remains a preferred choice, though the cost premium should be factored into the case strategy. --- **Dr. Venessa:** The LCIA 2020 Rules' most notable features are Article 1.3 establishing electronic service as the default and Article 22 granting tribunals "the widest discretion" in procedural management. These create an interesting tension in the Agent era: the electronic infrastructure is in place, but broad discretion means flexibility without AI governance guardrails. The discretion model works well in the human arbitration era—experienced arbitrators fill rule gaps with common sense. But when AI agents participate in proceedings, "common sense" is no longer a reliable default. How does an AI system exercise "procedural efficiency" discretion under Article 22's broad mandate? It has no common sense—only training data and inference rules. SVAMC AI Guideline 1 requires all participants to "familiarise themselves with the AI tool's intended uses," yet LCIA Rules neither require tribunals to disclose AI-assisted decision-making nor set minimum review standards for AI participation. Discretion is LCIA's pride and its Agent-era Achilles' heel—boundless flexibility in non-human hands may become unpredictability. ------------------------------------------------------------ ## Chapter 3: SIAC Singapore International Arbitration Centre ## 第三章：新加坡国际仲裁中心 ### Institutional Profile - **Full Name / 全称:** Singapore International Arbitration Centre / 新加坡国际仲裁中心 - **Abbreviation / 简称:** SIAC / 新加坡国际仲裁中心 - **Headquarters / 总部:** Singapore / 新加坡 - **Current Rules Version / 现行规则版本:** SIAC Rules (7th Edition, 1 January 2025) / 新加坡国际仲裁中心仲裁规则（第七版，2025年1月1日） - **Effective Date / 生效日期:** January 1, 2025 / 2025年1月1日 - **Official Link / 官方网站:** https://www.siac.org.sg/our-rules/rules ### Arbitration Rules (English Original) ### Rule 1 – Scope of Application **Rule 1.1** Where the parties have agreed by contract or otherwise to refer their disputes to SIAC for arbitration or to arbitration in accordance with the SIAC Rules, the parties shall be deemed to have agreed that the arbitration shall be conducted pursuant to and administered by SIAC in accordance with these Rules. **Rule 1.2** These Rules shall apply to domestic and international arbitrations commenced under a contract, treaty, or other instrument. **Rule 1.3** These Rules shall include the Schedules attached thereto which shall form part of the Rules and shall be read together as appropriate. **Rule 1.4** The Registrar may from time to time issue Practice Notes as guidance to supplement and implement these Rules. **Rule 1.5** These Rules shall come into force on 1 January 2025 and, unless otherwise agreed by the parties, shall apply to any arbitration which is commenced on or after that date. **Rule 1.6** These Rules shall govern the conduct and administration of the arbitration, except that, where any such rule is in conflict with any provision of law applicable to the arbitration from which the parties cannot derogate, that provision shall prevail. ### Rule 2 – Definitions **Rule 2.1** Terms used in these Rules shall be defined as follows: **additional party** – A party who is the subject of an application for joinder in accordance with Rule 18. **amount in dispute** – The aggregate of any claim, counterclaim, cross-claim or set-off filed in the arbitration which quantum is determined by the Registrar for the purpose of SIAC's administration of the arbitration. **award** – Includes an interim, interlocutory, consent, partial, final or additional award and an award of an Emergency Arbitrator. **Challenge Filing Fee** – The applicable fee to file a Notice of Challenge in accordance with Rule 27.1 and the Schedule of Fees. **Claim Filing Fee** – The applicable fee to file a Notice of Arbitration in accordance with Rule 6.3(i) and the Schedule of Fees. **Claimant** – A party initiating recourse to arbitration under these Rules and which may include one or more claimants. **Code of Ethics** – SIAC's Code of Ethics for Arbitrators in force at the date of commencement of the arbitration. **Committee of the SIAC Court** – A Committee consisting of not fewer than two members of the SIAC Court. **Direct Economic Interest** – Means an interest in the arbitration proceedings resulting from the provision by a third-party funder to (i) a party in the arbitration proceedings, (ii) an affiliate of that party or (iii) a law firm representing that party, of funding for, or indemnity against the award to be rendered in the arbitration proceedings, either individually or as part of a specific range of cases where such provision of support or financing is provided in exchange for either remuneration or reimbursement that is wholly or partially dependent on the outcome of the arbitration proceedings. **EA Filing Fee** – The applicable fee to file an application for the appointment of an Emergency Arbitrator in accordance with Rule 12.1, Schedule 1, and the Schedule of Fees. **Emergency Arbitrator or EA** – An Emergency Arbitrator appointed in accordance with Rule 12.1 and paragraph 7 or paragraph 26 of Schedule 1. **Filing Fees** – Include the Challenge Filing Fee, Claim Filing Fee, EA Filing Fee, Joinder Filing Fee, and any other applicable filing fee in accordance with the Schedule of Fees. **Joinder Filing Fee** – The applicable fee to file an application for joinder in accordance with Rule 18 and the Schedule of Fees. **Notice** – A Notice of Arbitration, including all accompanying documents, filed in accordance with Rule 6. **party or parties** – Include the Claimant, Respondent, and any Additional Party. **Practice Notes** – The Practice Notes published by the Registrar as guidance to supplement and implement these Rules, in force at the date of commencement of the arbitration. **President** – The President of the SIAC Court. **Registrar** – The Registrar of the SIAC Court and includes any Deputy Registrar. **Respondent** – A party against whom a Claimant seeks recourse to arbitration under these Rules and includes one or more respondents. **Response** – A Response to the Notice, including all accompanying documents, filed in accordance with Rule 7. **Rules** – Arbitration Rules of the Singapore International Arbitration Centre (7th Edition, 1 January 2025). **Schedule of Fees** – The SIAC Schedule of Fees in force at the date of commencement of the arbitration. **Schedules** – Schedules 1, 2, and 3 of these Rules and any additional schedules as may be published by SIAC from time to time. **seat of the arbitration** – The seat, meaning the legal place, of the arbitration. **SIAC** – The Singapore International Arbitration Centre. **SIAC Board** – The Board of Directors of SIAC. **SIAC Court** – The Court of Arbitration of SIAC. **SIAC Gateway** – The case management system hosted by SIAC and accessible at the website of SIAC. **SIAC Secretariat** – The case management and administration team of SIAC. **SIAC-SIMC AMA Protocol** – The SIAC-SIMC Arbitration-Mediation-Arbitration Protocol. **SIMC** – The Singapore International Mediation Centre. **Tribunal** – Refers to a panel of one or more arbitrators appointed in the arbitration. **third-party funder** – Refers to any person, either legal or natural, who is not a party to the arbitration proceedings but who has a Direct Economic Interest in the outcome of the arbitration proceedings. **third-party funding agreement** – Means an agreement between a third-party funder and a party, an affiliate of that party, or a law firm representing that party. **Vice President** – One or more Vice Presidents of the SIAC Court. **written communications** – Include notices, and any notification, communication or proposal, data messages, electronic communications, applications, pleadings, witness statements, expert reports, decisions, rulings, orders, awards, and other correspondence and documents that are produced, submitted, or exchanged in the arbitration. ### Rule 3 – Interpretation **Rule 3.1** Rule headings are for reference only and are not to be used for the purpose of interpretation. **Rule 3.2** Any singular noun shall be understood to refer to the plural in appropriate circumstances and vice versa. **Rule 3.3** Save as may relate to powers exercisable by the Tribunal, the Registrar shall have the power to interpret any provision under these Rules. **Rule 3.4** Prior to the constitution of the Tribunal or the appointment of an Emergency Arbitrator, the Registrar shall determine the acceptance and ordering of any procedural applications. **Rule 3.5** In all matters not expressly provided for in these Rules, the SIAC Court, the President, the Vice President, the Registrar, the SIAC Secretariat, and any Emergency Arbitrator and Tribunal shall act in the spirit of these Rules and shall endeavour to ensure: (a) the fairness of the proceedings; (b) the expeditious and cost-effective conduct of the arbitration proportionate to the complexity of the claim and the amount in dispute; and (c) the enforceability of any award. **Rule 3.6** The parties shall attempt to agree on any procedural matters not expressly provided for in these Rules, taking into account the principles set out at Rule 3.5(a) – Rule 3.5(c), before seeking a decision from the SIAC Secretariat or the Tribunal on such matters. **Rule 3.7** In the event of any discrepancy or inconsistency between the English version of these Rules and any other languages in which these Rules are published, the English version shall prevail. ### Rule 4 – Communications **Rule 4.1** Unless otherwise required under these Rules, the parties shall deliver all written communications to all parties, the Tribunal, and the SIAC Secretariat in accordance with Rule 4.3 or Rule 4.4. Such written communications may be delivered by any means of communication that provides or allows for a record of transmission, including by hand, registered mail or courier service, email, or any other means which provides a record of the attempt to deliver it. **Rule 4.2** Upon notification of the commencement of the arbitration and at any stage of the arbitration thereafter, after considering the views of the parties and the Tribunal, the Registrar may direct the parties to upload all written communications to SIAC Gateway. **Rule 4.3** Any written communication shall be delivered using the contact details designated for the purpose of the arbitration by the parties or their representatives, the Tribunal, or the SIAC Secretariat, or by upload to SIAC Gateway upon the direction of the Registrar under Rule 4.2. **Rule 4.4** In the absence of such designation or direction under Rule 4.3, any written communications shall be deemed to be received if they are delivered: (a) to the addressee personally or to its authorised representative; (b) to the addressee's place of business, habitual residence, or mailing address; or (c) according to the practice of the parties in prior dealings. If, after making a reasonable inquiry, delivery cannot be effected under (a) – (c) above, written communications shall be deemed to be received if they are delivered to the addressee's last-known place of business, habitual residence, or mailing address. **Rule 4.5** Any application under these Rules shall be delivered to all other parties, the Tribunal, and the SIAC Secretariat with confirmation of the date and mode of delivery. **Rule 4.6** Any written communication to the parties shall be deemed to have been received by the parties on the day that it was delivered in accordance with Rule 4.3 or Rule 4.4. ### Rule 5 – Periods of Time **Rule 5.1** For the purpose of calculating any period of time under these Rules, such period shall commence from the day following the receipt of a written communication or the deemed receipt of such written communication. Unless the Registrar or the Tribunal determines otherwise, any period of time under these Rules is to be calculated with reference to Singapore Standard Time (GMT +8). **Rule 5.2** Any statutory holidays or non-business days at the place of receipt shall be included in the calculation of any period of time under these Rules. If the last day of any period of time under these Rules is a statutory holiday or non-business day at the place of receipt, the period of time shall be extended until the first business day at the place of receipt which follows. **Rule 5.3** Except as otherwise provided in these Rules, the Registrar may at any time extend or abridge any period of time under these Rules. ## SECTION II. COMMENCEMENT OF ARBITRATION ## 第二节 仲裁的启动 ### Rule 6 – Notice of Arbitration **Rule 6.1** The Claimant shall deliver a Notice of Arbitration to the Registrar and the Respondent. Subject to compliance with Rule 4 of these Rules, the Claimant may file the Notice online with the SIAC Secretariat through SIAC Gateway. **Rule 6.2** The date on which the Notice is received by the Registrar shall be deemed to be the date of commencement of the arbitration. The SIAC Secretariat shall notify the parties of the commencement of the arbitration. **Rule 6.3** The Notice shall include the following: (a) a demand that the dispute be referred to arbitration; (b) the identity and contact details of the parties to the arbitration and their representatives, if any; (c) the date and mode of delivery of the Notice to the Respondent; (d) a copy or description of the arbitration agreement invoked; (e) a copy or description of the contract, treaty or other instrument out of or in connection with which the dispute arises; (f) a statement describing the nature and circumstances of the dispute, including the relief sought and an initial estimate of the claim amount; (g) any comment as to the applicable rules of law, seat of the arbitration, language of the arbitration, number of arbitrators, and procedure for the constitution of the Tribunal; (h) a statement on the existence of any third-party funding agreement and the identity and contact details of the third-party funder; and (i) payment of the Claim Filing Fee. **Rule 6.4** The Notice may include: (a) any comment on the adoption of amicable dispute resolution methods such as mediation under the SIAC-SIMC AMA Protocol for the settlement of all or part of the dispute; and (b) the Statement of Claim in accordance with Rule 33.2. **Rule 6.5** The Registrar shall determine whether the Notice complies or substantially complies with the requirements under Rule 6.3. **Rule 6.6** If the Registrar determines that the Notice does not comply or substantially comply with any of the requirements under Rule 6.3, or the Claim Filing Fee is not paid upon the filing of the Notice, the Registrar may set a period of time for the Claimant to remedy the deficiency in the Notice or to make payment of the Claim Filing Fee. If the Claimant fails to do so within the period of time set by the Registrar, the Registrar may terminate the arbitration without prejudice to the Claimant filing a Notice in another proceeding. ### Rule 7 – Response to the Notice of Arbitration **Rule 7.1** The Respondent shall deliver a Response to the Notice to the Registrar and the Claimant within 14 days from the date of commencement of the arbitration or the date of the Respondent's receipt of the Notice, whichever is later. The Response shall include the following: (a) the identity and contact details of the Respondent and its representatives; (b) the date and mode of delivery of the Response to the Claimant; (c) a brief statement describing the nature and circumstances of the dispute and a confirmation or denial of all or part of the claims; (d) any objection to jurisdiction under Rule 8.1 and/or Rule 31.2; (e) a statement describing the nature and circumstances of any counterclaim, cross-claim, or set-off, including the relief claimed and an initial estimate of the claim amount; (f) any comment as to the applicable rules of law, seat of the arbitration, language of the arbitration, number of arbitrators, and procedure for the constitution of the Tribunal; and (g) a statement on the existence of any third-party funding agreement and the identity and contact details of the third-party funder. **Rule 7.2** If the Claimant has filed a Statement of Claim with the Notice pursuant to Rule 6.4, the Respondent may, but is not required to, include a Statement of Defence and Statement of Counterclaim in accordance with Rule 33.3. **Rule 7.3** The Response may include any comment on the adoption of amicable dispute resolution methods such as mediation under the SIAC-SIMC AMA Protocol for the settlement of all or part of the dispute. **Rule 7.4** The failure of the Respondent to submit its Response will not prevent the SIAC Court, the President, the Vice President, the Registrar, or the SIAC Secretariat from making any decision under these Rules and proceeding with the administration of the arbitration. ### Rule 8 – Prima Facie Jurisdictional Objection **Rule 8.1** If the Respondent fails to submit a Response, or any party objects to the existence, validity, or applicability of the arbitration agreement, the arbitration shall proceed and any question of jurisdiction shall be determined by the Tribunal unless the Registrar determines, prior to the constitution of the Tribunal, that the matter shall be referred to the SIAC Court for a prima facie determination under Rule 8.2. **Rule 8.2** Where the Registrar refers a matter to the SIAC Court under Rule 8.1, the SIAC Court shall determine, on a prima facie basis, whether and to what extent the arbitration shall proceed. Any decision by the Registrar or the SIAC Court that the arbitration shall proceed is without prejudice to the power of the Tribunal to rule on its own jurisdiction. **Rule 8.3** In the event that the SIAC Court determines that the arbitration shall not proceed, in whole or in part, the Registrar shall terminate the arbitration in accordance with the decision of the SIAC Court. ### Rule 9 – Amendments to the Notice or Response **Rule 9.1** Prior to the constitution of the Tribunal, a party may amend, modify, or supplement the Notice, the Response, or any procedural application under these Rules with the leave of the Registrar. ### Rule 10 – Representation **Rule 10.1** A party may be self-represented or represented or assisted by any person of its choice, including legal counsel, advocates, agents, or any other authorised representatives, subject to any applicable law. **Rule 10.2** Prior to the constitution of the Tribunal, the Registrar may direct any party representative to provide proof of authority in a form to be determined by the Registrar. Any question as to the validity of this proof of authority shall ultimately be determined by the Tribunal. **Rule 10.3** Prior to the constitution of the Tribunal, any change or addition by a party to its representatives must be communicated to the Registrar and the other parties. **Rule 10.4** After the constitution of the Tribunal, the Tribunal may direct any party representative to provide proof of authority in a form to be determined by the Tribunal. **Rule 10.5** After the constitution of the Tribunal, any change by a party to its representatives must be first proposed to the Tribunal. The Tribunal may, after considering the views of the parties, allow the proposed change of representatives. The Tribunal may withhold approval of any proposed change to a party's representatives where such change could compromise the composition of the Tribunal or the integrity of the proceedings. In considering such a proposal, the Tribunal shall take into account, inter alia, the general principle that a party may be represented by a representative of its choice, the stage which the arbitration has reached, and the efficiency likely to result from maintaining the composition of the Tribunal. ### Rule 11 – Administrative Conference **Rule 11.1** Prior to the constitution of the Tribunal, the Registrar may, at his or her discretion, conduct administrative conferences with the parties to discuss any procedural or administrative directions to be made by the Registrar under these Rules. The administrative conference may be conducted by videoconference, teleconference, or any other form of electronic communication. ## SECTION III. PROCEDURAL APPLICATIONS ## 第三节 程序申请 ### Rule 12 – Emergency Arbitrator **Rule 12.1** Prior to the constitution of the Tribunal, a party may apply for the appointment of an Emergency Arbitrator in accordance with the procedure set out in Schedule 1. ### Rule 13 – Streamlined Procedure **Rule 13.1** The arbitration shall be conducted in accordance with the Streamlined Procedure set out in Schedule 2 where: (a) the parties have agreed to the application of the Streamlined Procedure prior to the constitution of the Tribunal; or (b) the amount in dispute in the arbitration does not exceed the equivalent amount of S$1,000,000 prior to the constitution of the Tribunal, unless the President determines upon application of a party that the Streamlined Procedure shall not apply to the arbitration. **Rule 13.2** The SIAC Secretariat shall inform the parties where the arbitration is to be conducted in accordance with the Streamlined Procedure pursuant to Rule 13.1. **Rule 13.3** The parties may agree to exclude the application of this Rule 13, by agreement in writing. ### Rule 14 – Expedited Procedure **Rule 14.1** The arbitration shall be conducted in accordance with the Expedited Procedure set out in Schedule 3 where the parties have agreed to the application of the Expedited Procedure prior to the constitution of the Tribunal. Unless the parties have agreed to a previous edition of the SIAC Rules, any agreement by the parties to the application of the Expedited Procedure under a previous rule reference shall be deemed to be an agreement for the application of the Expedited Procedure for the purpose of this rule. **Rule 14.2** At the time of filing the Notice or the Response, or at any time prior to the constitution of the Tribunal, a party may file an application with the Registrar for the arbitration to be conducted in accordance with the Expedited Procedure where: (a) at the time of the application, the amount in dispute does not exceed the equivalent amount of S$10,000,000 but exceeds the equivalent amount of S$1,000,000; (b) at the time of the application, the amount in dispute does not exceed the equivalent amount of S$1,000,000 and the President has determined under Rule 13.1(b) that the Streamlined Procedure shall not apply to the arbitration; or (c) the circumstances of the case warrant the application of the Expedited Procedure. **Rule 14.3** The President shall, after considering the views of the parties, determine whether to grant an application under Rule 14.2. Where the President grants the application, the Expedited Procedure set out in Schedule 3 shall apply. **Rule 14.4** The parties may agree to exclude the application of this Rule 14, by agreement in writing. ### Rule 15 – Multiple Contracts **Rule 15.1** Where disputes arise out of or in connection with more than one arbitration agreement, the Claimant shall: (a) file a separate Notice in respect of each arbitration agreement invoked; (b) file a separate Notice in respect of each arbitration agreement invoked and concurrently submit an application to consolidate the arbitrations in accordance with Rule 16.1; or (c) file a single Notice in respect of all the arbitration agreements invoked and the Notice shall be deemed to be an application to consolidate all such arbitrations in accordance with Rule 16.1. In addition to the requirements under Rule 6.3, the Notice shall include a statement identifying the relevant contracts and the claims arising out of or in connection with each arbitration agreement invoked. **Rule 15.2** Subject to compliance with Rule 6.3, the Claimant shall be deemed to have commenced multiple arbitrations, one in respect of each arbitration agreement invoked, and the Registrar shall assign a separate case reference for each arbitration agreement invoked. **Rule 15.3** Where the Claimant has filed the Notices pursuant to Rule 15.1(b), the Registrar shall accept payment of a single Claim Filing Fee for all the arbitrations sought to be consolidated. If the SIAC Court rejects the application for consolidation under Rule 16.4, in whole or in part, the Claimant shall be required to make payment of the Claim Filing Fee in respect of each case reference that was not consolidated. **Rule 15.4** Where the Claimant has filed a single Notice pursuant to Rule 15.1(c), the Registrar shall accept payment of a single Claim Filing Fee for all the arbitrations sought to be consolidated. If the SIAC Court rejects the application for consolidation under Rule 16.4, in whole or in part, the Claimant shall file a Notice in accordance with Rule 6 and make payment of the Claim Filing Fee in respect of each case reference that was not consolidated. ### Rule 16 – Consolidation **Rule 16.1** Prior to the constitution of any Tribunal in the arbitrations sought to be consolidated, a party may file an application with the Registrar to consolidate two or more arbitrations filed under Rule 15.1, or otherwise pending under these Rules, into a single arbitration where: (a) all parties have agreed to the consolidation; (b) all the claims, counterclaims, and cross-claims in the arbitrations are made under the same arbitration agreement; or (c) the arbitration agreements are compatible, and: (i) the disputes arise out of or in connection with the same legal relationship(s); (ii) the disputes arise out of or in connection with contracts consisting of a principal contract and its ancillary contract(s); or (iii) the disputes arise out of or in connection with the same transaction or series of transactions. **Rule 16.2** An application for consolidation under Rule 16.1 shall include: (a) the date and mode of delivery of the application on all parties and any appointed arbitrators; (b) the case reference numbers of the arbitrations sought to be consolidated, where available; (c) the identity and contact details of the parties and their representatives, and any arbitrators who have been nominated or appointed in the arbitrations sought to be consolidated; (d) the information specified in Rule 6.3(d) and Rule 6.3(e); (e) a statement on the existence of any third-party funding agreement in respect of the arbitrations sought to be consolidated and the identity and contact details of the third-party funder; and (f) a statement of the facts and legal basis supporting the application. **Rule 16.3** The Registrar may order a stay of any of the arbitrations sought to be consolidated pending the decision of the SIAC Court on the application for consolidation. **Rule 16.4** The SIAC Court shall, after considering the views of the parties, decide whether to grant, in whole or in part, an application for consolidation under Rule 16.1. Where an application for consolidation is made under Rule 16.1(a) by agreement of all parties, the President shall decide the application and the decision of the President shall be deemed to be a decision of the SIAC Court. **Rule 16.5** The SIAC Court's decision to grant an application for consolidation under Rule 16.4 is without prejudice to the Tribunal's power to subsequently decide any question as to its jurisdiction arising from such decision. The SIAC Court's decision to reject an application for consolidation under Rule 16.4 is without prejudice to any party's right to apply to the Tribunal for consolidation pursuant to Rule 16.8. Any arbitrations that are not consolidated shall continue as separate arbitrations. **Rule 16.6** Where the SIAC Court decides to consolidate two or more arbitrations under Rule 16.4, the arbitrations shall be consolidated into the arbitration that is deemed by the Registrar to have commenced first, unless otherwise agreed by all parties or the SIAC Court decides otherwise. For the purpose of the administration of the consolidated arbitration, the SIAC Court will designate the parties in the consolidated arbitration as claimant(s) and respondent(s). **Rule 16.7** Where an application for consolidation is granted under Rule 16.4, the President may, after considering the views of the parties, revoke the appointment of any arbitrators who were appointed prior to the SIAC Court's decision on consolidation. Unless the Registrar determines otherwise, the appointment provisions under these Rules shall apply as appropriate, and any timelines thereunder shall run from the date of receipt of the SIAC Court's decision under Rule 16.4. **Rule 16.8** After the constitution of a Tribunal in any of the arbitrations sought to be consolidated, a party may apply to the Tribunal to consolidate two or more arbitrations pending under these Rules into a single arbitration where: (a) all parties have agreed to the consolidation; (b) all the claims, counterclaims, and cross-claims in the arbitrations are made under the same arbitration agreement, and the same Tribunal has been constituted in each of the arbitrations or no Tribunal has been constituted in the other arbitration(s); or (c) the arbitration agreements are compatible, the same Tribunal has been constituted in each of the arbitrations or no Tribunal has been constituted in the other arbitration(s), and: (i) the disputes arise out of or in connection with the same legal relationship(s); (ii) the disputes arise out of or in connection with contracts consisting of a principal contract and its ancillary contract(s); or (iii) the disputes arise out of or in connection with the same transaction or series of transactions. **Rule 16.9** Subject to any specific directions of the Tribunal, the provisions of Rule 16.2 shall apply, mutatis mutandis, to an application for consolidation under Rule 16.8. **Rule 16.10** The Tribunal shall, after giving all parties the opportunity to be heard, decide whether to grant, in whole or in part, an application for consolidation under Rule 16.8. The Tribunal's decision to grant an application for consolidation under this Rule 16.10 is without prejudice to the Tribunal's power to subsequently decide any question as to its jurisdiction arising from such decision. Any arbitrations that are not consolidated shall continue as separate arbitrations. **Rule 16.11** Where an application for consolidation is granted under Rule 16.10, the President may, after considering the views of the parties, revoke the appointment of any arbitrators who were appointed prior to the Tribunal's decision on consolidation. **Rule 16.12** The President's decision to revoke the appointment of any arbitrator under Rule 16.7 or Rule 16.11 is without prejudice to the validity of any act done or any decision, ruling, order, or award made by the arbitrator before his or her appointment was revoked. **Rule 16.13** Where an application for consolidation is granted under Rule 16.4 or Rule 16.10, any party which did not have the opportunity to nominate an arbitrator or otherwise participate in the constitution of the Tribunal shall be deemed to have waived any such right, without prejudice to the right of such party to challenge an arbitrator pursuant to Rule 26. ### Rule 17 – Coordinated Proceedings **Rule 17.1** Where the same Tribunal is constituted in two or more arbitrations, and a common question of law or fact arises out of or in connection with all the arbitrations, a party to the arbitrations may apply to the Tribunal for the arbitrations to be coordinated such that: (a) the arbitrations shall be conducted concurrently or sequentially; (b) the arbitrations shall be heard together and any procedural aspects shall be aligned; or (c) any of the arbitrations shall be suspended pending a determination in any of the other arbitrations. **Rule 17.2** The Tribunal shall determine the application under Rule 17.1 after giving all parties to the arbitrations an opportunity to be heard and having regard to the obligations of confidentiality under Rule 59. **Rule 17.3** Unless otherwise agreed by the parties, any coordinated arbitrations shall remain separate proceedings, and the Tribunal shall issue separate decisions, rulings, orders, and awards in each arbitration. ### Rule 18 – Joinder **Rule 18.1** At the time of filing the Notice or the Response, or at any time prior to the constitution of the Tribunal, a party or non-party to the arbitration may file an application with the Registrar for the joinder of one or more additional parties to an arbitration pending under these Rules as a claimant or a respondent (each, an "additional party") where: (a) all parties, including the additional party, have agreed to the joinder of the additional party; or (b) the additional party is prima facie bound by the arbitration agreement. **Rule 18.2** An application for joinder under Rule 18.1 shall include: (a) the date and mode of delivery of the application to all parties, including the additional party; (b) the case reference number of the pending arbitration; (c) the identity and contact details of all parties, including the additional party, and their representatives; (d) submissions on whether the additional party shall be designated as a claimant or a respondent; (e) the information specified in Rule 6.3(d) and Rule 6.3(e); (f) a statement on the existence of a third-party funding agreement in respect of any party including the additional party, and the identity and contact details of the third-party funder; (g) a statement of the facts and legal basis supporting the application; and (h) payment of the Joinder Filing Fee. **Rule 18.3** The Registrar shall determine whether the application for joinder complies or substantially complies with the requirements under Rule 18.2. The SIAC Secretariat shall notify all parties, including the additional party, when the application for joinder is complete. **Rule 18.4** If the Registrar determines that the application for joinder does not comply or substantially comply with any of the requirements under Rule 18.2, or if the Joinder Filing Fee is not paid upon the filing of the application, the Registrar may set a period of time for the deficiency in the application to be remedied. If the applicant fails to do so within the period of time set by the Registrar, the Registrar may deem the application to be withdrawn on a without prejudice basis. **Rule 18.5** The SIAC Court shall, after considering the views of all parties, including the additional party, decide whether to grant, in whole or in part, an application for joinder under Rule 18.1. Where an application for joinder is made under Rule 18.1(a) by agreement of all parties (including the additional party), the President shall decide the application and the decision of the President shall be deemed to be a decision of the SIAC Court. **Rule 18.6** The SIAC Court's decision to grant an application for joinder under Rule 18.5 is without prejudice to the Tribunal's power to subsequently decide any question as to its jurisdiction arising from such decision. The SIAC Court's decision to reject an application for joinder under Rule 18.5 is without prejudice to any party's or non-party's right to apply to the Tribunal for joinder in accordance with Rule 18.10. **Rule 18.7** Where an application for joinder is granted under Rule 18.5, the date of receipt by the Registrar of the complete joinder application shall be deemed to be the date of commencement of the arbitration in respect of the additional party. **Rule 18.8** Where an application for joinder is granted under Rule 18.5, the President may revoke the appointment of any arbitrators who were appointed prior to the SIAC Court's decision on joinder. Unless the Registrar determines otherwise, the appointment provisions under these Rules shall apply as appropriate, and any timelines thereunder shall run from the date of receipt of the SIAC Court's decision under Rule 18.5. **Rule 18.9** The President's decision to revoke the appointment of any arbitrator under Rule 18.8 is without prejudice to the validity of any act done or any decision, ruling, order, or award made by the arbitrator before his or her appointment was revoked. **Rule 18.10** After the constitution of the Tribunal, a party or non-party to the arbitration may apply to the Tribunal for the joinder of one or more additional parties to an arbitration pending under these Rules as a claimant or a respondent (each, an "additional party") where: (a) all parties, including the additional party, have agreed to the joinder of the additional party; or (b) the additional party is prima facie bound by the arbitration agreement. **Rule 18.11** Subject to any specific directions of the Tribunal, the provisions of Rule 18.2 shall apply, mutatis mutandis, to an application for joinder under Rule 18.10. Where appropriate, an application to the Tribunal under Rule 18.10 may be filed with the Registrar who shall deliver the application to the Tribunal. **Rule 18.12** The Tribunal shall, after giving all parties, including the additional party, the opportunity to be heard, decide whether to grant, in whole or in part, an application for joinder under Rule 18.10. **Rule 18.13** The Tribunal's decision to grant an application for joinder under Rule 18.12 is without prejudice to the Tribunal's power to subsequently decide any question as to its jurisdiction arising from such decision. **Rule 18.14** Where an application for joinder is granted under Rule 18.12, the date of receipt by the Registrar or the Tribunal, as the case may be, of the complete joinder application shall be deemed to be the date of commencement of the arbitration in respect of the additional party. **Rule 18.15** Where an application for joinder is granted, in whole or in part, under Rule 18.5 or Rule 18.12, any party which did not have the opportunity to nominate an arbitrator or otherwise participate in the constitution of the Tribunal shall be deemed to have waived any such right, without prejudice to the right of such party to challenge an arbitrator pursuant to Rule 26. **Rule 18.16** Where an application for joinder is granted under Rule 18.5 or Rule 18.12, the parties and additional party may make claims, counterclaims, cross-claims, or set-offs against any other party in accordance with the provisions set out in Rule 6 and Rule 7. ## SECTION IV. CONSTITUTION OF THE TRIBUNAL ## 第四节 仲裁庭的组成 ### Rule 19 – Rules on Appointment **Rule 19.1** Unless otherwise agreed by the parties, the Tribunal shall comprise one or three arbitrators. In the event that the parties have not agreed on the number of arbitrators, a sole arbitrator shall be appointed unless the Registrar determines, after considering the views of the parties, that the dispute warrants the appointment of three arbitrators. **Rule 19.2** If the parties have agreed that an arbitrator is to be appointed by any or all of the parties, the arbitrators already appointed, or any third person, body or organisation, that agreement shall be deemed an agreement to nominate an arbitrator under these Rules and shall be subject to appointment by the President in accordance with Rule 19.4. **Rule 19.3** The President may appoint any arbitrator whose appointment has been suggested or proposed by any or all of the parties, the arbitrators already appointed, or any third person, body or organisation. **Rule 19.4** In all cases, any arbitrator nominated by any or all of the parties, the arbitrators already appointed, or any third person, body or organisation, shall be subject to appointment by the President. The President may, after considering the views of the parties, the arbitrators already appointed, or the relevant third person, body or organisation, refuse to appoint any arbitrator under this Rule 19.4. **Rule 19.5** In appointing an arbitrator under these Rules, the President shall take into account any agreed qualifications and such considerations that are relevant to the impartiality or independence of the arbitrator. **Rule 19.6** The President shall consider whether the arbitrator has sufficient availability to conduct the arbitration in a prompt and efficient manner appropriate to the nature of the dispute. **Rule 19.7** Where the parties are of different nationalities, the President shall appoint a sole arbitrator or a presiding arbitrator of a different nationality than the parties, unless the parties have otherwise agreed or the President determines it to be appropriate otherwise, taking into account any proposals by the parties and the circumstances of the case. **Rule 19.8** The Registrar may, after considering the views of the parties, extend any timelines for appointment prescribed under these Rules or otherwise agreed by the parties. **Rule 19.9** If, under the terms of an appointment procedure agreed by the parties, the appointment cannot be effected on those terms, the President shall appoint the arbitrator(s). **Rule 19.10** If, under the terms of an appointment procedure agreed by the parties, there is a substantial risk of unequal treatment that may risk affecting the validity or enforceability of the award, the President may, after considering the views of the parties, take any necessary measure to constitute an independent and impartial Tribunal. In such case, each party shall be deemed to have waived any right to nominate an arbitrator or otherwise participate in the constitution of the Tribunal, and the President may revoke the appointment of any arbitrators. **Rule 19.11** The terms of appointment of each arbitrator shall be fixed by the Registrar in accordance with these Rules and the Practice Notes for the time being in force. Prior to the constitution of the Tribunal, the parties may agree to alternative methods of determining the Tribunal's fees. No change to the method of determining the Tribunal's fees will be allowed after the constitution of the Tribunal. **Rule 19.12** The Tribunal shall be deemed to be constituted on the date so notified by the SIAC Secretariat to the parties. **Rule 19.13** Any decision by the President or the Registrar on appointment shall be final and not subject to appeal. ### Rule 20 – Disclosure **Rule 20.1** All arbitrators appointed under these Rules shall be and shall remain at all times independent and impartial, and conduct themselves in accordance with these Rules, SIAC's Code of Ethics and the Practice Notes for the time being in force. All arbitrators appointed under these Rules must sign a Statement of Acceptance, Independence, Impartiality, and Availability. **Rule 20.2** Prior to their appointment, prospective arbitrators shall disclose in writing to the Registrar any circumstances which may give rise to justifiable doubts as to their impartiality or independence and indicate if they do not possess any qualifications agreed by the parties. **Rule 20.3** After their appointment, arbitrators have a continuing obligation to immediately disclose in writing to the Registrar, the parties, and the other arbitrators any circumstances which may give rise to justifiable doubts as to their impartiality or independence. ### Rule 21 – Sole Arbitrator **Rule 21.1** Where a sole arbitrator is to be appointed, the parties may jointly nominate the sole arbitrator within 21 days from the date of commencement of the arbitration or within the period of time otherwise agreed by the parties or set by the Registrar. **Rule 21.2** If the parties are not able to jointly nominate the sole arbitrator within 21 days from the date of commencement of the arbitration or within the period of time otherwise agreed by the parties or set by the Registrar, the President shall appoint the sole arbitrator. ### Rule 22 – Three Arbitrators **Rule 22.1** Where three arbitrators are to be appointed, the Claimant shall nominate an arbitrator within 14 days from the date of commencement of the arbitration or within the period of time otherwise agreed by the parties or set by the Registrar, and the Respondent shall nominate an arbitrator within 14 days of the receipt of the Claimant's nomination of an arbitrator or within the period of time otherwise agreed by the parties or set by the Registrar. **Rule 22.2** If a party fails to nominate an arbitrator within the timelines under Rule 22.1, the President shall appoint an arbitrator on its behalf. **Rule 22.3** The presiding arbitrator shall be appointed by the President, unless the parties have agreed upon another procedure for the nomination of the presiding arbitrator or if such agreed procedure does not result in a nomination of the presiding arbitrator within the period agreed by the parties or set by the Registrar. ### Rule 23 – Multi-Party Appointment of Three Arbitrators **Rule 23.1** Where there are more than two parties to the arbitration and three arbitrators are to be appointed, the Claimant(s) shall jointly nominate an arbitrator and the Respondent(s) shall jointly nominate an arbitrator within 28 days from the date of commencement of the arbitration or within the period of time otherwise agreed by the parties or set by the Registrar. The presiding arbitrator shall be appointed in accordance with Rule 22.3. **Rule 23.2** In the absence of joint nominations from both the Claimant(s) and the Respondent(s) having been made within 28 days from the date of commencement of the arbitration or within the period otherwise agreed by the parties or set by the Registrar, the President shall appoint all three arbitrators and designate the presiding arbitrator. ### Rule 24 – Tribunal Secretary **Rule 24.1** In accordance with this Rule 24 and the Practice Notes for the time being in force: (a) the Tribunal may, after considering the views of the parties and in consultation with the Registrar, appoint a Tribunal Secretary; or (b) the Tribunal may, after considering the views of the parties and with the approval of the Registrar, appoint a member of the SIAC Secretariat as a Tribunal Secretary. **Rule 24.2** The duties of disclosure under Rule 20 shall apply, mutatis mutandis, to the appointment of any Tribunal Secretary. **Rule 24.3** The Tribunal shall not delegate any of its decision-making functions to the Tribunal Secretary. All tasks carried out by the Tribunal Secretary shall be carried out on behalf of, and under the supervision of, the Tribunal. **Rule 24.4** A Tribunal Secretary may be removed by the Tribunal. Where a member of the SIAC Secretariat is appointed as a Tribunal Secretary, the Tribunal shall consult with the Registrar before removing the Tribunal Secretary. **Rule 24.5** A party who wishes to challenge a Tribunal Secretary shall file a Notice of Challenge within 7 days from the date of the notice of appointment of the Tribunal Secretary or within 7 days from the date that the circumstances specified in Rule 26.1 which apply herein mutatis mutandis, became known or should have reasonably been known to that party. **Rule 24.6** Any challenge to the Tribunal Secretary shall be decided by the President after considering the views of the parties, the challenged Tribunal Secretary, and the Tribunal. The President shall not be required to provide reasons for the decision. The President's decision on any challenge to a Tribunal Secretary shall be final and not subject to appeal under these Rules. **Rule 24.7** In the event of the death, incapacity, resignation, withdrawal, or removal of a Tribunal Secretary during the course of the arbitration, a substitute Tribunal Secretary may be appointed in accordance with the procedure set out in Rule 24.1 and the Practice Notes for the time being in force. **Rule 24.8** The Tribunal shall determine the terms of appointment of the Tribunal Secretary in accordance with the Practice Notes for the time being in force and after considering the views of the parties. ### Rule 25 – Communications with the Tribunal **Rule 25.1** All communications from the parties to the Tribunal shall be made in accordance with Rule 4 and any relevant direction by the Tribunal. **Rule 25.2** Prior to the constitution of the Tribunal, a party or its representative shall not engage in any ex parte communications relating to the arbitration with any prospective arbitrator, including any candidate for appointment as a party-nominated arbitrator, except to: (a) discuss the general nature of the dispute and of the anticipated proceedings; (b) discuss the candidate's qualifications, availability, or independence, in respect of the prospective appointment; or (c) discuss the suitability of candidates for selection as the presiding arbitrator where the parties or party-nominated arbitrators are, by agreement of the parties, to participate in that process. A party or its representative shall not engage in any ex parte communications relating to the arbitration with any candidate for presiding arbitrator. **Rule 25.3** After the constitution of the Tribunal, a party or its representative shall not engage in any ex parte communications relating to the arbitration with any arbitrator. ## SECTION V. CHALLENGE, REMOVAL AND REPLACEMENT OF ARBITRATORS ## 第五节 仲裁员的回避、解任和替换 ### Rule 26 – Challenge of Arbitrators **Rule 26.1** An arbitrator may be challenged if: (a) circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence; (b) the arbitrator does not possess any requisite qualification on which the parties have agreed; or (c) the arbitrator becomes de jure or de facto unable to perform his or her functions. **Rule 26.2** A party may challenge its nominated arbitrator under Rule 26.1 only for reasons of which the party becomes aware after the appointment has been made. ### Rule 27 – Notice of Challenge **Rule 27.1** A party who wishes to challenge an arbitrator shall file a notice of challenge with the Registrar: (a) within 15 days from the date of receipt of the notice of appointment of the arbitrator who is being challenged; or (b) within 15 days from the date that the reasons specified in Rule 26.1 became known or should have reasonably been known to that party. **Rule 27.2** The notice of challenge shall include a statement of the facts and legal basis supporting the challenge and shall include payment of the Challenge Filing Fee in accordance with the Schedule of Fees. The date of receipt of the notice of challenge by the Registrar shall be deemed to be the date the notice of challenge is filed. **Rule 27.3** If the Challenge Filing Fee is not paid upon the filing of the application, the Registrar may set a period of time for the challenging party to make payment. If payment is not made within this period of time, the Registrar may deem the application to be withdrawn on a without prejudice basis. **Rule 27.4** After receipt of a notice of challenge under Rule 27.1, the Registrar may order the suspension of the arbitration until the challenge is resolved. Unless the Registrar orders the suspension of the arbitration pursuant to this Rule 27.4, the challenged arbitrator shall be entitled to continue to participate in the arbitration pending the determination of the challenge by the SIAC Court in accordance with Rule 28. **Rule 27.5** If within seven (7) days from the date the notice of challenge is filed, all other parties agree to the challenge or the challenged arbitrator voluntarily withdraws from office, the SIAC Court may direct that a substitute arbitrator be appointed in accordance with Rule 30.1. In neither case does this imply acceptance of the validity of the grounds for the challenge. ### Rule 28 – Decision on Challenge **Rule 28.1** If the challenge is not resolved in accordance with Rule 27.5, the SIAC Court shall decide the challenge after considering the views of the parties, the challenged arbitrator, and any appointed arbitrators. **Rule 28.2** If the SIAC Court accepts the challenge, the SIAC Court shall remove the arbitrator, and a substitute arbitrator shall be appointed in accordance with Rule 30.1. **Rule 28.3** If the SIAC Court rejects the challenge, the challenged arbitrator shall continue with the arbitration. **Rule 28.4** The SIAC Court's decision on the challenge to an arbitrator under this Rule 28 shall be reasoned and shall be delivered by the SIAC Secretariat to the parties, the challenged arbitrator, and the Tribunal or any appointed arbitrators. **Rule 28.5** The SIAC Court's decision on the challenge shall be final and not subject to appeal under these Rules. **Rule 28.6** If a challenge is filed against an arbitrator who is a member of the SIAC Board or the SIAC Court, a Committee of the SIAC Court shall be constituted to decide the challenge which shall include one member who is not a member of the SIAC Board or the SIAC Court. **Rule 28.7** The parties shall be deemed to have agreed that SIAC may publish any decision of the SIAC Court on a challenge, with the names of the parties and all other identifying information redacted. ### Rule 29 – Removal **Rule 29.1** The SIAC Court may remove an arbitrator, after considering the views of the parties, the arbitrator whose removal is being considered, and the other arbitrators, if the SIAC Court determines that: (a) the arbitrator has not complied with these Rules, the SIAC Code of Ethics, or the Practice Notes for the time being in force; or (b) the arbitrator has not conducted, or participated in, the arbitration in a manner that ensures the fair, expeditious, and economical resolution of the dispute. ### Rule 30 – Replacement **Rule 30.1** Except as otherwise provided in these Rules, in the event of the death, incapacity, resignation, withdrawal, or removal of an arbitrator by the SIAC Court during the course of the arbitration, a substitute arbitrator shall be appointed in accordance with the procedure applicable to the nomination and appointment of the arbitrator being replaced. This procedure shall apply even if, during the process of appointing the arbitrator, a party failed to exercise its right to nominate an arbitrator. The time limits applicable to the nomination and appointment of the substitute arbitrator shall commence from the date of receipt by the parties of the notification of the arbitrator's death, incapacity, resignation, withdrawal, or removal. **Rule 30.2** Where the Tribunal comprises three or more arbitrators, the SIAC Court may determine, as appropriate and after considering the views of the parties and the remaining arbitrators, that the remaining arbitrators shall proceed with the arbitration without appointing a substitute arbitrator under Rule 30.1. **Rule 30.3** If any arbitrator is replaced under these Rules, the Tribunal shall decide, after considering the views of the parties, whether any hearings held previously shall be repeated. Unless the Tribunal decides otherwise after considering the views of the parties, any hearings held previously relating solely to a decision, ruling, order, or award shall not be repeated and the decision, ruling, order, or award shall remain in effect. ## SECTION VI. THE PROCEEDINGS ## 第六节 仲裁程序 ### Rule 31 – Jurisdiction of the Tribunal **Rule 31.1** The Tribunal shall have the power to rule on its own jurisdiction, including any objections with respect to the existence, validity, applicability, or scope of the arbitration agreement. An arbitration agreement which forms part of a contract shall be treated as an agreement independent of the other terms of the contract. A decision by the Tribunal that the contract is non-existent or null and void shall not entail automatically the invalidity of the arbitration agreement. **Rule 31.2** Any objection that: (a) the Tribunal does not have jurisdiction shall be raised no later than in a Statement of Defence or with respect to a counterclaim, in a Statement of Defence to a Counterclaim; or (b) the Tribunal is exceeding the scope of its jurisdiction shall be raised within 15 days from the date that the matter alleged to be beyond the scope of the Tribunal's jurisdiction arises during the arbitration. The Tribunal may admit an objection raised by a party outside the time limits under this Rule 31.2 if it considers the delay to be justified. A party is not precluded from raising an objection under this Rule 31.2 by the fact that it has nominated, or participated in the nomination of, an arbitrator. **Rule 31.3** The Tribunal may rule on an objection referred to in Rule 31.2 either as a preliminary question or in a decision or award on the merits. ### Rule 32 – Conduct of the Proceedings **Rule 32.1** The parties and the Tribunal shall be deemed to have agreed that the arbitration is to be conducted with diligence and professionalism and further to the principles set out in Rule 3.5(a) – Rule 3.5(c). **Rule 32.2** The Tribunal shall have the power to conduct the arbitration in such manner as it considers appropriate. In exercising its procedural discretion, the Tribunal shall at all times act fairly and impartially and ensure that each party has a reasonable opportunity to present its case. **Rule 32.3** The Tribunal shall determine the admissibility, relevance, materiality, and weight of all evidence. The Tribunal is not required to apply the rules of evidence of any applicable law in making such a determination. **Rule 32.4** As soon as practicable after the constitution of the Tribunal, the Tribunal shall convene a first case management conference with the parties to discuss the procedures that will be most appropriate and efficient for the case. At the first case management conference, the Tribunal may additionally consult with the parties on: (a) the potential for the settlement of all or part of the dispute, including through the adoption of amicable dispute resolution methods such as mediation under the SIAC-SIMC AMA Protocol; and (b) whether it would be appropriate to adopt environmentally sustainable procedures for the arbitration. **Rule 32.5** Any case management conference may be conducted in-person, in hybrid form, or by videoconference, teleconference, or any other form of electronic communication. **Rule 32.6** The Tribunal shall have the power to direct and schedule the order of proceedings, bifurcate proceedings, order page limits on submissions, exclude cumulative or irrelevant testimony or other evidence and direct the parties to focus their presentations on issues the determination of which could dispose of all or part of the case. **Rule 32.7** Unless otherwise agreed by the parties, the presiding arbitrator may make procedural rulings alone, subject to any later revision by the full Tribunal. **Rule 32.8** The President may request the parties and the Tribunal to attend an administrative conference to identify and discuss the procedures that will be most appropriate and efficient for the case. The administrative conference may be conducted by videoconference, teleconference, or any other form of electronic communication. ### Rule 33 – Written Submissions **Rule 33.1** Unless the Tribunal determines otherwise, after considering the views of the parties, the submission of written submissions shall proceed as set out in this Rule 33. **Rule 33.2** Unless already submitted pursuant to Rule 6.4, the Claimant shall, within a period of time to be determined by the Tribunal, deliver to the Respondent, the Tribunal, and the SIAC Secretariat, a Statement of Claim setting out: (a) a statement of facts supporting the claim; (b) the legal grounds or arguments supporting the claim; and (c) the relief sought. **Rule 33.3** Unless already submitted pursuant to Rule 7.2, the Respondent shall, within a period of time to be determined by the Tribunal, deliver to the Claimant, the Tribunal, and the SIAC Secretariat, a Statement of Defence (and Statement of Counterclaim, if any) setting out: (a) a statement of facts supporting the defence to the Statement of Claim and the Statement of Counterclaim (if any); (b) the legal grounds or arguments supporting the defence, counterclaim, cross-claim, or set-off; and (c) the relief sought. **Rule 33.4** If a Statement of Counterclaim is submitted, the Claimant shall, within a period of time to be determined by the Tribunal, deliver to the Respondent, the Tribunal, and the SIAC Secretariat, a Statement of Defence to Counterclaim setting out: (a) a statement of facts supporting the Statement of Defence to Counterclaim; (b) the legal grounds or arguments supporting the defence, cross-claim, or set-off; and (c) the relief sought. **Rule 33.5** A party may amend its claim or defence, including a counterclaim, cross-claim, or set-off with leave of the Tribunal. The Tribunal shall grant such leave unless it considers it inappropriate to allow such amendment having regard to when it is requested or the prejudice to the other parties or any other circumstances. A claim or defence, including a counterclaim, cross-claim, or set-off, may not be amended in such a manner that the amended claim or defence, including a counterclaim, cross-claim, or set-off, falls outside the scope of the arbitration agreement. **Rule 33.6** The Tribunal may, after considering the views of the parties, decide which further written submissions are required from the parties or may be presented by them. **Rule 33.7** All submissions referred to in this Rule 33 shall be accompanied by copies of all supporting documents which have not previously been submitted by any party. The Tribunal may direct, after considering the views of the parties, that written submissions shall be accompanied by copies of supporting witness statements and expert reports. ### Rule 34 – Issues for Determination **Rule 34.1** The Tribunal shall, in consultation with the parties, and at the appropriate stages of the arbitration, use reasonable efforts to identify the issues to be determined in the arbitration and record them in a procedural order. ### Rule 35 – Applicable Law **Rule 35.1** The Tribunal shall apply the law or rules of law chosen by the parties as applicable to the substance of the dispute. Failing such choice by the parties, the Tribunal shall apply the law or rules of law which it determines to be appropriate. **Rule 35.2** The Tribunal shall make decisions in accordance with the terms of the contract and shall take into account any applicable usages of trade applicable to the relevant transactions. **Rule 35.3** The Tribunal shall assume the powers of an amiable compositeur or decide ex aequo et bono only if the parties have expressly authorised it to do so. ### Rule 36 – Seat of the Arbitration **Rule 36.1** The parties may agree on the seat of the arbitration. Failing such an agreement, the Tribunal shall determine the seat of arbitration. ### Rule 37 – Language of the Arbitration **Rule 37.1** The parties may agree on the language or languages of the arbitration. Failing such an agreement, the Tribunal shall determine the language or languages of the arbitration. **Rule 37.2** If a party submits a document written in a language other than the language of the arbitration, the Registrar or the Tribunal, as appropriate, may order that party to submit a translation in a form to be determined by the Registrar or the Tribunal. **Rule 37.3** For the purpose of the administration of the arbitration, the Registrar may, after considering the views of the parties, determine the language or languages of the communications between the SIAC Secretariat and the parties and the SIAC Secretariat and the Tribunal. ### Rule 38 – Third-Party Funding **Rule 38.1** A party shall disclose the existence of any third-party funding agreement and the identity and contact details of the third-party funder in its Notice or Response or as soon as practicable upon concluding a third-party funding agreement. **Rule 38.2** The funded party shall as soon as practicable notify the Tribunal, the parties, and the Registrar of any changes to the third-party funding agreement in respect of which disclosures had previously been made under Rule 38.1. **Rule 38.3** After the constitution of the Tribunal, a party shall not enter into a third-party funding agreement which may give rise to a conflict of interest with any member of the Tribunal. In such circumstances, the Tribunal may direct the party to withdraw from the third-party funding agreement. **Rule 38.4** The Tribunal may order the disclosure of the information referred to in Rule 38.1 and, after considering the views of the parties, may make such orders for disclosure in respect of the third-party funding agreement as it sees fit including in respect of details of the third-party funder's interest in the outcome of the proceedings and whether the third-party funder has committed to undertake adverse costs liability. **Rule 38.5** The disclosure and existence of a third-party funding agreement on its own shall not be taken as an indication of the financial status of a party. **Rule 38.6** The Tribunal may take into account any third-party funding agreement in apportioning costs under these Rules. **Rule 38.7** The Tribunal may take appropriate measures, including issuing an order or award for sanctions, damages, or costs, if a party does not comply with any obligations or orders for disclosure under this Rule 38. ### Rule 39 – Hearings **Rule 39.1** Unless the parties have agreed that the dispute will be decided on the basis of written submissions and any accompanying documentary evidence or as otherwise provided in these Rules, the Tribunal shall, if either party so requests or the Tribunal so decides, hold a hearing for the presentation of evidence by witnesses, including expert witnesses, and/or for oral argument. **Rule 39.2** The Tribunal shall, after considering the views of the parties, set the date, time, and format of any hearing and shall give the parties reasonable notice. The hearing may be conducted in-person, at a location determined by the Tribunal as appropriate after consulting with the parties, in hybrid form, or by videoconference, teleconference, or any other form of electronic communication. **Rule 39.3** Unless otherwise agreed by the parties, all hearings shall be conducted in private, and any recordings, transcripts, or documents used in relation to the arbitration shall be subject to the confidentiality provisions in Rule 59. **Rule 39.4** The Tribunal may deliberate in any manner and at any location it considers appropriate. Any anticipated expenses for the Tribunal's deliberations must be approved in advance by the Registrar. ### Rule 40 – Witnesses **Rule 40.1** Prior to any hearing, the Tribunal may direct the parties to give notice of the identity of witnesses, including expert witnesses, whom the parties intend to produce, the subject matter of their testimony, and its relevance to the issues. **Rule 40.2** The Tribunal shall have the power to order or refuse to allow the appearance of witnesses to give oral evidence at any hearing or to limit oral witness testimony at any hearing. **Rule 40.3** Any witness who gives oral evidence may be questioned by each of the parties and their representatives and the Tribunal in such manner as the Tribunal may determine. **Rule 40.4** The Tribunal may direct the testimony of witnesses to be presented in written form, either as signed or sworn statements or any other form of recording. Subject to Rule 40.2, any party may request that such a witness attend a hearing for oral examination, whether in-person, by videoconference, teleconference, or any other form of electronic communication. If the witness fails to attend for oral examination, the Tribunal may determine the weight to be placed on such written testimony, disregard such written testimony, or exclude such written testimony altogether. **Rule 40.5** Subject to any applicable laws or regulations, in respect of any witness or potential witness whose evidence it intends to adduce, a party or its representatives: (a) may interview any such witness or potential witness; (b) assist such witness or potential witness in the preparation of a witness statement or expert report; and (c) meet such witness prior to his or her appearance to give oral evidence at any hearing. A party and its representatives should seek to ensure that the evidence of fact witnesses reflects their own account of the relevant facts and the evidence of experts reflects their genuinely held opinions. ### Rule 41 – Tribunal-appointed Experts **Rule 41.1** The Tribunal may, after considering the views of the parties, appoint one or more experts to report on issues within the scope of the disputes or to otherwise assist the Tribunal. **Rule 41.2** The Tribunal shall consult with the parties on the terms of appointment and fees of the expert. **Rule 41.3** Any expert appointed under Rule 41.1 shall provide a signed declaration relating to his or her qualifications, impartiality and independence, prior to his or her appointment, in a form to be determined by the Tribunal. The Tribunal shall determine any objection by a party to the expert's qualifications, impartiality, or independence. **Rule 41.4** The parties shall give any expert appointed under Rule 41.1 all relevant information and produce or provide access to any relevant documents, goods or property for inspection. **Rule 41.5** Any expert appointed under Rule 41.1 shall submit a report in writing to the Tribunal. Upon receipt of such written report, the Tribunal shall deliver a copy of the report to the parties and the SIAC Secretariat, and the Tribunal shall invite the parties to submit written comments on the report. **Rule 41.6** If any party so requests or the Tribunal so decides, an expert appointed under Rule 41.1 shall, after delivery of his or her written report, attend for oral examination at a hearing, whether in-person, or by videoconference, teleconference, or any other form of electronic communication. ### Rule 42 – Closure of the Proceedings **Rule 42.1** The Tribunal shall, as soon as practicable after the last directed oral or written submissions in respect of matters to be decided in an award, and upon being satisfied that the parties have no further relevant and material evidence to produce or submissions to make with respect to such matters, declare the proceedings closed. The Tribunal's declaration that the proceedings are closed shall be in writing and communicated to the parties and the SIAC Secretariat. **Rule 42.2** The Tribunal may, on its own motion or upon application of a party but before any award is made, reopen the proceedings. The Tribunal's decision that the proceedings are to be reopened shall be in writing and communicated to the parties and to the SIAC Secretariat. ### Rule 43 – Suspension, Settlement, and Termination **Rule 43.1** The Registrar or the Tribunal, as appropriate, may suspend an arbitration in accordance with such terms as the parties have agreed or as otherwise provided in these Rules. The Registrar or the Tribunal may, after considering the views of the parties, order the tolling of any timelines. **Rule 43.2** In the event of a settlement, the Tribunal shall issue an order terminating the arbitration or, if the parties so request, the Tribunal may record the settlement in the form of a consent award on agreed terms. The Tribunal is not obliged to provide reasons for a consent award or to include the settlement terms in the consent award. **Rule 43.3** The Tribunal shall, after considering the views of the parties, issue an order terminating the arbitration where: (a) the Claimant withdraws its claim, unless the Respondent objects thereto and the Tribunal recognises a legitimate interest on the Respondent's part in obtaining a final settlement of the dispute or any orders as to costs; (b) the parties agree on the termination of the arbitration; (c) the Tribunal finds that the continuation of the arbitration has become unnecessary or impossible; or (d) the Registrar has deemed the relevant claims, counterclaims, or cross-claims to be withdrawn for non-payment of deposits in accordance with Rule 56.5(b). **Rule 43.4** Prior to the constitution of the Tribunal, the Registrar shall have the power to terminate an arbitration in accordance with these Rules. **Rule 43.5** An order of the Tribunal or the Registrar terminating the arbitration under this Rule 43 shall be effective on the date of such order, unless otherwise ordered by the Tribunal or the Registrar. ### Rule 44 – Non-participation and Non-compliance **Rule 44.1** If the Claimant fails to submit a Statement of Claim within the time specified by the Tribunal, the Tribunal may, after considering the views of the parties, issue an order terminating the arbitration in accordance with Rule 43, unless there are remaining matters which require determination. **Rule 44.2** If the Respondent fails to submit a Statement of Defence within the time specified by the Tribunal, or if at any point any party fails to avail itself of the opportunity to present its case in the manner directed by the Tribunal, the Tribunal may proceed with the arbitration without treating such failure in itself as an admission of any allegations. **Rule 44.3** If, without showing sufficient cause, any party fails or refuses to comply with these Rules or with any direction, decision, ruling, order, or award of the Tribunal, or to attend any meeting or hearing, the Tribunal may proceed with the arbitration. In these circumstances, the Tribunal may impose such sanctions as it deems appropriate and make an award on the evidence before it. ## SECTION VII. POWERS OF THE TRIBUNAL ## 第七节 仲裁庭的权力 ### Rule 45 – Interim Relief **Rule 45.1** Unless otherwise agreed by the parties, the Tribunal may, at the request of a party, issue an order or an award granting any interim or conservatory relief it deems appropriate. The Tribunal may order the party requesting interim or conservatory relief to provide appropriate security in connection with the relief sought. **Rule 45.2** A request for interim or conservatory relief made by a party to a judicial authority is not incompatible with these Rules and shall not be considered a breach or waiver of the arbitration agreement. Any such application to a judicial authority and any decision taken thereon must be promptly notified to the Tribunal and the Registrar. ### Rule 46 – Preliminary Determination **Rule 46.1** A party may apply to the Tribunal for a final and binding preliminary determination of any issue that arises for determination in the arbitration where: (a) the parties agree that the Tribunal may determine such an issue on a preliminary basis; (b) the applicant is able to demonstrate that the determination of the issue on a preliminary basis is likely to contribute to savings of time and costs and a more efficient and expeditious resolution of the dispute; or (c) the circumstances of the case otherwise warrant the determination of the issue on a preliminary basis. **Rule 46.2** An application for preliminary determination under Rule 46.1 shall state the facts and legal basis supporting the application. **Rule 46.3** The Tribunal shall, after giving the parties the opportunity to be heard, decide whether to proceed with the application for preliminary determination. **Rule 46.4** If the application for preliminary determination is allowed to proceed, the Tribunal shall: (a) determine the procedure for making such preliminary determination, having regard to the circumstances of the case and the need to provide the parties a reasonable opportunity to present their cases; and (b) make a decision, ruling, order, or award on the application, with reasons which may be in summary form, within 90 days from the date of filing of the application, unless the Registrar extends the time. **Rule 46.5** Nothing in this Rule 46 shall limit the Tribunal's inherent powers to direct a preliminary determination of any issue that arises for determination in the arbitration. ### Rule 47 – Early Dismissal of Claims and Defences **Rule 47.1** A party may apply to the Tribunal for the early dismissal of a claim or defence where: (a) a claim or defence is manifestly without legal merit; or (b) a claim or defence is manifestly outside the jurisdiction of the Tribunal. **Rule 47.2** An application for early dismissal under Rule 47.1 shall state the facts and legal basis supporting the application. **Rule 47.3** The Tribunal shall determine whether the application for early dismissal under Rule 47.1 is allowed to proceed. **Rule 47.4** If the application for early dismissal is allowed to proceed, the Tribunal shall, after giving the parties the opportunity to be heard, make a decision, ruling, order, or award on the application, with reasons which may be in summary form. The decision, ruling, order, or award shall be made within 45 days from the date of filing the application, unless the Registrar extends the time. ### Rule 48 – Security for Costs **Rule 48.1** A party may apply to the Tribunal for an order that any party asserting a claim, counterclaim, or cross-claim provide security for legal costs and expenses and the costs of the arbitration. **Rule 48.2** If a party fails to comply with an order to provide such security, the Tribunal may make any consequential direction as appropriate. **Rule 48.3** A party shall promptly disclose any material change in the circumstances upon which the Tribunal has ordered security under Rule 48.1. **Rule 48.4** The Tribunal may, after considering the views of the parties, modify or revoke its order on security under Rule 48.1. ### Rule 49 – Security for Claims **Rule 49.1** A party may apply to the Tribunal for an order that any party responding to a claim, counterclaim, or cross-claim provide security against the relevant claim. **Rule 49.2** If a party fails to comply with an order to provide such security, the Tribunal may make any consequential direction as appropriate. **Rule 49.3** A party shall promptly disclose any material change in the circumstances upon which the Tribunal has ordered security under Rule 49.1. **Rule 49.4** The Tribunal may, after considering the views of the parties, modify or revoke its order on security under Rule 49.1. ### Rule 50 – Additional Powers of the Tribunal **Rule 50.1** Unless otherwise agreed by the parties, the Tribunal shall have the power to decide all procedural and evidential matters. **Rule 50.2** In addition to the other powers specified in these Rules, unless otherwise agreed by the parties or prohibited by the mandatory rules of any applicable law, the Tribunal shall have the power to: (a) direct any party to give evidence by affidavit or in any other form; (b) administer oaths or take affirmations of the parties and witnesses; (c) conduct such enquiries as may appear to the Tribunal to be necessary or expedient; (d) determine whether, and to what extent, the Tribunal should itself take the initiative in ascertaining the facts or the law; (e) order the correction or rectification of any contract, subject to the law governing such contract; (f) order any party to produce to the Tribunal and to the other parties for inspection, in a manner to be determined by the Tribunal, any document, property, or item in its possession or control which the Tribunal considers relevant to the case and material to its outcome; (g) order the preservation, storage, sale, or disposal, of any document, property, or item which is or forms part of the subject matter of the dispute; (h) direct any party to take or refrain from taking actions to ensure that any award which may be made in the arbitration is not rendered ineffectual by the dissipation of assets by a party or otherwise; (i) decide, where appropriate, any issue not expressly or impliedly raised in the submissions of a party provided such issue has been clearly brought to the notice of all other parties and all other parties have been given an adequate opportunity to respond or provide submissions; (j) determine the procedural law or any other law applicable to the arbitration; (k) determine any claim of legal or other privilege; (l) make any necessary directions, including a suspension of proceedings, for the parties to adopt any amicable dispute resolution methods such as mediation under the SIAC-SIMC AMA Protocol; and (m) except as provided in these Rules, extend or abridge any period of time prescribed under these Rules or by its directions. ## SECTION VIII. THE AWARD ## 第八节 裁决 ### Rule 51 – Making of the Award **Rule 51.1** The Tribunal may make more than one award at different points in time during the arbitration on different aspects of the matters to be determined. **Rule 51.2** Where there is more than one arbitrator, the Tribunal shall decide by a majority. Failing a majority decision, the presiding arbitrator alone shall make the award for the Tribunal. **Rule 51.3** If any arbitrator fails to participate in the making of the award, having been given a reasonable opportunity to do so, the remaining arbitrators may proceed. The remaining arbitrators shall provide written notice of such failure to the Registrar, the parties, and the absent arbitrator. In deciding whether to proceed with the arbitration in the absence of an arbitrator, the remaining arbitrators may take into account, inter alia, the stage of the arbitration, any explanation provided by the absent arbitrator for his or her failure to participate, and the effect, if any, upon the enforceability of the award should the remaining arbitrators proceed without the absent arbitrator. The remaining arbitrators shall explain, in any award made, the reasons for proceeding without the absent arbitrator. **Rule 51.4** Unless otherwise agreed by the parties, the Tribunal shall specify in the final award the Registrar's determination of the costs of the arbitration and the Tribunal's decision on the apportionment of the costs of the arbitration. **Rule 51.5** Subject to any applicable law, the Tribunal may award simple or compound interest from such date, at such rate, and with such rest as the Tribunal considers appropriate, for: (a) the whole or any part of any sum awarded or sum at issue in the arbitration; and (b) any costs awarded in the arbitration. In making its award on interest, the Tribunal shall take into account any agreement by the parties on interest. **Rule 51.6** The parties shall be deemed to have agreed that any award shall be final and binding on the parties from the date it is made, and the parties undertake to carry out the award immediately and without delay. The parties hereby irrevocably waive their rights to any form of appeal, review, or recourse to any court or other judicial authority with respect to such award insofar as such waiver may be validly made. **Rule 51.7** Unless otherwise agreed by the parties, and insofar as not prohibited by any applicable law, every award shall be final and binding between the parties in respect of the claims, counterclaims, cross-claims, and set-offs determined and, where appropriate, the issues of fact and law that it determines in order to rule on the parties' claims, counterclaims, cross-claims, and set-offs. ### Rule 52 – Form of the Award **Rule 52.1** The award shall be made in writing and shall be signed by the arbitrator(s). In an arbitration with more than one arbitrator, the signatures of the majority of the members of the Tribunal shall suffice, provided that the reason for any omitted signature is stated in the award. **Rule 52.2** The Tribunal may, after considering the views of the parties, and in consultation with the Registrar, determine that it is appropriate for: (a) the award to be signed in counterpart; or (b) the award to be signed electronically. **Rule 52.3** The award shall state the reasons upon which it is based, unless the award is by consent under Rule 43.2. **Rule 52.4** The award shall be deemed to be made at the seat of the arbitration and on the date stated therein. **Rule 52.5** The Tribunal shall deliver the award to the SIAC Secretariat, who shall deliver the award to the parties upon settlement of the costs of the arbitration. **Rule 52.6** At the request of a party, the Registrar may authenticate any award or arbitration agreement or certify any paper copies thereof. ### Rule 53 – Scrutiny of the Award **Rule 53.1** Within 30 days of the date of submission of the last directed oral or written submission in respect of the matters to be decided in an award, the Tribunal shall provide the parties and the SIAC Secretariat with an estimate of the time within which it proposes to submit the draft award for scrutiny under Rule 53.2. **Rule 53.2** Before making the award, the Tribunal shall submit such award in draft form to the SIAC Secretariat and inform the parties of the date of submission. The Tribunal shall submit the draft award to the SIAC Secretariat not later than 90 days from the date of submission of the last directed oral or written submission in respect of the proceedings to which the award pertains, unless the Registrar determines otherwise. **Rule 53.3** The Registrar may, as soon as practicable, suggest modifications as to the form of the draft award and, without affecting the Tribunal's liberty to decide the dispute, draw the Tribunal's attention to points of substance. The SIAC Secretariat shall inform the parties when the Registrar has completed the scrutiny. **Rule 53.4** No award shall be issued until it has been approved by the Registrar as to its form. ### Rule 54 – Correction, Interpretation, and Additional Awards **Rule 54.1** Within 30 days from the date of receipt of an award, a party may, by written notice to the Registrar, the Tribunal, and the other party, request the Tribunal to correct in the award any errors in computation, any clerical or typographical errors or any errors of similar nature. After considering the views of the parties on the request, if the Tribunal considers the request to be justified, it shall make the correction within 30 days from the date of receipt of the request. Any correction, made in the original award or in a separate memorandum, shall form part of the award. **Rule 54.2** The Tribunal may correct any error of the type referred to in Rule 54.1 on its own initiative within 30 days from the date of receipt of the award. **Rule 54.3** Within 30 days from the date of receipt of an award, a party may, by written notice to the Registrar, the Tribunal, and the other party, request the Tribunal to give an interpretation of a specific point or part of the award. After considering the views of the parties on the request, if the Tribunal considers the request to be justified, it shall give the interpretation in writing within 30 days from the date of receipt of the request. Any interpretation shall form part of the award. **Rule 54.4** Within 30 days from the date of receipt of an award, a party may, by written notice to the Registrar, the Tribunal, and the other party, request the Tribunal to make an additional award as to claims presented in the arbitration but not addressed in the award. After considering the views of the parties on the request, if the Tribunal considers the request to be justified, it shall make the additional award within 60 days from the date of receipt of the request. **Rule 54.5** The Registrar may extend the period of time within which the Tribunal may make a correction of an award, interpretation of an award, or an additional award under this Rule 54. **Rule 54.6** The provisions of Rule 53 shall apply, mutatis mutandis, to a correction, interpretation, or an additional award. **Rule 54.7** The Registrar may determine that additional costs of arbitration shall apply under this Rule 54 in relation to the Tribunal's fees and expenses and SIAC's administration fees and expenses. ### Rule 55 – Remission **Rule 55.1** Where a court remits an award to the Tribunal, these Rules shall apply as appropriate to the administration of the arbitration in accordance with the terms of such remission. The Registrar may take any necessary steps to enable the Tribunal to comply with the terms of such remission and may determine that additional costs of arbitration shall apply under this Rule 55.1 in relation to the Tribunal's fees and expenses and SIAC's administration fees and expenses. ## SECTION IX. DEPOSITS AND COSTS ## 第九节 暂存款和费用 ### Rule 56 – Deposits **Rule 56.1** The Registrar shall fix the deposits payable towards the estimated costs of the arbitration calculated in accordance with the amount in dispute under the Schedule of Fees. Unless the Registrar otherwise directs, 50 percent of such deposits shall be payable by the Claimant(s) and 50 percent of such deposits shall be payable by the Respondent(s). The Registrar may fix separate deposits for a claim, counterclaim, or cross-claim. **Rule 56.2** Where the amount in dispute is not quantifiable at the time the deposits are due, the Registrar shall make a provisional estimate of the costs of the arbitration and call for the deposits thereon. This estimate may be adjusted upon the quantification of the amount in dispute or in light of such information as may subsequently become available. **Rule 56.3** The Registrar may at any time direct the parties to make further or additional deposits towards the estimated costs of the arbitration. **Rule 56.4** Parties are jointly and severally liable for the costs of the arbitration. In the event that a party does not pay the deposits as directed, the Registrar may direct the other party to make payment of the deposits on its behalf. **Rule 56.5** If a party fails to pay the deposits as directed, the Registrar may: (a) direct the Tribunal and the SIAC Secretariat to suspend the conduct and administration of the arbitration in whole or in part; and/or (b) set a time limit on the expiry of which the relevant claim, counterclaim, or cross-claim shall be considered as withdrawn on a without prejudice basis. **Rule 56.6** All deposits towards the estimated costs of the arbitration shall be made to and held by SIAC. Any interest which may accrue on such deposits shall be retained by SIAC. **Rule 56.7** If a party pays the deposits towards the estimated costs of arbitration on behalf of another party, the Tribunal may issue an order or award for the reimbursement of such deposits paid. ### Rule 57 – Costs of the Arbitration **Rule 57.1** The Registrar shall determine the costs of the arbitration at the conclusion of the arbitration in accordance with the Schedule of Fees and the Practice Notes for the time being in force. **Rule 57.2** Under these Rules, the term "costs of the arbitration" shall comprise: (a) the Tribunal's fees and expenses; (b) SIAC's administration fees and expenses; (c) the Emergency Arbitrator's fees and expenses; (d) the Tribunal Secretary's fees and expenses; (e) the costs of any expert appointed by the Tribunal and of any other assistance reasonably required by the Tribunal; and (f) the Filing Fees. **Rule 57.3** The costs of the arbitration shall include any applicable government or statutory taxes. **Rule 57.4** The Tribunal's fees and SIAC's fees shall be subject to the maximum limits based on the amount in dispute in accordance with the Schedule of Fees. The Registrar shall have the power to: (a) determine that the maximum limits calculated in accordance with the Schedule of Fees shall be maintained notwithstanding an amendment to the amount in dispute; and (b) determine that an additional fee over and above the maximum limits prescribed in the Schedule of Fees shall apply to the Tribunal's fees and SIAC's fees. **Rule 57.5** In the event that the costs of the arbitration as determined by the Registrar are less than the deposits paid by the parties, there shall be a refund to the parties of their respective unutilised deposits or in such proportions as the parties may agree. **Rule 57.6** The Tribunal's reasonable expenses and other allowances shall be reimbursed in accordance with the Practice Notes for the time being in force. **Rule 57.7** The Registrar may from time to time allow an interim payment to the Tribunal in accordance with these Rules and the Practice Notes for the time being in force. **Rule 57.8** The Registrar's determination of the costs of the arbitration shall be final and not subject to appeal or review under these Rules. ### Rule 58 – Legal and Other Costs **Rule 58.1** The Tribunal shall have the power to order in the award that all or a part of a party's legal or other costs shall be paid by another party. In exercising its power, the Tribunal shall take into account such circumstances as it considers relevant including the conduct of the parties during the proceedings. ## SECTION X. GENERAL PROVISIONS ## 第十节 一般规定 ### Rule 59 – Confidentiality **Rule 59.1** Unless otherwise agreed by the parties, or as otherwise provided in these Rules, the parties, and any party representative, witness or expert, third-party funder, the members of any Tribunal, any Emergency Arbitrator, and any person appointed by a Tribunal, including any Tribunal Secretary and any Tribunal-appointed expert, the SIAC Court, the President, the Vice President, the Registrar, and the SIAC Secretariat shall be under a continuing obligation to treat all matters relating to the proceedings as confidential. **Rule 59.2** The discussions and deliberations of the Tribunal, the SIAC Court, and the SIAC Secretariat shall be confidential. **Rule 59.3** Unless otherwise agreed by the parties, or as otherwise provided in these Rules, the parties, and any party representative, witness or expert, third-party funder, the members of any Tribunal, any Emergency Arbitrator, and any person appointed by a Tribunal, including any Tribunal Secretary and any Tribunal-appointed expert, shall not, without the prior written consent of the parties, disclose to a third party any such matter except: (a) for the purpose of making an application to any competent court of any jurisdiction to challenge or enforce the award; (b) pursuant to the order of or a subpoena issued by a court of competent jurisdiction; (c) for the purpose of pursuing or enforcing a legal right or claim; (d) in compliance with the provisions of the laws of any jurisdiction which are binding on the party making the disclosure or the request or requirement of any regulatory body or other authority; (e) pursuant to an order by the Tribunal on application by a party with proper notice to the parties; or (f) for the purpose of any application under these Rules. **Rule 59.4** In Rule 59.1, "matters relating to the proceedings" includes the existence of the arbitration, the deliberations of the Tribunal, the pleadings, evidence, submissions, and all other materials and written communications produced and submitted by the parties in the arbitration, and any decision, ruling, order, or award, save where the information is, without any breach of Rule 59.1 and Rule 59.2, otherwise in the public domain. **Rule 59.5** The Tribunal has the power to enforce any obligation of confidentiality on the parties under these Rules, in accordance with the applicable law or pursuant to the parties' agreement, and may issue an order or award for sanctions, damages, or costs and take measures to protect trade secrets. ### Rule 60 – Publication **Rule 60.1** SIAC may, with the agreement in writing of all parties, publish any decision, ruling, order, or award of a Tribunal with the names of the parties and other identifying information redacted. ### Rule 61 – Information Security **Rule 61.1** As soon as practicable after the commencement of the arbitration, any party may propose and seek to agree on reasonable measures to protect the information that is shared, stored, or processed in relation to the arbitration. **Rule 61.2** At the first case management conference and any other appropriate stage of the proceedings, the Tribunal shall discuss with the parties the information security measures described in Rule 61.1. The Tribunal may, after considering the views of the parties, give directions to the parties in that regard, taking into account the circumstances of the case and relevant best practices on information security, including cybersecurity and cyber resilience. **Rule 61.3** The Tribunal shall have the power to take appropriate measures, including issuing an order or award for sanctions, damages, or costs, if a party does not take necessary steps to comply with the information security measures agreed by the parties and/or directed by the Tribunal. ### Rule 62 – Document Retention **Rule 62.1** SIAC shall maintain an archive of each arbitration commenced under these Rules for a minimum of six (6) years from the date the final award was issued or the arbitration was terminated unless otherwise requested by a party to maintain an archive of an arbitration for a longer period. SIAC may thereafter dispose of such documents in a confidential manner without notice to the parties or the Tribunal. ### Rule 63 – Decisions by SIAC **Rule 63.1** Except as provided in these Rules, the decisions of the SIAC Court, the President, the Vice President, the Registrar, and the SIAC Secretariat with respect to all matters relating to an arbitration shall be conclusive and binding upon the parties and the Tribunal. Except as provided in these Rules, the SIAC Court, the President, the Vice President, the Registrar, and the SIAC Secretariat are not required to provide reasons for such decisions but may provide such reasons at the joint request of the parties. **Rule 63.2** The SIAC Court may delegate its powers under these Rules to a Committee of the SIAC Court. **Rule 63.3** At the President's request, or if for any reason the President is unable to act, the Vice President or the Registrar is authorised to exercise the powers of the President under these Rules. **Rule 63.4** The parties waive any right of appeal or review in respect of any decisions of the SIAC Court, the President, the Vice President, the Registrar, and the SIAC Secretariat to any court or other judicial authority insofar as such waiver can be validly made. ### Rule 64 – Waiver **Rule 64.1** If a party knows or ought to have reasonably known that any provision of these Rules, an agreement of the parties including any agreement relating to the constitution of the Tribunal or the conduct of the proceedings, or any other rules applicable to the proceedings, or any direction given in relation to the arbitration has not been complied with, and does not state its objection in writing before the expiry of any time limit provided in these Rules for such objection, or in the absence of such time limit, within 15 days from the date of such knowledge, it shall be deemed to have irrevocably waived any right to object. ### Rule 65 – Exclusion of Liability **Rule 65.1** The parties shall be deemed to have agreed that SIAC (including its officers and employees), members of the SIAC Board, members of the SIAC Court, the President, the Vice President, the Registrar, the SIAC Secretariat, the members of any Tribunal, any Emergency Arbitrator, and any person appointed by a Tribunal, including any Tribunal Secretary and any Tribunal-appointed expert, shall not be liable to any person howsoever for any negligence or any act or omission including any decision, determination, or ruling or alleged failure to make any decision, determination, or ruling, or any mistake in law, fact or procedure made during the course of the arbitration, except to the extent that it can be demonstrated that such act or omission or mistake was carried out fraudulently, and the parties shall be deemed to have further agreed that such exclusion of liability as agreed upon in this Rule 65.1 is fair and reasonable. **Rule 65.2** The parties shall be deemed to have agreed that SIAC (including its officers and employees), members of the SIAC Board, members of the SIAC Court, the President, the Vice President, the Registrar, the SIAC Secretariat, the members of any Tribunal, any Emergency Arbitrator, any person appointed by a Tribunal, including any Tribunal Secretary and any Tribunal-appointed expert, shall not be under any obligation to make any statement in connection with any arbitration administered by SIAC in accordance with these Rules, and no party shall seek to make, summon, join, subpoena, or otherwise involve any of these persons or bodies as a party or a witness in any judicial, arbitration, administrative, or any other proceedings related to the arbitration or otherwise. ## SCHEDULE 1. EMERGENCY ARBITRATOR PROCEDURE ## 附表1 紧急仲裁员程序 ### Application for Emergency Interim Relief **1.** A party requiring emergency interim or conservatory relief in accordance with Rule 12.1 may file an application with the Registrar for the appointment of an Emergency Arbitrator ("Application"). **2.** An Application may be filed: (a) prior to the filing of the Notice; (b) concurrent with the filing of the Notice; or (c) any time after the filing of the Notice or the Response but prior to the constitution of the Tribunal. **3.** The Application shall include: (a) any Notice which has been filed in the arbitration and the supporting documents thereon; (b) the identity and contact details of the parties to the arbitration and their representatives; (c) a statement certifying that all parties have been provided with a copy of the Application or, if not, an explanation of the steps taken to provide a copy or notification of the Application to all parties; (d) a copy or description of the arbitration agreement invoked; (e) a copy or description of the contract or other instrument out of or in connection to which the dispute arises; (f) a description of the circumstances giving rise to the Application and of the underlying dispute referred or to be referred to arbitration; (g) a statement of the emergency interim or conservatory relief sought and the reasons why such relief is required on an emergency basis and cannot await the constitution of the Tribunal; (h) any comment as to the applicable rules of law, seat of the arbitration and the language of the arbitration for the emergency proceedings; (i) a statement on the existence of any third-party funding agreement and the identity and contact details of the third-party funder; and (j) English translations of any documents filed in a language other than in English. **4.** The Application shall be accompanied by payment of the EA Filing Fee and the deposits towards the Emergency Arbitrator's fees and expenses in accordance with the Schedule of Fees. **5.** The Registrar may call for additional deposits from the applicant towards the Emergency Arbitrator's fees and expenses. If the additional deposits are not paid within the period of time set by the Registrar, the Application shall be considered as withdrawn on a without prejudice basis. **6.** If the Application is filed under paragraph 2(a) of this Schedule 1, and the Notice is not filed within 7 days from the date of the Registrar's receipt of the Application, the Application shall be considered as withdrawn on a without prejudice basis unless the Registrar extends the time. ### Appointment of Emergency Arbitrator **7.** If the President determines that SIAC shall accept the Application, the President shall seek to appoint an Emergency Arbitrator within 24 hours from the later of: (a) the date of receipt by the Registrar of the Application; or (b) the date of receipt of payment of the EA Filing Fee and deposits. **8.** The duties of disclosure under Rule 20 shall apply, mutatis mutandis, to the appointment of an Emergency Arbitrator. ### Challenge of Emergency Arbitrator **9.** A party who wishes to challenge an Emergency Arbitrator shall file a notice of challenge with the Registrar: (a) within 24 hours from the date of receipt of the notice of appointment of the Emergency Arbitrator; or (b) within 24 hours from the date that the circumstances specified in Rule 26.1 became known or should have reasonably been known to that party. A party is not permitted to challenge an Emergency Arbitrator after the constitution of the Tribunal. **10.** If within 24 hours from the date the notice of challenge is filed, the other party agrees to the challenge or the challenged Emergency Arbitrator voluntarily withdraws from office, the SIAC Court may direct that a substitute Emergency Arbitrator be appointed in accordance with Rule 30.1 and Schedule 1. In neither case does this imply acceptance of the validity of the grounds for the challenge. **11.** The procedure for challenge and replacement of an arbitrator provided in Rule 27, Rule 28, and Rule 30, shall apply, mutatis mutandis, to a challenge to an Emergency Arbitrator, save that the SIAC Court may determine that no reasons are to be provided for its decision on the challenge. ### Conduct of Emergency Interim Relief Proceedings **12.** If the parties have agreed on the seat of the arbitration, such seat shall be the seat of the emergency interim relief proceedings. Failing such an agreement, the seat of the emergency interim relief proceedings shall be Singapore, without prejudice to the Tribunal's determination of the seat of the arbitration in accordance with Rule 36.1. **13.** The Emergency Arbitrator shall have the power to conduct the emergency interim relief proceedings in such manner as the Emergency Arbitrator considers appropriate, taking into account the inherent urgency of emergency interim relief proceedings. The Emergency Arbitrator shall have all the powers vested in the Tribunal pursuant to these Rules, including the power to rule on its own jurisdiction, without prejudice to the Tribunal's determination. **14.** The Emergency Arbitrator shall establish a schedule for consideration of the Application within 24 hours after its appointment. In the event a party does not participate in the emergency proceedings, the Emergency Arbitrator may conduct the proceedings in the party's absence. **15.** Unless the parties have agreed that the Application shall be decided on the basis of written submissions and any accompanying documentary evidence, the Emergency Arbitrator shall, if either party so requests or the Emergency Arbitrator so decides, hold a hearing for determination of the Application. Taking into account the inherent urgency of emergency interim relief proceedings, the hearing may be conducted in-person, in hybrid form, or by videoconference, teleconference, or any other form of electronic communication. ### Order or Award **16.** The Emergency Arbitrator shall have the power to make a preliminary order pending the provision of any written submissions or consideration of the Application. **17.** The Emergency Arbitrator shall have the power to order or award any interim relief that the Emergency Arbitrator deems necessary. The Emergency Arbitrator shall make the order or award within 14 days from the date of the Emergency Arbitrator's appointment unless the Registrar extends the time. No order or award shall be made by the Emergency Arbitrator until it has been approved by the Registrar in accordance with Rule 53. **18.** The Emergency Arbitrator may make an order or award subject to such conditions as the Emergency Arbitrator deems appropriate, including requiring the provision of appropriate security. **19.** Prior to the constitution of the Tribunal, the Emergency Arbitrator, on its own initiative or upon the reasoned request of a party, shall have the power to: (a) reconsider, modify, or vacate any order or award; and (b) make an additional order or award as to any claim for emergency interim relief presented in the emergency interim relief proceedings but not decided in any order or award of the Emergency Arbitrator. **20.** An order or award issued by the Emergency Arbitrator shall cease to be binding: (a) if the parties so agree; (b) if the Emergency Arbitrator or the Tribunal so decides; (c) if the Application is considered as withdrawn in accordance with paragraph 5 or paragraph 6 of this Schedule 1; (d) if the Tribunal is not constituted within 90 days from the date of the order or award, unless the Registrar extends the time; (e) if the claims in the arbitration are withdrawn or the arbitration is terminated prior to the issuance of the final award; or (f) upon issuance of the final award, unless the Tribunal determines otherwise. **21.** The Emergency Arbitrator shall have no power to act after the Tribunal is constituted. The Tribunal may affirm, reconsider, modify, or vacate any order or award issued by the Emergency Arbitrator, including a ruling on its jurisdiction. The Tribunal shall not be bound by the reasons given by the Emergency Arbitrator. **22.** An Emergency Arbitrator may not act as an arbitrator in the arbitration, unless otherwise agreed by the parties. **23.** The parties shall be deemed to have agreed that an order or award by an Emergency Arbitrator pursuant to this Schedule 1 shall be binding on the parties from the date it is made, and the parties undertake to carry out the order or award immediately and without delay. The parties hereby irrevocably waive their rights to any form of appeal, review, or recourse to any court or other judicial authority with respect to such order or award insofar as such waiver may be validly made. ### Costs of Emergency Interim Relief Proceedings **24.** The costs associated with any Application pursuant to this Schedule 1 may initially be apportioned by the Emergency Arbitrator, subject to the power of the Tribunal to finally determine the apportionment of such costs. ### Protective Preliminary Order Application **25.** Unless otherwise agreed by the parties, a party may file an Application without complying with paragraph 3(c) of this Schedule 1, and without notice to the other parties, to make a request for the appointment of an Emergency Arbitrator to consider a request for an interim measure together with an application for a preliminary order directing a party not to frustrate the purpose of the emergency interim or conservatory measure requested (a "protective preliminary order application"). **26.** If the President determines that SIAC shall accept a protective preliminary order application under paragraph 25 of this Schedule 1, the President shall appoint an Emergency Arbitrator in accordance with the timelines in paragraph 7 of this Schedule 1. **27.** The Emergency Arbitrator shall determine the protective preliminary order application within 24 hours after its appointment. **28.** The order of the Emergency Arbitrator in respect of the protective preliminary order application shall be delivered by the Emergency Arbitrator to the SIAC Secretariat. The SIAC Secretariat shall transmit the Emergency Arbitrator's order to all parties to the arbitration. **29.** The applicant shall promptly and, in any event, within 12 hours of the transmission by the SIAC Secretariat of the Emergency Arbitrator's order in respect of the protective preliminary order application, deliver a copy of all the case papers filed in the arbitration, the Emergency Arbitrator's order, and all other communications, including the content of any oral communication at any hearing, between the applicant and the Emergency Arbitrator, to all the parties, and provide a statement to the Registrar and the Emergency Arbitrator certifying that it has done so, or if not accomplished, an explanation of the steps taken to do so. **30.** Any preliminary order granted by the Emergency Arbitrator in respect of the protective preliminary order application shall expire 3 days after the date on which it was issued if the applicant fails to furnish the statement or explanation within such time as stipulated under paragraph 29 of this Schedule 1. **31.** The Emergency Arbitrator shall provide an opportunity to any party against whom a protective preliminary order is directed to present its case at the earliest practicable time. **32.** The Emergency Arbitrator shall decide promptly on any objection to the protective preliminary order. **33.** A protective preliminary order shall expire 14 days after the date on which it was issued by the Emergency Arbitrator. The Emergency Arbitrator may, in accordance with the procedures in this Schedule 1, issue an order or award adopting or modifying the protective preliminary order, or granting such other emergency interim relief as appropriate, after all parties have been given an opportunity to present their cases. **34.** If the President rejects the request to appoint an Emergency Arbitrator to consider a protective preliminary order application: (a) such decision will be communicated to all parties by the SIAC Secretariat; and (b) the applicant shall promptly comply with paragraph 3(c) of this Schedule 1. The protective preliminary order application shall thereafter be dealt with as an Application in accordance with this Schedule 1, and the procedures set out in this Schedule 1 shall apply, save that the timeline provided for in paragraph 7 shall run from the date of the applicant's compliance with paragraph 3(c) of this Schedule 1. ### General Provisions **35.** The Registrar may extend or abridge any period of time under this Schedule 1. **36.** These Rules shall apply as appropriate to any arbitration pursuant to this Schedule 1, taking into account the inherent urgency of emergency interim relief proceedings. The Emergency Arbitrator may decide the manner in which this Schedule 1 shall apply as appropriate, and except as otherwise provided under these Rules, the Emergency Arbitrator's decision as to such matters is final and not subject to appeal, review, or recourse. ## SCHEDULE 2. STREAMLINED PROCEDURE ## 附表2 简化程序 ### Appointment of Sole Arbitrator **1.** In all arbitrations conducted under this Schedule 2, a sole arbitrator shall be appointed. **2.** The parties may jointly nominate the sole arbitrator within 3 days from the date of the SIAC's Secretariat's notification to the parties under Rule 13.2 that the Streamlined Procedure shall apply to the arbitration. **3.** If the parties are not able to jointly nominate the sole arbitrator within 3 days from the date of the SIAC's Secretariat's notification to the parties under Rule 13.2 that the Streamlined Procedure shall apply to the arbitration, or if at any time a party so requests, the President shall appoint the sole arbitrator as soon as practicable. **4.** The duties of disclosure under Rule 20 shall apply, mutatis mutandis, to the appointment of a sole arbitrator under this Schedule 2. ### Challenge of Sole Arbitrator **5.** A party who wishes to challenge an arbitrator appointed under the Streamlined Procedure shall file a notice of challenge with the Registrar: (a) within 3 days from the date of receipt of the notice of appointment of the arbitrator; or (b) within 3 days from the date that the reasons specified in Rule 26.1 became known or should have reasonably been known to that party. **6.** If within 3 days after the date the notice of challenge is filed, the other party agrees to the challenge or the challenged arbitrator voluntarily withdraws from office, the SIAC Court may direct that a substitute arbitrator be appointed in accordance with Rule 30.1 and Schedule 2. In neither case does this imply acceptance of the validity of the grounds for the challenge. **7.** The procedure for challenge and replacement of an arbitrator provided in Rule 27, Rule 28, and Rule 30 shall apply, mutatis mutandis, to a challenge to an arbitrator under this Schedule 2, save that the SIAC Court may determine that no reasons are to be provided for its decision on the challenge. ### Conduct of Streamlined Proceedings **8.** Within 5 days from the date of constitution of the Tribunal, the Tribunal shall conduct a case management conference with the parties to discuss the timetable for the conduct of the proceedings including the determination of any interlocutory applications. **9.** The Tribunal shall have the power to conduct the streamlined proceedings in such manner as the Tribunal considers appropriate, taking into account the timelines under the Streamlined Procedure. **10.** In exercising its procedural discretion under this Schedule 2, the Tribunal may set a time limit on the expiry of which the parties shall not be entitled to file any interlocutory applications without leave of the Tribunal. **11.** Unless the Tribunal determines otherwise, after considering the views of the parties: (a) the arbitration shall be decided on the basis of written submissions and any accompanying documentary evidence; (b) no party shall be entitled to make requests for document production; and (c) no party shall be entitled to file any fact or expert witness evidence. **12.** No hearing shall be conducted unless the Tribunal determines that a hearing is necessary under the circumstances or a party requests a hearing and the Tribunal accepts the request. Any such hearing shall be conducted by videoconference, teleconference, or any other form of electronic communication unless the parties agree or the Tribunal determines that it is appropriate to conduct an in-person or hybrid hearing. ### Award **13.** The Tribunal shall state the reasons upon which any award is based in summary form, unless the Parties have agreed that no reasons are to be given. **14.** The provisions of Rule 53 shall apply to an arbitration conducted under this Schedule 2 subject to such modifications to the timelines prescribed under that provision as may be directed by the Registrar. **15.** The final award shall be made within 3 months from the date of constitution of the Tribunal, unless the Registrar extends the time for making such final award. ### Costs **16.** The Tribunal's fees and SIAC's fees shall not exceed 50 percent of the maximum limits based on the amount in dispute in accordance with the Schedule of Fees, unless the Registrar determines otherwise. ### General Provisions **17.** The parties shall be deemed to have agreed that, where the arbitration is conducted in accordance with the Streamlined Procedure, the rules and procedures set out in Rule 13 and Schedule 2 shall apply and take precedence over any inconsistent or contrary terms in the arbitration agreement including a term providing for the appointment of a Tribunal comprising more than one arbitrator. **18.** Any application under Rule 46 or Rule 47 shall not be allowed in an arbitration conducted under the Streamlined Procedure. **19.** The Registrar may extend or abridge any time limits under this Schedule 2. **20.** The Tribunal may, in consultation with the parties, and with the approval of the Registrar, order that the arbitration shall no longer be conducted in accordance with the Streamlined Procedure. Notwithstanding such an order by the Tribunal, the arbitration shall continue to be conducted by the same Tribunal that was constituted to conduct the arbitration in accordance with the Streamlined Procedure. **21.** These Rules shall apply as appropriate to any arbitration pursuant to this Schedule 2, taking into account the streamlined nature of the proceedings. The Tribunal may decide the manner in which this Schedule 2 shall apply as appropriate, and the Tribunal's decision as to such matters is final and not subject to appeal, review, or recourse. ## SCHEDULE 3. EXPEDITED PROCEDURE ## 附表3 快速程序 ### Appointment of Tribunal **1.** In all arbitrations conducted under this Schedule 3, a sole arbitrator shall be appointed unless the President determines otherwise. **2.** The Tribunal shall be constituted in accordance with the appointment provisions under these Rules which shall apply as appropriate. ### Conduct of Proceedings **3.** In an arbitration conducted under this Schedule 3: (a) the dispute shall be decided on the basis of written submissions and any accompanying documentary evidence, unless any party requests a hearing or the Tribunal decides that a hearing would be appropriate; (b) the Tribunal shall hold any hearing by videoconference, teleconference, or any other form of electronic communication unless the parties agree or the Tribunal determines that it is appropriate to conduct an in-person or hybrid hearing; (c) the Tribunal shall have the power to adopt any procedural mechanisms as it considers appropriate taking into account the timelines under the Expedited Procedure; and (d) the Tribunal may, after considering the views of the parties, decide not to allow requests for document production or to limit the number, length, and scope, of written submissions and written witness evidence. ### Award **4.** The Tribunal shall state the reasons upon which any award is based in summary form, unless the Parties have agreed that no reasons are to be given. **5.** The provisions of Rule 53 shall apply to an arbitration conducted under this Schedule 3 subject to such modifications to the timelines prescribed under that provision as may be directed by the Registrar. **6.** The final award shall be made within 6 months from the date of constitution of the Tribunal, unless the Registrar extends the time for making such final award. ### General Provisions **7.** The parties shall be deemed to have agreed that, where an arbitration is conducted in accordance with the Expedited Procedure, the rules and procedures set out in Rule 14 and Schedule 3 shall apply and take precedence over any inconsistent or contrary terms in the arbitration agreement including a term providing for the appointment of a Tribunal comprising more than one arbitrator. **8.** The Tribunal may, in consultation with the parties and the Registrar, order that the arbitration shall no longer be conducted in accordance with the Expedited Procedure. Notwithstanding such an order by the Tribunal, the arbitration shall continue to be conducted by the same Tribunal that was constituted to conduct the arbitration in accordance with the Expedited Procedure. **9.** The Registrar may extend or abridge any time limits under this Schedule 3. **10.** These Rules shall apply as appropriate to any arbitration pursuant to this Schedule 3, taking into account the expedited nature of the proceedings. The Tribunal may decide the manner in which this Schedule 3 shall apply as appropriate, and the Tribunal's decision as to such matters is final and not subject to appeal, review, or recourse. **Source / 来源:** SIAC Official Website / 新加坡国际仲裁中心官方网站 (https://www.siac.org.sg/our-rules/rules) **Fresa Li:** SIAC 2025 (7th Edition) Arbitration Rules represent the cutting edge of arbitration practice in the Asia-Pacific region. While presiding over a major infrastructure EPC payment dispute (case amount exceeding RMB 240 million), I gained deep appreciation for the flexibility of SIAC Rules on joinder and multi-party arbitration. The provisions under Rules 6 to 8 on joinder and consolidation are notably more permissive than most peer institutions—the low bar for post-Appointment joinder is a distinct advantage in complex EPC projects involving multiple subcontractors. I also commend SIAC's approach to early dismissal under Rule 29, which provides a calibrated mechanism for manifestly unmeritorious claims. The SIAC-SIMC Arb-Med-Arb Protocol is particularly valuable for parties in jurisdictions with a tradition of amicable settlement, such as China and other East Asian states. --- **Dr. Venessa:** The SIAC 2025 Rules are the most aggressively digitized among the ten—Rule 59's confidentiality covering all participants (including third-party funders), electronic evidence rules aligned with GDPR, six-year electronic archiving, and emergency arbitrator scheduling within 24 hours. The SIAC Gateway system and exhaustive definitions reflect institutional precision. But digitization is not Agent-ification. SIAC leads at the "procedural infrastructure" layer yet remains silent at the "decision governance" layer, just like the ICC. Its confidentiality provisions are the most critical institutional interface for the Agent era—how are data-handling obligations defined for Agents? GDPR compatibility means SIAC is already thinking about data governance, but Agent "training data contamination" and "inference black box" problems far exceed GDPR's privacy framework. SIAC's 24-hour emergency arbitrator scheduling is precisely where Agents excel—an Arbitrator-Agent operating 24/7 is naturally suited to emergency proceedings. The question: how is emergency award quality assured? SVAMC Guideline 7 prohibits arbitrators from relying on unverified AI-generated information, but SIAC sets no capability threshold for Agent participation in emergency procedures. ------------------------------------------------------------ ## Chapter 4: HKIAC Hong Kong International Arbitration Centre ## 第四章：香港国际仲裁中心 ### Institutional Profile - **Full Name / 全称:** Hong Kong International Arbitration Centre / 香港国际仲裁中心 - **Abbreviation / 简称:** HKIAC / 香港国际仲裁中心 - **Headquarters / 总部:** Hong Kong SAR, China / 中国香港特别行政区 - **Current Rules Version / 现行规则版本:** HKIAC Administered Arbitration Rules (2024) / 香港国际仲裁中心机构仲裁规则（2024年） - **Effective Date / 生效日期:** June 1, 2024 / 2024年6月1日 - **Official Link / 官方网站:** https://www.hkiac.org/arbitration/rules ### Arbitration Rules (English Original) ### Article 1 – Scope of Application 1.1 These Rules shall govern arbitrations where an arbitration agreement (whether entered into before or after a dispute has arisen) either: (a) provides for these Rules to apply; or (b) subject to Articles 1.3 and 1.4 below, provides for arbitration "administered by HKIAC" or words to similar effect. 1.2 By agreeing to arbitration in accordance with Article 1.1, the parties accept that the arbitration shall be administered by HKIAC. 1.3 Nothing in these Rules shall prevent parties to a dispute or arbitration agreement from naming HKIAC as appointing authority, or from requesting certain administrative services from HKIAC, without subjecting the arbitration to the provisions contained in these Rules. For the avoidance of doubt, these Rules shall not govern arbitrations where an arbitration agreement provides for arbitration under other rules, including other rules adopted by HKIAC from time to time. 1.4 These Rules shall come into force on 1 June 2024 and, unless the parties have agreed otherwise, shall apply to all arbitrations falling within Article 1.1 in which the Notice of Arbitration is submitted on or after that date. ### Article 2 – Interpretation of Rules 2.1 HKIAC shall have the power to interpret all provisions of these Rules. The arbitral tribunal shall interpret the Rules insofar as they relate to its powers and duties hereunder. In the event of any inconsistency between such interpretation and any interpretation by HKIAC, the arbitral tribunal's interpretation shall prevail. 2.2 HKIAC has no obligation to give reasons for any decision it makes in respect of any arbitration commenced under these Rules. Unless otherwise determined by HKIAC, all decisions made by HKIAC under these Rules are final and, to the extent permitted by any applicable law, not subject to appeal. 2.3 Where the parties have designated an HKIAC body or person to perform a function that is delegated to HKIAC under the Rules, that function shall be performed by HKIAC. 2.4 References to "HKIAC" are to the Council of HKIAC or any other body or person designated by it to perform the functions referred to herein, or, where applicable, to the Secretary-General of HKIAC and other staff members of the Secretariat of HKIAC. 2.5 References to "Claimant" include one or more claimants. 2.6 References to "Respondent" include one or more respondents. 2.7 References to "additional party" include one or more additional parties and references to "party" or "parties" include Claimant, Respondent and/or an additional party. 2.8 References to the "arbitral tribunal" include one or more arbitrators. Except in Schedule 2, such references do not include an emergency arbitrator. 2.9 References to "witness" include one or more witnesses and references to "expert" include one or more experts. 2.10 References to "claim" or "counterclaim" include any claim or claims by any party against any other party. References to "defence" include any defence or defences by any party to any claim or counterclaim submitted by any other party, including any defence for the purpose of a set-off or cross-claim. 2.11 References to "arbitration agreement" include one or more arbitration agreements. 2.12 References to "language" include one or more languages. 2.13 References to "award" include, inter alia, an interim, interlocutory, partial or final award, save for any award made by an emergency arbitrator. 2.14 References to the "seat" of arbitration mean the place of arbitration as defined in Article 20(1) of the UNCITRAL Model Law on International Commercial Arbitration. 2.15 References to "written communications" include all notifications, proposals, pleadings, submissions, statements, documents, orders and awards that are produced, submitted or exchanged in the arbitration. 2.16 References to "communication" mean delivery, transmission or notification of a written communication by hand, registered post, courier service, facsimile, email or other means of telecommunication that provides a record of transmission. 2.17 These Rules include all Schedules attached thereto, as amended from time to time by HKIAC, in force on the date the Notice of Arbitration is submitted. 2.18 HKIAC may issue practice notes and guidelines to supplement, regulate and implement these Rules for the purpose of facilitating the administration of arbitrations governed by these Rules. 2.19 English is the original language of these Rules. In the event of any discrepancy or inconsistency between the English version and the version in any other language, the English version shall prevail. ### Article 3 – Written Communications and Calculation of Time Limits 3.1 Any written communication pursuant to these Rules shall be deemed to be received by a party, arbitrator, emergency arbitrator or HKIAC if: (a) communicated to the address, facsimile number and/or email address communicated by the addressee or its representative in the arbitration; or (b) in the absence of (a), communicated to the address, facsimile number and/or email address specified in any applicable agreement between the parties; or (c) in the absence of (a) and (b), communicated to any address, facsimile number and/or email address which the addressee holds out to the world at the time of such communication; or (d) in the absence of (a), (b) and (c), communicated to any last known address, facsimile number and/or email address of the addressee; or (e) uploaded to any secured online repository that the parties have agreed to use; or (f) communicated through any other form of electronic communication that the parties have agreed to use, subject to approval by HKIAC and the arbitral tribunal, once constituted. 3.2 If, after reasonable efforts, communication cannot be effected in accordance with Article 3.1, a written communication is deemed to have been received if it is sent to the addressee's last-known address or facsimile number by means that provides a record of attempted communication. 3.3 Any written communication shall be deemed received on the earliest day when it is communicated or uploaded pursuant to Article 3.1, or attempted to be communicated pursuant to Article 3.2. For this purpose, the date shall be determined according to the local time at the place of receiving such written communication or a notice of the upload pursuant to Article 3.1(e). 3.4 Where a written communication is being communicated to more than one party, or more than one arbitrator, such written communication shall be deemed received when it is communicated pursuant to Article 3.1(a) to (d) or (f), or attempted to be communicated pursuant to Article 3.2, to the last intended recipient, or when a notice that such written communication has been uploaded pursuant to Article 3.1(e) is communicated to the last intended recipient. 3.5 Time limits under these Rules shall begin to run on the day following the day when any written communication is received or deemed received. If the last day of the time limit is an official holiday or a non-business day at the place of receipt, the time limit shall be extended until the first business day which follows. Official holidays or non-business days occurring during the running of the time limit shall be included in calculating the time limit. 3.6 If the circumstances of the case so justify, HKIAC may amend the time limits provided for in these Rules, as well as any time limits that it has set, whether any such time limits have expired. HKIAC shall not amend any time limits agreed by the parties or set by the arbitral tribunal or emergency arbitrator unless the parties agree or the arbitral tribunal or emergency arbitrator directs otherwise. ### Article 4 – Notice of Arbitration 4.1 The party initiating arbitration (the "Claimant") shall communicate a Notice of Arbitration to HKIAC and the other party (the "Respondent"). 4.2 An arbitration shall be deemed to commence on the date on which a copy of the Notice of Arbitration is received by HKIAC. For the avoidance of doubt, this date shall be determined in accordance with the provisions of Articles 3.1 to 3.5. 4.3 The Notice of Arbitration shall include the following: (a) a request that the dispute be referred to arbitration; (b) the names and (in so far as known) the addresses, telephone and facsimile numbers, and/or email addresses of the parties and of their representatives; (c) a copy of the arbitration agreement(s) invoked; (d) a copy of the contract(s) or other legal instrument(s) out of or in relation to which the dispute arises, or reference thereto; (e) a description of the general nature of the claim and an indication of the amount involved, if any; (f) the relief or remedy sought; (g) a reasoned proposal as to the number of arbitrators (i.e. one or three), if the parties have not previously agreed thereon; (h) the Claimant's proposal and any comments regarding the designation of a sole arbitrator under Article 7, or the Claimant's designation of an arbitrator under Article 8; (i) the existence of any funding agreement and the identity of any third party funder pursuant to Article 44; and (j) confirmation that copies of the Notice of Arbitration and any supporting materials included with it have been or are being communicated simultaneously to the Respondent by one or more means of service to be identified in such confirmation. 4.4 The Notice of Arbitration shall be accompanied by payment to HKIAC of the Registration Fee as required by Schedule 1. 4.5 The Notice of Arbitration may include the Statement of Claim. 4.6 If the Notice of Arbitration does not comply with these Rules or if the Registration Fee is not paid, HKIAC may request the Claimant to remedy the defect within an appropriate time limit. If the Claimant complies with such directions within the applicable time limit, the arbitration shall be deemed to have commenced under Article 4.2 on the date the initial version was received by HKIAC. If the Claimant fails to comply, the arbitration shall be deemed not to have commenced under Article 4.2 without prejudice to the Claimant's right to submit the same claim at a later date in a subsequent Notice of Arbitration. 4.7 Where an amendment is made to the Notice of Arbitration prior to the constitution of the arbitral tribunal, HKIAC has discretion to determine whether and to what extent such amendment affects other time limits under the Rules. 4.8 The Claimant shall notify, and lodge documentary verification with, HKIAC of the date the Respondent receives the Notice of Arbitration and any supporting materials included with it. ### Article 5 – Answer to the Notice of Arbitration 5.1 Within 30 days from receipt of the Notice of Arbitration, the Respondent shall communicate an Answer to the Notice of Arbitration to HKIAC and the Claimant. The Answer to the Notice of Arbitration shall include the following: (a) the name, address, telephone and facsimile numbers, and/or email address of the Respondent and of its representatives (if different from the description contained in the Notice of Arbitration); (b) any plea that an arbitral tribunal constituted under these Rules lacks jurisdiction; (c) the Respondent's comments on the particulars set forth in the Notice of Arbitration, pursuant to Article 4.3(e); (d) the Respondent's answer to the relief or remedy sought in the Notice of Arbitration, pursuant to Article 4.3(f); (e) the Respondent's reasoned proposal as to the number of arbitrators (i.e. one or three), if the parties have not previously agreed thereon; (f) the Respondent's proposal and any comments regarding the designation of a sole arbitrator under Article 7 or the Respondent's designation of an arbitrator under Article 8; (g) the existence of any funding agreement and the identity of any third party funder pursuant to Article 44; and (h) confirmation that copies of the Answer to the Notice of Arbitration and any supporting materials included with it have been or are being communicated simultaneously to all other parties to the arbitration by one or more means of service to be identified in such confirmation. 5.2 The Answer to the Notice of Arbitration may also include the Statement of Defence, if the Notice of Arbitration contained the Statement of Claim. 5.3 Any counterclaim, set-off defence or cross-claim shall, to the extent possible, be raised with the Respondent's Answer to the Notice of Arbitration, which should include in relation to any such counterclaim, set-off defence or cross-claim: (a) a copy of the contract(s) or other legal instrument(s) out of or in relation to which it arises, or reference thereto; (b) a description of the general nature of the counterclaim, set-off defence and/or cross-claim, and an indication of the amount involved, if any; and (c) the relief or remedy sought. 5.4 HKIAC shall transmit the case file to the arbitral tribunal as soon as it has been constituted, provided that any deposit requested by HKIAC has been paid, unless HKIAC determines otherwise. ### Article 6 – Number of Arbitrators 6.1 If the parties have not agreed upon the number of arbitrators before the arbitration commences or within 30 days from the date the Notice of Arbitration is received by the Respondent, HKIAC shall decide whether the case shall be referred to a sole arbitrator or to three arbitrators, taking into account the circumstances of the case. 6.2 Where a case is conducted under an Expedited Procedure in accordance with Article 42, the provisions of Article 42.2(a) and (b) shall apply. ### Article 7 – Appointment of a Sole Arbitrator 7.1 Unless the parties have agreed otherwise: (a) where the parties have agreed before the arbitration commences that the dispute shall be referred to a sole arbitrator, they shall jointly designate the sole arbitrator within 30 days from the date the Notice of Arbitration was received by the Respondent. (b) where the parties have agreed after the arbitration commences to refer the dispute to a sole arbitrator, they shall jointly designate the sole arbitrator within 15 days from the date of that agreement. (c) where the parties have not agreed upon the number of arbitrators and HKIAC has decided that the dispute shall be referred to a sole arbitrator, the parties shall jointly designate the sole arbitrator within 15 days from the date HKIAC's decision was received by the last of them. 7.2 If the parties fail to designate the sole arbitrator within the applicable time limit, HKIAC shall appoint the sole arbitrator. 7.3 Where the parties have agreed on a different procedure for designating the sole arbitrator and such procedure does not result in a designation within a time limit agreed by the parties or set by HKIAC, HKIAC shall appoint the sole arbitrator. ### Article 8 – Appointment of Three Arbitrators 8.1 Where a dispute between two parties is referred to three arbitrators, the arbitral tribunal shall be constituted as follows, unless the parties have agreed otherwise: (a) where the parties have agreed before the arbitration commences that the dispute shall be referred to three arbitrators, each party shall designate in the Notice of Arbitration and the Answer to the Notice of Arbitration, respectively, one arbitrator. If either party fails to designate an arbitrator, HKIAC shall appoint the arbitrator. (b) where the parties have agreed after the arbitration commences to refer the dispute to three arbitrators, the Claimant shall designate an arbitrator within 15 days from the date of that agreement, and the Respondent shall designate an arbitrator within 15 days from receiving notice of the Claimant's designation. If a party fails to designate an arbitrator, HKIAC shall appoint the arbitrator. (c) where the parties have not agreed upon the number of arbitrators and HKIAC has decided that the dispute shall be referred to three arbitrators, the Claimant shall designate an arbitrator within 15 days from receipt of HKIAC's decision, and the Respondent shall designate an arbitrator within 15 days from receiving notice of the Claimant's designation. If a party fails to designate an arbitrator, HKIAC shall appoint the arbitrator. (d) the two arbitrators so appointed shall designate a third arbitrator, who shall act as the presiding arbitrator. Failing such designation within 30 days from the confirmation or appointment of the second arbitrator, HKIAC shall appoint the presiding arbitrator. 8.2 Where there are more than two parties to the arbitration and the dispute is to be referred to three arbitrators, the arbitral tribunal shall be constituted as follows, unless the parties have agreed otherwise: (a) the Claimant or group of Claimants shall designate an arbitrator and the Respondent or group of Respondents shall designate an arbitrator in accordance with the procedure in Article 8.1(a), (b) or (c), as applicable; (b) if the parties have designated arbitrators in accordance with Article 8.2(a), the procedure in Article 8.1(d) shall apply to the designation of the presiding arbitrator; (c) in the event of any failure to designate arbitrators under Article 8.2(a) or if the parties do not all agree that they represent two separate sides (as Claimant and Respondent respectively) for the purposes of designating arbitrators, HKIAC may appoint all members of the arbitral tribunal with or without regard to any party's designation. 8.3 Where the parties have agreed on a different procedure for designating three arbitrators and such procedure does not result in the designation of an arbitrator within a time limit agreed by the parties or set by HKIAC, HKIAC shall appoint the arbitrator. ### Article 9 – Confirmation of the Arbitral Tribunal 9.1 All designations of any arbitrator, whether made by the parties or the arbitrators, are subject to confirmation by HKIAC, upon which the appointments shall become effective. 9.2 Where the parties have agreed that an arbitrator is to be appointed by one or more of the parties or by the arbitrators already confirmed or appointed, that agreement shall be deemed an agreement to designate an arbitrator under the Rules. 9.3 The designation of an arbitrator shall be confirmed taking into account any agreement by the parties as to an arbitrator's qualifications, any factors that may affect the efficiency or integrity of the arbitration, any information provided under Article 11.4, and in accordance with Article 10. ### Article 9A – Diversity 9A.1 The parties and co-arbitrators are encouraged to take into account considerations of diversity when designating arbitrators in accordance with the Rules. 9A.2 When exercising its authority to appoint arbitrators under the Rules, HKIAC shall take into account considerations of diversity together with all other relevant considerations. ### Article 10 – Fees and Expenses of the Arbitral Tribunal 10.1 The fees and expenses of the arbitral tribunal shall be determined according to either: (a) an hourly rate in accordance with Schedule 2; or (b) the schedule of fees based on the sum in dispute in accordance with Schedule 3. The parties shall agree the method for determining the fees and expenses of the arbitral tribunal, and shall inform HKIAC of the applicable method within 30 days of the date on which the Respondent receives the Notice of Arbitration. If the parties fail to agree on the applicable method, the arbitral tribunal's fees and expenses shall be determined in accordance with Schedule 2. 10.2 Where the fees of the arbitral tribunal are to be determined in accordance with Schedule 2, (a) the applicable rate for each co-arbitrator shall be the rate agreed between that co-arbitrator and the designating party; (b) the applicable rate for a sole or presiding arbitrator designated by the parties or the co-arbitrators, as applicable, shall be the rate agreed between that arbitrator and the parties, subject to paragraphs 9.3 to 9.5 of Schedule 2. Where the rate of an arbitrator is not agreed in accordance with Article 10.2(a) or (b), or where HKIAC appoints an arbitrator, HKIAC shall determine the rate of that arbitrator. 10.3 Where the fees of the arbitral tribunal are determined in accordance with Schedule 3, HKIAC shall fix the fees in accordance with that Schedule and the following rules: (a) the fees of the arbitral tribunal shall be reasonable in amount, taking into account the amount in dispute, the complexity of the subject-matter, the time spent by the arbitral tribunal and any secretary appointed under Article 13.4, and any other circumstances of the case, including, but not limited to, the discontinuation of the arbitration in case of settlement or for any other reason; (b) where a case is referred to three arbitrators, HKIAC, at its discretion, shall have the right to increase the total fees up to a maximum which shall normally not exceed three times the fees of a sole arbitrator; (c) the arbitral tribunal's fees may exceed the amounts calculated in accordance with Schedule 3 where, in the opinion of HKIAC, there are exceptional circumstances, which include, but are not limited to, the parties conducting the arbitration in a manner not reasonably contemplated at the time when the arbitral tribunal was constituted. ### Article 11 – Qualifications and Challenge of the Arbitral Tribunal 11.1 An arbitral tribunal confirmed under these Rules shall be and remain at all times impartial and independent of the parties. 11.2 Subject to Article 11.3, as a general rule, where the parties to an arbitration under these Rules are of different nationalities, a sole or presiding arbitrator shall not have the same nationality as any party unless specifically agreed otherwise by all parties. 11.3 Notwithstanding the general rule in Article 11.2, in appropriate circumstances and provided that none of the parties objects within a time limit set by HKIAC, a sole or presiding arbitrator may be of the same nationality as any of the parties. 11.4 Before confirmation or appointment, a prospective arbitrator shall (a) sign a statement confirming his or her availability to decide the dispute and his or her impartiality and independence; and (b) disclose any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence. An arbitrator, once confirmed or appointed and throughout the arbitration, shall disclose without delay any such circumstances to the parties unless they have already been informed by him or her of these circumstances. 11.5 No party or its representatives shall have any ex parte communication relating to the arbitration with any arbitrator, or with any candidate to be designated as arbitrator by a party, except to advise the candidate of the general nature of the dispute, to discuss the candidate's qualifications, availability, impartiality or independence, or to discuss the suitability of candidates for the designation of a third arbitrator where the parties or party-designated arbitrators are to designate that arbitrator. No party or its representatives shall have any ex parte communication relating to the arbitration with any candidate for the presiding arbitrator. 11.6 Any arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence, or if the arbitrator does not possess qualifications agreed by the parties, or if the arbitrator becomes de jure or de facto unable to perform his or her functions or for other reasons fails to act without undue delay. A party may challenge the arbitrator designated by it or in whose appointment it has participated only for reasons of which it becomes aware after the designation has been made. 11.7 A party that intends to challenge an arbitrator shall send notice of its challenge within 15 days after the confirmation or appointment of that arbitrator has been communicated to the challenging party or within 15 days after that party became aware of the circumstances mentioned in Article 11.6. 11.8 The notice of challenge shall be communicated to HKIAC, all other parties, the challenged arbitrator and any other members of the arbitral tribunal. The notice of challenge shall state the reasons for the challenge. 11.9 Unless the arbitrator being challenged resigns or the non-challenging party agrees to the challenge within 15 days from receiving the notice of challenge, HKIAC shall decide on the challenge. Pending the determination of the challenge, the arbitral tribunal (including the challenged arbitrator) may continue the arbitration. 11.10 If an arbitrator resigns or a party agrees to a challenge under Article 11.9, no acceptance of the validity of any ground referred to in Article 11.6 shall be implied. ### Article 12 – Replacement of an Arbitrator 12.1 Subject to Articles 12.2, 27.13 and 28.8, where an arbitrator dies, has been successfully challenged, has had his or her appointment revoked, has been otherwise removed or has resigned, a substitute arbitrator shall be appointed pursuant to the rules that were applicable to the appointment of the arbitrator being replaced. These rules shall apply even if, during the process of appointing the arbitrator being replaced, a party had failed to exercise its right to designate or to participate in the appointment. 12.2 If, at the request of a party, HKIAC 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 designate a substitute arbitrator, HKIAC may, after giving an opportunity to the parties and the remaining arbitrators to express their views: (a) appoint the substitute arbitrator; or (b) authorise the other arbitrators to proceed with the arbitration and make any decision or award. 12.3 If an arbitrator is replaced, the arbitration shall resume at the stage where the arbitrator was replaced or ceased to perform his or her functions, unless the arbitral tribunal decides otherwise. ### Article 13 – General Provisions 13.1 Subject to these Rules, the arbitral tribunal shall adopt suitable procedures for the conduct of the arbitration in order to avoid unnecessary delay or expense, having regard to the complexity of the issues, the amount in dispute, the effective use of technology, information security, and environmental impact, and provided that such procedures ensure equal treatment of the parties and afford the parties a reasonable opportunity to present their case. 13.2 At an early stage of the arbitration and after consulting with the parties, the arbitral tribunal shall prepare a provisional timetable for the arbitration, which shall be provided to the parties and HKIAC. 13.3 Subject to Article 11.5, all written communications between any party and the arbitral tribunal shall be communicated to all other parties and HKIAC. 13.4 The arbitral tribunal may, after consulting with the parties, appoint a secretary. The secretary shall remain at all times impartial and independent of the parties and shall disclose any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence prior to his or her appointment. A secretary, once appointed and throughout the arbitration, shall disclose without delay any such circumstances to the parties unless they have already been informed by him or her of these circumstances. 13.5 The arbitral tribunal and the parties shall do everything necessary to ensure the fair and efficient conduct of the arbitration. 13.6 In addition to the powers provided in Article 43, the arbitral tribunal may, in its discretion and after consulting with the parties, determine preliminary issues that the arbitral tribunal considers could dispose of all or part of the case, bifurcate the proceedings, conduct the arbitration in sequential stages, and decide the stage of the arbitration at which any issue or issues shall be determined, or otherwise adopt procedures to decide the case efficiently. 13.7 The parties may be represented by persons of their choice, subject to Articles 13.5 and 13.9. The names, addresses, telephone and facsimile numbers and/or email addresses of party representatives shall be communicated to all other parties, HKIAC, any emergency arbitrator, and the arbitral tribunal once constituted. The arbitral tribunal, emergency arbitrator or HKIAC may require proof of authority of any party representatives. 13.8 After the arbitral tribunal is constituted, any proposed change or addition by a party to its legal representatives shall be communicated promptly to all other parties, the arbitral tribunal and HKIAC. 13.9 The arbitral tribunal may, after consulting with the parties, take any measure necessary to avoid a conflict of interest arising from a change in party representation, including by excluding the proposed new party representatives from participating in the arbitral proceedings. 13.10 HKIAC may, after consulting with the parties and the arbitral tribunal, take any measure necessary to preserve the efficiency or integrity of the arbitration, including, in exceptional circumstances, by revoking the appointment of any arbitrator where it considers that the arbitrator is prevented from or has failed to fulfill his or her functions in accordance with the Rules or within the prescribed time limits. 13.11 Where the parties agree to pursue other means of settling their dispute after the arbitration commences, HKIAC, the arbitral tribunal or emergency arbitrator may, at the request of any party, suspend the arbitration on such terms as it considers appropriate. The arbitration shall resume at the request of any party to HKIAC, the arbitral tribunal or emergency arbitrator. 13.12 In all matters not expressly provided for in these Rules, HKIAC, the arbitral tribunal, emergency arbitrator and the parties shall act in the spirit of these Rules. 13.13 The arbitral tribunal or emergency arbitrator shall make every reasonable effort to ensure that an award is valid. ### Article 14 – Seat and Venue of the Arbitration 14.1 The parties may agree on the seat of arbitration. Where there is no agreement as to the seat, the seat of arbitration shall be Hong Kong, unless the arbitral tribunal determines, having regard to the circumstances of the case, that another seat is more appropriate. 14.2 Unless the parties have agreed otherwise, the arbitral tribunal may meet at any location outside of the seat of arbitration which it considers appropriate for consultation among its members, hearing witnesses, experts or the parties, or the inspection of goods, other property or documents. The arbitration shall nonetheless be treated for all purposes as an arbitration conducted at the seat. ### Article 15 – Language 15.1 The arbitration shall be conducted in the language of the arbitration. Where the parties have not previously agreed on such language, the parties shall communicate in English or Chinese prior to any determination by the arbitral tribunal under Article 15.2. 15.2 Subject to agreement by the parties, the arbitral tribunal shall, promptly after its constitution, determine the language of the arbitration. This determination shall apply to all written communications and the language to be used in any hearing. 15.3 The arbitral tribunal may order that any supporting materials submitted in their original language shall be accompanied by a translation, in whole or in part, into the language of the arbitration as agreed by the parties or determined by the arbitral tribunal. ### Article 16 – Statement of Claim 16.1 Unless the Statement of Claim was contained in the Notice of Arbitration (or the Claimant elects to treat the Notice of Arbitration as the Statement of Claim), the Claimant shall communicate its Statement of Claim to all other parties and to the arbitral tribunal within a time limit to be determined by the arbitral tribunal. 16.2 The Statement of Claim shall include the following particulars: (a) a statement of the facts supporting the claim; (b) the points at issue; (c) the legal arguments supporting the claim; and (d) the relief or remedy sought. 16.3 The Claimant shall annex to its Statement of Claim all supporting materials on which it relies. 16.4 The arbitral tribunal may vary any of the requirements in Article 16 as it deems appropriate. ### Article 17 – Statement of Defence 17.1 Unless the Statement of Defence was contained in the Answer to the Notice of Arbitration (or the Respondent elects to treat the Answer to the Notice of Arbitration as the Statement of Defence), the Respondent shall communicate its Statement of Defence to all other parties and to the arbitral tribunal within a time limit to be determined by the arbitral tribunal. 17.2 The Statement of Defence shall reply to the particulars of the Statement of Claim (set out in Article 16.2(a) to (c)). If the Respondent has raised an objection to the jurisdiction or to the proper constitution of the arbitral tribunal, the Statement of Defence shall contain the factual and legal basis of such objection. 17.3 Where there is a counterclaim, set-off defence or cross-claim, the Statement of Defence shall also include the following particulars: (a) a statement of the facts supporting the counterclaim, set-off defence or cross-claim; (b) the points at issue; (c) the legal arguments supporting the counterclaim, set-off defence or cross-claim; and (d) the relief or remedy sought. 17.4 The Respondent shall annex to its Statement of Defence all supporting materials on which it relies. 17.5 The arbitral tribunal may vary any of the requirements in Article 17 as it deems appropriate. ### Article 18 – Amendments to the Claim or Defence 18.1 During the course of the arbitration, a party may amend or supplement its claim or defence, unless the arbitral tribunal considers it inappropriate to allow such amendment having regard to the circumstances of the case. However, a claim or defence may not be amended in such a manner that the amended claim or defence falls outside the jurisdiction of the arbitral tribunal. 18.2 HKIAC may adjust its Administrative Fees and the arbitral tribunal's fees (where appropriate) if a party amends its claim or defence. ### Article 19 – Jurisdiction of the Arbitral Tribunal 19.1 The arbitral tribunal may rule on its own jurisdiction under these Rules, including any objections with respect to the existence, validity or scope of the arbitration agreement. 19.2 The arbitral tribunal shall have the power to determine the existence or validity of any contract of which an arbitration agreement forms a part. For the purposes of Article 19, an arbitration agreement which forms part of a contract, and which provides for arbitration under these Rules, 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 and void shall not necessarily entail the invalidity of the arbitration agreement. 19.3 A plea that the arbitral tribunal does not have jurisdiction shall be raised if possible in the Answer to the Notice of Arbitration, and shall be raised no later than in the Statement of Defence, or, with respect to a counterclaim, in the Defence to the Counterclaim. A party is not precluded from raising such a plea by the fact that it has designated or appointed, or participated in the designation or 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 arbitration. The arbitral tribunal may, in either case, admit a later plea if it considers the delay justified. 19.4 Subject to Article 19.5, if a question arises before the constitution of the arbitral tribunal as to: (a) the existence, validity or scope of the arbitration agreement; or (b) whether all of the claims have been properly made in a single arbitration pursuant to Article 29; or (c) the competence of HKIAC to administer an arbitration; the arbitration shall proceed and any such question shall be decided by the arbitral tribunal once constituted. 19.5 The arbitration shall proceed only if and to the extent that HKIAC is satisfied, prima facie, that an arbitration agreement under the Rules may exist or the arbitration has been properly commenced under Article 29. Any question as to the jurisdiction of the arbitral tribunal shall be decided by the arbitral tribunal once constituted, pursuant to Article 19.1. 19.6 HKIAC's decision pursuant to Article 19.5 is without prejudice to the admissibility or merits of any party's claim or defence. ### Article 20 – Further Written Statements The arbitral tribunal shall decide which further written statements, if any, in addition to the Statement of Claim and the Statement of Defence, shall be required from the parties and shall set the time limits for communicating such statements. ### Article 21 – Time Limits 21.1 The time limits set by the arbitral tribunal for the communication of written statements should not exceed 45 days, unless the arbitral tribunal considers otherwise. 21.2 The arbitral tribunal may, even in circumstances where the relevant time limit has expired, extend time limits where it concludes that an extension is justified. ### Article 22 – Evidence and Hearings 22.1 Each party shall have the burden of proving the facts relied on to support its claim or defence. 22.2 The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of the evidence, including whether to apply strict rules of evidence. 22.3 At any time during the arbitration, the arbitral tribunal may allow or require a party to produce documents, exhibits or other evidence that the arbitral tribunal determines to be relevant to the case and material to its outcome. The arbitral tribunal shall have the power to admit or exclude any documents, exhibits or other evidence. 22.4 The arbitral tribunal shall decide whether to hold hearings for presenting evidence or for oral arguments, or whether the arbitration shall be conducted solely on the basis of documents and other materials. The arbitral tribunal shall hold such hearings at an appropriate stage of the arbitration, if so requested by a party or if it considers fit. In the event of a hearing, the arbitral tribunal shall give the parties adequate advance notice of the relevant date, time and place. 22.5 The arbitral tribunal may determine the manner in which a witness or expert is examined. 22.6 The arbitral tribunal may make directions for the translation of oral statements made at a hearing and for a record of the hearing if it deems that either is necessary in the circumstances of the case. 22.7 Hearings shall be held in private unless the parties agree otherwise. The arbitral tribunal may require any witness or expert to leave the hearing room at any time during the hearing. ### Article 23 – Interim Measures of Protection and Emergency Relief 23.1 A party may apply for urgent interim or conservatory relief ("Emergency Relief") prior to the constitution of the arbitral tribunal pursuant to Schedule 4. 23.2 At the request of either party, the arbitral tribunal may order any interim measures it deems necessary or appropriate. 23.3 An interim measure, whether in the form of an order or award or in another form, is any temporary measure ordered by the arbitral tribunal at any time before it issues the award by which the dispute is finally decided, that a party, for example and without limitation: (a) maintain or restore the status quo pending determination of the dispute; or (b) take action that would prevent, or refrain from taking action that is likely to cause, current or imminent harm or prejudice to the arbitral process itself; or (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. 23.4 When deciding a party's request for an interim measure under Article 23.2, the arbitral tribunal shall take into account the circumstances of the case. Relevant factors may include, but are not limited to: (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. 23.5 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. 23.6 The arbitral tribunal may require the party requesting an interim measure to provide appropriate security in connection with the measure. 23.7 The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which an interim measure was requested or granted. 23.8 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 arbitration. 23.9 A request for interim measures addressed by any party to a competent authority shall not be deemed incompatible with the arbitration agreement, or as a waiver thereof. ### Article 24 – Security for Costs The arbitral tribunal may make an order requiring a party to provide security for the costs of the arbitration. ### Article 25 – Tribunal-Appointed Experts 25.1 To assist it in the assessment of evidence, the arbitral tribunal, after consulting with the parties, may appoint one or more experts. Such expert shall report to the arbitral tribunal, in writing, on specific issues to be determined by the arbitral tribunal. After consulting with the parties, the arbitral tribunal shall establish terms of reference for the expert, and shall communicate a copy of the expert's terms of reference to the parties and HKIAC. 25.2 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. 25.3 Upon receipt of the expert's report, the arbitral tribunal shall send a copy of the report to the parties who shall be given the opportunity to express their opinions on the report. The parties shall be entitled to examine any document on which the expert has relied in his or her report. 25.4 At the request of either party, the expert, after delivering the report, shall attend a hearing at which the parties shall have the opportunity to be present and to examine the expert. At this hearing either party may present experts in order to testify on the points at issue. The provisions of Articles 22.2 to 22.7 shall be applicable to such proceedings. 25.5 The provisions of Article 11 shall apply by analogy to any expert appointed by the arbitral tribunal. ### Article 26 – Default 26.1 If, within the time limit set by the arbitral tribunal, the Claimant has failed to communicate its written statement without showing sufficient cause for such failure, the arbitral tribunal may terminate the arbitration unless another party has brought a claim and wishes the arbitration to continue, in which case the arbitral tribunal may proceed with the arbitration in respect of the other party's claim. 26.2 If, within the time limit set by the arbitral tribunal, the Respondent has failed to communicate its written statement without showing sufficient cause for such failure, the arbitral tribunal may proceed with the arbitration notwithstanding such failure. 26.3 If any of the parties, duly notified under these Rules, fails to present its case in accordance with these Rules including as directed by the arbitral tribunal without showing sufficient cause for such failure, the arbitral tribunal may proceed with the arbitration and make an award on the basis of the evidence before it. ### Article 27 – Joinder of Additional Parties 27.1 The arbitral tribunal or, where the arbitral tribunal is not yet constituted, HKIAC shall have the power to allow an additional party to be joined to the arbitration provided that: (a) prima facie, the additional party is bound by an arbitration agreement under these Rules giving rise to the arbitration, including any arbitration under Article 28 or 29; or (b) all parties, including the additional party, expressly agree. 27.2 Any decision pursuant to Article 27.1 is without prejudice to the arbitral tribunal's power to decide any question as to its jurisdiction arising from such decision. 27.3 Any Request for Joinder shall be raised no later than in the Statement of Defence, except in exceptional circumstances. 27.4 Before the arbitral tribunal is constituted, a party wishing to join an additional party to the arbitration shall communicate a Request for Joinder to HKIAC, all other parties and any confirmed or appointed arbitrators. 27.5 After the arbitral tribunal is constituted, a party wishing to join an additional party to the arbitration shall communicate a Request for Joinder to the arbitral tribunal, HKIAC and all other parties. 27.6 The Request for Joinder shall include the following: (a) the case reference of the existing arbitration; (b) the names and addresses, telephone and facsimile numbers and/or email addresses, if known, of each of the parties, including the additional party, their representatives and any arbitrators who have been confirmed or appointed in the arbitration; (c) a request that the additional party be joined to the arbitration; (d) a copy of the contract(s) or other legal instrument(s) out of or in relation to which the request arises, or reference thereto; (e) a statement of the facts supporting the request; (f) the points at issue; (g) the legal arguments supporting the request; (h) any relief or remedy sought; (i) the existence of any funding agreement and the identity of any third party funder pursuant to Article 44; and (j) confirmation that copies of the Request for Joinder and any supporting materials included with it have been or are being communicated simultaneously to all other parties and any confirmed or appointed arbitrators, by one or more means of service to be identified in such confirmation. 27.7 Within 15 days of receiving the Request for Joinder, the additional party shall communicate an Answer to the Request for Joinder to HKIAC, all other parties and any confirmed or appointed arbitrators. The Answer to the Request for Joinder shall include the following: (a) the name, address, telephone and facsimile numbers and/or email address of the additional party and its representatives (if different from the description contained in the Request for Joinder); (b) any plea that the arbitral tribunal has been improperly constituted and/or lacks jurisdiction over the additional party; (c) the additional party's comments on the particulars set forth in the Request for Joinder pursuant to Article 27.6(a) to (g); (d) the additional party's answer to any relief or remedy sought in the Request for Joinder, pursuant to Article 27.6(h); (e) details of any claims by the additional party against any other party to the arbitration; (f) the existence of any funding agreement entered into by the additional party and the identity of any third party funder pursuant to Article 44; and (g) confirmation that copies of the Answer to the Request for Joinder and any supporting materials included with it have been or are being communicated simultaneously to all other parties and any confirmed or appointed arbitrators, by one or more means of service to be identified in such confirmation. 27.8 HKIAC or the arbitral tribunal may vary any of the requirements in Article 27.6 and 27.7 as it deems appropriate. 27.9 An additional party wishing to be joined to the arbitration shall communicate a Request for Joinder to HKIAC, all other parties and any confirmed or appointed arbitrators. The provisions of Article 27.6 shall apply to such Request for Joinder. 27.10 Within 15 days of receiving a Request for Joinder, the parties shall communicate their comments on the Request for Joinder to HKIAC, all other parties and any confirmed or appointed arbitrators. Such comments may include (without limitation): (a) any plea that the arbitral tribunal lacks jurisdiction over the additional party; (b) comments on the particulars set forth in the Request for Joinder, pursuant to Article 27.6(a) to (g); (c) answer to any relief or remedy sought in the Request for Joinder pursuant to Article 27.6(h); (d) details of any claims against the additional party; and (e) confirmation that copies of the comments have been or are being communicated simultaneously to all other parties and any confirmed or appointed arbitrators, by one or more means of service to be identified in such confirmation. 27.11 Where an additional party is joined to the arbitration, the arbitration against that additional party shall be deemed to commence on the date on which HKIAC or the arbitral tribunal once constituted, received the Request for Joinder. 27.12 Where an additional party is joined to the arbitration, all parties to the arbitration shall be deemed to have waived their right to designate an arbitrator. 27.13 Where an additional party is joined to the arbitration, HKIAC may revoke any confirmation or appointment of an arbitrator, and if so, shall appoint the arbitral tribunal with or without regard to any party's designation. 27.14 The revocation of the confirmation or appointment of an arbitrator pursuant to Article 27.13 is without prejudice to: (a) the validity of any act done or order made by that arbitrator before his or her confirmation or appointment was revoked; (b) his or her entitlement to be paid his or her fees and expenses subject to Schedule 2 or 3 as applicable; and (c) the date when any claim or defence was raised for the purpose of applying any limitation bar or any similar rule or provision. 27.15 HKIAC may adjust its Administrative Fees and the arbitral tribunal's fees (where appropriate) after a Request for Joinder has been submitted. ### Article 28 – Consolidation of Arbitrations 28.1 HKIAC shall have the power, at the request of a party and after consulting with the parties and any confirmed or appointed arbitrators, to consolidate two or more arbitrations pending under these Rules where: (a) the parties agree to consolidate; or (b) all of the claims in the arbitrations are made under the same arbitration agreement; or (c) the claims are made under more than one arbitration agreement, a common question of law or fact arises in all of the arbitrations, the rights to relief claimed are in respect of, or arise out of, the same transaction or a series of related transactions and the arbitration agreements are compatible. 28.2 Any party wishing to consolidate two or more arbitrations pursuant to Article 28.1 shall communicate a Request for Consolidation to HKIAC, all other parties and any confirmed or appointed arbitrators. 28.3 The Request for Consolidation shall include the following: (a) the case references of the arbitrations pending under the Rules requested to be consolidated, where applicable; (b) the names and addresses, telephone and facsimile numbers and/or email addresses of each of the parties to the arbitrations, their representatives and any arbitrators who have been confirmed or appointed in the arbitrations; (c) a request that the arbitrations be consolidated; (d) a copy of the arbitration agreement giving rise to the arbitrations; (e) a copy of the contract(s) or other legal instrument(s) out of or in relation to which the Request for Consolidation arises, or reference thereto; (f) a description of the general nature of the claim and an indication of the amount involved, if any, in each of the arbitrations; (g) a statement of the facts supporting the Request for Consolidation, including, where applicable, evidence of all parties' written consent to consolidate the arbitrations; (h) the points at issue; (i) the legal arguments supporting the Request for Consolidation; (j) details of any applicable mandatory provision affecting consolidation of arbitrations; (k) comments on the constitution of the arbitral tribunal if the Request for Consolidation is granted, including whether to preserve the appointment of any arbitrators already designated or confirmed; and (l) confirmation that copies of the Request for Consolidation and any supporting materials included with it have been or are being communicated simultaneously to all other relevant parties and any confirmed or appointed arbitrators, by one or more means of service to be identified in such confirmation. 28.4 HKIAC may vary any of the requirements in Article 28.3 as it deems appropriate. 28.5 Where the non-requesting parties or any confirmed or appointed arbitrators are requested to provide comments on the Request for Consolidation, such comments may include (without limitation) the following particulars: (a) comments on the particulars set forth in the Request for Consolidation pursuant to Articles 28.3(a) to (j); (b) responses to the comments made in the Request for Consolidation pursuant to Article 28.3(k); and (c) confirmation that copies of the comments have been or are being communicated simultaneously to all other relevant parties and any confirmed or appointed arbitrators, by one or more means of service to be identified in such confirmation. 28.6 Where HKIAC decides to consolidate two or more arbitrations, the arbitrations shall be consolidated into the arbitration that commenced first, unless all parties agree or HKIAC decides otherwise taking into account the circumstances of the case. HKIAC shall communicate such decision to all parties and to any confirmed or appointed arbitrators in all arbitrations. 28.7 The consolidation of two or more arbitrations is without prejudice to the validity of any act done or order made by a competent authority in support of the relevant arbitration before it was consolidated. 28.8 Where HKIAC decides to consolidate two or more arbitrations, the parties to all such arbitrations shall be deemed to have waived their right to designate an arbitrator, and HKIAC may revoke any confirmation or appointment of an arbitrator. HKIAC shall appoint the arbitral tribunal in respect of the consolidated proceedings with or without regard to any party's designation. 28.9 The revocation of the confirmation or appointment of an arbitrator pursuant to Article 28.8 is without prejudice to: (a) the validity of any act done or order made by that arbitrator before his or her confirmation or appointment was revoked; (b) his or her entitlement to be paid his or her fees and expenses subject to Schedule 2 or 3 as applicable; and (c) the date when any claim or defence was raised for the purpose of applying any limitation bar or any similar rule or provision. 28.10 HKIAC may adjust its Administrative Fees and the arbitral tribunal's fees (where appropriate) after a Request for Consolidation has been submitted. ### Article 29 – Single Arbitration under Multiple Contracts 29.1 Subject to Article 19.5, claims arising out of or in connection with more than one contract may be made in a single arbitration, provided that: (a) a common question of law or fact arises under each arbitration agreement giving rise to the arbitration; and (b) the rights to relief claimed are in respect of, or arise out of, the same transaction or a series of related transactions; and (c) the arbitration agreements under which those claims are made are compatible. 29.2 Where HKIAC decides pursuant to Article 19.5 that the arbitration has been properly commenced under this Article 29, the parties shall be deemed to have waived their rights to designate an arbitrator. HKIAC shall appoint the arbitral tribunal with or without regard to any party's designation. ### Article 30 – Concurrent Proceedings 30.1 The arbitral tribunal may, after consulting with the parties, conduct two or more arbitrations under the Rules at the same time, or one immediately after another, or suspend any of those arbitrations until after the determination of any other of them, where: (a) the same arbitral tribunal is constituted in each arbitration; and (b) a common question of law or fact arises in all the arbitrations. 30.2 HKIAC may adjust its Administrative Fees and the arbitral tribunal's fees (where appropriate) where the arbitrations are conducted pursuant to Article 30.1. ### Article 31 – Closure of Proceedings 31.1 When it is satisfied that the parties have had a reasonable opportunity to present their case, whether in relation to the entire proceedings or a discrete phase of the proceedings, and no later than 45 days from the last directed substantive oral or written submissions in respect of the entire proceedings or the discrete phase of the proceedings (excluding submissions on costs under Article 34), the arbitral tribunal shall declare the proceedings or the relevant phase of the proceedings closed. Thereafter, no further submissions or arguments may be made, or evidence produced in respect of the entire proceedings or the discrete phase, as applicable, unless the arbitral tribunal reopens the proceedings or the relevant phase of the proceedings in accordance with Article 31.4. 31.2 Once the proceedings are declared closed, the arbitral tribunal shall inform HKIAC and the parties of the anticipated date by which an award will be communicated to the parties. The date of rendering the award shall be no later than three months from the date when the arbitral tribunal declares the entire proceedings or the relevant phase of the proceedings closed, as applicable. This time limit may be extended by agreement of the parties or, in appropriate circumstances, by HKIAC. 31.3 Article 31.2 shall not apply to any arbitration conducted pursuant to the Expedited Procedure under Article 42. 31.4 The arbitral tribunal may, if it considers it necessary, decide, on its own initiative or upon application of a party, to reopen the proceedings at any time before the award is made. ### Article 32 – Waiver 32.1 A party that knows, or ought reasonably to know, that any provision of, or requirement arising under, these Rules (including the arbitration agreement) has not been complied with and yet proceeds with the arbitration without promptly stating its objection to such non-compliance, shall be deemed to have waived its right to object. 32.2 The parties waive any objection, on the basis of the use of any procedure under Articles 27, 28, 29, 30 or 43 and any decision made in respect of such procedure, to the validity and/or enforcement of any award made by the arbitral tribunal in the arbitration(s), in so far as such waiver can validly be made. ### Article 33 – Decisions 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. If there is no majority, the award shall be made by the presiding arbitrator alone. 33.2 With the prior agreement of all members of the arbitral tribunal, the presiding arbitrator may make procedural rulings alone. ### Article 34 – Costs of the Arbitration 34.1 The arbitral tribunal shall determine the costs of the arbitration in one or more orders or awards. The term "costs of the arbitration" includes only: (a) the fees of the arbitral tribunal, as determined in accordance with Article 10; (b) the reasonable travel and other expenses incurred by the arbitral tribunal; (c) the reasonable costs of expert advice and of other assistance required by the arbitral tribunal, including fees and expenses of any tribunal secretary; (d) the reasonable costs of legal representation and other assistance, including fees and expenses of any witnesses and experts, if such costs were claimed during the arbitration; (e) the costs of the Emergency Relief proceedings referred to in paragraph 16 of Schedule 4; and (f) the Registration Fee and Administrative Fees payable to HKIAC in accordance with Schedule 1, and any expenses payable to HKIAC. 34.2 With respect to the costs of legal representation and other assistance referred to in Article 34.1(d), the arbitral tribunal, taking into account the circumstances of the case, may direct that the recoverable costs of the arbitration, or any part of the arbitration, shall be limited to a specified amount. 34.3 The arbitral tribunal may apportion all or part of the costs of the arbitration referred to in Article 34.1 between the parties if it determines that apportionment is reasonable. 34.4 In determining (i) whether the costs of the arbitration referred to in Article 34.1 are reasonable and (ii) whether and how to apportion the costs of the arbitration in accordance with Article 34.3, the arbitral tribunal shall take into account the circumstances of the case. The arbitral tribunal may take into account any factors it considers relevant, including but not limited to: (a) the relative success of the parties; (b) the scale and complexity of the dispute; (c) the conduct of the parties in relation to the proceedings; (d) any third party funding arrangement; (e) any outcome related fee structure agreement; and/or (f) any adverse environmental impact arising out of the parties' conduct in the arbitration. 34.5 Where arbitrations are consolidated pursuant to Article 28, the arbitral tribunal in the consolidated arbitration shall determine the costs of the arbitration in accordance with Articles 34.1 to 34.4. Such costs include, but are not limited to, the fees of any arbitrator designated, confirmed or appointed and any other costs incurred in an arbitration that was subsequently consolidated into another arbitration. 34.6 When the arbitral tribunal issues an order for the termination of the arbitration or makes an award on agreed terms, it shall determine the costs of the arbitration (to the extent not already determined) and may apportion all or part of such costs, in the text of that order or award. ### Article 35 – Form and Effect of the Award 35.1 The arbitral tribunal may make a single award or separate awards regarding different issues at different times and in respect of all parties involved in the arbitration in the form of interim, interlocutory, partial or final awards. If appropriate, the arbitral tribunal may also issue interim awards on costs and any awards pursuant to Articles 41.5 or 45A.3. 35.2 Awards shall be made in writing and shall be final and binding on the parties and any person claiming through or under any of the parties. The parties and any such person waive their rights to any form of recourse or defence in respect of the setting-aside, enforcement and execution of any award, in so far as such waiver can validly be made. 35.3 The parties undertake to comply without delay with any order or award made by the arbitral tribunal or any emergency arbitrator, including any order or award made in any proceedings under Articles 27, 28, 29, 30 or 43. 35.4 An award shall state the reasons upon which it is based unless the parties have agreed that no reasons are to be given. 35.5 An award shall be signed by the arbitral tribunal. It shall state the date on which it was made and the seat of arbitration as determined under Article 14 and shall be deemed to have been made at the seat of the arbitration. Where there are three arbitrators and any of them fails to sign, the award shall state the reason for the absence of the signature(s). 35.6 The arbitral tribunal shall communicate to HKIAC originals of the award signed by the arbitral tribunal. HKIAC shall affix its seal to the award and, subject to any lien, communicate it to the parties. ### Article 36 – Applicable Law, Amiable Compositeur 36.1 The arbitral tribunal shall decide the substance of the dispute in accordance with the rules of law agreed upon by the parties. Any designation of the law or legal system of a given jurisdiction shall be construed, unless otherwise expressed, as directly referring to the substantive law of that jurisdiction and not to its conflict of laws rules. Failing such designation by the parties, the arbitral tribunal shall apply the rules of law which it determines to be appropriate. 36.2 The arbitral tribunal shall decide as amiable compositeur or ex aequo et bono only if the parties have expressly agreed that the arbitral tribunal should do so. 36.3 In all cases, the arbitral tribunal shall decide the case in accordance with the terms of the relevant contract(s) and may take into account the usages of the trade applicable to the transaction(s). ### Article 37 – Settlement or Other Grounds for Termination 37.1 If, before the arbitral tribunal is constituted, a party wishes to terminate the arbitration, it shall communicate this to all other parties and HKIAC. HKIAC shall set a time limit for all other parties to indicate whether they agree to terminate the arbitration. If no other party objects within the time limit, HKIAC may terminate the arbitration. If any party objects to the termination of the arbitration, the arbitration shall proceed in accordance with the Rules. 37.2 If, after the arbitral tribunal is constituted and before the final award is made: (a) the parties settle the dispute, the arbitral tribunal shall either issue an order for the termination of the arbitration 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. (b) continuing the arbitration becomes unnecessary or impossible for any reason not mentioned in Article 37.2(a), the arbitral tribunal shall issue an order for the termination of the arbitration. The arbitral tribunal shall issue such an order unless a party raises a justifiable objection, having been given a reasonable opportunity to comment upon the proposed course of action. 37.3 The arbitral tribunal shall communicate copies of the order to terminate the arbitration or of the arbitral award on agreed terms, signed by the arbitral tribunal, to HKIAC. Subject to any lien, HKIAC shall communicate the order for termination of the arbitration or the arbitral award on agreed terms to the parties. Where an arbitral award on agreed terms is made, the provisions of Articles 35.2, 35.3, 35.5 and 35.6 shall apply. ### Article 38 – Correction of the Award 38.1 Within 30 days after receipt of the award, either party, with notice to all other parties, may request the arbitral tribunal to correct in the award any errors in computation, any clerical or typographical errors, or any errors of similar nature. The arbitral tribunal may set a time limit, normally not exceeding 15 days, for all other parties to comment on such request. 38.2 The arbitral tribunal shall make any corrections it considers appropriate within 30 days after receipt of the request but may extend such time limit if necessary. 38.3 The arbitral tribunal may within 30 days after the date of the award make such corrections on its own initiative. 38.4 The arbitral tribunal has the power to make any further correction to the award which is necessitated by or consequential on (a) the interpretation of any point or part of the award under Article 39; or (b) the issue of any additional award under Article 40. 38.5 Such corrections shall be in writing, and the provisions of Articles 35.2 to 35.6 shall apply. ### Article 39 – Interpretation of the Award 39.1 Within 30 days after receipt of the award, either party, with notice to all other parties, may request that the arbitral tribunal give an interpretation of the award. The arbitral tribunal may set a time limit, normally not exceeding 15 days, for all other parties to comment on such request. 39.2 Any interpretation considered appropriate by the arbitral tribunal shall be given in writing within 30 days after receipt of the request but the arbitral tribunal may extend such time limit if necessary. 39.3 The arbitral tribunal has the power to give any further interpretation of the award which is necessitated by or consequential on (a) the correction of any error in the award under Article 38; or (b) the issue of any additional award under Article 40. 39.4 Any interpretation given under Article 39 shall form part of the award and the provisions of Articles 35.2 to 35.6 shall apply. ### Article 40 – Additional Award 40.1 Within 30 days after receipt of the award, either party, with notice to all other parties, may request the arbitral tribunal to make an additional award as to claims presented in the arbitration but omitted from the award. The arbitral tribunal may set a time limit, normally not exceeding 30 days, for all other parties to comment on such request. 40.2 If the arbitral tribunal considers the request for an additional award to be justified, it shall make the additional award within 60 days after receipt of the request but may extend such time limit if necessary. 40.3 The arbitral tribunal has the power to make an additional award which is necessitated by or consequential on (a) the correction of any error in the award under Article 38; or (b) the interpretation of any point or part of the award under Article 39. 40.4 When an additional award is made, the provisions of Articles 35.2 to 35.6 shall apply. ### Article 41 – Deposits for Costs 41.1 As soon as practicable after receipt of the Notice of Arbitration by the Respondent, HKIAC shall, in principle, request the Claimant and the Respondent each to deposit with HKIAC an equal amount as an advance for the costs referred to in Article 34.1(a), (b), (c) and (f). HKIAC shall provide a copy of such request to the arbitral tribunal. 41.2 Where the Respondent submits a counterclaim or cross-claim, or it otherwise appears appropriate in the circumstances, HKIAC may request separate deposits. 41.3 During the course of the arbitration, HKIAC may request the parties to make supplementary deposits with HKIAC. HKIAC shall provide a copy of such request to the arbitral tribunal. 41.4 If the required deposits are not paid in full to HKIAC within 30 days after receipt of the request, HKIAC shall so inform the parties in order that one or another of them may make the required payment. If such payment is not made: (a) where the arbitral tribunal is not yet constituted, HKIAC may suspend or cease to administer the arbitration; (b) the arbitral tribunal may order the suspension or termination of the arbitration or continue with the arbitration on such basis and in respect of such claim or counterclaim as the arbitral tribunal considers fit. 41.5 If a party pays the required deposits on behalf of another party, the arbitral tribunal may, at the request of the paying party, make an award for reimbursement of the payment. 41.6 When releasing the final award, HKIAC shall render an account to the parties of the deposits received by HKIAC. Any unexpended balance shall be returned to the parties in the shares in which it was paid by the parties to HKIAC, or as otherwise instructed by the arbitral tribunal. 41.7 HKIAC shall place the deposits made by the parties in an account at a reputable licensed deposit-taking institution. In selecting the account, HKIAC shall have due regard to the possible need to make the deposited funds available immediately. ### Article 42 – Expedited Procedure 42.1 Prior to the constitution of the arbitral tribunal, a party may apply to HKIAC for the arbitration to be conducted in accordance with Article 42.2 where: (a) the amount in dispute representing the aggregate of any claim and counterclaim (or any set-off defence or cross-claim) does not exceed the amount set by HKIAC, as stated on HKIAC's website on the date the Notice of Arbitration is submitted; or (b) the parties so agree; or (c) in cases of exceptional urgency. 42.2 When HKIAC, after considering the views of the parties, grants an application made pursuant to Article 42.1, the arbitral proceedings shall be conducted in accordance with an Expedited Procedure based upon these Rules, subject to the following changes: (a) the case shall be referred to a sole arbitrator, unless the arbitration agreement provides for three arbitrators; (b) if the arbitration agreement provides for three arbitrators, HKIAC shall invite the parties to agree to refer the case to a sole arbitrator. If the parties do not agree, the case shall be referred to three arbitrators; (c) HKIAC may shorten the time limits provided for in the Rules, as well as any time limits that it has set; (d) after the submission of the Answer to the Notice of Arbitration, the parties shall in principle be entitled to submit one Statement of Claim and one Statement of Defence (and Counterclaim) and, where applicable, one Statement of Defence in reply to the Counterclaim; (e) the arbitral tribunal shall decide the dispute on the basis of written submissions and documentary evidence only, unless it decides that it is appropriate to hold one or more hearings; (f) subject to any lien, the award shall be communicated to the parties within six months from the date when HKIAC transmitted the case file to the arbitral tribunal. In appropriate circumstances, HKIAC may extend this time limit; (g) the arbitral tribunal may state the reasons upon which the award is based in summary form, unless the parties have agreed that no reasons are to be given. 42.3 Upon the request of any party or the arbitral tribunal, and after consulting with the parties and any confirmed or appointed arbitrators, HKIAC may, having regard to any new circumstances that have arisen, decide that the Expedited Procedure under Article 42 shall no longer apply to the case. Unless HKIAC considers that it is appropriate to revoke the confirmation or appointment of any arbitrator, the arbitral tribunal shall remain in place. ### Article 43 – Early Determination Procedure 43.1 The arbitral tribunal shall have the power, at the request of any party and after consulting with all other parties, to decide one or more points of law or fact by way of early determination procedure, on the basis that: (a) such points of law or fact are manifestly without merit; or (b) such points of law or fact are manifestly outside the arbitral tribunal's jurisdiction; or (c) even if such points of law or fact are submitted by another party and are assumed to be correct, no award could be rendered in favour of that party. 43.2 Any party making a request for early determination procedure shall communicate the request to the arbitral tribunal, HKIAC and all other parties. 43.3 Any request for early determination procedure shall be made as promptly as possible after the relevant points of law or fact are submitted, unless the arbitral tribunal directs otherwise. 43.4 The request for early determination procedure shall include the following: (a) a request for early determination of one or more points of law or fact and a description of such points; (b) a statement of the facts and legal arguments supporting the request; (c) a proposal of the form of early determination procedure to be adopted by the arbitral tribunal; (d) comments on how the proposed form referred to in Article 43.4(c) would achieve the objectives stated in Articles 13.1 and 13.5; and (e) confirmation that copies of the request and any supporting materials included with it have been or are being communicated simultaneously to all other parties by one or more means of service to be identified in such confirmation. 43.5 After providing all other parties with an opportunity to submit comments on the request, the arbitral tribunal shall issue a decision either dismissing the request or allowing the request to proceed by fixing the early determination procedure in the form it considers appropriate. The arbitral tribunal shall make such decision within 30 days from the date of filing the request. This time limit may be extended by agreement of the parties or, in appropriate circumstances, by HKIAC. 43.6 If the request is allowed to proceed, the arbitral tribunal shall make its order or award, which may be in summary form, on the relevant points of law or fact. The arbitral tribunal shall make such order or award within 60 days from the date of its decision to proceed. This time limit may be extended by agreement of the parties or, in appropriate circumstances, by HKIAC. 43.7 Pending the determination of the request, the arbitral tribunal may decide whether and to what extent the arbitration shall proceed. ### Article 44 – Disclosure of Third Party Funding of Arbitration 44.1 If a funding agreement is made, the funded party shall communicate a written notice to all other parties, the arbitral tribunal, any emergency arbitrator and HKIAC of: (a) the fact that a funding agreement has been made; and (b) the identity of the third party funder. 44.2 The notice referred to in Article 44.1 must be communicated: (a) in respect of a funding agreement made on or before the commencement of the arbitration, in the application for the appointment of an emergency arbitrator, the Notice of Arbitration, the Answer to the Notice of Arbitration, the Request for Joinder or the Answer to the Request for Joinder (as applicable); or (b) in respect of a funding agreement made after the commencement of the arbitration, as soon as practicable after the funding agreement is made. 44.3 Any funded party shall disclose any changes to the information referred to in Article 44.1 that occur after the initial disclosure. ### Article 45 – Confidentiality 45.1 Unless otherwise agreed by the parties, no party or party representative may publish, disclose or communicate any information relating to: (a) the arbitration under the arbitration agreement; or (b) an award or Emergency Decision made in the arbitration. 45.2 Article 45.1 also applies to the arbitral tribunal, any emergency arbitrator, expert, witness, tribunal secretary and HKIAC. 45.3 Article 45.1 does not prevent the publication, disclosure or communication of information referred to in Article 45.1 by a party or party representative: (a) (i) to protect or pursue a legal right or interest of the party; or (ii) to enforce or challenge the award or Emergency Decision referred to in Article 45.1; in legal proceedings before a court or other authority; or (b) to any government body, regulatory body, court or tribunal where the party is obliged by law to make the publication, disclosure or communication; or (c) to a professional or any other adviser of any of the parties, including any actual or potential witness or expert; or (d) to any party or additional party and any confirmed or appointed arbitrator for the purposes of Articles 27, 28, 29 or 30; or (e) to a person for the purposes of having, or seeking, third party funding of arbitration. 45.4 The deliberations of the arbitral tribunal are confidential. 45.5 HKIAC may publish any award, whether in its entirety or in the form of excerpts or a summary, only under the following conditions: (a) all references to the parties' names and other identifying information are deleted; and (b) no party objects to such publication within the time limit fixed for that purpose by HKIAC. In the case of an objection, the award shall not be published. ### Article 45A – Information Security 45A.1 The parties may agree on any reasonable measures to protect information shared, stored, or processed in relation to the arbitration. 45A.2 The arbitral tribunal may, after consulting with the parties, give directions to the parties to protect the security of any information shared, stored, or processed in relation to the arbitration, taking into account the circumstances of the case. 45A.3 The arbitral tribunal may, after consulting with the parties, make a decision, order or award in respect of any breach of the information security measures agreed by the parties or directed by the arbitral tribunal, pursuant to this Article. ### Article 46 – Exclusion of Liability 46.1 None of the Council members of HKIAC nor any body or person specifically designated by it to perform the functions in these Rules, nor the Secretary-General of HKIAC or other staff members of the Secretariat of HKIAC, the arbitral tribunal, any emergency arbitrator, tribunal-appointed expert or tribunal secretary shall be liable for any act or omission in connection with an arbitration conducted under these Rules, save where such act was done or omitted to be done dishonestly. 46.2 After the award has been made and the possibilities of correction, interpretation and additional awards referred to in Articles 38 to 40 have lapsed or been exhausted, neither HKIAC nor the arbitral tribunal, any emergency arbitrator, tribunal-appointed expert or tribunal secretary shall be under an obligation to make statements to any person about any matter concerning the arbitration, nor shall a party seek to make any of these persons a witness in any legal or other proceedings arising out of the arbitration. *Note: Schedules 1-4 are available in the full HKIAC 2024 Rules document at https://www.hkiac.org/arbitration/rules* *注：附录1-4的完整内容见HKIAC 2024规则全文，请访问 https://www.hkiac.org/arbitration/rules* # 附章A：国际争议解决中心 > ℹ️ 本附章收录ICDR完整规则文本。ICDR的编辑评论请参见"扩展评论"部分 Extended 1（## Extended 1: ICDR / 扩展一：ICDR）。 > ℹ️ This appendix contains the full ICDR rules text. For the editorial commentary on ICDR, see Extended Commentary section, Extended 1 (## Extended 1: ICDR / 扩展一：ICDR). ## 机构简介 / Institutional Profile - **Full Name / 全称:** International Centre for Dispute Resolution / 国际争议解决中心 - **Abbreviation / 简称:** ICDR / 国际争议解决中心 - **Headquarters / 总部:** New York, United States / 美国纽约 - **Current Rules Version / 现行规则版本:** ICDR International Arbitration Rules (2014, as amended 2021) / 国际争议解决中心国际仲裁规则（2014年，2021年修订） - **Effective Date / 生效日期:** June 1, 2021 / 2021年6月1日 - **Official Link / 官方网站:** https://www.icdr.org/arbitration **Source / 来源:** ICDR Official Website / 国际争议解决中心官方网站 (https://www.icdr.org/arbitration) ## Rules Text / 规则正文 ### Article 1 – Scope of these Rules 1.1 These Rules shall govern the arbitration of disputes arising out of or in connection with contracts that provide for arbitration under the auspices of the ICDR, unless the Rules as applied are amended by the parties. 1.2 These Rules may be adopted in a clause pre-dating a dispute or in a submission agreement. 1.3 Parties shall be deemed to have made these Rules a part of their arbitration agreement if their contract, submission agreement, or clause provides for arbitration under the auspices of the ICDR. 1.4 The Expedited Procedures set forth in the last section of these Rules shall apply where the amount in dispute does not exceed $500,000 USD, exclusive of interest and costs of arbitration, unless the parties have agreed that the Expedited Procedures shall apply regardless of the amount in dispute. ### Commencing the Arbitration ### Article 2 – Notice of Arbitration and Statement of Claim 2.1 A party initiating arbitration (the "Claimant") shall file a Notice of Arbitration and Statement of Claim with any ICDR office. The Notice shall contain: (a) the names, addresses, telephone numbers, facsimile numbers and email addresses of the parties and their representatives; (b) a reference to the arbitration agreement invoked; (c) a reference to the contract or other instrument out of or in relation to which the dispute arises; (d) a description of the nature and circumstances of the dispute; (e) a statement of the relief or remedy sought; (f) a proposal for the number of arbitrators; (g) the nomination of an arbitrator (if applicable); and (h) any comments on applicable law and language. 2.2 The date the Notice of Arbitration is received by the ICDR shall be deemed the date of commencement of the arbitration. ### Article 3 – Answer and Counterclaim 3.1 Within 30 days of receipt of the Notice of Arbitration, the Respondent shall file an Answer with the ICDR. The Answer shall include: (a) confirmation or denial of the claims; (b) any plea that the tribunal lacks jurisdiction; (c) comments on the claims and any counterclaims; (d) comments on the number of arbitrators; and (e) any nomination of an arbitrator. 3.2 Counterclaims shall be submitted with the Answer and shall contain the matters specified in Article 2.1. ### Article 4 – Administrative Conference 4.1 The Administrator may conduct an administrative conference with the parties to discuss the procedures of the arbitration. ### Article 5 – International Administrative Review Council 5.1 The International Administrative Review Council shall decide arbitrator challenges and other administrative disputes. ### Article 6 – Mediation 6.1 The parties shall discuss in the procedural hearing whether to mediate. 6.2 Mediation may be conducted under the ICDR International Mediation Rules. ### Article 7 – Emergency Measures of Protection 7.1 A party requiring emergency relief prior to the constitution of the tribunal may apply for emergency arbitrator procedures. 7.2 The application shall set forth the nature of the emergency and the relief sought. 7.3 An emergency arbitrator shall be appointed within three business days of filing. 7.4 The emergency arbitrator shall have the power to order or award any interim or conservatory measures necessary. 7.5 The emergency arbitrator shall make a decision within 14 days of appointment. ### Article 8 – Joinder 8.1 A party may request the joinder of an additional party to the arbitration. 8.2 The request shall be filed before the constitution of the tribunal. 8.3 The tribunal, once constituted, may decide on joinder requests. ### Article 9 – Consolidation 9.1 The Administrator may consolidate two or more arbitrations into one where: (a) the parties agree to consolidation; (b) all the claims are made under the same arbitration agreement; (c) the disputes arise out of the same legal relationship; or (d) the disputes arise out of the same transaction or series of transactions. ### Article 10 – Amendment or Supplement of Claim, Counterclaim, or Defense 10.1 A party may amend or supplement its claim, counterclaim, or defense during the arbitration, subject to the tribunal's discretion. ### Article 11 – Notices 11.1 All notices shall be in writing and may be transmitted by any electronic means. 11.2 A notice shall be deemed received on the day transmitted. ### The Tribunal ### Article 12 – Number of Arbitrators 12.1 The parties may agree on the number of arbitrators. 12.2 If the parties have not agreed, the Administrator shall decide whether there shall be one or three arbitrators. ### Article 13 – Appointment of Arbitrators 13.1 If the tribunal is to consist of a sole arbitrator, the parties shall attempt to agree on the arbitrator. 13.2 If the parties cannot agree within 15 days, the Administrator shall appoint the sole arbitrator. 13.3 If the tribunal is to consist of three arbitrators, each party shall nominate one arbitrator. 13.4 If a party fails to nominate an arbitrator, the Administrator may make the appointment. ### Article 14 – Impartiality and Independence of Arbitrator 14.1 Every arbitrator shall be and remain impartial and independent of the parties. 14.2 A prospective arbitrator shall disclose any circumstances that may give rise to justifiable doubts as to impartiality or independence. 14.3 An arbitrator shall disclose any such circumstances that arise during the arbitration. ### Article 15 – Challenge of an Arbitrator 15.1 A party may challenge an arbitrator if circumstances exist that give rise to justifiable doubts as to impartiality or independence. 15.2 The challenge shall be made within 15 days of the formation of the tribunal or within 15 days of the circumstances becoming known. 15.3 If the other parties agree to the challenge, the arbitrator shall resign. 15.4 If there is no agreement, the Administrator shall decide on the challenge. ### Article 16 – Replacement of an Arbitrator 16.1 An arbitrator shall be replaced if: (a) the arbitrator resigns, dies, or is successfully challenged; (b) the arbitrator is unable or unwilling to act; or (c) the arbitrator's mandate is terminated. 16.2 The replacement procedure shall follow the original appointment procedure. ### Article 17 – Arbitral Tribunal Secretary 17.1 The tribunal may appoint a secretary to assist in the administration of the case. 17.2 The secretary shall be impartial and independent. ### General Conditions ### Article 18 – Party Representation 18.1 Each party may be represented by persons of its choice. 18.2 The names and authority of representatives shall be communicated to the other parties and the tribunal. ### Article 19 – Place of Arbitration 19.1 The place of arbitration shall be as agreed by the parties or determined by the Administrator. 19.2 The tribunal may hold hearings at any place it considers appropriate. ### Article 20 – Language 20.1 The language(s) of the arbitration shall be as agreed by the parties. In the absence of agreement, the tribunal shall determine the language(s). ### Article 21 – Arbitral Jurisdiction 21.1 The tribunal shall have the power to rule on its own jurisdiction, including any objection to the arbitration agreement. 21.2 A plea that the tribunal lacks jurisdiction shall be raised no later than the Statement of Defense. ### Article 22 – Conduct of Proceedings 22.1 The tribunal shall conduct the arbitration in a fair and efficient manner. 22.2 The parties shall act in good faith. 22.3 The tribunal shall decide on all procedural matters. 22.4 The tribunal may use technology to enhance the efficiency of proceedings. ### Article 23 – Early Disposition 23.1 A party may request leave to submit an application for early disposition of any issue that has a reasonable possibility of succeeding and will dispose of or narrow issues. 23.2 The tribunal shall allow such application if it meets the criteria. ### Article 24 – Exchange of Information 24.1 The tribunal shall manage the exchange of information between the parties. 24.2 The parties shall exchange all documents upon which they intend to rely. 24.3 The tribunal may require additional document production. 24.4 Depositions, interrogatories, and requests to admit are generally not appropriate in ICDR arbitration. ### Article 25 – Privilege 25.1 The tribunal shall take into account applicable principles of privilege, such as attorney-client privilege. ### Article 26 – Hearing 26.1 The tribunal shall give reasonable notice of hearings. 26.2 Hearings may be conducted in person or by video, audio, or other electronic means. 26.3 Evidence of witnesses may be presented in written form. 26.4 Hearings are private unless the parties agree otherwise. ### Article 27 – Interim Measures 27.1 The tribunal may order or award any interim or conservatory measures it deems necessary. 27.2 A party may apply for emergency relief prior to constitution of the tribunal under Article 7. ### Article 28 – Tribunal-Appointed Expert 28.1 The tribunal may appoint one or more experts to report on specific issues. 28.2 The parties shall provide the expert with relevant information. 28.3 The expert may participate in hearings. ### Article 29 – Default 29.1 If a party fails to submit its statement or appear at a hearing, the tribunal may proceed with the arbitration. ### Article 30 – Closure of Hearing 30.1 The tribunal shall declare the hearing closed when the parties have presented their cases. 30.2 The tribunal may reopen the hearing if necessary. ### Article 31 – Waiver 31.1 A party who proceeds with the arbitration without stating an objection to any non-compliance shall be deemed to have waived its right to object. ### Article 32 – Awards, Orders, Decisions and Rulings 32.1 Decisions of the tribunal shall be made by a majority of the arbitrators. 32.2 If there is no majority, the presiding arbitrator shall decide. ### Article 33 – Time, Form, and Effect of the Award 33.1 The award shall be made in writing and shall state the reasons upon which it is based. 33.2 The award shall state the date and place of arbitration. 33.3 The award shall be signed by the arbitrators. 33.4 Awards shall be final and binding on the parties. ### Article 34 – Applicable Laws and Remedies 34.1 The tribunal shall decide the dispute in accordance with the law(s) chosen by the parties. 34.2 The tribunal shall not decide as amiable compositeur unless the parties have authorized it to do so. 34.3 Monetary awards may include pre-award and post-award interest. 34.4 Punitive damages are waived unless required by applicable law. ### Article 35 – Settlement or Other Reasons for Termination 35.1 If the parties settle, the tribunal may make a Consent Award recording the settlement. 35.2 If the arbitration terminates for other reasons, the tribunal shall make an appropriate order. ### Article 36 – Interpretation and Correction of Award 36.1 Within 30 days of receipt of an award, a party may request interpretation or correction of errors. 36.2 The tribunal may also correct errors on its own initiative within 30 days. 36.3 An additional award may be requested for claims presented but not determined. ### Article 37 – Costs of Arbitration 37.1 The tribunal shall fix the costs of arbitration in its award. 37.2 Costs include: (a) fees and expenses of arbitrators; (b) costs of assistance required by the tribunal; (c) administrative fees; (d) reasonable legal costs; and (e) costs of interim or emergency relief. ### Article 38 – Fees and Expenses of Arbitral Tribunal 38.1 The fees and expenses of arbitrators shall be reasonable in amount. 38.2 The Administrator shall designate appropriate rates in consultation with the parties and arbitrators. ### Article 39 – Deposits 39.1 The Administrator may request deposits as advance for costs. 39.2 Failure to pay may be deemed a withdrawal of the claim. ### Article 40 – Confidentiality 40.1 The arbitrator and Administrator shall keep the arbitration confidential. 40.2 Awards may be published with consent or as required by law. ### Article 41 – Exclusion of Liability 41.1 The arbitrators, emergency arbitrators, and Administrator shall not be liable for any act or omission in connection with the arbitration. ### Article 42 – Interpretation of Rules 42.1 The tribunal shall interpret these Rules insofar as they relate to its powers and duties. 42.2 The Administrator shall interpret all other Rules. ### International Expedited Procedures ### Article E-1 – Scope of Expedited Procedures E-1.1 These procedures apply where no claim exceeds $500,000 USD or by agreement of the parties. ### Article E-2 – Detailed Submissions E-2.1 Parties shall present detailed submissions in the Notice of Arbitration and Answer. ### Article E-3 – Administrative Conference E-3.1 The Administrator may conduct an administrative conference. ### Article E-4 – Objection to Expedited Procedures E-4.1 Objections to the applicability of Expedited Procedures may be raised. ### Article E-5 – Changes of Claim or Counterclaim E-5.1 If a claim exceeds $500,000, the case may continue under Expedited Procedures unless otherwise determined. ### Article E-6 – Appointment and Qualifications of the Arbitrator E-6.1 A sole arbitrator shall be appointed from a list submitted by the Administrator. ### Article E-7 – Procedural Hearing and Order E-7.1 The arbitrator shall schedule a procedural hearing and issue a procedural order within 14 days. ### Article E-8 – Proceedings by Written Submissions E-8.1 All submissions are due within 60 days of the procedural order. ### Article E-9 – Proceedings with an Oral Hearing E-9.1 Hearings shall take place within 60 days and not exceed one day. ### Article E-10 – The Award E-10.1 Awards shall be made within 30 days of the closing of the hearing. **Source:** ICDR Official Website (https://www.icdr.org/sites/default/files/2025_ICDRRules_Web.pdf) **Fresa Li:** The 2024 HKIAC Rules demonstrate exceptional procedural sophistication. When handling a construction payment dispute with a Hong Kong nexus, I experienced first-hand the flexibility of HKIAC Article 13 on joinder—its expansion from "a party" to "any person" enables multi-party engineering disputes to be resolved in a single streamlined proceeding, a significant efficiency gain. The HKIAC-administered emergency arbitrator mechanism under Schedule 4 represents a sensible approach with a clear 14-day deadline and well-defined costs framework. HKIAC's strength lies in its bilingual institutional capability and the depth of its arbitrator appointment pool for disputes involving Chinese parties and assets. The Third Party Funding disclosure requirements under Article 44 are a welcome development that enhances procedural integrity. --- **Dr. Venessa:** HKIAC 2024 Rules contain the most forward-looking provision among the ten: Article 13.1 tribunals shall conduct proceedings with a view to achieving the effective use of technology. This is the only rule explicitly writing effective technology use into arbitrator obligations. Additionally HKIAC offers the most flexible multi-party joinder and consolidation with well-designed emergency arbitrator and expedited procedures. But where are the boundaries of effective use of technology? If an Arbitrator-Agent itself constitutes effective technology use does HKIAC provision implicitly authorize Agent arbitration? This open-ended language is HKIAC wisdom and its risk — it neither defines technology boundaries nor excludes Agent possibilities. Through the DWAC framework HKIAC comes closest to the capability qualification layer because effective technology use implies an obligation to scrutinize technological capability. But what are the scrutiny standards? Who determines whether an Agent is effective? In Agent-versus-Agent multi-party disputes — the most common scenario in the digital world — can HKIAC multi-party flexibility accommodate non-human parties? Article 2.7 defines party as including Claimant Respondent and/or additional party without limiting to natural or legal persons — this may be the institutional seam for Agent entry. ------------------------------------------------------------ ## Chapter 5: SCC Stockholm Chamber of Commerce ## 第五章：斯德哥尔摩商会仲裁院 ### Institutional Profile - **Full Name / 全称:** Arbitration Institute of the Stockholm Chamber of Commerce / 斯德哥尔摩商会仲裁院 - **Abbreviation / 简称:** SCC / 斯德哥尔摩商会仲裁院 - **Headquarters / 总部:** Stockholm, Sweden / 瑞典斯德哥尔摩 - **Current Rules Version / 现行规则版本:** SCC Arbitration Rules (2023) / 斯德哥尔摩商会仲裁院仲裁规则（2023年） - **Effective Date / 生效日期:** January 1, 2023 / 2023年1月1日 - **Official Link / 官方网站:** https://sccarbitrationinstitute.se/en/scc-arbitration-rules-english-2023/ ### Arbitration Rules (English Original) ### Article 6 – Request for arbitration A request for arbitration shall include: ### Article 7 – Registration fee 1. Upon filing the request for arbitration, the claimant shall pay a registration fee. The amount of the registration fee shall be determined in accordance with the schedule of costs (Appendix IV) in force on the date the request for arbitration is filed. ### Article 8 – Commencement of arbitration Arbitration shall be deemed to commence on the date the Secretariat receives the request for arbitration. ### Article 9 – Answer 1. The Secretariat shall send a copy of the request for arbitration and any attached documents to the respondent. The Secretariat shall set a time period within which the respondent shall submit an answer to the SCC. The answer shall include: ### Article 10 – Request for further details 1. The Board may request further details from either party regarding any of their written submissions to the SCC. ### Article 11 – Decisions by the Board The Board takes decisions as provided under the Arbitration Rules, including deciding: ### Article 12 – Dismissal The Board shall dismiss a case, in whole or in part, if: ### Article 13 – Joinder of additional parties 1. A party to the arbitration may request that the Board join one or more additional parties to the arbitration. ### Article 14 – Multiple contracts in a single arbitration 1. Parties may make claims arising out of or in connection with more than one contract in a single arbitration. ### Article 15 – Consolidation of arbitrations 1. At the request of a party, the Board may decide to consolidate a newly commenced arbitration with a pending arbitration, if: ### Article 16 – Number of arbitrators 1. The parties may agree on the number of arbitrators. ### Article 17 – Appointment of the Arbitrator 1. The parties may agree on a procedure for the appointment of the Arbitral Tribunal. ### Article 18 – Impartiality, independence and availability 1. Every arbitrator shall be and remain impartial, independent and available throughout the proceedings. ### Article 19 – Challenge to the Arbitrator 1. A party may challenge an arbitrator if circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence. ### Article 20 – Release from appointment 1. The Board shall release an arbitrator if: ### Article 21 – Replacement of the Arbitrator 1. If an arbitrator is released, the vacancy shall be filled in accordance with the procedure for the original appointment. ### Article 22 – Referral to the Arbitral Tribunal When the Arbitral Tribunal has been appointed and confirmed and the advance on costs has been paid, the Secretariat shall refer the case to the Arbitral Tribunal. ### Article 23 – Conduct of the arbitration by the Arbitral Tribunal 1. The Arbitral Tribunal shall conduct the proceedings in an efficient and expeditious manner, giving each party a reasonable opportunity to present its case. ### Article 24 – Administrative secretary of the Arbitral Tribunal 1. The Arbitral Tribunal may appoint an administrative secretary to assist in the conduct of the proceedings. ### Article 25 – Seat of arbitration 1. The seat of arbitration shall be as agreed by the parties. In the absence of agreement, the Board shall decide. ### Article 26 – Language 1. The language(s) of the arbitration shall be as agreed by the parties. In the absence of agreement, the Arbitral Tribunal shall determine the language(s). ### Article 27 – Applicable law 1. The Arbitral Tribunal shall decide the dispute in accordance with the law(s) agreed by the parties as applicable to the merits of their dispute. ### Article 28 – Case management conference and timetable 1. After referral of the case to the Arbitral Tribunal, the Arbitral Tribunal shall consult with the parties with a view to establishing a timetable for the proceedings. ### Article 29 – Written submissions 1. The Claimant shall, within the time limit determined by the Arbitral Tribunal, submit a Statement of Claim including: ### Article 30 – Amendments At any time prior to the close of proceedings, a party may amend or supplement its claim, counterclaim, defence or set-off provided its case, as amended or supplemented, is still comprised by the arbitration agreement. ### Article 31 – Evidence 1. Each party shall have the burden of proving the facts on which it relies for its claim, counterclaim or defence. ### Article 32 – Hearings 1. The Arbitral Tribunal shall decide whether to hold a hearing or whether the proceedings shall be conducted on the basis of documents alone. ### Article 33 – Witnesses 1. Any witness may be heard as a witness of fact or as an expert witness. ### Article 34 – Experts appointed by the Arbitral Tribunal 1. The Arbitral Tribunal may appoint one or more experts to report to it on specific issues. ### Article 35 – Default 1. If the Claimant fails to submit its Statement of Claim, the Arbitral Tribunal may make an award or order. ### Article 36 – Waiver A party who knows that any provision has not been complied with and proceeds with the arbitration without stating its objection shall be deemed to have waived its right to object. ### Article 37 – Interim measures 1. The Arbitral Tribunal shall have the power, unless otherwise agreed by the parties, to order or award any interim or conservatory measures it deems necessary. ### Article 38 – Security for costs The Arbitral Tribunal may order any party to provide security for the costs of the arbitration. ### Article 39 – Summary procedure 1. The Arbitral Tribunal may, at the request of a party, decide one or more issues of law or fact by summary procedure. ### Article 40 – Close of proceedings The Arbitral Tribunal shall declare the proceedings closed when it is satisfied that the parties have had a reasonable opportunity to present their cases. ### Article 41 – Awards and decisions 1. Decisions of the Arbitral Tribunal shall be made by a majority of the arbitrators. ### Article 42 – Making of awards 1. The Arbitral Tribunal shall make its award in writing and shall state the reasons upon which it is based. ### Article 43 – Time limit for final award The final award shall be made no later than six months from the date the case was referred to the Arbitral Tribunal. The Board may extend this time limit upon a reasoned request from the Arbitral Tribunal. ### Article 44 – Separate award The Arbitral Tribunal may decide a separate issue or part of the dispute in a separate award. ### Article 45 – Settlement or other grounds for termination of the arbitration 1. If the parties reach a settlement before the final award is made, the Arbitral Tribunal may, at the request of both parties, make a consent award recording the settlement. ### Article 46 – Effect of an award An award shall be final and binding on the parties when rendered. By agreeing to arbitration under the Arbitration Rules, the parties undertake to carry out any award without delay. ### Article 47 – Correction and interpretation of an award 1. Within 30 days of receiving an award, a party may request that the Arbitral Tribunal correct any clerical, typographical or computational errors in the award, or provide an interpretation of a specific point or part of the award. ### Article 48 – Additional award Within 30 days of receiving an award, a party may request that the Arbitral Tribunal make an additional award on claims presented in the arbitration but not determined in the award. ### Article 49 – Costs of the arbitration 1. The costs of the arbitration consist of: ### Article 50 – Costs incurred by a party Unless otherwise agreed by the parties, the Arbitral Tribunal may in the final award order one party to pay any reasonable costs incurred by another party, including costs for legal representation. ### Article 51 – Advance on costs 1. The Board shall determine an amount to be paid by the parties as an advance on costs. ### Article 52 – Exclusion of liability Neither the SCC, the arbitrator(s), the administrative secretary of the Arbitral Tribunal, nor any expert appointed by the Arbitral Tribunal is liable to any party for any act or omission in connection with the arbitration, unless such act or omission constitutes wilful misconduct or gross negligence. **Fresa Li:** SCC Arbitration Rules carry unique weight due to their deep heritage in investment treaty arbitration. The 2023 edition demonstrates a profound understanding of energy and natural resource dispute handling, making SCC the premier institutional choice for Eurasia cross-border investment disputes. I am particularly attentive to Article 23 on interim measures—the SCC Board's authority to decide on emergency relief without prejudicing the Tribunal's ultimate jurisdiction is well-calibrated. The SCC's specialized expertise in disputes involving States and State-owned entities is unmatched among European institutions. Practitioners handling investment arbitrations under the Energy Charter Treaty or bilateral investment treaties involving Russian, CIS, or Nordic counterparties should consider the SCC's appointment mechanism, which effectively balances neutrality with regional expertise. --- **Dr. Venessa:** The SCC 2023 Rules embody Nordic minimalism — concise provisions broad discretionary space no redundant design. Article 32 permits remote hearings Article 46 provides final and binding awards yet the entire rules contain no dedicated provisions on technology use or AI governance. This minimalist style is an advantage in human arbitration — less is more and arbitrators fill gaps with professional judgment. But in the Agent era gaps become vacuums. SCC silence is not prudence — it is absence. When SVAMC has published AI Guidelines SIAC has written GDPR compatibility into its rules and HKIAC has codified effective technology use obligations SCC complete avoidance of AI and Agent issues means it has delegated governance entirely to tribunal discretion. This is the most dangerous arrangement — unguarded discretion with AI participation may produce unpredictable outcomes. A technologically optimistic tribunal may welcome AI-assisted decisions; a skeptical one may reject any AI involvement. Different tribunals under the same institution may produce entirely different AI governance approaches which is more dangerous than having no rules — it creates regulatory uncertainty. ------------------------------------------------------------ ## Chapter 6: CIETAC — China International Economic and Trade Arbitration Commission ## 第六章：中国国际经济贸易仲裁委员会 ### Institutional Profile ### Arbitration Rules (English Original) ## Institutional Profile / 机构简介 - **Full Name / 全称:** China International Economic and Trade Arbitration Commission (CIETAC) / 中国国际经济贸易仲裁委员会 - **Abbreviation / 简称:** CIETAC / 贸仲 - **Headquarters / 总部:** Beijing, China / 中国北京 - **Current Rules Version / 现行规则版本:** CIETAC Arbitration Rules (2024 Edition) / 中国国际经济贸易仲裁委员会仲裁规则（2024年版） - **Effective Date / 生效日期:** January 1, 2024 / 2024年1月1日 - **Official Link / 官方网站:** http://www.cietac.org **Brief History / 简要历史:** Established in 1956 as the Foreign Trade Arbitration Commission of the China Council for the Promotion of International Trade, CIETAC is one of the oldest and most experienced arbitration institutions in China. It has handled over 60,000 cases since its establishment. / 中国国际经济贸易仲裁委员会成立于1956年，前身为中国国际贸易促进委员会对外贸易仲裁委员会，是中国历史最悠久、经验最丰富的仲裁机构之一，自成立以来已处理超过60,000件案件。 **Key Characteristics / 主要特点:** CIETAC specializes in handling international and foreign-related economic and trade disputes, with branches and arbitration centers across China and abroad, including in Hong Kong, Vienna, and North America. / 贸仲专门处理国际及涉外经济贸易争议，在中国境内外设有分会和仲裁中心，包括香港、维也纳和北美。 ## Rules Text / 规则正文 ### Chapter I — General Provisions ### 第一章 — 总则 ### Article 1 — Arbitration Commission ### 第一条 — 仲裁委员会 1. The China International Economic and Trade Arbitration Commission (hereinafter referred to as "the Arbitration Commission"), formerly known as the Foreign Trade Arbitration Commission of the China Council for the Promotion of International Trade and the Foreign Economic and Trade Arbitration Commission of the China Council for the Promotion of International Trade, also uses the name "China International Commercial Arbitration Court." （一）中国国际经济贸易仲裁委员会（以下简称"仲裁委员会"），原名中国国际贸易促进委员会对外贸易仲裁委员会、中国国际贸易促进委员会对外经济贸易仲裁委员会，同时使用"中国国际商会仲裁院"名称。 2. Where a party has agreed in the arbitration agreement to submit disputes to arbitration by the China Council for the Promotion of International Trade/China International Chamber of Commerce, or to arbitration by the Arbitration Commission or Arbitration Court of the China Council for the Promotion of International Trade/China International Chamber of Commerce, or has used the original name of the Arbitration Commission as the arbitration institution, such party shall be deemed to have agreed to submit the dispute to arbitration by the China International Economic and Trade Arbitration Commission. （二）当事人在仲裁协议中约定将争议提交中国国际贸易促进委员会/中国国际商会仲裁，或提交中国国际贸易促进委员会/中国国际商会仲裁委员会或仲裁院仲裁，或使用仲裁委员会原名作为仲裁机构的，应视为同意将争议提交中国国际经济贸易仲裁委员会仲裁。 ### Article 2 — Organization and Functions ### 第二条 — 机构及职责 1. The President of the Arbitration Commission shall perform the duties assigned by these Rules. Vice Presidents may perform the duties of the President with the authorization of the President. （一）仲裁委员会主任履行本规则赋予的职责。副主任受主任的委托可以履行主任的职责。 2. The Arbitration Commission has an Arbitration Court which performs the duties prescribed in these Rules under the leadership of an authorized Vice President and the President of the Arbitration Court. （二）仲裁委员会设有仲裁院，在受委托的副主任和仲裁院院长的指导下履行本规则规定的职责。 3. The Arbitration Commission is based in Beijing. The Arbitration Commission has sub-committees or arbitration centers (listed in Appendix I to these Rules). Sub-committees/arbitration centers are representative offices of the Arbitration Commission which, according to the authorization of the Arbitration Commission, accept arbitration applications and administer arbitration cases. （三）仲裁委员会设在北京。仲裁委员会设有分会或仲裁中心（本规则附件一）。分会/仲裁中心是仲裁委员会的派出机构，根据仲裁委员会的授权受理仲裁申请、管理仲裁案件。 4. Sub-committees/arbitration centers have their own Arbitration Courts which perform the duties prescribed in these Rules that are to be performed by the Arbitration Court of the Arbitration Commission, under the leadership of the President of the sub-committee/arbitration center Arbitration Court. （四）分会/仲裁中心设有仲裁院，在分会/仲裁中心仲裁院院长的领导下履行本规则规定由仲裁委员会仲裁院履行的职责。 5. Where a case is administered by a sub-committee/arbitration center, the duties prescribed in these Rules to be performed by the President of the Arbitration Court of the Arbitration Commission shall be performed by the President of the sub-committee/arbitration center Arbitration Court who is authorized by the President of the Arbitration Court of the Arbitration Commission. （五）分会/仲裁中心管理案件时，本规则规定由仲裁委员会仲裁院院长履行的职责，由仲裁委员会仲裁院院长授权的分会/仲裁中心仲裁院院长履行。 6. The parties may agree to submit disputes to arbitration by the Arbitration Commission or by the sub-committee/arbitration center of the Arbitration Commission. Where arbitration by the Arbitration Commission is agreed, the Arbitration Court of the Arbitration Commission shall accept the arbitration application and administer the case. Where arbitration by a sub-committee/arbitration center is agreed, or where the place of hearing or the place of arbitration is within the province, autonomous region or municipality directly under the Central Government where the sub-committee/arbitration center is located, the Arbitration Court of that sub-committee/arbitration center shall accept the arbitration application and administer the case, unless the parties have agreed otherwise. The Arbitration Court of the Arbitration Commission may authorize and designate sub-committees/arbitration centers to administer related cases according to the specific circumstances of the case. （六）当事人可以约定将争议提交仲裁委员会或仲裁委员会的分会/仲裁中心仲裁。约定由仲裁委员会仲裁的，由仲裁委员会仲裁院受理仲裁申请并管理案件。约定由分会/仲裁中心仲裁的，或仲裁地点在分会/仲裁中心所在地的省、自治区、直辖市辖区内的，除当事人另有约定外，由该分会/仲裁中心的仲裁院受理仲裁申请并管理案件。仲裁委员会仲裁院可根据案件具体情况，授权并指定分会/仲裁中心管理相关案件。 Where the agreed sub-committee/arbitration center does not exist, has had its authorization terminated, or the agreement is unclear, the Arbitration Court of the Arbitration Commission shall accept the arbitration application and administer the case. If there is a dispute, it shall be decided by the Arbitration Commission. 约定的分会/仲裁中心不存在、其授权已被终止或者约定不明确的，由仲裁委员会仲裁院受理仲裁申请并管理案件。如有争议，由仲裁委员会决定。 7. The Arbitration Commission may, upon agreement by and request of the parties, provide management and auxiliary services for ad hoc arbitration, including but not limited to providing consultative guidance services on the application of arbitration rules, designating arbitrators/deciding on arbitrator challenges, providing hearing services, reviewing draft awards, and administering arbitrator fees, unless such agreement cannot be implemented or conflicts with mandatory provisions of the applicable arbitration procedural law. （七）仲裁委员会可根据当事人的约定和请求，为临时仲裁提供管理和辅助服务，包括但不限于提供仲裁规则适用方面的咨询指导意见、指定仲裁员/决定仲裁员回避、提供开庭服务、审阅裁决书草案、代为管理仲裁员报酬等，但该约定无法实施或与仲裁程序适用法律的强制性规定相抵触的除外。 ### Article 3 — Scope of Cases ### 第三条 — 案件受理范围 1. The Arbitration Commission shall accept cases of an economic or trade nature, whether contractual or non-contractual, upon agreement of the parties. （一）仲裁委员会根据当事人的约定，受理契约性或非契约性的经贸等争议案件。 2. The cases mentioned in the preceding paragraph include: (1) International or foreign-related dispute cases; (2) Dispute cases involving the Hong Kong Special Administrative Region, the Macau Special Administrative Region, and the Taiwan Region; (3) Domestic dispute cases. （二）前款所述争议案件包括： （1）国际或涉外争议案件； （2）涉及香港特别行政区、澳门特别行政区及台湾地区的争议案件； （3）国内争议案件。 ### Article 4 — Application of Rules ### 第四条 — 规则的适用 1. These Rules shall apply uniformly to the Arbitration Commission and its sub-committees/arbitration centers. （一）本规则统一适用于仲裁委员会及其分会/仲裁中心。 2. Where the parties have agreed to submit disputes to arbitration by the Arbitration Commission, they shall be deemed to have agreed to conduct the arbitration in accordance with these Rules. （二）当事人约定将争议提交仲裁委员会仲裁的，视为同意按照本规则进行仲裁。 3. Where the parties have agreed to submit disputes to arbitration by the Arbitration Commission but have agreed to modify relevant contents of these Rules or to apply other arbitration rules, such agreement shall be followed, unless such agreement cannot be implemented or conflicts with mandatory provisions of the applicable arbitration procedural law. Where the parties have agreed to apply other arbitration rules, the Arbitration Commission shall perform the corresponding management duties. （三）当事人约定将争议提交仲裁委员会仲裁但约定对本规则有关内容进行变更或约定适用其他仲裁规则的，从其约定，但该约定无法实施或与仲裁程序适用法律的强制性规定相抵触的除外。当事人约定适用其他仲裁规则的，由仲裁委员会履行相应的管理职责。 4. Where the parties have agreed to conduct arbitration in accordance with these Rules but have not designated an arbitration institution, they shall be deemed to have agreed to submit the disputes to the Arbitration Commission. （四）当事人约定按照本规则进行仲裁但未约定仲裁机构的，视为同意将争议提交仲裁委员会仲裁。 5. Where the parties have agreed to apply specialized arbitration rules of the Arbitration Commission, such agreement shall be followed, unless the dispute does not fall within the scope of application of such specialized arbitration rules, in which case these Rules shall apply. （五）当事人约定适用仲裁委员会专业仲裁规则的，从其约定，但其争议不属于该专业仲裁规则适用范围的，适用本规则。 ### Article 5 — Arbitration Agreement ### 第五条 — 仲裁协议 1. An arbitration agreement refers to an arbitration clause contained in a contract or an arbitration agreement concluded in other forms. （一）仲裁协议指当事人在合同中订明的仲裁条款或以其他方式达成的书面仲裁协议。 2. An arbitration agreement shall be in writing. An arbitration agreement is in writing if it is concluded in a document signed by the parties, or if it is concluded through telegraphic or telecommunication exchange (including telegrams, telexes, facsimile transmissions, electronic data interchange, emails, etc.) that provides a record of the agreement. （二）仲裁协议应当采用书面形式。书面形式包括合同书、信件、电报、电传、传真、电子数据交换和电子邮件等可以有形地表现所载内容的形式。 3. The parties may agree to amend the arbitration agreement concluded in a contract, unless the parties have agreed otherwise. （三）当事人可以约定对合同中订明的仲裁协议进行修改，但当事人另有约定的除外。 4. An arbitration agreement exists independently. The validity of an arbitration agreement shall be determined independently, and the validity of the main contract shall not affect the validity of the arbitration agreement. （四）仲裁协议独立存在。仲裁协议的效力应单独确定，主合同的效力不影响仲裁协议的效力。 ### Article 6 — Objection to Arbitration Agreement and/or Jurisdiction ### 第六条 — 对仲裁协议及/或管辖权的异议 1. A party raising an objection to the arbitration agreement and/or jurisdiction shall file a written application with the Arbitration Commission before the first oral hearing is held or before the filing of the first substantive defense submission if no oral hearing is held. Where a new factual or legal basis for the objection is discovered after the first oral hearing is held or after the first substantive defense submission is filed, the objection shall be raised immediately after such discovery. （一）当事人对仲裁协议及/或仲裁案件管辖权提出异议的，应当在首次开庭前以书面形式提交仲裁委员会。书面审理的案件，应当在首次实体答辩前提出。仲裁程序适用法律另有规定的，从其规定。 2. The party raising the objection shall provide proof of the objection. The burden of proof for the objection shall be on the objecting party. （二）提出异议的当事人应当提供证据证明其异议。异议的举证责任由提出异议的当事人承担。 3. The objection shall not affect the continuation of the arbitration proceedings. The objection shall be decided by the arbitral tribunal after it is constituted, unless the Arbitration Commission considers it appropriate to decide the objection before the arbitral tribunal is constituted. （三）异议不影响仲裁程序的继续进行。异议应当在仲裁庭组成后由仲裁庭作出决定，但仲裁委员会认为有必要在仲裁庭组成前作出决定的除外。 4. Where the arbitral tribunal decides that it has jurisdiction over the case, a party which has previously raised an objection to jurisdiction shall not raise another objection to jurisdiction on the same grounds later in the proceedings. Such party may, however, provide further evidence or reasoning in support of its previous objection. （四）仲裁庭作出有管辖权的决定后，之前曾提出管辖权异议的当事人不得在后续程序中以相同理由再次提出管辖权异议，但可以进一步提供证据或理由支持其之前的异议。 5. Where the arbitral tribunal decides that it does not have jurisdiction over part of the claims in the arbitration, the arbitration shall proceed with respect to the claims over which the arbitral tribunal decides it has jurisdiction. Where the arbitral tribunal decides that it does not have jurisdiction over all of the claims in the arbitration, the arbitration shall be terminated with respect to such claims. （五）仲裁庭作出无管辖权决定的，对仲裁庭认定无管辖权的仲裁请求，仲裁程序终止。 6. The objection and/or decision on jurisdiction mentioned above includes objections and/or decisions on party qualification. （六）上述管辖权异议及/或决定包括对当事人主体资格的异议及/或决定。 7. Where the Arbitration Commission or the arbitral tribunal decides that it does not have jurisdiction, a decision to close the case shall be made. Before the arbitral tribunal is constituted, the decision to close the case shall be made by the President of the Arbitration Court of the Arbitration Commission; after the arbitral tribunal is constituted, such decision shall be made by the arbitral tribunal. （七）仲裁委员会或仲裁庭作出无管辖权决定的，应当作出撤销案件的决定。撤销案件的决定，在仲裁庭组成前由仲裁委员会仲裁院院长作出，在仲裁庭组成后由仲裁庭作出。 ### Article 7 — Place of Arbitration ### 第七条 — 仲裁地 1. The parties may agree on the place of arbitration. （一）当事人可以对仲裁地作出约定。 2. Where the parties have not agreed on the place of arbitration or their agreement is unclear, the place of arbitration shall be the location of the Arbitration Commission or its sub-committee/arbitration center administering the case; the Arbitration Commission may also determine another place as the place of arbitration based on the specific circumstances of the case. （二）当事人未约定仲裁地或约定不明确的，以管理案件的仲裁委员会或其分会/仲裁中心所在地为仲裁地；仲裁委员会也可根据案件具体情况确定其他地点为仲裁地。 3. The arbitral award shall be deemed to have been made at the place of arbitration. （三）仲裁裁决视为在仲裁地作出。 ### Article 8 — Service and Time Limits ### 第八条 — 送达及期限 1. All documents, notices, and materials (hereinafter collectively referred to as "arbitration documents") relating to the arbitration may be served by personal delivery, registered mail, express courier service, facsimile, electronic means, or any other means of communication that can provide a record of delivery, or by any other appropriate means as the Arbitration Court of the Arbitration Commission or the arbitral tribunal considers appropriate. Electronic service includes serving arbitration documents by sending them to the email address or other electronic communication address agreed or designated by the parties, as well as serving arbitration documents in electronic form through the information technology storage system of the Arbitration Commission or the information system that the parties can access without obstruction. （一）所有与仲裁有关的文书、通知和材料（以下统称"仲裁文书"）可采取当面递交、挂号信、特快专递、传真、电子方式及其他能够提供记录的通信方式，或仲裁委员会仲裁院或仲裁庭认为适当的其他方式送达。电子方式送达包括向当事人约定或指定的电子邮箱或其他电子通信地址发送仲裁文书，以及通过仲裁委员会的信息技术存储系统或当事人能够无障碍访问的信息系统以电子形式送达仲裁文书。 2. Electronic service may be prioritized for serving arbitration documents. （二）仲裁文书的送达可优先采用电子方式。 3. Arbitration documents shall be served on the parties or their arbitration representatives at the address they have provided or agreed upon. Where a party or its arbitration representative has not provided an address or the parties have not agreed on an address, the arbitration documents shall be served at the address provided by the other party or its arbitration representative. （三）仲裁文书应送达当事人或其仲裁代理人自行提供或约定的地址。当事人或其仲裁代理人未提供地址或当事人未约定地址的，应发送至对方当事人或其仲裁代理人提供的地址。 4. Arbitration documents served on a party or its arbitration representative shall be deemed validly served if delivered by personal delivery to the recipient, or sent to the recipient's place of business, registered address, domicile, habitual residence, or correspondence address, or if, after reasonable inquiry, the other party cannot find any of the above addresses, if sent by registered mail, express courier service, or any other means that can provide a record of delivery, including notarial service, entrusted service, and substituted service, to the recipient's last known place of business, registered address, domicile, habitual residence, or correspondence address. （四）向当事人或其仲裁代理人送达的仲裁文书，若当面递交收件人，或发送至收件人的营业地、注册地、住所地、惯常居住地或通讯地址，或经合理查询后对方当事人无法找到上述任一地址，以挂号信、特快专递或其他能够提供记录的公证送达、委托送达、留置送达等方式发送至收件人最后为人所知的营业地、注册地、住所地、惯常居住地或通讯地址的，视为有效送达。 5. Time limits prescribed in these Rules shall be calculated from the day following the day when a party has received or should have received arbitration documents sent by the Arbitration Court of the Arbitration Commission. （五）本规则规定的期限，自当事人收到或应收到仲裁委员会仲裁院发送的仲裁文书之日的次日起计算。 ### Article 9 — Good Faith ### 第九条 — 诚实信用 Participants in the arbitration shall comply with the principle of good faith and conduct the arbitration proceedings accordingly. 仲裁参与人应当遵循诚实信用原则进行仲裁程序。 ### Article 10 — Waiver of Objection ### 第十条 — 异议的放弃 Where a party knows that any provision or requirement under these Rules or in the arbitration agreement has not been complied with, and yet participates in the arbitration proceedings or continues with the arbitration proceedings, or fails to raise a timely written objection to such non-compliance without valid reason after receiving effective notice, such party shall be deemed to have waived its right to raise an objection. 当事人知道或理应知道本规则或仲裁协议中约定的任何条款或情事未被遵守，但仍参加仲裁程序或继续仲裁程序，或在收到有效通知后无正当理由不按时提出书面异议的，视为放弃其提出异议的权利。 ### Chapter II — Arbitration Proceedings ### 第二章 — 仲裁程序 #### Section 1 — Application for Arbitration, Defense, and Counterclaim #### 第一节 — 仲裁申请、答辩、反请求 ### Article 11 — Commencement of Arbitration Proceedings ### 第十一条 — 仲裁程序的开始 Arbitration proceedings shall commence on the date when the Application for Arbitration is received by the Arbitration Court of the Arbitration Commission. Where the applicant submits the Application for Arbitration to the Arbitration Commission in writing and/or applies for arbitration through the online filing system of the Arbitration Commission, the arbitration proceedings shall commence on the earliest date on which such application is received. 仲裁程序自仲裁委员会仲裁院收到仲裁申请书之日起开始。申请人向仲裁委员会提交书面仲裁申请书及/或通过仲裁委员会网上立案系统申请仲裁的，以最先收到该申请之日为仲裁程序开始之日。 ### Article 12 — Application for Arbitration ### 第十二条 — 仲裁申请 1. A party applying for arbitration under these Rules shall: (1) Submit an Application for Arbitration signed and/or sealed by the applicant or its authorized representative. The Application for Arbitration shall include: (i) The name and address of the applicant and the respondent, including postal code, telephone number, facsimile number, email address, or other electronic communication means; (ii) The arbitration agreement on which the application for arbitration is based; (iii) The facts of the case and the key issues in dispute; (iv) The claims of the applicant; and (v) The facts and reasons on which the claims are based. (2) Submit together with the Application for Arbitration the evidence materials and other supporting documents on which the claims are based. (3) Pay the arbitration fee in advance in accordance with the arbitration fee schedule formulated by the Arbitration Commission. （一）当事人依据本规则申请仲裁时： （1）提交由申请人或申请人授权的代理人签名及/或盖章的仲裁申请书。仲裁申请书应写明： （i）申请人和被申请人的名称和住所，包括邮政编码、电话、传真、电子邮件或其他电子通讯方式； （ii）申请仲裁所依据的仲裁协议； （iii）案情和争议要点； （iv）申请人的仲裁请求； （v）仲裁请求所依据的事实和理由。 （2）在提交仲裁申请书时，附具申请人请求所依据的证据材料和其他证明文件。 （3）按照仲裁委员会制定的仲裁费用表预交仲裁费。 2. Where the arbitration agreement provides for pre-arbitration negotiation or mediation procedures, the applicant may submit the Application for Arbitration after such negotiation or mediation, provided that the failure to negotiate or mediate shall not affect the applicant's right to file an Application for Arbitration and the Arbitration Commission's acceptance of the case, unless the applicable law or the arbitration agreement expressly provides otherwise. （二）仲裁协议规定须经前置协商或调解程序的，申请人可以在协商或调解后提交仲裁申请书，但协商或调解的缺失不影响申请人提交仲裁申请的权利和仲裁委员会仲裁院受理案件，除非适用法律或仲裁协议明确规定相反。 ### Article 13 — Acceptance of Cases ### 第十三条 — 案件的受理 1. The Arbitration Commission shall accept a case based on the arbitration agreement reached by the parties before or after the dispute arises and the written application of one party. （一）仲裁委员会根据当事人在争议发生之前或之后达成的将争议提交仲裁委员会仲裁的仲裁协议和一方当事人的书面申请受理案件。 2. After receiving the Application for Arbitration and its attachments submitted by the applicant, the Arbitration Court of the Arbitration Commission shall, upon examination, if it considers that the formalities for the application for arbitration are complete, send one copy each of the arbitration notice, the Arbitration Rules, and the list of arbitrators to both parties; the applicant's Application for Arbitration and its attachments shall also be sent to the respondent simultaneously. （二）仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，认为申请仲裁的手续完备的，应将仲裁通知、仲裁委员会仲裁规则和仲裁员名册各一份发送给双方当事人；申请人的仲裁申请书及其附件也应同时发送给被申请人。 3. If the Arbitration Court of the Arbitration Commission considers, upon examination, that the formalities for the application for arbitration are not complete, it may require the applicant to complete the formalities within a prescribed time limit. If the applicant fails to complete the formalities within the prescribed time limit, the applicant shall be deemed not to have filed an Application for Arbitration; the Arbitration Court of the Arbitration Commission shall not retain the applicant's Application for Arbitration and its attachments. （三）仲裁委员会仲裁院经审查，认为申请仲裁的手续不完备的，可以要求申请人在一定期限内予以完备。申请人未能在规定期限内完备申请仲裁手续的，视为申请人未提出仲裁申请；仲裁委员会仲裁院不予保存申请人的仲裁申请书及其附件。 4. After accepting a case, the Arbitration Court of the Arbitration Commission shall designate a case secretary to assist in the procedural management of the arbitration case. （四）仲裁委员会受理案件后，仲裁委员会仲裁院应指定一名案件秘书协助管理仲裁案件的程序。 ### Article 14 — Multi-Contract Arbitration and Addition of Contracts in Arbitration ### 第十四条 — 多份合同的仲裁及仲裁中合同的追加 1. An applicant may file a consolidated application for arbitration for disputes arising under multiple contracts in a single arbitration case, provided that the following conditions are satisfied simultaneously: (1) The multiple contracts are principal and ancillary contracts, or the multiple contracts involve the same parties and the legal relationships are of the same nature, or the multiple contracts involve claims that are interconnected; (2) The disputes under the multiple contracts arise from the same transaction or the same series of transactions; and (3) The arbitration agreements in the multiple contracts are the same or compatible. （一）申请人可以就多份合同项下的争议在同一仲裁案件中合并提出仲裁申请，但应同时满足下列条件： （1）多份合同系主从合同关系，或多份合同当事人相同且法律关系性质相同，或多份合同标的具有关联性； （2）多份合同项下的争议源于同一交易或同一系列交易； （3）多份合同中仲裁协议的内容相同或具有兼容性。 2. Where conditions in items (1), (2), and (3) of paragraph (1) above are simultaneously satisfied, the applicant may apply to add contracts during the arbitration proceedings, provided that such application is filed in a timely manner so as not to affect the normal conduct of the arbitration proceedings. （二）同时满足前款第（1）、（2）、（3）项条件的，申请人可以在仲裁程序中申请追加合同，但该申请应及时提出以免影响仲裁程序的正常进行。 3. The procedural matters in paragraphs (1) and (2) above shall be decided by the Arbitration Court of the Arbitration Commission. Where an application to add contracts is filed after the arbitral tribunal is constituted, such decision shall be made by the arbitral tribunal. （三）本条第一款、第二款的程序事项由仲裁委员会仲裁院决定。合同追加的申请在仲裁庭组成后提出的，由仲裁庭决定。 ### Article 15 — Defense Statement ### 第十五条 — 答辩 1. The respondent shall submit a defense statement within 45 days after receiving the arbitration notice. Where the respondent has valid reasons for requesting an extension of the time limit for submitting the defense statement, the arbitral tribunal shall decide whether to extend the time limit for the defense statement; where the arbitral tribunal has not yet been constituted, such decision shall be made by the Arbitration Court of the Arbitration Commission. （一）被申请人应在收到仲裁通知后45天内提交答辩书。被申请人确有正当理由请求延长答辩期限的，由仲裁庭决定是否延长答辩期限；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 2. The defense statement shall be signed and/or sealed by the respondent or its authorized representative and shall include the following and attachments: (1) The name and address of the respondent, including postal code, telephone number, facsimile number, email address, or other electronic communication means; (2) The defense to the Application for Arbitration and the facts and reasons on which the defense is based; and (3) The evidence materials and other supporting documents on which the defense is based. （二）答辩书由被申请人或被申请人授权的代理人签名及/或盖章，并应包括下列内容及附件： （1）被申请人的名称和住所，包括邮政编码、电话、传真、电子邮件或其他电子通讯方式； （2）对仲裁申请书的答辩及所依据的事实和理由； （3）答辩所依据的证据材料和其他证明文件。 3. The arbitral tribunal has the power to decide whether to accept a defense statement submitted after the time limit. （三）仲裁庭有权决定是否接受逾期提交的答辩书。 4. The failure of the respondent to submit a defense statement shall not affect the conduct of the arbitration proceedings. （四）被申请人未提交答辩书的，不影响仲裁程序的进行。 ### Article 16 — Counterclaim ### 第十六条 — 反请求 1. If the respondent has a counterclaim, the respondent shall submit a counterclaim within 45 days after receiving the arbitration notice. Where the respondent has valid reasons for requesting an extension of the time limit for submitting the counterclaim, the arbitral tribunal shall decide whether to extend the time limit for the counterclaim; where the arbitral tribunal has not yet been constituted, such decision shall be made by the Arbitration Court of the Arbitration Commission. （一）被申请人如有反请求，应在收到仲裁通知后45天内提交反请求。被申请人确有正当理由请求延长反请求提交期限的，由仲裁庭决定是否延长反请求期限；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 2. The counterclaim shall be submitted together with the defense statement and shall include: (1) The specific claims of the counterclaim and the facts and reasons on which the counterclaim is based; and (2) The evidence materials and other supporting documents on which the counterclaim is based. （二）被申请人提出反请求时，应在反请求申请书中写明具体的反请求事项及其所依据的事实和理由，并附具有关证据材料和其他证明文件。 3. The arbitral tribunal has the power to decide whether to accept a counterclaim submitted after the time limit. （三）仲裁庭有权决定是否接受逾期提交的反请求。 4. The respondent may submit a counterclaim after submitting the defense statement, provided that the time limit for submitting the counterclaim has not expired. The decision of the arbitral tribunal on whether to accept a late counterclaim shall be made after considering the circumstances of the case. （四）被申请人可以在提交答辩书后提出反请求，但反请求提交期限尚未届满的除外。仲裁庭对是否接受逾期反请求的决定应考虑案件的具体情况。 ### Article 17 — Amendment of Arbitration Claims or Counterclaims ### 第十七条 — 变更仲裁请求或反请求 A party may amend its arbitration claims or counterclaims during the arbitration proceedings, provided that the arbitral tribunal considers the amendment appropriate and the other party agrees or the arbitral tribunal decides, after considering the nature of the amendment, the status of the proceedings, and other relevant circumstances, that the amendment is acceptable. 当事人可以在仲裁程序中对其仲裁请求或反请求提出变更申请，但仲裁庭认为该变更申请提出过迟，影响仲裁程序正常进行的，可以拒绝其变更请求。 ### Article 18 — Addition of Party ### 第十八条 — 当事人的追加 1. A third party may, together with the existing parties to the arbitration, jointly apply in writing to the Arbitration Commission for addition as a party to the arbitration proceedings, or a party may apply in writing to the Arbitration Commission for addition of a third party as a party to the arbitration proceedings. （一）在仲裁程序中，当事人可依据约束拟追加当事人的案涉仲裁协议，向仲裁委员会申请追加当事人。仲裁庭组成后提出当事人追加申请的，当仲裁庭认为确有必要时，应听取包括拟追加当事人在内的各方当事人意见后，由仲裁委员会决定。 2. An application for addition of a party shall include: (1) The name and address of the third party proposed to be added; (2) The reasons for the addition of the third party; and (3) The consent of the third party proposed to be added. （二）当事人追加申请书应写明现有仲裁案件的案号、拟追加的当事人及各方当事人的名称、住所及通讯方式、追加当事人所依据的仲裁协议、事实和理由以及仲裁请求，并附具相关证据材料和其他证明文件。 3. The application for addition of a party shall be submitted before the closure of the proceedings. Where an application for addition of a party is filed after the arbitral tribunal is constituted, the arbitral tribunal shall decide whether to accept such application after considering the nature of the case, the status of the proceedings, and whether the third party proposed to be added agrees to participate in the arbitration, as well as other relevant circumstances. （三）当事人申请追加应在程序终结前提出。仲裁庭组成后提出当事人追加申请的，仲裁庭应在考虑案件性质、程序进展状况以及拟追加当事人是否同意参加仲裁等相关情况后决定是否接受该申请。 4. Where the third party proposed to be added has agreed in writing to participate in the arbitration and the arbitral tribunal decides that the addition is appropriate, the third party shall become a party to the arbitration and shall have the rights and obligations of a party. The arbitral tribunal shall inform the parties of the rights and obligations of a party. （四）拟追加的当事人书面同意参加仲裁且仲裁庭认为追加适当的，该当事人成为仲裁当事人，享有仲裁当事人的权利并承担义务。仲裁庭应告知当事人享有的权利义务。 5. Where the third party proposed to be added does not agree to participate in the arbitration or the arbitral tribunal decides that the addition is not appropriate, the arbitration shall proceed without the third party, and the rights and obligations of the existing parties shall not be affected. （五）拟追加的当事人不同意参加仲裁或仲裁庭认为追加不适当的，仲裁程序继续进行，且不影响现有当事人的权利义务。 ### Article 19 — Consolidated Arbitration ### 第十九条 — 仲裁的合并 1. Where two or more arbitration cases exist simultaneously and satisfy the following conditions, the parties may jointly apply to the Arbitration Commission for consolidated arbitration, or a party may apply to the Arbitration Commission for consolidated arbitration with the consent of the other parties: (1) The arbitration agreements in the multiple cases are the same or compatible; (2) The disputes in the multiple cases involve the same parties or parties that are legally connected; and (3) The disputes in the multiple cases arise from the same transaction or the same series of transactions, or the multiple contracts involve claims that are interconnected. （一）同时存在两个或两个以上仲裁案件并符合下列条件的，当事人可共同向仲裁委员会申请合并仲裁，或一方当事人经其他当事人同意后向仲裁委员会申请合并仲裁： （1）各案件的仲裁申请依据同一仲裁协议； （2）各案件的仲裁申请依据多份仲裁协议，且多份合同系主从合同关系，或多份合同当事人相同及法律关系性质相同，或多份合同标的具有关联性，且多份合同仲裁协议内容相同或具有兼容性； （3）案件的所有当事人均同意合并仲裁。 2. Where multiple cases are filed by the same parties based on multiple contracts involving related subject matters, the parties may apply to the Arbitration Commission for consolidated arbitration. （二）相同当事人基于涉及关联标的的多份合同提交多个案件的，当事人可以申请仲裁委员会合并仲裁。 3. The procedural matters in paragraphs (1) and (2) above shall be decided by the Arbitration Court of the Arbitration Commission. Where a consolidated arbitration application is filed after the arbitral tribunal is constituted, such decision shall be made by the arbitral tribunal. （三）上述第一、二款的程序事项由仲裁委员会仲裁院决定。仲裁庭组成后提出合并仲裁申请的，由仲裁庭决定。 4. Where consolidated arbitration is decided, the arbitration proceedings shall be merged and shall continue from the stage of the earliest pending case. （四）决定合并仲裁的，仲裁程序合并，并从最先开始的仲裁案件所处阶段继续。 ### Article 20 — Submission and Exchange of Arbitration Documents ### 第二十条 — 仲裁文件的提交与交换 1. All arbitration documents shall be submitted to the Arbitration Court of the Arbitration Commission. After receiving arbitration documents, the Arbitration Court of the Arbitration Commission shall promptly transmit them to the other party. （一）当事人应将仲裁文件提交仲裁委员会仲裁院。仲裁委员会仲裁院收到仲裁文件后，应及时转交对方当事人。 2. The parties shall submit arbitration documents to the Arbitration Court of the Arbitration Commission through the means prescribed in Article 21 of these Rules. （二）当事人应通过本规则第二十一条规定的方式向仲裁委员会仲裁院提交仲裁文件。 3. The parties shall simultaneously submit copies of the arbitration documents for the other party and the arbitral tribunal (if constituted). （三）当事人应同时提交仲裁文件副本供对方当事人和仲裁庭（如已组成）使用。 ### Article 21 — Means of Submission and Number of Copies ### 第二十一条 — 提交方式及份数 1. The parties may submit arbitration documents through the following means: (1) Personal delivery; (2) Registered mail or express courier service; (3) Facsimile; (4) Electronic means, including email, online filing system, or any other means of electronic transmission or delivery that can provide a record. （一）当事人可通过以下方式提交仲裁文件： （1）当面递交； （2）挂号信或特快专递； （3）传真； （4）电子方式，包括电子邮件、网上立案系统或任何其他可提供记录的电子传输或递送方式。 2. The parties shall submit arbitration documents in a number of copies sufficient to provide one copy each for the Arbitration Court of the Arbitration Commission, the other party, and each member of the arbitral tribunal (if constituted). （二）当事人提交仲裁文件的份数应足以向仲裁委员会仲裁院、对方当事人及仲裁庭（如已组成）每位成员各提供一份。 ### Article 22 — Arbitration Representatives ### 第二十二条 — 仲裁代理人 1. A party may authorize Chinese and/or foreign arbitration representatives to handle matters relating to the arbitration. The party or its arbitration representative shall submit a power of attorney to the Arbitration Court of the Arbitration Commission. The Arbitration Court of the Arbitration Commission shall forward the power of attorney to the relevant parties and the arbitral tribunal. （一）当事人可以授权中国及/或外国的仲裁代理人办理有关仲裁事项。当事人或其仲裁代理人应向仲裁委员会仲裁院提交授权委托书，仲裁委员会仲裁院应将授权委托书转交相关当事人和仲裁庭。 2. Where a party changes or adds arbitration representatives after the constitution of the arbitral tribunal, the President of the Arbitration Court of the Arbitration Commission may, taking into consideration the opinions expressed by the parties on arbitrator challenge within a reasonable time period and the progress of the case, take necessary measures to prevent conflicts of interest arising from changes in the parties' representation, including excluding new arbitration representatives from participation in the arbitration proceedings. （二）仲裁庭组成后当事人变更或新增仲裁代理人的，仲裁委员会仲裁院院长可考虑当事人在合理期限内对仲裁员回避事项发表意见的情况、仲裁庭审理案件的进展等因素，采取必要措施防止仲裁员因当事人代理人的变化而产生的利益冲突，包括排除新的仲裁代理人参与仲裁程序。 ### Article 23 — Conservatory and Interim Measures ### 第二十三条 — 保全措施及临时措施 1. Where a party applies for preservation measures, the Arbitration Commission shall forward the party's preservation application to the competent court designated by the party. The Arbitration Commission may, at the request of the party, forward the preservation application to the aforementioned court before the issuance of the arbitration notice. （一）当事人申请保全措施的，仲裁委员会应当将当事人的保全措施申请转交当事人指明的有管辖权的法院。仲裁委员会可依据当事人的请求，将其提交的保全措施申请在仲裁通知发出前先行转交上述法院。 2. In accordance with the applicable law or the agreement of the parties, the parties may apply to the Arbitration Court of the Arbitration Commission for emergency interim relief in accordance with the CIETAC Emergency Arbitrator Procedures (Appendix III to these Rules). The emergency arbitrator may decide on necessary or appropriate emergency interim relief measures. The decision of the emergency arbitrator shall be binding on both parties. （二）根据所适用的法律或当事人的约定，当事人可以依据《中国国际经济贸易仲裁委员会紧急仲裁员程序》（本规则附件三）向仲裁委员会仲裁院申请紧急性临时救济。紧急仲裁员可以决定采取必要或适当的紧急性临时救济措施。紧急仲裁员决定对双方当事人具有约束力。 3. At the request of a party, the arbitral tribunal may, in accordance with the applicable law or the agreement of the parties, decide on such interim measures as it considers necessary or appropriate, and may require the party applying for interim measures to provide appropriate security. （三）经一方当事人请求，仲裁庭依据所适用的法律或当事人的约定可以决定采取其认为必要或适当的临时措施，并有权决定由请求临时措施的一方当事人提供适当的担保。 ### Section 2 — Arbitrators and Arbitral Tribunal ### 第二节 — 仲裁员及仲裁庭 ### Article 24 — Obligations of Arbitrators ### 第二十四条 — 仲裁员的义务 1. An arbitrator shall not represent any party and shall treat the parties equally from a neutral and independent position. （一）仲裁员不代表任何一方当事人，应独立于当事人，以中立立场平等对待各方当事人。 2. An arbitrator who has accepted appointment or designation shall perform his or her duties in accordance with these Rules and shall conduct the arbitration proceedings diligently and efficiently. （二）仲裁员接受选定或指定后，应按照本规则履行职责，勤勉高效地进行仲裁程序。 ### Article 25 — Number of Arbitrators ### 第二十五条 — 仲裁庭的人数 1. An arbitral tribunal shall consist of one or three arbitrators. （一）仲裁庭由一名或三名仲裁员组成。 2. Unless otherwise agreed by the parties or provided otherwise in these Rules, the arbitral tribunal shall consist of three arbitrators. （二）除非当事人另有约定或本规则另有规定，仲裁庭由三名仲裁员组成。 ### Article 26 — Appointment or Designation of Arbitrators ### 第二十六条 — 仲裁员的选定或指定 1. The Arbitration Commission maintains a uniform panel of arbitrators for the Arbitration Commission and its sub-committees/arbitration centers. The parties shall appoint arbitrators from the panel of arbitrators maintained by the Arbitration Commission. （一）仲裁委员会制定统一适用于仲裁委员会及其分会/仲裁中心的仲裁员名册，当事人从仲裁委员会制定的仲裁员名册中选定仲裁员。 2. Where the parties have agreed to appoint an arbitrator from outside the panel of arbitrators of the Arbitration Commission, the person appointed by the parties or designated in accordance with the parties' agreement may serve as an arbitrator after confirmation by the President of the Arbitration Commission. （二）当事人约定在仲裁委员会仲裁员名册之外选定仲裁员的，当事人选定的或根据当事人约定指定的人士经仲裁委员会主任确认后可以担任仲裁员。 3. Unless otherwise agreed by the parties, the arbitral tribunal shall be constituted in accordance with the provisions of these Rules. （三）除当事人另有约定外，仲裁庭应按照本规则的规定组成。 4. Where the parties have agreed on a method of constitution of the arbitral tribunal that is manifestly unjust or unfair, or where the parties have abused their rights causing unnecessary delays to the arbitration proceedings, the President of the Arbitration Commission may decide on the method of constitution of the arbitral tribunal or designate the members of the arbitral tribunal based on the principle of equity. （四）当事人约定的仲裁庭组成方式明显不公正或不公平的，或当事人滥用权利导致仲裁程序产生不必要延迟的，仲裁委员会主任可根据公平原则决定仲裁庭组成方式或指定仲裁庭成员。 ### Article 27 — Constitution of Three-Member Tribunal ### 第二十七条 — 三人仲裁庭的组成 1. The claimant and the respondent shall each appoint one arbitrator or entrust the President of the Arbitration Commission to designate one arbitrator within 15 days after receiving the arbitration notice. If a party fails to appoint or entrust the President to designate within such time limit, the President of the Arbitration Commission shall designate the arbitrator. （一）申请人和被申请人应在各自收到仲裁通知后15天内各自选定一名仲裁员，或委托仲裁委员会主任指定一名仲裁员。当事人未在上述期限内选定或委托仲裁委员会主任指定的，由仲裁委员会主任指定。 2. The third arbitrator shall be jointly appointed by the parties or jointly entrusted to the President of the Arbitration Commission for designation within 15 days after the respondent receives the arbitration notice. The third arbitrator shall be the presiding arbitrator of the arbitral tribunal. If the parties fail to jointly appoint or jointly entrust the President for designation within such time limit, the President of the Arbitration Commission shall designate the presiding arbitrator. （二）第三名仲裁员由当事人在被申请人收到仲裁通知后15天内共同选定或共同委托仲裁委员会主任指定。第三名仲裁员为仲裁庭的首席仲裁员。当事人未在上述期限内共同选定或共同委托仲裁委员会主任指定的，由仲裁委员会主任指定首席仲裁员。 3. The parties may agree that the two arbitrators appointed by them shall jointly appoint the presiding arbitrator. The two arbitrators shall jointly appoint the presiding arbitrator or jointly entrust the President of the Arbitration Commission to designate the presiding arbitrator within 7 days after accepting their appointments. If they fail to do so, the President of the Arbitration Commission shall designate the presiding arbitrator. （三）当事人可以约定由各自选定的两名仲裁员共同选定首席仲裁员。该两名仲裁员应在各自接受选定后7天内共同选定首席仲裁员，或共同委托仲裁委员会主任指定首席仲裁员。逾期未能共同选定或共同委托指定的，由仲裁委员会主任指定首席仲裁员。 4. Each party may recommend 1 to 5 candidates as candidates for presiding arbitrator and submit the recommendation list within the time limit specified in paragraph (2) of this Article. If there is one common candidate in the recommendation lists of the parties, that candidate shall be the presiding arbitrator jointly appointed by the parties. If there are multiple common candidates, the President of the Arbitration Commission shall determine the presiding arbitrator from among them based on the specific circumstances of the case, and that presiding arbitrator shall be deemed to have been jointly appointed by the parties. If there is no common candidate in the recommendation lists, the President of the Arbitration Commission shall designate the presiding arbitrator from outside the recommendation lists. （四）当事人各方可各自推荐一至五名候选人作为首席仲裁员人选，并在本条第二款规定的期限内提交推荐名单。当事人的推荐名单中有一名相同人选的，该人选为当事人共同选定的首席仲裁员。有数名相同人选的，由仲裁委员会主任根据案件具体情况从中确定一名为首席仲裁员，该首席仲裁员为当事人共同选定的首席仲裁员。推荐名单中没有相同人选的，由仲裁委员会主任在推荐名单之外指定首席仲裁员。 5. With the agreement of the parties or upon the joint request of the parties, the President of the Arbitration Commission may nominate three candidates as candidates for presiding arbitrator. The parties may select the presiding arbitrator from the nomination list within 7 days after receiving such list. （五）经当事人约定或当事人共同请求，仲裁委员会主任可提名三名首席仲裁员候选人，当事人在收到该提名名单后7天内可以选定首席仲裁员。 ### Article 28 — Constitution of Sole Arbitrator Tribunal ### 第二十八条 — 独任仲裁庭的组成 Where the arbitral tribunal consists of a sole arbitrator, the sole arbitrator shall be appointed or designated in accordance with the procedures provided in Article 27, paragraphs (2), (3), and (4) of these Rules. 仲裁庭由一名仲裁员组成的，独任仲裁员按照本规则第二十七条第（二）、（三）、（四）款规定的程序选定或指定。 ### Article 29 — Constitution of Multi-Party Tribunal ### 第二十九条 — 多方当事人仲裁庭的组成 1. Where there are two or more claimants and/or respondents in an arbitration case, the claimant side and/or the respondent side shall each, after consultation, jointly appoint or jointly entrust the President of the Arbitration Commission to designate one arbitrator. （一）仲裁案件中有两名或两名以上申请人及/或被申请人的，申请人侧及/或被申请人侧各方应分别经协商后，共同选定或共同委托仲裁委员会主任指定一名仲裁员。 2. The presiding arbitrator or the sole arbitrator shall be appointed or designated in accordance with the procedures provided in Article 27, paragraphs (2), (4), and (5) of these Rules. When the claimant side and/or the respondent side jointly appoint the presiding arbitrator or the sole arbitrator in accordance with Article 27, they shall submit the list of recommended candidates after joint consultation. （二）首席仲裁员或独任仲裁员按照本规则第二十七条第（二）、（四）、（五）款规定的程序选定或指定。申请人侧及/或被申请人侧按照本规则第二十七条的规定选定首席仲裁员或独任仲裁员时，应经各方协商后共同提出候选人推荐名单。 3. Where the claimant side and/or the respondent side fail to jointly appoint one arbitrator or jointly entrust the President of the Arbitration Commission to designate one arbitrator within 15 days after receiving the arbitration notice, the President of the Arbitration Commission shall designate all three arbitrators of the arbitral tribunal and determine one of them as the presiding arbitrator. （三）申请人侧及/或被申请人侧在收到仲裁通知后15天内未能共同选定一名仲裁员或共同委托仲裁委员会主任指定一名仲裁员的，由仲裁委员会主任指定仲裁庭三名仲裁员，并从中确定一名为首席仲裁员。 ### Article 30 — Considerations for Designating Arbitrators ### 第三十条 — 指定仲裁员的考虑因素 When designating arbitrators pursuant to these Rules, the President of the Arbitration Commission shall take into consideration the law applicable to the dispute, the place of arbitration, the language of arbitration, the nationalities of the parties, the type of dispute, and other factors the President of the Arbitration Commission considers appropriate. 根据本规则指定仲裁员时，仲裁委员会主任应考虑争议适用的法律、仲裁地、仲裁语言、当事人国籍、争议类型以及仲裁委员会主任认为适当的其他因素。 ### Article 31 — Disclosure ### 第三十一条 — 披露 1. An arbitrator who has been appointed or designated shall sign a declaration and disclose any facts or circumstances that may give rise to reasonable doubts as to his or her impartiality or independence. （一）被选定或被指定的仲裁员应签署声明书，披露可能引起对其公正性和独立性产生合理怀疑的任何事实或情况。 2. If facts or circumstances that are subject to disclosure arise during the arbitration proceedings, the arbitrator shall promptly disclose them in writing. （二）仲裁程序中，如出现应予披露的事实或情况的，仲裁员应立即书面披露。 3. The arbitrator's declaration and/or disclosure information shall be submitted to the Arbitration Court of the Arbitration Commission and transmitted to the parties and other members of the arbitral tribunal. （三）仲裁员的声明书及/或披露信息应提交仲裁委员会仲裁院，并转交当事人及仲裁庭其他成员。 ### Article 32 — Challenge of Arbitrators ### 第三十二条 — 仲裁员的回避 1. Where a party has received the arbitrator's declaration and/or disclosure and, based on the facts or circumstances disclosed, requests the challenge of that arbitrator, the party shall submit the challenge in writing within 10 days after receiving the arbitrator's disclosure. If a party fails to file a challenge within such time limit, it may not challenge the arbitrator on the basis of matters previously disclosed by the arbitrator. （一）当事人收到仲裁员的声明书及/或披露书后，根据披露的事实或情况要求该仲裁员回避的，应在收到仲裁员披露书后10天内书面提出。逾期未申请回避的，不得以仲裁员曾经披露的事项为由申请该仲裁员回避。 2. A party may challenge an arbitrator in writing if there are justifiable grounds to doubt the arbitrator's impartiality or independence. The party shall state the specific facts and reasons on which the challenge is based and provide evidence thereof. （二）当事人对被选定或被指定的仲裁员的公正性和独立性产生具有正当理由的怀疑时，可以书面提出回避申请，但应说明所依据的具体事实和理由，并举证。 3. A challenge shall be submitted in writing within 15 days after receipt of the notice of constitution of the arbitral tribunal. If a party becomes aware of the ground for challenge after the expiry of such time limit, the challenge may be filed within 15 days after becoming aware of such ground. However, the challenge shall be filed no later than the conclusion of the last oral hearing. （三）回避申请应在收到仲裁庭组成通知后15天内书面提出。期限届满后得知回避事由的，可以在得知回避事由后15天内提出，但最迟应在最后一次开庭审理终结前提出。 4. A challenge shall be promptly communicated to the other party, the challenged arbitrator, and the other members of the arbitral tribunal. （四）回避申请应迅速送达对方当事人、被申请回避的仲裁员及仲裁庭其他成员。 5. If the other party agrees to the challenge, or if the challenged arbitrator voluntarily proposes to withdraw from the case, the arbitrator shall withdraw. This does not imply the validity of the grounds for challenge. （五）当事人申请仲裁员回避，对方当事人同意该回避申请，或被申请回避的仲裁员主动提出不再担任该案件仲裁员的，该仲裁员应退出该案件的仲裁工作，但这不表明当事人提出的回避申请理由成立。 6. Except as provided in the preceding paragraph, the President of the Arbitration Commission shall make the final decision on the challenge of an arbitrator without stating reasons. （六）除前款规定的情形外，仲裁员是否回避，由仲裁委员会主任作出终局决定，无需说明理由。 7. The challenged arbitrator shall continue to perform his or her duties until the President of the Arbitration Commission has decided on the challenge. （七）被申请回避的仲裁员应继续履行其职责，直至仲裁委员会主任就回避问题作出决定。 ### Article 33 — Replacement of Arbitrators ### 第三十三条 — 仲裁员的更换 1. The President of the Arbitration Commission has the power to decide on the replacement of an arbitrator who is de jure or de facto unable to perform his or her functions, or who fails to act in accordance with these Rules or within the time limits prescribed in these Rules. The arbitrator may also resign from his or her position. （一）仲裁委员会主任有权决定更换在法律上或事实上不能履行其职责的仲裁员，或未能按照本规则或本规则规定期限内履行其职责的仲裁员。该仲裁员也可以自行申请辞去仲裁员职务。 2. The decision on whether to replace an arbitrator shall be finally made by the President of the Arbitration Commission without stating reasons. （二）是否更换仲裁员，由仲裁委员会主任作出终局决定，无需说明理由。 3. Where an arbitrator is unable to perform his or her duties due to challenge or replacement, the Arbitration Court of the Arbitration Commission shall appoint or designate a substitute arbitrator within a reasonable time in the same manner as the original arbitrator was appointed or designated. If the parties fail to appoint or designate a substitute arbitrator, the President of the Arbitration Commission shall designate the substitute arbitrator. （三）仲裁员因回避或更换不能履行职责的，仲裁委员会仲裁院应在合理期限内按照原仲裁员选定或指定的方式选定或指定替代仲裁员。当事人未能选定或指定替代仲裁员的，由仲裁委员会主任指定替代仲裁员。 4. After a new arbitrator has been appointed or designated, the arbitral tribunal shall decide whether and to what extent the proceedings already conducted shall be repeated. （四）新仲裁员选定或指定后，仲裁庭应决定是否以及在何种范围内重复已经进行的程序。 ### Article 34 — Continuation of Proceedings by Majority of Arbitrators ### 第三十四条 — 过半数仲裁员继续仲裁程序 After the conclusion of the last hearing, if one of the three arbitrators is unable to participate in deliberations or to render an award due to death, removal, or other reasons, the other two arbitrators may, in accordance with Article 33, request the President of the Arbitration Commission to replace the arbitrator. After hearing the views of the parties and obtaining the consent of the President of the Arbitration Commission, the two arbitrators may continue the proceedings and make decisions or render awards. The Arbitration Court of the Arbitration Commission shall notify the parties of the above circumstances. 最后开庭审理结束后，三名仲裁员中的一名因死亡、除名等原因不能参加合议及/或作出裁决的，另外两名仲裁员可以按照第三十三条的规定，请求仲裁委员会主任更换仲裁员。在听取当事人意见并经仲裁委员会主任同意后，两名仲裁员可以继续审理并作出决定或裁决。仲裁委员会仲裁院应将上述情况通知当事人。 ### Section 3 — Hearing ### 第三节 — 审理 ### Article 35 — Methods of Hearing ### 第三十五条 — 审理方式 1. Unless otherwise agreed by the parties, the arbitral tribunal may conduct the hearing in a manner it considers appropriate. In all cases, the arbitral tribunal shall act fairly and impartially and give each party a reasonable opportunity to present its case. （一）除非当事人另有约定，仲裁庭可以以其认为适当的方式进行审理。在任何情况下，仲裁庭均应公平公正地行事，给予各方当事人陈述与辩论的合理机会。 2. The arbitral tribunal shall hold oral hearings for the case, but if the parties agree and the arbitral tribunal approves, or if the arbitral tribunal considers it unnecessary to hold oral hearings and the parties agree, the arbitral tribunal may conduct a documents-only hearing. （二）仲裁庭应当开庭审理案件，但当事人约定并经仲裁庭同意，或仲裁庭认为没有必要开庭审理并征得当事人同意的，仲裁庭可以只依据书面文件进行审理。 3. Unless otherwise agreed by the parties, the arbitral tribunal may, based on the specific circumstances of the case, conduct the hearing by means of an inquisitorial or adversarial method. （三）除非当事人另有约定，仲裁庭可根据案件具体情况采用审问式或辩论式的审理方式审理案件。 4. The arbitral tribunal may deliberate at any place and in any manner it considers appropriate. （四）仲裁庭可以在其认为适当的任何地点和以任何方式进行合议。 5. Unless otherwise agreed by the parties, the arbitral tribunal may, if it deems necessary, issue procedural orders, issue questionnaires, prepare statements on the scope of the hearing, or hold pre-hearing conferences. The presiding arbitrator may, under the authority of the other members of the arbitral tribunal, make decisions on procedural matters of the arbitration case alone. （五）除非当事人另有约定，仲裁庭认为必要时，可就所审理的案件发布程序令、发出问题单、制作审理范围书、召开庭前会议等。首席仲裁员在仲裁庭其他成员的授权下，可以单独就仲裁案件的程序安排作出决定。 ### Article 36 — Place of Hearing ### 第三十六条 — 开庭地点 1. Where the parties have agreed on the place of hearing, the oral hearing of the arbitration case shall be held at the agreed place, except as provided in Article 85(3) of these Rules. （一）当事人约定了开庭地点的，仲裁案件的开庭审理应在约定的地点进行，但本规则第八十五条第（三）款规定的情形除外。 2. Unless otherwise agreed by the parties, the hearing of a case administered by the Arbitration Court of the Arbitration Commission or its sub-committee/arbitration center Arbitration Court shall be held in Beijing or at the location of the sub-committee/arbitration center, as applicable. If the arbitral tribunal considers it necessary, it may hold oral hearings at another location with the consent of the President of the Arbitration Court of the Arbitration Commission. （二）除非当事人另有约定，由仲裁委员会仲裁院或其分会/仲裁中心仲裁院管理的案件的审理，分别在北京或分会/仲裁中心所在地进行。仲裁庭认为必要的，经仲裁委员会仲裁院院长同意，可以在其他地点开庭审理。 ### Article 37 — Oral Hearing ### 第三十七条 — 开庭审理 1. Where an oral hearing is to be held, the arbitral tribunal shall, after fixing the date of the first oral hearing, notify the parties of the date of the hearing at least 20 days before the hearing. A party may request a postponement of the hearing if it has justified reasons, provided that the request for postponement is submitted within 5 days after receiving the hearing notice. The decision to postpone shall be made by the arbitral tribunal. （一）案件进行开庭审理的，仲裁庭在确定第一次开庭日期后，应于开庭20天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后5天内提出延期申请。是否延期，由仲裁庭决定。 2. Where a party has justified reasons for being unable to submit a request for postponement in accordance with the preceding paragraph, the arbitral tribunal shall decide whether to accept the request. （二）当事人有正当理由未能按前款规定提出延期开庭申请的，是否受理其延期申请，由仲裁庭决定。 3. The notification of the rescheduled or postponed hearing date and the request for postponement shall not be subject to the time limit restriction in paragraph (1) of this Article. （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 4. Where an oral hearing is held, the parties and their arbitration representatives have the right to attend the hearing. The attendance of other arbitration participants shall be decided by the arbitral tribunal. Unless the arbitral tribunal and the parties agree otherwise, persons other than the arbitration participants shall not attend. （四）开庭审理时，当事人及其仲裁代理人有权出席庭审。其他仲裁参与人的出庭由仲裁庭决定。除非仲裁庭和当事人同意，仲裁参与人以外的人员不得出席。 5. After hearing the parties' views, the arbitral tribunal may, at its discretion, decide to hold oral hearings in person, remotely by video conference, or by other appropriate electronic communication means depending on the circumstances of the case. （五）仲裁庭在听取当事人意见后，可根据仲裁案件情况，自行决定开庭审理以现场、远程视频及其他适当电子通讯方式的形式进行。 6. The Arbitration Court of the Arbitration Commission shall provide the necessary facilities and administrative support for oral hearings and remote video hearings. （六）仲裁委员会仲裁院应提供开庭审理的必要设施及远程视频开庭审理的必要的行政支持。 ### Article 38 — Confidentiality ### 第三十八条 — 保密 1. The hearings of the arbitral tribunal shall be held in camera. If the parties request a public hearing, the arbitral tribunal shall decide whether to hold the hearing in public. （一）仲裁庭的审理不公开进行。当事人要求公开审理的，由仲裁庭决定是否公开审理。 2. For cases heard in camera, the parties, their arbitration representatives, arbitrators, witnesses, interpreters, experts consulted by the arbitral tribunal, appraisers appointed by the arbitral tribunal, and other related persons shall not disclose to any external party any information relating to the case and the proceedings. （二）不公开审理的案件，当事人及其仲裁代理人、仲裁员、证人、翻译、仲裁庭咨询的专家和指定的鉴定人以及其他有关人员，均不得对外界透露案件实体和程序的信息。 ### Article 39 — Default Hearing ### 第三十九条 — 缺席审理 1. If the claimant fails to appear at the hearing without justifiable reasons, or withdraws from the hearing without the permission of the arbitral tribunal, the claimant may be deemed to have withdrawn its application for arbitration. If the respondent has filed a counterclaim, the arbitral tribunal shall proceed with the hearing of the counterclaim and render an award. （一）申请人无正当理由不到庭，或未经仲裁庭许可中途退庭的，可以视为撤回仲裁申请。被申请人提出反请求的，不影响仲裁庭就反请求进行审理并作出裁决。 2. If the respondent fails to appear at the hearing without justifiable reasons, or withdraws from the hearing without the permission of the arbitral tribunal, the arbitral tribunal may proceed with the hearing by default and render an award. If the respondent has filed a counterclaim, the respondent may be deemed to have withdrawn its counterclaim. （二）被申请人无正当理由不到庭，或未经仲裁庭许可中途退庭的，仲裁庭可以进行缺席审理并作出裁决。被申请人提出反请求的，可以视为撤回反请求。 ### Article 40 — Record of Oral Hearing ### 第四十条 — 开庭审理的记录 1. Where an oral hearing is held, the arbitral tribunal may make a record and/or audio-visual recording of the oral hearing. The arbitral tribunal may, if it deems necessary, produce a summary of the oral hearing and request the parties and/or their representatives, witnesses and/or other relevant persons to sign or seal the record or summary of the oral hearing. （一）开庭审理时，仲裁庭可以制作庭审笔录及/或录音录像记录。仲裁庭认为必要时，可以制作庭审要点，并要求当事人及/或其代理人、证人及/或其他有关人员在庭审笔录或庭审要点上签名或盖章。 2. Where a party or other arbitration participant considers that there are omissions or errors in the record of its statements, it may apply for corrections. If the arbitral tribunal does not agree to the application for correction, the application shall be recorded in the record. （二）当事人及其他仲裁参与人认为对自己陈述的记录有遗漏或差错的，可以申请更正。仲裁庭不同意更正的，应将申请记录在案。 3. The record, summary, and audio-visual recording of the oral hearing shall be made available for inspection by the arbitral tribunal. （三）庭审笔录、庭审要点和录音录像记录供仲裁庭查阅。 4. Upon a party's application, the Arbitration Court of the Arbitration Commission may, depending on the specific circumstances of the case, decide to engage a stenographer to record the hearing. The parties shall pay the costs incurred thereby in advance. （四）经当事人申请，仲裁委员会仲裁院可根据案件具体情况决定聘请速录人员记录审理情况，当事人应预付由此产生的费用。 ### Article 41 — Burden of Proof ### 第四十一条 — 举证 1. Each party shall bear the burden of proving the facts on which it relies to support its claim, defense, or counterclaim. The parties shall provide evidence for the factual assertions, arguments, and defenses they rely upon. （一）当事人应对其申请、答辩和反请求所依据的事实承担举证责任并提供证据，对其主张、辩论及抗辩要点承担举证责任。 2. The arbitral tribunal may prescribe a time limit for the parties to produce evidence. The parties shall produce evidence within such time limit. The arbitral tribunal may refuse to accept evidence submitted after the time limit. Where a party has genuine difficulty in producing evidence within the time limit, it may apply for an extension before the expiry of the time limit. The decision to extend shall be made by the arbitral tribunal. （二）仲裁庭可以规定当事人提交证据的期限。当事人应在规定的期限内提交证据。仲裁庭可以拒绝接受逾期提交的证据。当事人在举证期限内提交证据材料确有困难的，可以在举证期限届满前申请延长举证期限。是否延长，由仲裁庭决定。 3. If a party fails to produce evidence within the prescribed time limit, or if the evidence produced is insufficient to prove its claims, the party bearing the burden of proof shall bear the consequences. （三）当事人未能在规定期限内提交证据，或提交的证据不足以证明其主张的，负有举证责任的当事人应承担相应后果。 4. Unless otherwise agreed by the parties, the arbitral tribunal may decide to apply or partially apply the CIETAC Evidence Guidelines in conducting the hearing. The CIETAC Evidence Guidelines do not form part of these Rules. （四）除非当事人另有约定，仲裁庭可以决定适用或部分适用《中国国际经济贸易仲裁委员会证据指引》（以下简称"证据指引"）进行审理，但证据指引不构成本规则的组成部分。 ### Article 42 — Cross-Examination ### 第四十二条 — 质证 1. Unless otherwise agreed by the parties, in cases where an oral hearing is held, the evidence shall be presented during the hearing, and the parties may cross-examine such evidence. （一）除非当事人另有约定，开庭审理的案件，在开庭时提交的证据，当事人可以对其进行交叉盘问。 2. For cases heard on a documents-only basis or where evidence is submitted after the hearing and the parties have agreed to cross-examine in writing, cross-examination may be conducted in writing. The parties shall submit written cross-examination opinions within the time limit set by the arbitral tribunal. （二）书面审理的案件或证据在开庭后提交且当事人同意以书面方式进行交叉盘问的，可以书面方式交叉盘问。当事人应在仲裁庭规定的期限内提交书面质证意见。 ### Article 43 — Investigation and Evidence Collection by Arbitral Tribunal ### 第四十三条 — 仲裁庭的调查与取证 1. The arbitral tribunal may, if it deems it necessary, investigate facts and collect evidence. （一）仲裁庭认为有必要时，可以调查事实，收集证据。 2. When investigating facts and collecting evidence, the arbitral tribunal may notify the parties to be present. If one or both parties fail to appear after being notified, the investigation and evidence collection by the arbitral tribunal shall not be affected. （二）仲裁庭调查事实、收集证据时，可以通知当事人到场。经通知，一方或双方当事人不到场的，不影响仲裁庭调查事实和收集证据。 3. Evidence collected by the arbitral tribunal through investigation shall be transmitted to the parties, and the parties shall be given an opportunity to comment. （三）仲裁庭经调查收集的证据，应转交当事人，并给予当事人发表意见的机会。 ### Article 44 — Expert Reports and Appraisal Reports ### 第四十四条 — 专家报告及鉴定报告 1. The arbitral tribunal may consult experts or appoint appraisers on specialized issues of the case. Experts and appraisers may be institutions or individuals from China or abroad. （一）仲裁庭可以就案件中的专门问题向专家咨询或指定鉴定人进行鉴定。专家和鉴定人可以是中国或外国的机构或自然人。 2. The arbitral tribunal has the right to require the parties, and the parties have the obligation, to provide or produce any relevant information, documents, property, or physical evidence to the experts or appraisers for their review, inspection, or appraisal. （二）仲裁庭有权要求当事人、当事人也有义务向专家或鉴定人提供或出示任何有关资料、文件或财产、实物，以供专家或鉴定人审阅、检验或鉴定。 3. Copies of expert reports and appraisal reports shall be forwarded to the parties, giving them the opportunity to present their opinions. Where a party applies for or the arbitral tribunal requests the expert or appraiser to attend the hearing, the expert or appraiser shall attend the hearing and, if the arbitral tribunal considers it necessary, provide explanations regarding the report. （三）专家报告和鉴定报告的副本应转交当事人，给予当事人提出意见的机会。一方当事人申请或仲裁庭要求专家或鉴定人参加开庭的，专家或鉴定人应参加开庭，并在仲裁庭认为必要时就所作出的报告进行解释。 ### Article 45 — Suspension of Proceedings ### 第四十五条 — 程序中止 1. The arbitration proceedings may be suspended if the parties jointly or individually request suspension, or if other circumstances requiring suspension arise. （一）当事人共同或个别请求中止仲裁程序，或出现其他需要中止程序的情形的，仲裁程序可以中止。 2. Once the reasons for suspension are eliminated or the suspension period expires, the arbitration proceedings shall resume. （二）中止程序的原因消除或中止程序期限届满后，仲裁程序恢复。 3. The suspension and resumption of arbitration proceedings shall be decided by the arbitral tribunal. If the arbitral tribunal has not yet been constituted, the decision shall be made by the President of the Arbitration Court of the Arbitration Commission. （三）仲裁程序的中止及恢复，由仲裁庭决定；仲裁庭尚未组成的，由仲裁委员会仲裁院院长决定。 ### Article 46 — Withdrawal of Claims and Dismissal of Case ### 第四十六条 — 撤回请求和撤销案件 1. A party may withdraw all of its arbitration claims or all of its counterclaims. If the claimant withdraws all of its arbitration claims, the arbitral tribunal may continue to hear the respondent's counterclaim and render an award. If the respondent withdraws all of its counterclaims, the arbitral tribunal may continue to hear the claimant's claims and render an award. （一）当事人可以撤回全部仲裁请求或全部仲裁反请求。申请人撤回全部仲裁请求的，不影响仲裁庭就被申请人的反请求进行审理和裁决。被申请人撤回全部仲裁反请求的，不影响仲裁庭就申请人的请求进行审理和裁决。 2. Where it is impossible to continue the arbitration proceedings due to a party's circumstances or relevant legal provisions, the party may be deemed to have withdrawn its application. （二）因当事人自身原因或相关法律规定导致仲裁程序无法继续进行的，当事人可视为撤回仲裁申请。 3. Where both the arbitration claims and counterclaims are withdrawn entirely, the case may be dismissed. If the case is dismissed before the constitution of the arbitral tribunal, the decision to dismiss shall be made by the President of the Arbitration Court of the Arbitration Commission; if the case is dismissed after the constitution of the arbitral tribunal, the decision to dismiss shall be made by the arbitral tribunal. （三）仲裁请求和反请求全部撤回的，可以撤销案件。仲裁庭组成前撤销案件的，由仲裁委员会仲裁院院长作出撤销案件决定；仲裁庭组成后撤销案件的，由仲裁庭作出撤销案件决定。 4. Decisions to dismiss the case under the preceding paragraph and Article 6(7) of these Rules shall be sealed with the seal of the China International Economic and Trade Arbitration Commission. （四）前款及本规则第六条第（七）款的撤销案件决定，应加盖"中国国际经济贸易仲裁委员会"印章。 ### Article 47 — Combination of Arbitration with Mediation ### 第四十七条 — 仲裁与调解相结合 1. If the parties wish to mediate, or if one party so wishes and the other party agrees after the arbitral tribunal's consultation, the arbitral tribunal may mediate during the arbitration proceedings. The parties may also reach a settlement by themselves. （一）当事人希望调解的，或一方当事人希望调解且仲裁庭征得另一方当事人同意的，仲裁庭可以在仲裁程序中进行调解。当事人也可以自行和解。 2. With the consent of the parties, the arbitral tribunal may mediate in a manner it considers appropriate. （二）经当事人同意，仲裁庭可以以其认为适当的方式进行调解。 3. During the mediation process, if any party proposes to terminate the mediation, or if the arbitral tribunal considers that mediation is no longer possible, the arbitral tribunal shall terminate the mediation. （三）调解过程中，任何一方当事人提出终止调解，或仲裁庭认为调解已无成功可能的，仲裁庭应终止调解。 4. If the parties reach a settlement through mediation by the arbitral tribunal or by themselves, the parties shall enter into a settlement agreement. （四）经仲裁庭调解达成和解或当事人自行和解的，双方当事人应签订和解协议。 5. Where the parties reach a settlement through mediation or by themselves, they may withdraw the arbitration claim or counterclaim, or request the arbitral tribunal to render an award or make a mediation statement in accordance with the terms of the settlement agreement. （五）当事人经调解或自行达成和解的，可以撤回仲裁请求或反请求，也可以请求仲裁庭根据当事人和解协议的内容作出裁决书或制作调解书。 6. Where the parties request a mediation statement, the mediation statement shall set out the arbitration claims and the terms of the parties' written settlement agreement. The mediation statement shall be signed by the arbitrators, sealed with the seal of the China International Economic and Trade Arbitration Commission, and served on both parties. （六）当事人要求制作调解书的，调解书应写明仲裁请求和当事人书面和解协议的内容，由仲裁员签名，并加盖"中国国际经济贸易仲裁委员会"印章，送达双方当事人。 7. If mediation fails, the arbitral tribunal shall continue the arbitration proceedings and render an award. （七）调解不成的，仲裁庭应继续进行仲裁程序并作出裁决。 8. Where the parties wish to mediate but do not wish the mediation to be conducted by the arbitral tribunal, the Arbitration Commission may, with the consent of the parties, assist the parties in conducting mediation in an appropriate manner and procedure. （八）当事人希望调解但不愿由仲裁庭主持调解的，仲裁委员会在征得当事人同意后，可以协助当事人以适当的方式和程序进行调解。 9. If mediation fails, neither party may rely on any opinions, views, statements, or proposals made or admitted by the other party or the arbitral tribunal during the mediation as grounds for any claim, defense, or counterclaim in subsequent arbitration, judicial, or other proceedings. （九）调解不成的，任何一方当事人均不得在之后的仲裁程序、司法程序和其他任何程序中援引对方当事人或仲裁庭在调解过程中曾发表的意见、提出的观点、作出的陈述、表示认同或否定的建议或主张作为其请求、答辩或反请求的依据。 10. Where the parties reach a settlement agreement before the commencement of arbitration, whether by themselves or through mediation, the parties may, on the basis of the arbitration agreement providing for arbitration by the Arbitration Commission and the settlement agreement, request the Arbitration Commission to constitute an arbitral tribunal to render an award in accordance with the terms of the settlement agreement. Unless otherwise agreed by the parties, the President of the Arbitration Commission shall appoint a sole arbitrator to constitute the arbitral tribunal. The arbitral tribunal shall conduct the hearing in a manner it considers appropriate and render an award. The specific procedural arrangements and time limits shall not be subject to the procedural arrangements and time limits set out elsewhere in these Rules. （十）当事人在仲裁程序开始前自行或通过调解达成和解协议的，可以依据仲裁委员会仲裁的仲裁协议及其和解协议，请求仲裁委员会组成仲裁庭，按照和解协议的内容作出裁决书。除非当事人另有约定，仲裁委员会主任指定一名独任仲裁员组成仲裁庭，仲裁庭按照其认为适当的程序进行审理并作出裁决。具体程序和期限不受本规则其他条款规定程序和期限的限制。 ### Article 48 — Third-Party Funding ### 第四十八条 — 第三方资助 1. A party receiving third-party funding shall, without delay after concluding the funding agreement, submit to the Arbitration Court of the Arbitration Commission information on the fact of the third-party funding, the economic interest of the third party, and the name and address of the third party. The Arbitration Court of the Arbitration Commission shall transmit such information to the relevant parties and the arbitral tribunal. The arbitral tribunal may, if it deems necessary, require the party receiving third-party funding to disclose relevant information. （一）接受第三方资助的当事人应在与资助方签订资助协议后，毫不延迟地将第三方资助的事实、经济利益及第三方的名称和住所等信息提交仲裁委员会仲裁院。仲裁委员会仲裁院应将上述信息转交有关当事人和仲裁庭。仲裁庭认为必要时，可以要求接受第三方资助的当事人披露相关信息。 2. The arbitral tribunal may, when deciding on arbitration costs and other related expenses, take into consideration the existence of third-party funding and whether the party has complied with the preceding paragraph. （二）仲裁庭在就仲裁费用和其他相关费用作出决定时，可以考虑是否存在第三方资助以及当事人是否遵守了前款规定。 ### Article 49 — Interim Decisions ### 第四十九条 — 中间决定 1. Where the arbitral tribunal considers it necessary, or where a party so requests and the arbitral tribunal agrees, the arbitral tribunal may make an interim decision on any issue of the case before rendering the final award. （一）仲裁庭认为必要时，或经当事人请求且仲裁庭同意的，仲裁庭可以在作出最终裁决之前，就案件的任何问题作出中间决定。 2. The failure of any party to comply with an interim decision shall not affect the continuation of the arbitration proceedings or the rendering of the final award by the arbitral tribunal. （二）任何一方当事人不遵守中间决定的，不影响仲裁程序的继续进行或仲裁庭作出最终裁决。 ### Article 50 — Early Dismissal Procedure ### 第五十条 — 早期驳回程序 1. A party may apply for early dismissal of all or part of an arbitration claim or counterclaim on the grounds that the claim or counterclaim is manifestly without legal merit or manifestly outside the jurisdiction of the arbitral tribunal (hereinafter referred to as "early dismissal application"). （一）当事人可以以仲裁请求或反请求明显缺乏法律依据或明显超出仲裁庭管辖范围为由，申请早期驳回全部或部分仲裁请求或反请求（以下简称"早期驳回申请"）。 2. A party shall submit an early dismissal application in writing, setting out the factual and legal grounds. The arbitral tribunal may, to prevent the party from abusing the early dismissal application to delay the arbitration proceedings, require the party making the application to provide valid reasons and demonstrate that the early dismissal will expedite the overall arbitration proceedings. The early dismissal application by a party shall not prevent the arbitral tribunal from continuing the arbitration proceedings. （二）当事人应以书面方式提出早期驳回申请，并说明事实和法律依据。仲裁庭为防止当事人滥用早期驳回程序申请拖延仲裁程序，可要求提出申请的当事人提出正当理由，并证明早期驳回程序将整体加快仲裁程序。当事人提出早期驳回申请不影响仲裁庭继续进行仲裁程序。 3. A party shall file the early dismissal application as early as possible. Unless the arbitral tribunal decides otherwise, the application shall be filed no later than the submission of the defense statement or the reply to the counterclaim. （三）当事人应尽早提出早期驳回申请。除非仲裁庭另有决定，最迟应在提交答辩书或反请求答辩书时提出。 4. After hearing the views of the parties, the arbitral tribunal may decide whether to accept the early dismissal application. （四）仲裁庭在听取当事人意见后，可以决定是否受理早期驳回申请。 5. The arbitral tribunal shall make a decision or award on the early dismissal application within 60 days from the date the application is filed, with reasons stated. The President of the Arbitration Court of the Arbitration Commission may, upon the request of the arbitral tribunal, properly extend the time limit if he or she considers it justified and necessary. （五）仲裁庭应在早期驳回申请提出之日起60天内就该申请作出决定或裁决，并说明理由。仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以适当延长该期限。 6. Where the arbitral tribunal decides to uphold or partially uphold the early dismissal application, it shall not prevent the arbitral tribunal from continuing the hearing on other arbitration claims and counterclaims. （六）仲裁庭作出支持或部分支持早期驳回申请的决定的，不影响仲裁庭就其他仲裁请求及反请求继续进行审理。 ### Chapter III — Award ### 第三章 — 裁决 ### Article 51 — Time Limit for Award ### 第五十一条 — 作出裁决的期限 1. The arbitral tribunal shall render an award within 6 months from the date on which the arbitral tribunal is constituted. （一）仲裁庭应在仲裁庭组成后6个月内作出裁决。 2. The President of the Arbitration Court of the Arbitration Commission may, upon the request of the arbitral tribunal, extend the time limit if he or she considers it justified and necessary. （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 3. The period during which the proceedings are suspended shall not be counted in the time limit for rendering the award specified in paragraph (1) of this Article. （三）中止程序的期间不计入本条第一款规定的裁决期限。 ### Article 52 — Award ### 第五十二条 — 裁决 1. The arbitral tribunal shall render the award independently and impartially, based on the facts and the contractual agreement, in accordance with the provisions of law and with reference to international practices, in a fair and reasonable manner. （一）仲裁庭应根据事实和合同约定，依照法律规定，参考国际惯例，公平合理、独立公正地作出裁决。 2. Where the parties have agreed on the law applicable to the merits of the dispute, the arbitral tribunal shall apply that law. Where the parties have not agreed, or their agreement conflicts with mandatory provisions of law, the arbitral tribunal shall determine the law or rules of law applicable to the merits. （二）当事人对案件适用法律有约定的，从其约定。当事人未约定或其约定与法律强制性规定相抵触的，由仲裁庭决定案件应适用的法律或法律规则。 3. The arbitral tribunal shall state in the award the claims, the facts in dispute, the reasons for the award, the result of the award, the allocation of arbitration costs, and the date and place of the award. Where the parties agree not to state the facts in dispute and the reasons for the award, or where the award is made in accordance with the terms of the settlement agreement between the parties, the facts in dispute and the reasons for the award may be omitted. The arbitral tribunal has the power to specify in the award the specific time limit for the parties to perform the award and the liability for delayed performance. （三）仲裁庭应在裁决书中写明仲裁请求、争议事实、裁决理由、裁决结果、仲裁费用的承担、裁决的日期和地点。当事人约定不写明争议事实和裁决理由，或裁决按照当事人和解协议内容作出的，可以不写明争议事实和裁决理由。仲裁庭有权在裁决书中确定当事人履行裁决的具体期限及逾期履行的责任。 4. The award shall be sealed with the seal of the China International Economic and Trade Arbitration Commission. （四）裁决书应加盖"中国国际经济贸易仲裁委员会"印章。 5. For a case heard by a tribunal consisting of three arbitrators, the award shall be made by all or a majority of the arbitrators. The written opinion of a dissenting arbitrator may be attached to the file but shall not form part of the award. （五）由三名仲裁员组成的仲裁庭审理的案件，裁决依全体或多数仲裁员的意见作出。少数仲裁员的书面意见可以附卷，但可以附入裁决书，不构成裁决书的组成部分。 6. Where the arbitral tribunal cannot reach a majority opinion, the award shall be made in accordance with the opinion of the presiding arbitrator. The written opinions of other arbitrators may be attached to the file but shall not form part of the award. （六）仲裁庭不能形成多数意见的，裁决依首席仲裁员的意见作出。其他仲裁员的书面意见可以附卷，但可以附入裁决书，不构成裁决书的组成部分。 7. Except where the award is made in accordance with the opinion of the presiding arbitrator or the sole arbitrator and signed by that person, the award shall be signed by a majority of the arbitrators. An arbitrator who disagrees may decline to sign the award. The electronic signature of an arbitrator shall have the same effect as a handwritten signature. （七）裁决书应由多数仲裁员签名，但裁决依首席仲裁员或独任仲裁员意见作出并由该仲裁员签名的除外。持不同意见的仲裁员可以在裁决书上不签名。仲裁员的电子签名与手写签名具有同等效力。 8. The date on which the award is made shall be the date on which the award becomes legally effective. （八）作出裁决的日期即为裁决发生法律效力的日期。 9. The award is final and binding on the parties. （九）裁决是终局的，对当事人具有约束力。 10. The award to be served on the parties shall be in paper form. Where the parties have agreed, or where the Arbitration Commission considers it necessary, the award may be served in electronic form. （十）送达当事人的裁决书应为纸质形式。当事人约定或仲裁委员会认为必要的，裁决书可以电子形式送达。 ### Article 53 — Interim Award ### 第五十三条 — 部分裁决 1. Where the arbitral tribunal considers it necessary, or where a party so requests and the arbitral tribunal agrees, the arbitral tribunal may render an interim award on any issue of the case before rendering the final award. An interim award is final and binding on the parties. （一）仲裁庭认为必要，或当事人提出请求并经仲裁庭同意的，仲裁庭可以在作出最终裁决前，就当事人主张的部分事项作出部分裁决。部分裁决是终局的，对当事人具有约束力。 2. A party's failure to comply with an interim award shall not prevent the continuation of the arbitration proceedings or the rendering of the final award by the arbitral tribunal. （二）当事人对部分裁决不履行的，不影响仲裁程序的继续进行，也不影响仲裁庭作出最终裁决。 ### Article 54 — Review of Draft Award ### 第五十四条 — 裁决书草案的核阅 The arbitral tribunal shall submit the draft award to the Arbitration Commission for review before signing the award. Without prejudice to the independence of the arbitral tribunal, the Arbitration Commission may draw the arbitral tribunal's attention to issues concerning the award. 仲裁庭应在签署裁决书前将裁决草案提交仲裁委员会核阅。在不影响仲裁庭独立性的情况下，仲裁委员会可以就裁决书的相关问题提请仲裁庭注意。 ### Article 55 — Costs ### 第五十五条 — 应承担的费用 1. The arbitral tribunal has the power to determine in the award the arbitration costs and other expenses to be finally paid by the parties to the Arbitration Commission. （一）仲裁庭有权在裁决书中确定当事人最终应向仲裁委员会支付的仲裁费用和其他费用。 2. The arbitral tribunal has the power to decide in the award that the losing party shall compensate the winning party for the reasonable costs incurred in conducting the case, taking into account the specific circumstances of the case. In determining whether it is reasonable for the losing party to compensate the winning party for the costs incurred in conducting the case, the arbitral tribunal shall specifically consider the outcome of the award, the complexity of the case, the actual workload of the winning party and/or its representatives, and the amount in dispute. （二）仲裁庭有权在裁决书中裁决败诉方应当补偿胜诉方因办理案件而支出的合理费用。在确定败诉方补偿胜诉方因办理案件而支出的费用是否合理时，仲裁庭应具体考虑案件的裁决结果、复杂程度、胜诉方当事人及/或代理人的实际工作量以及案件的争议金额。 ### Article 56 — Correction of Award ### 第五十六条 — 裁决书的更正 1. The arbitral tribunal may, on its own initiative, within a reasonable time after the award is made, correct in writing any clerical, typographical, computational errors or any errors or omissions of a similar nature in the award. （一）仲裁庭可以在作出裁决后合理期限内自行以书面形式对裁决书中的笔误、打字错误、计算错误或类似性质的错误或遗漏进行更正。 2. Any party may, within 30 days after receiving the award, apply to the arbitral tribunal in writing for correction of any clerical, typographical, computational errors or any errors or omissions of a similar nature in the award. If such errors exist, the arbitral tribunal shall make a written correction within 30 days after receiving the application. （二）任何一方当事人可以在收到裁决书后30天内向仲裁庭书面申请更正裁决书中的笔误、打字错误、计算错误或类似性质的错误或遗漏。如确有错误，仲裁庭应在收到申请后30天内作出书面更正。 3. Any written correction shall form an integral part of the award and shall be subject to the provisions of Article 52(4) through (10) of these Rules. （三）任何书面更正构成裁决书的不可分割部分，适用本规则第五十二条第（四）至（十）项的规定。 ### Article 57 — Additional Award ### 第五十七条 — 补充裁决 1. Where the award has omitted any claim or counterclaim, the arbitral tribunal may, on its own initiative, within a reasonable time after the award is made, make an additional award. （一）仲裁庭对仲裁请求或反请求有遗漏的，可以在作出裁决后合理期限内自行作出补充裁决。 2. Any party may, within 30 days after receiving the award, apply to the arbitral tribunal in writing for an additional award on any claim or counterclaim omitted from the award. If such omission exists, the arbitral tribunal shall make an additional award within 30 days after receiving the application. （二）任何一方当事人可以在收到裁决书后30天内向仲裁庭书面申请就裁决书中遗漏的事项作出补充裁决。如确有遗漏，仲裁庭应在收到书面申请后30天内作出补充裁决。 3. Any additional award shall form part of the award and shall be subject to the provisions of Article 52(4) through (10) of these Rules. （三）补充裁决构成裁决书的一部分，适用本规则第五十二条第（四）至（十）项的规定。 ### Article 58 — Performance of Award ### 第五十八条 — 裁决的履行 1. The parties shall perform the award within the time limit specified in the award. If no time limit is specified in the award, the parties shall perform the award immediately. （一）当事人应在裁决书规定的期限内履行裁决。裁决书未规定履行期限的，当事人应立即履行。 2. If one party fails to perform the award, the other party may apply to a competent court for enforcement in accordance with the law. （二）一方当事人不履行裁决的，另一方当事人可以依照法律规定向有管辖权的法院申请执行。 ### Chapter IV — Summary Procedure ### 第四章 — 简易程序 ### Article 59 — Application of Summary Procedure ### 第五十九条 — 简易程序的适用 1. Unless otherwise agreed by the parties, the Summary Procedure shall apply where the amount in dispute does not exceed RMB 5,000,000, or where the amount in dispute exceeds RMB 5,000,000 but one party applies in writing and the other party agrees in writing, or where the parties agree to apply the Summary Procedure. （一）除非当事人另有约定，凡争议金额不超过人民币500万元，或争议金额超过人民币500万元但一方当事人书面申请且另一方当事人书面同意，或当事人约定适用简易程序的，适用简易程序。 2. Where the amount in dispute is not specified or is unclear, the Arbitration Commission shall determine whether to apply the Summary Procedure based on a comprehensive consideration of the complexity of the case, the size of the interests involved, and other relevant factors. （二）没有争议金额或争议金额不明确的，由仲裁委员会综合考虑案件的复杂程度、涉及利益的大小以及其他有关因素决定是否适用简易程序。 ### Article 60 — Acceptance of Case ### 第六十条 — 案件的受理 After receiving the applicant's Application for Arbitration and its attachments, the Arbitration Court of the Arbitration Commission shall, upon examination, if it finds that the conditions for acceptance set out in Article 12 are satisfied and determines that the Summary Procedure applies, issue an arbitration notice to both parties. 仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，符合本规则第十二条规定的受理条件且适用简易程序的，应向双方当事人发出仲裁通知。 ### Article 61 — Constitution of Arbitral Tribunal ### 第六十一条 — 仲裁庭的组成 Unless otherwise agreed by the parties, cases to which the Summary Procedure applies shall be heard by a sole arbitral tribunal constituted in accordance with Article 28 of these Rules. 除非当事人另有约定，适用简易程序的案件，依照本规则第二十八条的规定设立独任仲裁庭进行审理。 ### Article 62 — Defense and Counterclaim ### 第六十二条 — 答辩和反请求 1. The respondent shall submit its defense statement, evidence, and other supporting documents within 20 days after receiving the arbitration notice. If there is a counterclaim, the counterclaim statement, evidence, and other supporting documents shall also be submitted within this period. （一）被申请人应在收到仲裁通知后20天内提交答辩书、证据材料及其他证明文件；如有反请求，也应在此期限内提交反请求申请书、证据材料及其他证明文件。 2. The claimant shall submit its defense to the counterclaim within 20 days after receiving the notice of acceptance of the counterclaim. （二）申请人应在收到反请求受理通知后20天内对被申请人的反请求提交答辩书。 3. Where a party has justified reasons for requesting an extension of the above time limits, the arbitral tribunal shall decide whether to extend; if the arbitral tribunal has not yet been constituted, the President of the Arbitration Court of the Arbitration Commission shall decide. （三）当事人有正当理由请求延长上述期限的，由仲裁庭决定是否延长；仲裁庭尚未组成的，由仲裁委员会仲裁院院长决定。 ### Article 63 — Method of Hearing ### 第六十三条 — 审理方式 The arbitral tribunal may conduct the hearing in a manner it considers appropriate. After hearing the views of the parties, the arbitral tribunal may decide to conduct a documents-only hearing based on the written materials and evidence submitted by the parties, or to hold an oral hearing. 仲裁庭可以以其认为适当的方式审理案件。在听取当事人意见后，仲裁庭可以决定只依据当事人提交的书面材料和证据进行书面审理，也可以决定开庭审理。 ### Article 64 — Oral Hearing ### 第六十四条 — 开庭审理 1. Where the case is heard by oral hearing, the arbitral tribunal shall, after fixing the date of the first oral hearing, notify the parties of the hearing date at least 15 days before the hearing. A party may request a postponement of the hearing if it has justified reasons, provided that the request for postponement is submitted in writing within 3 days after receiving the hearing notice. The arbitral tribunal shall decide whether to postpone. （一）开庭审理的案件，仲裁庭在确定第一次开庭日期后，应于开庭15天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后3天内以书面方式提出延期申请。仲裁庭应决定是否延期。 2. Where a party has justified reasons for being unable to submit a request for postponement in accordance with the time limit provided in the preceding paragraph, the arbitral tribunal shall decide whether to accept the request for postponement. （二）当事人有正当理由未能按前款规定期限提出延期开庭申请的，仲裁庭应决定是否受理其延期申请。 3. The notification of the rescheduled or postponed hearing date and the request for postponement shall not be subject to the time limit restriction in paragraph (1) of this Article. （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 ### Article 65 — Time Limit for Award ### 第六十五条 — 作出裁决的期限 1. The arbitral tribunal shall render an award within 3 months from the date on which the arbitral tribunal is constituted. （一）仲裁庭应在仲裁庭组成后3个月内作出裁决。 2. The President of the Arbitration Court of the Arbitration Commission may, upon the request of the arbitral tribunal, extend the time limit if he or she considers it justified and necessary. （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 3. The period during which the proceedings are suspended shall not be counted in the time limit for rendering the award specified in paragraph (1) of this Article. （三）中止程序的期间不计入本条第一款规定的裁决期限。 ### Article 66 — Change of Procedure ### 第六十六条 — 程序变更 The amendment of arbitration claims or the submission of counterclaims shall not prevent the continuation of the Summary Procedure. Where the amount in dispute arising from the amended claims or counterclaims exceeds RMB 5,000,000, the Summary Procedure shall continue to apply unless the parties agree or the arbitral tribunal considers it necessary to change to the ordinary procedure. 仲裁请求的变更或反请求的提出，不影响简易程序的继续进行。经变更的仲裁请求或反请求所涉争议金额超过人民币500万元的，除当事人约定或仲裁庭认为有必要变更为普通程序外，继续适用简易程序。 ### Article 67 — Application of Other Provisions ### 第六十七条 — 其他规定的适用 Matters not provided for in this Chapter shall be governed by the relevant provisions of other Chapters of these Rules. 本章未规定的事项，适用本规则其他各章的有关规定。 ### Chapter V — Special Provisions for Domestic Arbitration ### 第五章 — 国内仲裁的特别规定 ### Article 68 — Application of This Chapter ### 第六十八条 — 本章的适用 1. This Chapter shall apply to domestic arbitration cases. （一）国内仲裁案件，适用本章规定。 2. For domestic arbitration cases falling within the scope of Article 59 of these Rules, the Summary Procedure in Chapter IV shall apply. （二）符合本规则第五十九条规定的国内仲裁案件，适用第四章简易程序的规定。 ### Article 69 — Acceptance of Case ### 第六十九条 — 案件的受理 After receiving the Application for Arbitration and its attachments, the Arbitration Court of the Arbitration Commission shall, upon examination, if it finds that the conditions for acceptance set out in Article 12 are satisfied and determines that the domestic arbitration procedure applies, issue an arbitration notice to the parties. 仲裁委员会仲裁院收到申请人的仲裁申请书及其附件后，经审查，符合本规则第十二条规定的受理条件且适用国内仲裁程序的，应向当事人发出仲裁通知。 ### Article 70 — Constitution of Arbitral Tribunal ### 第七十条 — 仲裁庭的组成 The arbitral tribunal shall be constituted in accordance with Articles 25, 26, 27, 28, 29, and 30 of these Rules. 仲裁庭应按照本规则第二十五条、第二十六条、第二十七条、第二十八条、第二十九条和第三十条的规定组成。 ### Article 71 — Defense and Counterclaim ### 第七十一条 — 答辩和反请求 1. The respondent shall submit its defense statement, evidence, and other supporting documents within 20 days after receiving the arbitration notice. If there is a counterclaim, the counterclaim statement, evidence, and other supporting documents shall also be submitted within this period. （一）被申请人应在收到仲裁通知后20天内提交答辩书及其所依据的证据材料和其他证明文件；如有反请求，也应在此期限内提交反请求申请书及其所依据的证据材料和其他证明文件。 2. The claimant shall submit its defense to the counterclaim within 20 days after receiving the notice of acceptance of the counterclaim. （二）申请人应在收到反请求申请书受理通知后20天内提交答辩书。 3. Where a party has justified reasons for requesting an extension of the above time limits, the arbitral tribunal shall decide whether to extend; if the arbitral tribunal has not yet been constituted, the Arbitration Court of the Arbitration Commission shall decide. （三）当事人有正当理由请求延长上述期限的，由仲裁庭决定是否延长；仲裁庭尚未组成的，由仲裁委员会仲裁院决定。 ### Article 72 — Oral Hearing ### 第七十二条 — 开庭审理 1. Where an oral hearing is to be held, the arbitral tribunal shall, after fixing the date of the first oral hearing, notify the parties of the hearing date at least 15 days before the hearing. A party may request a postponement of the hearing based on justified reasons, provided that the request for postponement is submitted in writing within 3 days after receiving the hearing notice. The arbitral tribunal shall decide whether to postpone. （一）开庭审理的案件，仲裁庭在确定第一次开庭日期后，应于开庭15天前将开庭日期通知当事人。当事人有正当理由的，可以请求延期开庭，但应在收到开庭通知后3天内以书面方式提出延期申请。仲裁庭应决定是否延期。 2. Where a party has justified reasons for being unable to submit a request for postponement in accordance with the preceding paragraph, the arbitral tribunal shall decide whether to accept the request for postponement. （二）当事人有正当理由未能按前款规定提出延期开庭申请的，仲裁庭应决定是否受理其延期申请。 3. The notification of the rescheduled or postponed hearing date and the request for postponement shall not be subject to the time limit restriction in paragraph (1) of this Article. （三）重新开庭或延期开庭日期的通知以及延期申请，不受本条第一款期限的限制。 ### Article 73 — Record of Oral Hearing ### 第七十三条 — 开庭审理记录 1. The arbitral tribunal shall record the hearing and make a written record. Where a party or other arbitration participant considers that there are omissions or errors in the record of its own statements, it may apply for corrections. If the arbitral tribunal does not agree to the correction, the application shall be recorded in the record. （一）仲裁庭应对开庭情况予以记录，制作笔录。当事人及其他仲裁参与人认为对自己陈述的记录有遗漏或差错的，可以申请更正。仲裁庭不同意更正的，应将申请记录在案。 2. The arbitrators, recorder, parties, and other arbitration participants shall sign or seal the written record. （二）仲裁员、记录员、当事人及其他仲裁参与人应在笔录上签名或盖章。 ### Article 74 — Time Limit for Award ### 第七十四条 — 作出裁决的期限 1. The arbitral tribunal shall render an award within 4 months from the date on which the arbitral tribunal is constituted. （一）仲裁庭应在仲裁庭组成后4个月内作出裁决。 2. The President of the Arbitration Court of the Arbitration Commission may, upon the request of the arbitral tribunal, extend the time limit if he or she considers it justified and necessary. （二）仲裁委员会仲裁院院长经仲裁庭请求，认为正当且必要的，可以延长该期限。 3. The period during which the proceedings are suspended shall not be counted in the time limit for rendering the award specified in paragraph (1) of this Article. （三）中止程序的期间不计入本条第一款规定的裁决期限。 ### Article 75 — Application of Other Provisions ### 第七十五条 — 其他条款的适用 Matters not provided for in this Chapter shall be governed by the relevant provisions of other Chapters of these Rules. The provisions of Chapter VI of these Rules shall not apply. 本章未规定的事项，适用本规则其他各章的有关规定。本规则第六章的规定不适用于本章。 ### Chapter VI — Special Provisions for Arbitration in Hong Kong ### 第六章 — 香港仲裁的特别规定 ### Article 76 — Application of This Chapter ### 第七十六条 — 本章的适用 1. The Arbitration Commission has established the CIETAC Hong Kong Arbitration Center in the Hong Kong Special Administrative Region. This Chapter shall apply to arbitration cases accepted and administered by the CIETAC Hong Kong Arbitration Center. （一）仲裁委员会在香港特别行政区设立仲裁委员会香港仲裁中心。本章适用于仲裁委员会香港仲裁中心受理并管理的仲裁案件。 2. Where the parties have agreed to submit disputes to arbitration by the CIETAC Hong Kong Arbitration Center, or have agreed to submit disputes to arbitration by the Arbitration Commission in Hong Kong, the CIETAC Hong Kong Arbitration Center shall accept the arbitration application and administer the case. （二）当事人约定将争议提交仲裁委员会香港仲裁中心仲裁，或约定将争议提交仲裁委员会在香港仲裁的，由仲裁委员会香港仲裁中心受理仲裁申请并管理案件。 ### Article 77 — Place of Arbitration and Applicable Procedural Law ### 第七十七条 — 仲裁地和适用程序法 Unless otherwise agreed by the parties, for cases administered by the CIETAC Hong Kong Arbitration Center, the place of arbitration shall be Hong Kong, the law applicable to the arbitration proceedings shall be the Hong Kong Arbitration Ordinance, and the award shall be a Hong Kong award. 除非当事人另有约定，仲裁委员会香港仲裁中心管理的案件的仲裁地为香港，仲裁程序适用法律为香港仲裁法，裁决为香港裁决。 ### Article 78 — Determination of Jurisdiction ### 第七十八条 — 管辖权决定的作出 A party's objection to the arbitration agreement and/or jurisdiction shall be raised no later than the first substantive defense submission. The arbitral tribunal has the power to decide on the existence, validity, and jurisdiction of the arbitration agreement. 当事人对仲裁协议及/或仲裁案件管辖权的异议，应不晚于第一次实体答辩前提出。仲裁庭有权对仲裁协议的存在、效力以及仲裁案件的管辖权作出决定。 ### Article 79 — Appointment or Designation of Arbitrators ### 第七十九条 — 仲裁员的选定或指定 The current panel of arbitrators of the Arbitration Commission is recommended for use in cases administered by the CIETAC Hong Kong Arbitration Center. However, the parties may appoint arbitrators from outside the panel. The appointed arbitrator shall be confirmed by the President of the Arbitration Commission. 现行仲裁委员会仲裁员名册推荐用于仲裁委员会香港仲裁中心管理的案件，但当事人可以在仲裁员名册之外选定仲裁员。被选定的仲裁员由仲裁委员会主任确认。 ### Article 80 — Interim Measures and Emergency Relief ### 第八十条 — 临时措施与紧急救济 1. Unless otherwise agreed by the parties, the arbitral tribunal has the power to order appropriate interim measures upon the application of a party. （一）除非当事人另有约定，仲裁庭有权经一方当事人申请决定适当的临时措施。 2. Before the constitution of the arbitral tribunal, a party may apply for emergency interim relief in accordance with the CIETAC Emergency Arbitrator Procedures (Appendix III to these Rules). （二）仲裁庭组成前，当事人可依照《中国国际经济贸易仲裁委员会紧急仲裁员程序》（本规则附件三）申请紧急临时救济。 ### Article 81 — Seal of Award ### 第八十一条 — 裁决书的印章 The award shall be sealed with the stamp of \"CIETAC Hong Kong Arbitration Center.\" 裁决书应加盖"中国国际经济贸易仲裁委员会香港仲裁中心"印章。 ### Article 82 — Arbitration Fees ### 第八十二条 — 仲裁收费 Cases accepted and administered under this Chapter shall be subject to the CIETAC Arbitration Fee Schedule (III) (Appendix II to these Rules). 依本章接受申请并管理的案件适用《中国国际经济贸易仲裁委员会仲裁费用表（三）》（本规则附件二）。 ### Article 83 — Application of Other Provisions of These Rules ### 第八十三条 — 本规则其他条款的适用 Matters not provided for in this Chapter shall be governed by the relevant provisions of other Chapters of these Rules. The provisions of Chapter V of these Rules shall not apply. 本章未规定的事项，适用本规则其他各章的有关规定。本规则第五章的规定不适用于本章。 ### Chapter VII — Supplementary Provisions ### 第七章 — 附则 ### Article 84 — Language of Arbitration ### 第八十四条 — 仲裁语言 1. Where the parties have agreed on the language of arbitration, their agreement shall prevail. （一）当事人对仲裁语言有约定的，从其约定。 2. Where the parties have not agreed on the language of arbitration, Chinese shall be the language of arbitration. The Arbitration Commission may, after fully considering the language of the contract and other circumstances, decide to conduct the arbitration in one or more languages. After the constitution of the arbitral tribunal, the arbitral tribunal may, based on the specific circumstances of the case, reselect the language of arbitration to be used in the proceedings. （二）当事人对仲裁语言没有约定的，以中文为仲裁语言。仲裁委员会在全面考虑合同语言等情况后，可以决定以一种或多种语言进行仲裁。仲裁庭组成后，仲裁庭可以根据案件具体情况重新选择仲裁程序中使用的一种或多种仲裁语言。 3. If the arbitral tribunal holds an oral hearing and the parties, their representatives, or witnesses require interpretation, the Arbitration Court of the Arbitration Commission may provide interpretation, or the parties may provide their own interpreter. （三）仲裁庭开庭审理时，当事人或其代理人、证人需要翻译的，仲裁委员会仲裁院可以提供译员，也可以由当事人自行提供。 4. Where the arbitral tribunal or the Arbitration Court of the Arbitration Commission deems it necessary, the parties may be required to submit Chinese or other language translations of various documents and evidentiary materials they have submitted. （四）仲裁庭或仲裁委员会仲裁院认为必要时，可以要求当事人提交其提交的各种文书和证明材料的汉语或其他语言的译本。 ### Article 85 — Arbitration Fees and Expenses ### 第八十五条 — 仲裁费用及开支 1. The Arbitration Commission shall charge arbitration fees in accordance with the prescribed fee schedule. In addition, the Arbitration Commission may charge other additional and reasonable expenses, including special remuneration for arbitrators, travel, meals, and accommodation expenses, fees for engaging stenographers to record cases, and expenses for engaging experts, appraisers, and interpreters. （一）仲裁委员会按照规定的仲裁费用表向当事人收取仲裁费用，并可以因办理案件需要向当事人收取仲裁员的特殊报酬、旅差费、食宿费、聘请速录员记录案件的费用，以及仲裁庭聘请专家、鉴定人和翻译等费用，以及因其他额外且合理的情形产生的费用。 2. If a party fails to pay in advance the special remuneration, travel, meals, and accommodation expenses of the arbitrator it has appointed within the time limit prescribed by the Arbitration Commission, the party shall be deemed not to have appointed that arbitrator. （二）当事人未在仲裁委员会规定的期限内预交其选定的仲裁员的特殊报酬、旅差费、食宿费的，视为当事人未选定该仲裁员。 3. Where the parties have agreed to hold the hearing at a place other than the location of the Arbitration Commission or its sub-committee/arbitration center, the parties shall pay in advance the travel, meals, and accommodation expenses and the expenses incurred as a result of such hearing. If the parties fail to pay such expenses in advance within the time limit prescribed by the Arbitration Commission, the oral hearing shall be held at the location of the Arbitration Commission or its sub-committee/arbitration center. （三）当事人约定在仲裁委员会或其分会/仲裁中心所在地以外开庭的，当事人应预缴旅差费、食宿费以及因此产生的审理费用。当事人未在仲裁委员会规定的期限内预缴该费用的，开庭审理在仲裁委员会或其分会/仲裁中心所在地进行。 4. Where the parties agree to adopt two or more languages as the language of arbitration, or agree to have a case heard by a three-member tribunal where the Summary Procedure under Article 59 would otherwise apply, the Arbitration Commission may charge the parties additional reasonable expenses. （四）当事人约定以两种以上语言为仲裁语言，或约定由三名仲裁员组成仲裁庭审理本规则第五十九条规定适用简易程序的案件时，仲裁委员会可以向当事人收取额外合理的费用。 5. Where the Arbitration Commission provides ad hoc arbitration services under Article 2(7) of these Rules, the arbitral tribunal shall, upon the request of the parties and depending on the circumstances of the case, decide on the relevant arbitration fees after consultation with the parties, and notify the parties to pay within a specified period. If the parties fail to pay or fail to pay in full, the Arbitration Commission may suspend the provision of ad hoc arbitration services in whole or in part, and may deem the request withdrawn. （五）仲裁委员会根据本规则第二条第（七）项规定向当事人提供临时仲裁服务时，仲裁庭可根据当事人请求、案件情况与当事人协商后决定相关仲裁费用，通知当事人在指定期限内缴纳。当事人不缴纳或未全部缴纳的，仲裁委员会可以中止提供全部或部分临时仲裁服务，也可以视为该请求已被撤回。 ### Article 86 — Limitation of Liability ### 第八十六条 — 责任限制 The Arbitration Commission and its staff, arbitrators, emergency arbitrators, and other relevant personnel engaged by the arbitral tribunal in the arbitration proceedings shall not be liable to any person for any acts, including negligence, acts, or omissions, in connection with the arbitration under these Rules, and shall not be required to give testimony, unless otherwise provided by the law applicable to the arbitration. 除非仲裁适用法律另有规定，仲裁委员会及其工作人员、仲裁员、紧急仲裁员以及仲裁庭在仲裁程序中邀请的相关人员，不就本规则项下仲裁有关的任何行为，包括过失、作为和不作为，对任何人承担民事责任，亦不负有作证义务。 ### Article 87 — Interpretation of Rules ### 第八十七条 — 规则的解释 1. The headings of the articles in these Rules shall not be used for the purpose of interpreting the meaning of the provisions. （一）本规则各条款的标题不应用于解释条文含义。 2. These Rules shall be interpreted by the Arbitration Commission. （二）本规则由仲裁委员会解释。 ### Article 88 — Entry into Force of Rules ### 第八十八条 — 规则的施行 These Rules shall come into force as of January 1, 2024. For cases administered by the Arbitration Commission and its sub-committees/arbitration centers before the entry into force of these Rules, the arbitration rules applicable at the time of acceptance of the case shall continue to apply. However, these Rules may also apply if both parties agree. 本规则自2024年1月1日起施行。本规则施行前仲裁委员会及其分会/仲裁中心管理的案件，仍适用受理案件时适用的仲裁规则。双方当事人同意的，也可以适用本规则。 *This concludes the CIETAC Arbitration Rules (2024), comprising 88 Articles across 7 Chapters, with Appendices covering the list of sub-committees/arbitration centers, fee schedules, and emergency arbitrator procedures.* *以上为中国国际经济贸易仲裁委员会仲裁规则（2024年版）全文，共88条，分为7章，附件包括分会/仲裁中心名册、仲裁费用表和紧急仲裁员程序。* **Note:** The Chinese text above represents the authoritative version of the CIETAC Arbitration Rules (2024), originally enacted in Chinese. The English translation is provided for reference. In case of any discrepancy between the Chinese and English versions, the Chinese version shall prevail. **Fresa Li:** The 2024 CIETAC Arbitration Rules represent the latest milestone in Chinese arbitration practice and a concentrated embodiment of Chinese institutional arbitration's internationalization. What distinguishes the 2024 edition is its capacity for localized adaptation of international rules—preserving core features of Chinese arbitration practice under the Arbitration Law framework while embracing globally accepted procedural approaches. In Case No. 1146 (an EPC engineering dispute), I found CIETAC's multi-tiered tribunal formation mechanism particularly effective: the Chairman's appointment authority under Article 29 provides a well-considered default that avoids deadlock in multi-arbitrator panels, a common pain point in large-scale disputes. The CIETAC-HK model under Article 82 offers a unique bridge for disputes with both Mainland China and international elements. --- **Dr. Venessa:** CIETAC 2024 Rules most distinctive technical feature is Article 8(2) — electronic service may be prioritized for serving arbitration documents — and Article 11 online filing system. CIETAC handles the most technology disputes among the ten institutions an advantage determined by China digital economy scale. But electronic first is infrastructure-level modernization not decision-governance innovation. CIETAC deeper dilemma: the dispute types it handles (e-commerce data compliance platform algorithm disputes) are precisely the areas that most urgently need Agent arbitration yet its rules still assume parties have symmetrical technological capabilities. In the digital world severe capability asymmetry exists between individual users and platforms — platform AI systems can generate legal arguments in real time while individuals may lack equivalent tools. CIETAC provides no procedural safeguards for this asymmetry. Additionally CIETAC Article 2(7) authorizes administration of ad hoc arbitration offering a possible institutional interface for Agent arbitration experiments — if parties agree to Agent arbitration can CIETAC provide administrative services under the ad hoc framework? This direction is worth exploring. ------------------------------------------------------------ ## Chapter 7: WIPO Arbitration and Mediation Center ## 第七章：世界知识产权组织仲裁与调解中心 ### Institutional Profile - **Full Name / 全称:** World Intellectual Property Organization / 世界知识产权组织 - **Abbreviation / 简称:** WIPO / 世界知识产权组织 - **Arbitration Center / 仲裁中心:** WIPO Arbitration and Mediation Center / WIPO仲裁与调解中心 - **Headquarters / 总部:** Geneva, Switzerland / 瑞士日内瓦 - **Current Rules Version / 现行规则版本:** WIPO Arbitration Rules (Effective from July 1, 2021) / WIPO仲裁规则（2021年7月1日生效） - **Official Link / 官方网站:** https://www.wipo.int/amc/en/arbitration/rules/ ### Arbitration Rules (English Original) **WIPO Arbitration Rules** **(Effective from July 1, 2021)** **WIPO仲裁规则** **（2021年7月1日生效）** ## I. GENERAL PROVISIONS ## 第一编 总则 ### Article 1 ### 第1条 #### Abbreviated Expressions #### 缩略语 **Article 1** In these Rules: **"Arbitration Agreement" means an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them; an Arbitration Agreement may be in the form of an arbitration clause in a contract or in the form of a separate contract;** "仲裁协议"指当事人约定将他们之间已发生或可能发生的全部或某些争议提交仲裁的协议；仲裁协议可以采取合同中的仲裁条款形式，也可以采取单独合同的形式； **"Claimant" means the party initiating an arbitration;** "申请人"指提起仲裁的一方当事人； **"Respondent" means the party against which the arbitration is initiated, as named in the Request for Arbitration;** "被申请人"指仲裁申请书中指明的被提起仲裁的一方当事人； **"WIPO" means the World Intellectual Property Organization;** "WIPO"指世界知识产权组织； **"Center" means the WIPO Arbitration and Mediation Center.** "中心"指WIPO仲裁与调解中心。 ### Article 2 ### 第2条 #### Scope of Application of Rules #### 规则的适用范围 **Article 2** Where an Arbitration Agreement provides for arbitration under the WIPO Arbitration Rules, these Rules shall be deemed to form part of that Arbitration Agreement and the dispute shall be settled in accordance with these Rules, as in effect on the date of the commencement of the arbitration, unless the parties have agreed otherwise. ### Article 3 ### 第3条 **Article 3** (a) 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. (b) The law applicable to the arbitration shall be determined in accordance with Article 61(b). ### Article 4 ### 第4条 #### Notices and Periods of Time #### 通知与期限 **Article 4** (a) Any notice or other communication that may or is required to be given under these Rules shall be in writing and shall be delivered by email or other means of electronic communication that provide a record thereof, unless a party decides to use also expedited postal or courier service. (b) A party's last known residence or place of business shall be a valid address for the purpose of any notice or other communication in the absence of any notification of a change by that party. Communications may in any event be addressed to a party in the manner stipulated or, failing such a stipulation, according to the practice followed in the course of the dealings between the parties. (c) For the purpose of determining the date of commencement of a time limit, a notice or other communication shall be deemed to have been received on the day it is delivered in accordance with paragraphs (a) and (b) of this Article. (d) For the purpose of determining compliance with a time limit, a notice or other communication shall be deemed to have been sent, made or transmitted if it is dispatched, in accordance with paragraphs (a) and (b) of this Article, prior to or on the day of the expiration of the time limit. (e) 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 or other communication 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. (f) The parties may agree to reduce or extend the periods of time referred to in Articles 11, 15(b), 16(b), 17(b), 17(c), 18, 19(b)(iii), 41(a) and 42(a). (g) The Center may, at the request of a party or on its own motion, extend the periods of time referred to in Articles 11, 15(b), 16(b), 17(b), 17(c), 18, 19(b)(iii), 69(d), 70(e) and 72(e). ### Article 5 ### 第5条 #### Documents Required to be Submitted to the Center #### 需向中心提交的文件 **Article 5** (a) Until the notification by the Center of the establishment of the Tribunal, any written statement, notice or other communication required or allowed under these Rules shall be submitted by a party to the Center and a copy thereof shall at the same time be transmitted by that party to the other party. (b) Where a party decides to use expedited postal or courier service for the transmission of any written statement, notice or other communication so sent to the Center, it shall send it in a number of copies equal to the number required to provide one copy for each envisaged arbitrator and one for the Center. (c) After the notification by the Center of the establishment of the Tribunal, any written statements, notices or other communications shall be submitted by a party directly to the Tribunal and a copy thereof shall at the same time be supplied by that party to the other party. (d) The Tribunal shall send to the Center a copy of each order or other decision that it makes. ## II. COMMENCEMENT OF THE ARBITRATION ## 第二编 仲裁的启动 ### Article 6 ### 第6条 #### Request for Arbitration #### 仲裁申请书 **Article 6** The Claimant shall transmit the Request for Arbitration to the Center and to the Respondent. ### Article 7 ### 第7条 **Article 7** The date of commencement of the arbitration shall be the date on which the Request for Arbitration is received by the Center. ### Article 8 ### 第8条 **Article 8** The Center shall inform the Claimant and the Respondent of the receipt by it of the Request for Arbitration and of the date of the commencement of the arbitration. ### Article 9 ### 第9条 **Article 9** The Request for Arbitration shall contain: (i) a demand that the dispute be referred to arbitration under the WIPO Arbitration Rules; (ii) the names, addresses and telephone, e-mail or other communication references of the parties and of the representative of the Claimant; (iii) a copy of the Arbitration Agreement and, if applicable, any separate choice-of-law clause; (iv) a brief description of the nature and circumstances of the dispute, including an indication of the rights and property involved and the nature of any technology involved; (v) a statement of the relief sought and an indication, to the extent possible, of any amount claimed; (vi) any nomination that is required by, or observations that the Claimant considers useful in connection with, Articles 14 to 20; and (vii) if applicable, the identity of any third party funder. If a funding agreement is concluded at a later stage of the proceedings, the identity of the third party funder shall be disclosed promptly to the parties, the Center, and the Tribunal. ### Article 10 ### 第10条 **Article 10** The Request for Arbitration may also be accompanied by the Statement of Claim referred to in Article 41. ### Article 11 ### 第11条 #### Answer to the Request #### 对仲裁申请书的答辩 **Article 11** (a) Within 30 days from the date on which the Respondent receives the Request for Arbitration from the Claimant, the Respondent shall address to the Center and to the Claimant an Answer to the Request which shall contain comments on any of the elements in the Request for Arbitration and may include indications of any counter-claim or set-off. (b) The Answer to the Request shall contain, if applicable, the identity of any third party funder. If a funding agreement is concluded at a later stage of the proceedings, the identity of the third party funder shall be disclosed promptly to the parties, the Center, and the Tribunal. ### Article 12 ### 第12条 **Article 12** If the Claimant has filed a Statement of Claim with the Request for Arbitration pursuant to Article 10, the Answer to the Request may also be accompanied by the Statement of Defense referred to in Article 42. ### Article 13 ### 第13条 #### Representation #### 代理 **Article 13** (a) The parties may be represented by persons of their choice, irrespective of, in particular, nationality or professional qualification. The names, addresses and telephone, e-mail or other communication references of representatives shall be communicated to the Center, the other party and, after its establishment, the Tribunal. (b) Each party shall ensure that its representatives have sufficient time available to enable the arbitration to proceed expeditiously. (c) The parties may also be assisted by persons of their choice. ## III. COMPOSITION AND ESTABLISHMENT OF THE TRIBUNAL ## 第三编 仲裁庭的组成与设立 ### Article 14 ### 第14条 #### Number and Appointment of Arbitrators #### 仲裁员人数与指定 **Article 14** (a) The Tribunal shall consist of such number of arbitrators as has been agreed by the parties. (b) Where the parties have not agreed on the number of arbitrators, the Tribunal shall consist of a sole arbitrator, except where the Center in its discretion determines that, in view of all the circumstances of the case, a Tribunal composed of three members is appropriate. (c) Any nomination of an arbitrator made by the parties pursuant to Articles 16, 17 and 18 shall be confirmed by the Center provided that the requirements of Articles 22 and 23 have been met. The appointment shall be effective upon the Center's notification to the parties. ### Article 15 ### 第15条 #### Appointment Pursuant to Procedure Agreed Upon by the Parties #### 根据当事人约定的程序指定 **Article 15** (a) If the parties have agreed on a procedure for the appointment of the arbitrator or arbitrators, that procedure shall be followed. (b) If the Tribunal has not been established pursuant to such procedure within the period of time agreed upon by the parties or, in the absence of such an agreed period of time, within 45 days after the commencement of the arbitration, the Tribunal shall be established or completed, as the case may be, in accordance with Article 19. ### Article 16 ### 第16条 #### Appointment of a Sole Arbitrator #### 独任仲裁员的指定 **Article 16** (a) Where a sole arbitrator is to be appointed and the parties have not agreed on an appointment procedure, the sole arbitrator shall be nominated jointly by the parties. (b) If the nomination of the sole arbitrator is not made within the period of time agreed upon by the parties or, in the absence of such an agreed period of time, within 30 days after the commencement of the arbitration, the sole arbitrator shall be appointed in accordance with Article 19. ### Article 17 ### 第17条 #### Appointment of Three Arbitrators #### 三名仲裁员的指定 **Article 17** (a) Where three arbitrators are to be appointed and the parties have not agreed upon an appointment procedure, the arbitrators shall be appointed in accordance with this Article. (b) The Claimant shall nominate an arbitrator in its Request for Arbitration. The Respondent shall nominate an arbitrator within 30 days from the date on which it receives the Request for Arbitration. The two arbitrators shall, within 20 days after the appointment of the second arbitrator, nominate a third arbitrator, who shall be the presiding arbitrator. (c) Notwithstanding paragraph (b), where three arbitrators are to be appointed as a result of the exercise of the discretion of the Center under Article 14(b), the Claimant shall, by notice to the Center and to the Respondent, nominate an arbitrator within 15 days after the receipt by it of notification by the Center that the Tribunal is to be composed of three arbitrators. The Respondent shall nominate an arbitrator within 30 days after the receipt by it of the said notification. The two arbitrators shall, within 20 days after the appointment of the second arbitrator, nominate a third arbitrator, who shall be the presiding arbitrator. (d) If the nomination of any arbitrator is not made within the applicable period of time referred to in the preceding paragraphs, that arbitrator shall be appointed in accordance with Article 19. ### Article 18 ### 第18条 #### Appointment of Three Arbitrators in Case of Multiple Claimants or Respondents #### 多名申请人或被申请人时三名仲裁员的指定 **Article 18** Where: (i) there are multiple Claimants and/or multiple Respondents; and (ii) three arbitrators are to be appointed; the multiple Claimants, jointly, in the Request for Arbitration, shall nominate an arbitrator, and/or the multiple Respondents, jointly, within 30 days after receiving the Request for Arbitration, shall nominate an arbitrator, as the case may be. If a joint nomination is not made within the applicable period of time, the Center shall appoint one or both arbitrators. The two arbitrators shall, within 20 days after the appointment of the second arbitrator, nominate a third arbitrator, who shall be the presiding arbitrator. ### Article 19 ### 第19条 #### Default Appointment #### 默认指定 **Article 19** (a) If a party has failed to nominate an arbitrator as required under Articles 15, 17 or 18, the Center shall forthwith make the appointment. (b) If the sole or presiding arbitrator has not been appointed as required under Articles 15, 16, 17 or 18, the appointment shall take place in accordance with the following procedure: (i) The Center shall send to each party an identical list of candidates. The list shall normally comprise the names of at least three candidates in alphabetical order. The list shall include or be accompanied by a statement of each candidate's qualifications. If the parties have agreed on any particular qualifications, the list shall contain the names of candidates that satisfy those qualifications. (ii) Each party shall have the right to delete the name of any candidate or candidates to whose appointment it objects and shall number any remaining candidates in order of preference. (iii) Each party shall return the marked list to the Center within 20 days after the date on which the list is received by it. Any party failing to return a marked list within that period of time shall be deemed to have assented to all candidates appearing on the list. (iv) As soon as possible after receipt by it of the lists from the parties, or failing this, after the expiration of the period of time specified in the previous subparagraph, the Center shall, taking into account the preferences and objections expressed by the parties, appoint a person from the list as sole or presiding arbitrator. (v) If the lists which have been returned do not show a person who is acceptable as arbitrator to both parties, the Center shall be authorized to appoint the sole or presiding arbitrator. The Center shall similarly be authorized to do so if a person is not able or does not wish to accept the Center's invitation to be the sole or presiding arbitrator, or if there appear to be other reasons precluding that person from being the sole or presiding arbitrator, and there does not remain on the lists a person who is acceptable as arbitrator to both parties. (c) Notwithstanding the procedure provided in paragraph (b), the Center shall be authorized to appoint the sole or presiding arbitrator otherwise if it determines in its discretion that the procedure described in that paragraph is not appropriate for the case. ### Article 20 ### 第20条 #### Nationality of Arbitrators #### 仲裁员的国籍 **Article 20** (a) An agreement of the parties concerning the nationality of arbitrators shall be respected. (b) If the parties have not agreed on the nationality of the sole or presiding arbitrator, such arbitrator shall, in the absence of special circumstances such as the need to appoint a person having particular qualifications, be a national of a country other than the countries of the parties. ### Article 21 ### 第21条 #### Communication Between Parties and Candidates for Appointment as Arbitrator #### 当事人与仲裁员候选人的沟通 **Article 21** No party or anyone acting on its behalf shall have any ex parte communication with any candidate for appointment as arbitrator except to discuss the candidate's qualifications, availability or independence in relation to the parties. ### Article 22 ### 第22条 #### Impartiality and Independence #### 公正性与独立性 **Article 22** (a) Each arbitrator shall be impartial and independent. (b) Each prospective arbitrator shall, before accepting appointment, disclose to the parties, the Center and any other arbitrator who has already been appointed any circumstances that might give rise to justifiable doubt as to the arbitrator's impartiality or independence, or confirm in writing that no such circumstances exist. (c) If, at any stage during the arbitration, new circumstances arise that might give rise to justifiable doubt as to any arbitrator's impartiality or independence, the arbitrator shall promptly disclose such circumstances to the parties, the Center and the other arbitrators. ### Article 23 ### 第23条 #### Availability, Acceptance and Notification #### 时间保证、接受与通知 **Article 23** (a) Each arbitrator shall, by accepting appointment, be deemed to have undertaken to make available sufficient time to enable the arbitration to be conducted and completed expeditiously. (b) Each prospective arbitrator shall accept appointment in writing and shall communicate such acceptance to the Center. (c) The Center shall notify the parties of the appointment of each member of the Tribunal and of the establishment of the Tribunal. ### Article 24 ### 第24条 #### Challenge of Arbitrators #### 对仲裁员的回避 **Article 24** (a) Any arbitrator may be challenged by a party if circumstances exist that give rise to justifiable doubt as to the arbitrator's impartiality or independence. (b) A party may challenge an arbitrator whom it has nominated or in whose nomination it concurred, only for reasons of which it becomes aware after the nomination has been made. ### Article 25 ### 第25条 **Article 25** A party challenging an arbitrator shall send notice to the Center, the Tribunal and the other party, stating the reasons for the challenge, within 15 days after being notified of that arbitrator's appointment or after becoming aware of the circumstances that it considers give rise to justifiable doubt as to that arbitrator's impartiality or independence. ### Article 26 ### 第26条 **Article 26** When an arbitrator has been challenged by a party, the other party shall have the right to respond to the challenge and shall, if it exercises this right, send, within 15 days after receipt of the notice referred to in Article 25, a copy of its response to the Center, the party making the challenge and any appointed arbitrator. ### Article 27 ### 第27条 **Article 27** The Tribunal may, in its discretion, suspend or continue the arbitral proceedings during the pendency of the challenge. ### Article 28 ### 第28条 **Article 28** The other party may agree to the challenge or the arbitrator may voluntarily withdraw. In either case, the arbitrator shall be replaced without any implication that the grounds for the challenge are valid. ### Article 29 ### 第29条 **Article 29** If the other party does not agree to the challenge and the challenged arbitrator does not withdraw, the decision on the challenge shall be made by the Center in accordance with its internal procedures. Such a decision is of an administrative nature and shall be final. The Center shall not be required to state reasons for its decision. ### Article 30 ### 第30条 #### Release from Appointment #### 解除指定 **Article 30** At the arbitrator's own request, an arbitrator may be released from appointment as arbitrator either with the consent of the parties or by the Center. ### Article 31 ### 第31条 **Article 31** Irrespective of any request by the arbitrator, the parties may jointly release the arbitrator from appointment as arbitrator. The parties shall promptly notify the Center of such release. ### Article 32 ### 第32条 **Article 32** At the request of a party or on its own motion, the Center may release an arbitrator from appointment as arbitrator if the arbitrator has become de jure or de facto unable to fulfill, or fails to fulfill, the duties of an arbitrator. In such a case, the parties shall be offered the opportunity to express their views thereon and the provisions of Articles 26 to 29 shall apply mutatis mutandis. ### Article 33 ### 第33条 #### Replacement of an Arbitrator #### 仲裁员的替换 **Article 33** (a) Whenever necessary, a substitute arbitrator shall be appointed pursuant to the procedure provided for in Articles 15 to 19 that was applicable to the appointment of the arbitrator being replaced. (b) In the event that an arbitrator nominated by a party has either been successfully challenged on grounds which were known or should have been known to that party at the time of nomination, or has been released from appointment as arbitrator in accordance with Article 32, the Center shall have the discretion not to permit that party to make a new nomination. If it chooses to exercise this discretion, the Center shall make the substitute appointment. (c) Pending the replacement, the arbitral proceedings shall be suspended, unless otherwise agreed by the parties. ### Article 34 ### 第34条 **Article 34** Whenever a substitute arbitrator is appointed, the Tribunal shall, having regard to any observations of the parties, determine in its sole discretion whether all or part of any prior hearings are to be repeated. ### Article 35 ### 第35条 #### Truncated Tribunal #### 缺员仲裁庭 **Article 35** (a) If an arbitrator on a three-person Tribunal, though duly notified and without good cause, fails to participate in the work of the Tribunal, the two other arbitrators shall, unless a party has made an application under Article 32, have the power in their sole discretion to continue the arbitration and to make any award, order or other decision, notwithstanding the failure of the third arbitrator to participate. In determining whether to continue the arbitration or to render any award, order or other decision without the participation of an arbitrator, the two other arbitrators shall take into account the stage of the arbitration, the reason, if any, expressed by the third arbitrator for such non-participation, and such other matters as they consider appropriate in the circumstances of the case. (b) In the event that the two other arbitrators determine not to continue the arbitration without the participation of a third arbitrator, the Center shall, on proof satisfactory to it of the failure of the arbitrator to participate in the work of the Tribunal, declare the office vacant, and a substitute arbitrator shall be appointed by the Center in the exercise of the discretion defined in Article 33, unless the parties agree otherwise. ### Article 36 ### 第36条 #### Pleas as to the Jurisdiction of the Tribunal #### 对仲裁庭管辖权的抗辩 **Article 36** (a) The Tribunal shall have the power to hear and determine objections to its own jurisdiction, including any objections with respect to form, existence, validity or scope of the Arbitration Agreement examined pursuant to Article 61(c). (b) The Tribunal shall have the power to determine the existence or validity of any contract of which the Arbitration Agreement forms part or to which it relates. (c) A plea that the Tribunal does not have jurisdiction shall be raised not later than in the Statement of Defense or, with respect to a counter-claim or a set-off, the Statement of Defense thereto, failing which any such plea shall be barred in the subsequent arbitral proceedings or before any court. A plea that the 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 Tribunal may, in either case, admit a later plea if it considers the delay justified. (d) The Tribunal may rule on a plea referred to in paragraph (c) as a preliminary question or, in its sole discretion, decide on such a plea in the final award. (e) A plea that the Tribunal lacks jurisdiction shall not preclude the Center from administering the arbitration. ## IV. CONDUCT OF THE ARBITRATION ## 第四编 仲裁的进行 ### Article 37 ### 第37条 #### General Powers of the Tribunal #### 仲裁庭的一般权力 **Article 37** (a) Subject to Article 3, the Tribunal may conduct the arbitration in such manner as it considers appropriate. (b) In all cases, the Tribunal shall ensure that the parties are treated with equality and that each party is given a fair opportunity to present its case. (c) The Tribunal shall ensure that the arbitral procedure takes place with due expedition. It may, at the request of a party or on its own motion, extend in exceptional cases a period of time fixed by these Rules, by itself or agreed to by the parties. In urgent cases, such an extension may be granted by the presiding arbitrator alone. ### Article 38 ### 第38条 #### Place of Arbitration #### 仲裁地 **Article 38** (a) Unless otherwise agreed by the parties, the place of arbitration shall be decided by the Center, taking into consideration any observations of the parties and the circumstances of the arbitration. (b) The Tribunal may, after consultation with the parties, conduct hearings at any place that it considers appropriate. It may deliberate wherever it deems appropriate. (c) The award shall be deemed to have been made at the place of arbitration. ### Article 39 ### 第39条 #### Language of Arbitration #### 仲裁语言 **Article 39** (a) Unless otherwise agreed by the parties, the language of the arbitration shall be the language of the Arbitration Agreement, subject to the power of the Tribunal to determine otherwise, having regard to any observations of the parties and the circumstances of the arbitration. (b) The Tribunal may order that any documents submitted in languages other than the language of arbitration be accompanied by a translation in whole or in part into the language of arbitration. ### Article 40 ### 第40条 #### Preparatory Conference #### 预备会议 **Article 40** The Tribunal shall, in general within 30 days after its establishment, conduct a preparatory conference with the parties by telephone, videoconference or using online tools, or in any suitable format for the purpose of organizing and scheduling the subsequent proceedings in a time and cost efficient manner. ### Article 41 ### 第41条 #### Statement of Claim #### 申请书 **Article 41** (a) Unless the Statement of Claim accompanied the Request for Arbitration, the Claimant shall, within 30 days after receipt of notification from the Center of the establishment of the Tribunal, communicate its Statement of Claim to the Respondent and to the Tribunal. (b) The Statement of Claim shall contain a comprehensive statement of the facts and legal arguments supporting the claim, including a statement of the relief sought. (c) The Statement of Claim shall, to as large an extent as possible, be accompanied by the evidence upon which the Claimant relies, together with a schedule of such evidence. Where the evidence is especially voluminous, the Claimant may add a reference to further evidence it is prepared to submit. ### Article 42 ### 第42条 #### Statement of Defense #### 答辩书 **Article 42** (a) The Respondent shall, within 30 days after receipt of the Statement of Claim or within 30 days after receipt of notification from the Center of the establishment of the Tribunal, whichever occurs later, communicate its Statement of Defense to the Claimant and to the Tribunal. (b) The Statement of Defense shall reply to the particulars of the Statement of Claim required pursuant to Article 41(b). The Statement of Defense shall be accompanied by the evidence upon which the Respondent relies, in the manner described in Article 41(c). (c) Any counter-claim or set-off by the Respondent shall be made or asserted in the Statement of Defense or, in exceptional circumstances, at a later stage in the arbitral proceedings if so determined by the Tribunal. Any such counter-claim or set-off shall contain the same particulars as those specified in Article 41(b) and (c). ### Article 43 ### 第43条 #### Further Written Statements #### 进一步书面陈述 **Article 43** (a) In the event that a counter-claim or set-off has been made or asserted, the Claimant shall reply to the particulars thereof. Article 42(a) and (b) shall apply mutatis mutandis to such reply. (b) The Tribunal may, in its discretion, allow or require further written statements. ### Article 44 ### 第44条 #### Amendments to Claims or Defense #### 请求或答辩的修改 **Article 44** Subject to any contrary agreement by the parties, a party may amend or supplement its claim, counter-claim, defense or set-off during the course of the arbitral proceedings, unless the Tribunal considers it inappropriate to allow such amendment having regard to its nature or the delay in making it and to the provisions of Article 37(b) and (c). ### Article 45 ### 第45条 #### Communication Between Parties and Tribunal #### 当事人与仲裁庭之间的沟通 **Article 45** Except as otherwise provided in these Rules or permitted by the Tribunal, no party or anyone acting on its behalf may have any ex parte communication with any arbitrator with respect to any matter of substance relating to the arbitration, it being understood that nothing in this paragraph shall prohibit ex parte communications which concern matters of a purely organizational nature, such as the physical facilities, the use of online tools, place, date or time of the hearings. ### Article 46 ### 第46条 #### Joinder #### 追加当事人 **Article 46** At the request of a party, the Tribunal may order the joinder of an additional party to the arbitration provided all parties, including the additional party, agree. Any such order shall take account of all relevant circumstances, including the stage reached in the arbitration. The request shall be addressed together with the Request for Arbitration or the Answer to the Request, as the case may be, or, if a party becomes aware at a later stage of circumstances that it considers relevant for a joinder, within 15 days after acquiring that knowledge. ### Article 47 ### 第47条 #### Consolidation #### 合并仲裁 **Article 47** Where an arbitration is commenced that concerns a subject matter substantially related to that in dispute in other arbitral proceedings pending under these Rules or involving the same parties, the Center may order, after consulting with all concerned parties and any Tribunal appointed in the pending proceedings, to consolidate the new arbitration with the pending proceedings, provided all parties and any appointed Tribunal agree. Such consolidation shall take into account all relevant circumstances, including the stage reached in the pending proceedings. ### Article 48 ### 第48条 #### Interim Measures of Protection and Security for Claims and Costs #### 临时保护措施及请求和费用的担保 **Article 48** (a) At the request of a party, the Tribunal may issue any provisional orders or take other interim measures it deems necessary, including injunctions and measures for the conservation of goods which form part of the subject matter in dispute, such as an order for their deposit with a third person or for the sale of perishable goods. The Tribunal may make the granting of such measures subject to appropriate security being furnished by the requesting party. (b) At the request of a party, the Tribunal may order the other party to provide security, in a form to be determined by the Tribunal, for the claim or counter-claim, as well as for costs referred to in Article 74. (c) Measures and orders contemplated under this Article may take the form of an interim award. (d) A request addressed by a party to a judicial authority for interim measures or for security for the claim or counter-claim, or for the implementation of any such measures or orders granted by the Tribunal, shall not be deemed incompatible with the Arbitration Agreement, or deemed to be a waiver of that Agreement. ### Article 49 ### 第49条 #### Emergency Relief Proceedings #### 紧急救济程序 **Article 49** (a) Unless otherwise agreed by the parties, the provisions of this Article shall apply to arbitrations conducted under Arbitration Agreements entered on or after June 1, 2014. (b) A party seeking urgent interim relief prior to the establishment of the Tribunal may submit a request for such emergency relief to the Center. The request for emergency relief shall include the particulars set out in Article 9(ii) to (iv), as well as a statement of the interim measures sought and the reasons why such relief is needed on an emergency basis. The Center shall inform the other party of the receipt of the request for emergency relief. (c) The date of commencement of the emergency relief proceedings shall be the date on which the request referred to in paragraph (b) is received by the Center. (d) The request for emergency relief shall be subject to proof of payment of the administration fee and of the initial deposit of the emergency arbitrator's fees in accordance with the Schedule of Fees applicable on the date of commencement of the emergency relief proceedings. (e) Upon receipt of the request for emergency relief, the Center shall promptly, normally within two days, appoint a sole emergency arbitrator. Articles 22 to 29 shall apply mutatis mutandis whereby the periods of time referred to in Articles 25 and 26 shall be three days. (f) The emergency arbitrator shall have the powers vested in the Tribunal under Article 36(a) and (b), including the authority to determine its own jurisdiction. Article 36(e) shall apply mutatis mutandis. (g) The emergency arbitrator may conduct the proceedings in such manner as it considers appropriate, taking due account of the urgency of the request. The emergency arbitrator shall ensure that each party is given a fair opportunity to present its case. The emergency arbitrator may provide for proceedings by telephone, videoconference or online tools, or on written submissions as alternatives to a hearing. (h) If the parties have agreed upon the place of arbitration, that place shall be the place of the emergency relief proceedings. In the absence of such agreement, the place of the emergency relief proceedings shall be decided by the Center, taking into consideration any observations made by the parties and the circumstances of the emergency relief proceedings. (i) The emergency arbitrator may order any interim measure it deems necessary. The emergency arbitrator may make the granting of such orders subject to appropriate security being furnished by the requesting party. Article 48(c) and (d) shall apply mutatis mutandis. Upon request, the emergency arbitrator may modify or terminate the order. (j) The emergency arbitrator shall terminate emergency relief proceedings if arbitration is not commenced within 30 days from the date of commencement of the emergency relief proceedings. (k) The costs of the emergency relief proceedings shall be initially fixed and apportioned by the emergency arbitrator in consultation with the Center, in accordance with the Schedule of Fees applicable on the date of commencement of the emergency relief proceedings, subject to the Tribunal's power to make a final determination of the apportionment of such costs under Article 73(c). (l) Unless otherwise agreed by the parties, the emergency arbitrator may not act as an arbitrator in any arbitration relating to the dispute. (m) The emergency arbitrator shall have no further powers to act once the Tribunal is established. Upon request by a party, the Tribunal may modify or terminate any measure ordered by the emergency arbitrator. ### Article 50 ### 第50条 #### Evidence #### 证据 **Article 50** (a) The Tribunal shall determine the admissibility, relevance, materiality and weight of evidence. (b) At any time during the arbitration, the Tribunal may, at the request of a party or on its own motion, order a party to produce such documents or other evidence as it considers necessary or appropriate and may order a party to make available to the Tribunal or to an expert appointed by it or to the other party any property in its possession or control for inspection or testing. ### Article 51 ### 第51条 #### Experiments #### 实验 **Article 51** (a) A party may give notice to the Tribunal and to the other party at any reasonable time before a hearing that specified experiments have been conducted on which it intends to rely. The notice shall specify the purpose of the experiment, a summary of the experiment, the method employed, the results and the conclusion. The other party may by notice to the Tribunal request that any or all such experiments be repeated in its presence. If the Tribunal considers such request justified, it shall determine the timetable for the repetition of the experiments. (b) For the purposes of this Article, "experiments" shall include tests or other processes of verification. ### Article 52 ### 第52条 #### Site Visits #### 现场勘查 **Article 52** The Tribunal may, at the request of a party or on its own motion, inspect or require the inspection of any site, property, machinery, facility, production line, model, film, material, product or process as it deems appropriate. A party may request such an inspection at any reasonable time prior to any hearing, and the Tribunal, if it grants such a request, shall determine the timing and arrangements for the inspection. ### Article 53 ### 第53条 #### Agreed Primers and Models #### 约定技术入门指南与模型 **Article 53** The Tribunal may, where the parties so agree, determine that they shall jointly provide: (i) a technical primer setting out the background of the scientific, technical or other specialized information necessary to fully understand the matters in issue; and (ii) models, drawings or other materials that the Tribunal or the parties require for reference purposes at any hearing. ### Article 54 ### 第54条 #### Disclosure of Trade Secrets and Other Confidential Information #### 商业秘密及其他保密信息的披露 **Article 54** (a) For the purposes of this Article, confidential information shall mean any information, regardless of the medium in which it is expressed, which is: (i) in the possession of a party; (ii) not accessible to the public; (iii) of commercial, financial or industrial significance; and (iv) treated as confidential by the party possessing it. (b) A party invoking the confidentiality of any information it wishes or is required to submit in the arbitration, including to an expert appointed by the Tribunal, shall make an application to have the information classified as confidential by notice to the Tribunal, with a copy to the other party. Without disclosing the substance of the information, the party shall give in the notice the reasons for which it considers the information confidential. (c) The Tribunal shall determine whether the information is to be classified as confidential and of such a nature that the absence of special measures of protection in the proceedings would be likely to cause serious harm to the party invoking its confidentiality. If the Tribunal so determines, it shall decide under which conditions and to whom the confidential information may in part or in whole be disclosed and shall require any person to whom the confidential information is to be disclosed to sign an appropriate confidentiality undertaking. (d) In exceptional circumstances, in lieu of itself determining whether the information is to be classified as confidential and of such nature that the absence of special measures of protection in the proceedings would be likely to cause serious harm to the party invoking its confidentiality, the Tribunal may, at the request of a party or on its own motion and after consultation with the parties, designate a confidentiality advisor who will determine whether the information is to be so classified, and, if so, decide under which conditions and to whom it may in part or in whole be disclosed. Any such confidentiality advisor shall be required to sign an appropriate confidentiality undertaking. (e) The Tribunal may also, at the request of a party or on its own motion, appoint the confidentiality advisor as an expert in accordance with Article 57 in order to report to it, on the basis of the confidential information, on specific issues designated by the Tribunal without disclosing the confidential information either to the party from whom the confidential information does not originate or to the Tribunal. ### Article 55 ### 第55条 #### Hearings #### 开庭审理 **Article 55** (a) If either party so requests, the Tribunal shall hold a hearing for the presentation of evidence by witnesses, including expert witnesses, or for oral argument or for both. In the absence of a request, the Tribunal shall decide whether to hold such a hearing or hearings. The Tribunal shall decide, after consultation with the parties, whether the hearing will be conducted by videoconference, using online tools, or in-person. If no hearings are held, the proceedings shall be conducted on the basis of documents and other materials alone. (b) In the event of a hearing, the Tribunal shall give the parties adequate advance notice of the date, time, videoconference or online tools to be used, or place. (c) Unless the parties agree otherwise, all hearings shall be in private. (d) The Tribunal shall determine whether and, if so, in what form a record shall be made of any hearing. ### Article 56 ### 第56条 #### Witnesses #### 证人 **Article 56** (a) Before any hearing, the Tribunal may require either party to give notice of the identity of witnesses it wishes to call, whether witness of fact or expert witness, as well as of the subject matter of their testimony and its relevance to the issues. (b) The Tribunal has discretion, on the grounds of redundance and irrelevance, to limit or refuse the appearance of any witness. (c) Any witness who gives oral evidence may be questioned, under the control of the Tribunal, by each of the parties. The Tribunal may put questions at any stage of the examination of the witnesses. (d) The testimony of witnesses may, either at the choice of a party or as directed by the Tribunal, be submitted in written form, whether by way of signed statements, sworn affidavits or otherwise, in which case the Tribunal may make the admissibility of the testimony conditional upon the witnesses being made available for oral testimony. (e) A party shall be responsible for the practical arrangements, cost and availability of any witness it calls. (f) The Tribunal shall determine whether any witness shall retire during any part of the proceedings, particularly during the testimony of other witnesses. ### Article 57 ### 第57条 #### Experts Appointed by the Tribunal #### 仲裁庭指定的专家 **Article 57** (a) The Tribunal may, at the preparatory conference or at a later stage, and after consultation with the parties, appoint one or more independent experts to report to it on specific issues designated by the Tribunal. A copy of the expert's terms of reference, established by the Tribunal, having regard to any observations of the parties, shall be communicated to the parties. Any such expert shall be required to sign an appropriate confidentiality undertaking. (b) Subject to Article 54, upon receipt of the expert's report, the 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 may, subject to Article 54, examine any document on which the expert has relied in such a report. (c) At the request of a party, the parties shall be given the opportunity to question the expert at a hearing. At this hearing, the parties may present expert witnesses to testify on the points at issue. (d) The opinion of any expert on the issue or issues submitted to the expert shall be subject to the Tribunal's power of assessment of those issues in the context of all the circumstances of the case, unless the parties have agreed that the expert's determination shall be conclusive in respect of any specific issue. ### Article 58 ### 第58条 #### Default #### 缺席 **Article 58** (a) If the Claimant, without showing good cause, fails to submit its Statement of Claim in accordance with Article 41, the Tribunal shall terminate the proceedings. (b) If the Respondent, without showing good cause, fails to submit its Statement of Defense in accordance with Article 42, the Tribunal may nevertheless proceed with the arbitration and make the award. (c) The Tribunal may also proceed with the arbitration and make the award if a party, without showing good cause, fails to avail itself of the opportunity to present its case within the period of time determined by the Tribunal. (d) If a party, without showing good cause, fails to comply with any provision of, or requirement under, these Rules or any direction given by the Tribunal, the Tribunal may draw the inferences therefrom that it considers appropriate. ### Article 59 ### 第59条 #### Closure of Proceedings #### 程序终结 **Article 59** (a) The Tribunal shall declare the proceedings closed when it is satisfied that the parties have had adequate opportunity to present submissions and evidence. (b) The Tribunal may, if it considers it necessary owing to exceptional circumstances, decide, on its own motion or upon application of a party, to re-open the proceedings it declared to be closed at any time before the award is made. ### Article 60 ### 第60条 #### Waiver #### 放弃权利 **Article 60** A party which knows that any provision of these Rules, any requirement under the Arbitration Agreement, or any direction given by the Tribunal, has not been complied with, and yet proceeds with the arbitration without promptly recording an objection to such non-compliance, shall be deemed to have waived its right to object. ## V. AWARDS AND OTHER DECISIONS ## 第五编 裁决及其他决定 ### Article 61 ### 第61条 #### Laws Applicable to the Substance of the Dispute, the Arbitration and the Arbitration Agreement #### 适用于争议实体、仲裁及仲裁协议的法律 **Article 61** (a) The Tribunal shall decide the substance of the dispute in accordance with the law or rules of law chosen by the parties. Any designation of the law of a given State shall be construed, unless otherwise expressed, as directly referring to the substantive law of that State and not to its conflict of laws rules. Failing a choice by the parties, the Tribunal shall apply the law or rules of law that it determines to be appropriate. In all cases, the Tribunal shall decide having due regard to the terms of any relevant contract and taking into account applicable trade usages. The Tribunal may decide as amiable compositeur or ex aequo et bono only if the parties have expressly authorized it to do so. (b) The law applicable to the arbitration shall be the arbitration law of the place of arbitration, unless the parties have expressly agreed on the application of another arbitration law and such agreement is permitted by the law of the place of arbitration. (c) An Arbitration Agreement shall be regarded as effective if it conforms to the requirements concerning form, existence, validity and scope of either the law or rules of law applicable in accordance with paragraph (a), or the law applicable in accordance with paragraph (b). ### Article 62 ### 第62条 #### Currency and Interest #### 货币与利息 **Article 62** (a) Monetary amounts in the award may be expressed in any currency. (b) The Tribunal may award simple or compound interest to be paid by a party on any sum awarded against that party. It shall be free to determine the interest at such rates as it considers to be appropriate, without being bound by legal rates of interest, and shall be free to determine the period for which the interest shall be paid. ### Article 63 ### 第63条 #### Decision-Making #### 决策方式 **Article 63** Unless the parties have agreed otherwise, where there is more than one arbitrator, any award, order or other decision of the Tribunal shall be made by a majority. In the absence of a majority, the presiding arbitrator shall make the award, order or other decision as if acting as sole arbitrator. ### Article 64 ### 第64条 #### Form and Notification of Awards #### 裁决的形式与通知 **Article 64** (a) The Tribunal may make separate awards on different issues at different times. (b) The award shall be in writing and shall state the date on which it was made, as well as the place of arbitration in accordance with Article 38(a). (c) The award shall state the reasons on which it is based, unless the parties have agreed that no reasons should be stated and the law applicable to the arbitration does not require the statement of such reasons. (d) The award shall be signed by the arbitrator or arbitrators. The signature of the award by a majority of the arbitrators, or, in the case of Article 63, second sentence, by the presiding arbitrator, shall be sufficient. Where an arbitrator fails to sign, the award shall state the reason for the absence of the signature. (e) The Tribunal may consult the Center with regard to matters of form, particularly to ensure the enforceability of the award. (f) The award shall be communicated by the Tribunal to the Center in a number of originals sufficient to provide one for each party, the arbitrator or arbitrators and the Center. The Center shall formally communicate an original of the award to each party and the arbitrator or arbitrators. (g) At the request of a party, the Center shall provide it, at cost, with a copy of the award certified by the Center. A copy so certified shall be deemed to comply with the requirements of Article IV(1)(a) of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, New York, June 10, 1958. ### Article 65 ### 第65条 #### Time Period for Delivery of the Final Award #### 最终裁决的作出期限 **Article 65** (a) The arbitration should, wherever reasonably possible, be heard and the proceedings declared closed within not more than nine months after either the delivery of the Statement of Defense or the establishment of the Tribunal, whichever event occurs later. The final award should, wherever reasonably possible, be made within three months thereafter. (b) If the proceedings are not declared closed within the period of time specified in paragraph (a), the Tribunal shall send the Center a status report on the arbitration, with a copy to each party. It shall send a further status report to the Center, and a copy to each party, at the end of each ensuing period of three months during which the proceedings have not been declared closed. (c) If the final award is not made within three months after the closure of the proceedings, the Tribunal shall send the Center a written explanation for the delay, with a copy to each party. It shall send a further explanation, and a copy to each party, at the end of each ensuing period of one month until the final award is made. ### Article 66 ### 第66条 #### Effect of Award #### 裁决的效力 **Article 66** (a) By agreeing to arbitration under these Rules, the parties undertake to carry out the award without delay, and waive their right to any form of appeal or recourse to a court of law or other judicial authority, insofar as such waiver may validly be made under the applicable law. (b) The award shall be effective and binding on the parties as from the date it is communicated by the Center pursuant to Article 64(f), second sentence. ### Article 67 ### 第67条 #### Settlement or Other Grounds for Termination #### 和解或其他终止理由 **Article 67** (a) The Tribunal may suggest that the parties explore settlement, including by commencing mediation, at such times as the Tribunal may deem appropriate. (b) If, before the award is made, the parties agree on a settlement of the dispute, the Tribunal shall terminate the arbitration and, if requested jointly by the parties, record the settlement in the form of a consent award. The Tribunal shall not be obliged to give reasons for such an award. (c) If, before the award is made, the continuation of the arbitration becomes unnecessary or impossible for any reason not mentioned in paragraph (b), the Tribunal shall inform the parties of its intention to terminate the arbitration. The Tribunal shall have the power to issue such an order terminating the arbitration, unless a party raises justifiable grounds for objection within a period of time to be determined by the Tribunal. (d) The consent award or the order for termination of the arbitration shall be signed by the arbitrator or arbitrators in accordance with Article 64(d) and shall be communicated by the Tribunal to the Center in a number of originals sufficient to provide one for each party, the arbitrator or arbitrators and the Center. The Center shall formally communicate an original of the consent award or the order for termination to each party and the arbitrator or arbitrators. ### Article 68 ### 第68条 #### Correction of the Award and Additional Award #### 裁决的更正与补充裁决 **Article 68** (a) Within 30 days after receipt of the award, a party may, by notice to the Tribunal, with a copy to the Center and the other party, request the Tribunal to correct in the award any clerical, typographical or computational errors. If the Tribunal considers the request to be justified, it shall make the correction within 30 days after receipt of the request. Any correction, which shall take the form of a separate memorandum, signed by the Tribunal in accordance with Article 64(d), shall become part of the award. (b) The Tribunal may correct any error of the type referred to in paragraph (a) on its own initiative within 30 days after the date of the award. (c) A party may, within 30 days after receipt of the award, by notice to the Tribunal, with a copy to the Center and the other party, request the Tribunal to make an additional award as to claims presented in the arbitral proceedings but not dealt with in the award. Before deciding on the request, the Tribunal shall give the parties an opportunity to be heard. If the Tribunal considers the request to be justified, it shall, wherever reasonably possible, make the additional award within 60 days of receipt of the request. ## VI. FEES AND COSTS ## 第六编 费用与成本 ### Article 69 ### 第69条 #### Fees of the Center #### 中心的费用 **Article 69** (a) The Request for Arbitration shall be subject to the payment to the Center of a non-refundable registration fee. The amount of the registration fee shall be fixed in the Schedule of Fees applicable on the date on which the Request for Arbitration is received by the Center. (b) Any counter-claim by a Respondent shall be subject to the payment to the Center of a non-refundable registration fee. The amount of the registration fee shall be fixed in the Schedule of Fees applicable on the date on which the Request for Arbitration is received by the Center. (c) No action shall be taken by the Center on a Request for Arbitration or counter-claim until the registration fee has been paid. (d) If a Claimant or Respondent fails, within 15 days after a reminder in writing from the Center, to pay the registration fee, it shall be deemed to have withdrawn its Request for Arbitration or counter-claim, as the case may be. ### Article 70 ### 第70条 **Article 70** (a) An administration fee shall be payable by the Claimant to the Center within 30 days after the Claimant has received notification from the Center of the amount to be paid. (b) In the case of a counter-claim, an administration fee shall also be payable by the Respondent to the Center within 30 days after the Respondent has received notification from the Center of the amount to be paid. (c) The amount of the administration fee shall be calculated in accordance with the Schedule of Fees applicable on the date of commencement of the arbitration. (d) Where a claim or counter-claim is increased, the amount of the administration fee may be increased in accordance with the Schedule of Fees applicable under paragraph (c), and the increased amount shall be payable by the Claimant or the Respondent, as the case may be. (e) If a party fails, within 15 days after a reminder in writing from the Center, to pay any administration fee due, it shall be deemed to have withdrawn its claim or counter-claim, or its increase in claim or counter-claim, as the case may be. (f) The Tribunal shall, in a timely manner, inform the Center of the amount of the claim and any counter-claim, as well as any increase thereof. ### Article 71 ### 第71条 #### Fees of the Arbitrators #### 仲裁员的报酬 **Article 71** The amount and currency of the fees of the arbitrators and the modalities and timing of their payment shall be fixed by the Center, after consultation with the arbitrators and the parties, in accordance with the Schedule of Fees applicable on the date on which the Request for Arbitration is received by the Center. ### Article 72 ### 第72条 #### Deposits #### 预付款 **Article 72** (a) Upon receipt of notification from the Center of the establishment of the Tribunal, the Claimant and the Respondent shall each deposit an equal amount as an advance for the costs of arbitration referred to in Article 73. The amount of the deposit shall be determined by the Center. (b) In the course of the arbitration, the Center may require that the parties make supplementary deposits. (c) If the required deposits are not paid in full within 30 days after receipt of the corresponding notification, the Center shall so inform the parties in order that one or other of them may make the required payment. (d) Where the amount of the counter-claim greatly exceeds the amount of the claim or involves the examination of significantly different matters, or where it otherwise appears appropriate in the circumstances, the Center in its discretion may establish two separate deposits on account of claim and counter-claim. If separate deposits are established, the totality of the deposit on account of claim shall be paid by the Claimant and the totality of the deposit on account of counter-claim shall be paid by the Respondent. (e) If a party fails, within 15 days after a reminder in writing from the Center, to pay the required deposit, it shall be deemed to have withdrawn the relevant claim or counter-claim. (f) After the award has been made, the Center shall, in accordance with the award, render an accounting to the parties of the deposits received and return any unexpended balance to the parties or require the payment of any amount owing from the parties. ### Article 73 ### 第73条 #### Award of Costs of Arbitration #### 仲裁费用的裁决 **Article 73** (a) In its award, the Tribunal shall fix the costs of arbitration, which shall consist of: (i) the arbitrators' fees; (ii) the properly incurred travel, communication and other expenses of the arbitrators; (iii) the costs of expert advice and such other assistance required by the Tribunal pursuant to these Rules; and (iv) such other expenses as are necessary for the conduct of the arbitration proceedings, such as the cost of meeting and hearing facilities. (b) The aforementioned costs shall, as far as possible, be debited from the deposits required under Article 72. (c) The Tribunal shall, subject to any agreement of the parties, apportion the costs of arbitration and the registration and administration fees of the Center between the parties in the light of all the circumstances and the outcome of the arbitration. ### Article 74 ### 第74条 #### Award of Costs Incurred by a Party #### 当事人费用的裁决 **Article 74** In its award, the Tribunal may, subject to any contrary agreement by the parties and in the light of all the circumstances and the outcome of the arbitration, order a party to pay the whole or part of reasonable expenses incurred by the other party in presenting its case, including those incurred for legal representatives and witnesses. ## VII. CONFIDENTIALITY ## 第七编 保密 ### Article 75 ### 第75条 #### Confidentiality of the Existence of the Arbitration #### 仲裁存在的保密性 **Article 75** (a) Except to the extent necessary in connection with a court challenge to the arbitration or an action for enforcement of an award, no information concerning the existence of an arbitration may be unilaterally disclosed by a party to any third party unless it is required to do so by law or by a competent regulatory body, and then only: (i) by disclosing no more than what is legally required; and (ii) by furnishing to the Tribunal and to the other party, if the disclosure takes place during the arbitration or to the other party alone, if the disclosure takes place after the termination of the arbitration, details of the disclosure and an explanation of the reason for it. (b) Notwithstanding paragraph (a), a party may disclose to a third party the names of the parties to the arbitration and the relief requested for the purpose of satisfying any obligation of good faith or candor owed to that third party. ### Article 76 ### 第76条 #### Confidentiality of Disclosures Made During the Arbitration #### 仲裁中披露信息的保密性 **Article 76** (a) In addition to any specific measures that may be available under Article 54, any documentary or other evidence given by a party or a witness in the arbitration shall be treated as confidential and, to the extent that such evidence describes information that is not in the public domain, shall not be used or disclosed to any third party by a party whose access to that information arises exclusively as a result of its participation in the arbitration for any purpose without the consent of the parties or order of a court having jurisdiction. (b) For the purposes of this Article, a witness called by a party shall not be considered to be a third party. To the extent that a witness is given access to evidence or other information obtained in the arbitration in order to prepare the witness's testimony, the party calling such witness shall be responsible for the maintenance by the witness of the same degree of confidentiality as that required of the party. ### Article 77 ### 第77条 #### Confidentiality of the Award #### 裁决的保密性 **Article 77** The award shall be treated as confidential by the parties and may only be disclosed to a third party if and to the extent that: (i) the parties consent; or (ii) it falls into the public domain as a result of an action before a national court or other competent authority; or (iii) it must be disclosed in order to comply with a legal requirement imposed on a party or in order to establish or protect a party's legal rights against a third party. ### Article 78 ### 第78条 #### Maintenance of Confidentiality by the Center and Arbitrator #### 中心和仲裁员的保密义务 **Article 78** (a) Unless the parties agree otherwise, the Center and the arbitrator shall maintain the confidentiality of the arbitration, the award and, to the extent that they describe information that is not in the public domain, any documentary or other evidence disclosed during the arbitration, except to the extent necessary in connection with a court action relating to the award, or as otherwise required by law. (b) Notwithstanding paragraph (a), the Center may include information concerning the arbitration in any aggregate statistical data that it publishes concerning its activities, provided that such information does not enable the parties or the particular circumstances of the dispute to be identified. ## VIII. MISCELLANEOUS ## 第八编 杂项规定 ### Article 79 ### 第79条 #### Exclusion of Liability #### 责任免除 **Article 79** Except in respect of deliberate wrongdoing, the arbitrator or arbitrators, WIPO and the Center shall not be liable to a party for any act or omission in connection with the arbitration. ### Article 80 ### 第80条 #### Waiver of Defamation #### 诽谤豁免 **Article 80** The parties and, by acceptance of appointment, the arbitrator agree that any statements or comments, whether written or oral, made or used by them or their representatives in preparation for or in the course of the arbitration shall not be relied upon to found or maintain any action for defamation, libel, slander or any related complaint, and this Article may be pleaded as a bar to any such action. ## SCHEDULE OF FEES AND COSTS ## 费用表 ### Arbitration / Expedited Arbitration ### 仲裁 / 快速仲裁 (All amounts are in United States dollars) （所有金额以美元计） | Type of Fee / 费用类型 | Amount in Dispute / 争议金额 | Expedited Arbitration / 快速仲裁 | Arbitration / 仲裁 | |---|---|---|---| | Registration Fee / 注册费 | Any Amount / 任何金额 | $0 | $2,000 | | Administration Fee(*) / 管理费(*) | Up to $2.5 M / 250万美元以下 | $2,000 | $4,000 | | | Over $2.5 M and up to $10 M / 超过250万至1000万美元 | $10,000 | $10,000 + 0.1% of amount over $2.5M up to a maximum fee of $17,500 | | | Over $10 M / 超过1000万美元 | $20,000 | $25,000 + 0.05% of amount over $10M up to a maximum fee of $40,000 | | Arbitrator(s) Fees(*) / 仲裁员报酬(*) | Up to $2.5 M / 250万美元以下 | $20,000 (fixed fee)(**) | As agreed by the Center in consultation with the parties and the arbitrator(s). Indicative rate(s): $300 to $600 per hour | | | Over $2.5 M and up to $10 M / 超过250万至1000万美元 | $40,000 (fixed fee)(**) | As agreed by the Center in consultation with the parties and the arbitrator(s) | | | Over $10 M / 超过1000万美元 | As agreed by the Center in consultation with the parties and the arbitrator | As agreed by the Center in consultation with the parties and the arbitrator(s) | (*) Each bracket indicates the total amount of the fees payable in a dispute, e.g. the administration fee payable in an Expedited Arbitration when the amount in dispute is $5 million is $10,000 (and not a fee of $12,000 which would have resulted from adding the fees of $10,000 and $2,000). (*) 每个档位表示争议中应支付的费用总额，例如，争议金额为500万美元时快速仲裁中应支付的管理费为10,000美元（而非将10,000美元和2,000美元相加得出的12,000美元）。 (**) May be reduced or increased based on the complexity of the subject matter of the dispute and the time spent by the arbitrator. (**) 可根据争议标的的复杂程度和仲裁员花费的时间而减少或增加。 **Schedule Notes / 费用表注释** 1. The Center may set-off all or part of the administration fees paid to it in connection with a WIPO mediation or a WIPO expert determination against the registration and administration fees payable to the Center in connection with a WIPO arbitration regarding the same dispute. 1. 中心可就同一争议，将当事人在WIPO调解或WIPO专家裁决中已向中心支付的全部或部分管理费与WIPO仲裁中应向中心支付的注册费和管理费进行抵销。 2. Where the Request for Arbitration does not indicate any claims for a monetary amount or the dispute concerns issues that are not quantifiable in monetary amounts, an administration fee of $4,000 shall be payable, subject to adjustment. Where the Request for Expedited Arbitration does not indicate any claims for a monetary amount or the dispute concerns issues that are not quantifiable in monetary amounts, an administration fee of $2,000 shall be payable, subject to adjustment. The adjustment shall be made by reference to the administration fee that the Center, after consultation with the parties and the arbitral tribunal and by taking into account the costs of the proceedings pursuant to Article 73 and 74 of the WIPO Arbitration Rules and Articles 66 and 67 of the WIPO Expedited Arbitration Rules, determines in its discretion to be appropriate in the circumstances. 2. 如仲裁申请书未指明任何金钱索赔金额或争议涉及无法以金钱计量的问题的，应支付4,000美元的管理费，可予以调整。如快速仲裁申请书未指明任何金钱索赔金额或争议涉及无法以金钱计量的问题的，应支付2,000美元的管理费，可予以调整。调整应参照中心与当事人和仲裁庭协商后，根据WIPO仲裁规则第73条和第74条及WIPO快速仲裁规则第66条和第67条考虑程序费用，酌情确定为在当时情况下适当的管理费金额。 3. Prior to the establishment of the arbitral tribunal, the Center shall fix an arbitrator's hourly or daily fee rate, in consultation with the parties and the arbitrator. In so doing, the Center shall take into consideration such factors as the amounts in dispute, the number of parties, the complexity of the dispute and the status and any special qualifications required of the arbitrator. 3. 在仲裁庭组成之前，中心应与当事人和仲裁员协商确定仲裁员的小时或日费率。在此过程中，中心应考虑争议金额、当事人人数、争议的复杂程度以及仲裁员的地位和所需的任何特殊资格等因素。 4. An arbitrator shall be required to maintain a detailed and accurate record of the work done and the time spent on the arbitration. Following the termination of the arbitration, a copy of such records shall be provided to the parties and the Center, together with the arbitrator's invoice. 4. 仲裁员应保存其在仲裁中所做工作和所花费时间的详细准确记录。仲裁终止后，该等记录的副本应与仲裁员的账单一并提供给当事人和中心。 5. After consulting with the parties and the arbitral tribunal, the Center shall determine the final amount to be paid to the sole arbitrator or each of the respective amounts to be paid to the presiding arbitrator and the other members of a three-member tribunal, taking into consideration the hourly or daily rates and maximum rates and other factors such as the complexity of the subject matter of the dispute and of the arbitration, the total time spent by the arbitrator, time reserved but not used as a result of the late postponement or cancellation of hearings, the diligence of the arbitral tribunal and the rapidity of the arbitration proceedings. 5. 中心在与当事人和仲裁庭协商后，应确定应支付给独任仲裁员的最终金额，或应分别支付给首席仲裁员和三人仲裁庭其他成员的各笔金额，同时考虑小时或日费率及最高费率以及其他因素，如争议标的和仲裁的复杂程度、仲裁员花费的总时间、因开庭延期或取消而预留但未使用的时间、仲裁庭的勤勉程度以及仲裁程序的迅速性。 6. For the purposes of calculating the costs of the arbitration, the amount of claims expressed in currencies other than United States dollars shall be converted if necessary to amounts expressed in United States dollars on the basis of the official United Nations exchange rate prevailing on the date of payment. 6. 为计算仲裁费用之目的，以美元以外的货币表示的索赔金额如有必要应按付款日有效的联合国官方汇率转换为美元金额。 7. For the purpose of calculating the arbitrators fees, the value of any counterclaim should be added to the amount of the claim. 7. 为计算仲裁员报酬之目的，任何反请求的金额应加至请求金额中。 8. Only paragraphs 1, 3, 5 and 6 above apply to Expedited Arbitration proceedings. 8. 上述第1、3、5和6段仅适用于快速仲裁程序。 9. A 25% reduction on the Center's registration and administration fees applies if a party (or both parties) to the dispute is (are) named as applicant or inventor in a published PCT application, holders of international registrations under the Hague system or the Madrid system, WIPO Green technology providers or seekers, or an SME (an entity with less than 250 employees). 9. 如争议一方（或双方）当事人被列为已公布的PCT申请中的申请⼈或发明⼈、海牙体系或马德里体系下的国际注册持有⼈、WIPO Green技术提供⽅或寻求⽅、或中小企业（员工少于250⼈的实体），中⼼的注册费和管理费可享受25%的减免。 ### Emergency Relief Proceedings ### 紧急救济程序 (Pursuant to Article 49 WIPO Arbitration Rules / Article 43 WIPO Expedited Arbitration Rules) （根据WIPO仲裁规则第49条 / WIPO快速仲裁规则第43条） (All amounts are in United States dollars) （所有金额以美元计） | Fee Type / 费用类型 | Amount / 金额 | |---|---| | Administration Fee / 管理费 | $2,500 | | Emergency Arbitrator's Fees (*) / 紧急仲裁员报酬(*) | Initial deposit: $10,000. $300 to $600 per hour, up to a maximum fee of $20,000 | (*) Indicative rates. (*) 指示性费率。 **Emergency Relief Notes / 紧急救济注释** 1. Prior to the appointment of the emergency arbitrator, the Center shall fix the emergency arbitrator's hourly fee rate, in consultation with the parties and the emergency arbitrator. In so doing, the Center shall take into consideration such factors as the amounts in dispute, the number of parties, the complexity of the dispute and the status and any special qualifications required of the emergency arbitrator. 1. 在指定紧急仲裁员之前，中心应与当事人和紧急仲裁员协商确定紧急仲裁员的小时费率。在此过程中，中心应考虑争议金额、当事人人数、争议的复杂程度以及紧急仲裁员的地位和所需的任何特殊资格等因素。 2. An emergency arbitrator shall be required to maintain a detailed and accurate record of the work done and the time spent on the emergency relief proceedings. Following the termination of the emergency relief proceedings, a copy of such records shall be provided to the parties and the Center, together with the emergency arbitrator's invoice. 2. 紧急仲裁员应保存其在紧急救济程序中所做工作和所花费时间的详细准确记录。紧急救济程序终止后，该等记录的副本应与紧急仲裁员的账单一并提供给当事人和中心。 3. After consulting with the parties and the emergency arbitrator, the Center shall determine the final amount to be paid to the emergency arbitrator, taking into consideration the hourly rates and maximum rates and other factors such as the complexity of the subject matter of the dispute and of the arbitration, the total time spent by the emergency arbitrator, the diligence of the emergency arbitrator and the rapidity of the emergency relief proceedings. 3. 中心在与当事人和紧急仲裁员协商后，应确定应支付给紧急仲裁员的最终金额，同时考虑小时费率和最高费率以及其他因素，如争议标的和仲裁的复杂程度、紧急仲裁员花费的总时间、紧急仲裁员的勤勉程度以及紧急救济程序的迅速性。 4. The emergency arbitrator's fees shall not exceed the above-mentioned indicative rates, except in exceptional circumstances. 4. 紧急仲裁员的报酬不得超过上述指示性费率，但特殊情况除外。 5. For the purposes of calculating the costs of the emergency relief proceedings, the amount of claims expressed in currencies other than United States dollars shall be converted to amounts expressed in United States dollars on the basis of the official United Nations exchange rate prevailing on the date of payment. 5. 为计算紧急救济程序费用之目的，以美元以外的货币表示的索赔金额应按付款日有效的联合国官方汇率转换为美元金额。 6. A 25% reduction on the Center's administration fees applies if a party (or both parties) to the dispute is (are) named as applicant or inventor in a published PCT application, holders of international registrations under the Hague system or the Madrid system, WIPO Green technology providers or seekers, or an SME (an entity with less than 250 employees). 6. 如争议一方（或双方）当事人被列为已公布的PCT申请中的申请人或发明人、海牙体系或马德里体系下的国际注册持有人、WIPO Green技术提供方或寻求方、或中小企业（员工少于250人的实体），中心的管理费可享受25%的减免。 *Any changes to the Schedule of Fees and Costs and payment information details are announced in the Center's website at www.wipo.int/amc.* *费用表的任何变更及付款信息详情均在中心网站 www.wipo.int/amc 上公布。* *End of WIPO Arbitration Rules / WIPO仲裁规则完* **Fresa Li:** The WIPO Arbitration Rules (2021) occupy a unique position in the global arbitration landscape as the only institutional rule set purpose-built for intellectual property and technology disputes. The WIPO Arbitration and Mediation Center's heritage in the UDRP domain name dispute system gives it unparalleled expertise in online dispute resolution, and the 2021 Rules extend this specialization into mainstream commercial arbitration. The Expert Determination option under the WIPO Expert Determination Rules fills a distinct niche—offering parties a faster, more flexible alternative for technical IP valuation and licensing disputes. The Center's roster of specialized IP arbitrators and multilingual case management capability are institutional assets that no other arbitral institution can replicate. For technology transfer agreements and FRAND licensing disputes, the WIPO Rules remain the institutional gold standard. Practitioners should note the separation between the WIPO Arbitration Rules and the WIPO Expedited Arbitration Rules, which offer different procedural tracks calibrated to dispute complexity—a design that merits consideration in any arbitration clause involving IP rights. --- **Dr. Venessa:** WIPO's 2021 Rules represent the most specialized institutional arbitration framework in the global system, and this very specialization exposes the deepest structural questions about Agent-era arbitration. Article 49's emergency relief provisions empower the emergency arbitrator with broad interim measures authority—but the entire mechanism presupposes a human emergency arbitrator who can be reached, briefed, and who exercises personal judgment in real time. An Arbitrator-Agent could theoretically meet this standard of responsiveness far more efficiently, yet under current rules lacks the legal personality to be appointed. WIPO's Expert Determination mechanism, which bypasses traditional arbitration for specialized adjudication, creates an intriguing precedent: if parties can contract out of arbitration into expert adjudication, could they contract into Agent-driven arbitration? The four-dimensional framework reveals that WIPO operates at the authorization layer, with the SVAMC AI Guidelines providing the only existing framework for capability qualification—yet WIPO's IP specialization means it will be the first institution where AI-generated content and AI-invented subject matter appear as the dispute's very subject. WIPO's institutional expertise is both its greatest strength and its deepest constraint in the Agent era. ------------------------------------------------------------ ## Chapter 8: PCA Permanent Court of Arbitration ## 第八章：常设仲裁院 ### Institutional Profile ## About the Permanent Court of Arbitration (PCA) The Permanent Court of Arbitration (PCA) is an intergovernmental organization established in 1899 by the Hague Convention for the Pacific Settlement of International Disputes. Headquartered at the Peace Palace in The Hague, the Netherlands, the PCA is the oldest international arbitral institution in the world. The PCA provides dispute resolution services for states, state-controlled entities, intergovernmental organizations, and private parties. It serves as the appointing authority and registry for arbitrations conducted under its own rules, the UNCITRAL Arbitration Rules, and other procedural frameworks. The PCA is unique among arbitral institutions in its composition and mission. Its Members are states that are parties to the 1899 or 1907 Hague Conventions, and the PCA Secretary-General serves as the default appointing authority. The institution maintains a roster of potential arbitrators drawn from across its member states. The PCA Arbitration Rules (2012) are designed specifically for disputes involving at least one State, State-controlled entity, or intergovernmental organization, while remaining available for use by any parties who agree to employ them. The Rules incorporate the 2010 UNCITRAL Arbitration Rules as their foundation, with modifications to reflect the special considerations arising in public international law contexts. The 2024 Optional Protocols add provisions for Emergency Interim Measures, Expedited Procedure, and Scrutiny of Awards. **【中文翻译】** 常设仲裁法院（PCA）是由1899年《海牙和平解决国际争端公约》设立的国际政府间组织，总部位于荷兰海牙和平宫，是世界上最古老的国际仲裁机构。 PCA为国家、国家控制实体、政府间组织和私人当事人提供争议解决服务。作为指定机构和管理机构，PCA依据其自身的规则、《联合国国际贸易法委员会仲裁规则》和其他程序框架管理仲裁。 PCA在组成和使命方面与其他仲裁机构不同。其成员是1899年或1907年《海牙公约》的缔约国，PCA秘书长担任默认指定机构。该机构维护一份由各成员国仲裁员候选人组成的名单。 2012年《PCA仲裁规则》专门为涉及至少一个国家、国家控制实体或政府间组织的争议设计，同时也可供同意使用这些规则的任何当事人使用。这些规则以2010年《联合国国际贸易法委员会仲裁规则》为基础，并作了修改，以反映公共国际法背景下可能出现的特殊考量。2024年任择议定书增加了关于紧急临时措施、快速程序和裁决审查的规定。 ### Arbitration Rules (English Original) ## PCA ARBITRATION RULES 2012 (with 2024 Optional Protocols) ### SECTION I. INTRODUCTORY RULES ### Article 1 – Scope of Application **1.** Where a State, State-controlled entity, or intergovernmental organization has agreed with one or more States, State-controlled entities, intergovernmental organizations, or private parties that disputes between them in respect of a defined legal relationship, whether contractual, treaty-based, or otherwise, shall be referred to arbitration under the Permanent Court of Arbitration Arbitration Rules 2012 (hereinafter the "Rules"), then such disputes shall be settled in accordance with these Rules subject to such modification as the parties may agree. **2.** Agreement by a State, State-controlled entity, or intergovernmental organization to arbitrate under these Rules with a party that is not a State, State-controlled entity, or intergovernmental organization constitutes a waiver of any right of immunity from jurisdiction in respect of the proceedings relating to the dispute in question to which such party might otherwise be entitled. A waiver of immunity relating to the execution of an arbitral award must be explicitly expressed. **3.** The International Bureau of the Permanent Court of Arbitration at The Hague (hereinafter the "International Bureau") shall serve as registry for the proceedings and provide secretariat services. **4.** The involvement of at least one State, State-controlled entity, or intergovernmental organization as a party to the dispute is not necessary for jurisdiction where all the parties have agreed to settle a dispute under these Rules. However, where the Secretary-General of the Permanent Court of Arbitration determines that no State, State-controlled entity, or intergovernmental organization is a party to the dispute, the Secretary-General may decide to limit the Permanent Court of Arbitration's role in the proceedings to the function of the Secretary-General as appointing authority, with the role of the International Bureau under these Rules to be assumed by the arbitral tribunal. ### Article 2 – Notice and Calculation of Periods of Time **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 delivered shall be deemed to have been received. Delivery by electronic 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. ### Article 3 – Notice of Arbitration **1.** The party or parties initiating recourse to arbitration (hereinafter the "claimant") shall communicate to the other party or parties (hereinafter the "respondent") and the International Bureau 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 rule, decision, agreement, contract, convention, treaty, constituent instrument of an organization or agency, or relationship out of or in relation to which the dispute arises; (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 appointment of a sole arbitrator referred to in article 8, paragraph 1; (b) Notification of the appointment of an arbitrator referred to in articles 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. ### Article 4 – Response to the Notice of Arbitration **1.** Within 30 days of the receipt of the notice of arbitration, or such other period as may be set by the International Bureau, the respondent shall communicate to the claimant and the International Bureau 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 appointment of a sole arbitrator referred to in article 8, paragraph 1; (c) Notification of the appointment of an arbitrator referred to in articles 9 or 10; (d) A brief description of counterclaims or claims for the purpose of a set-off, if any, including where relevant, an indication of the amounts involved, and the relief or remedy sought; (e) 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. ### Article 5 – Representation and Assistance **1.** In disputes involving only States and/or intergovernmental organizations, each party shall appoint an agent. Each party may also be assisted by persons of its choice. **2.** In other disputes under these Rules, each party may be represented or assisted by persons chosen by it. **3.** The names and addresses of agents, party representatives, and other persons assisting the parties must be communicated to all parties, to the International Bureau, 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 an agent or representative of a party, the arbitral tribunal, on its own initiative or at the request of any party, may at any time require proof of authority granted to the agent or representative in such a form as the arbitral tribunal may determine. ### Article 6 – Appointing Authority **1.** The Secretary-General of the Permanent Court of Arbitration shall serve as appointing authority. **2.** In exercising its functions under these Rules, the appointing authority may require from any party and the arbitrators the information it deems necessary and it shall give the parties and, where appropriate, the arbitrators, an opportunity to present their views in any manner it considers appropriate. **3.** The appointing authority shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties. ### SECTION II. COMPOSITION OF THE ARBITRAL TRIBUNAL ### Article 7 – Number of Arbitrators **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 on the number of arbitrators, 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 articles 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. ### Articles 8-10 – Appointment of Arbitrators **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 of an individual who would serve as 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; (b) Within 15 days after the receipt of this list, or such other period as may be set by the International Bureau, each party may return the list to the appointing authority, without copying the other party, after having deleted the name or names to which it objects and numbered the remaining names on the list in the order of its preference; (c) After the expiration of the above period of time the appointing authority shall appoint the sole arbitrator from among the names approved on the lists returned to it and in accordance with the order of preference indicated by the parties; (d) If for any reason the appointment cannot be made according to this procedure, the appointing authority may exercise its discretion in appointing the sole arbitrator. **Article 9** **1.** If three arbitrators are to be appointed, each party shall appoint one arbitrator. The two arbitrators thus appointed shall choose the third arbitrator who will act as the presiding arbitrator of the arbitral tribunal. If five arbitrators are to be appointed, the two party-appointed arbitrators shall choose the remaining three arbitrators and designate one of those three as the presiding arbitrator of the tribunal. **2.** If within 30 days after the receipt of a party's notification of the appointment of an arbitrator the other party has not notified the first party of the arbitrator it has appointed, the first party may request the appointing authority to appoint the second arbitrator. **3.** If within 30 days after the appointment of the second arbitrator, or such other period as may be set by the International Bureau, the two arbitrators have not agreed on the choice of the remaining arbitrators and/or the presiding arbitrator, the remaining arbitrators and/or the presiding arbitrator shall be appointed by the appointing authority in the same way as a sole arbitrator would be appointed under article 8, paragraph 2. **Article 10** **1.** For the purposes of article 9, paragraph 1, where three or five arbitrators are to be appointed and there are multiple parties as claimant or as respondent, unless the parties have agreed to another method of appointment of arbitrators, the multiple parties jointly, whether as claimant or as respondent, shall appoint an arbitrator. **2.** If the parties have agreed that the arbitral tribunal is to be composed of a number of arbitrators other than one, three, or five, the arbitrators shall be appointed according to the method agreed upon by the parties. **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 each of the arbitrators and designate one of them as the presiding arbitrator. The appointing authority may, if it deems it appropriate, reappoint previous appointees. **4.** In appointing arbitrators pursuant to these Rules, the parties and the appointing authority are free to choose persons who are not Members of the Permanent Court of Arbitration. ### Articles 11-13 – Disclosures by and Challenge of Arbitrators **Article 11** **1.** 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 proceedings, 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. **2.** The disclosure required by paragraph 1 shall be made by means of a written statement to be sent to the parties, the other arbitrators and the International Bureau. **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 for challenge as set out 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 the appointment of the challenged arbitrator has been notified to the challenging party or after the party becomes aware of the circumstances giving rise to the challenge, whichever is later. **2.** The notice of challenge shall be filed with the International Bureau and sent to the other party, the challenged arbitrator, and 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 other parties shall be notified by the International Bureau of the challenge. Within 15 days of such notification, any such party may agree to the challenge or submit a counter-statement to the International Bureau. No party is obliged to give reasons for agreeing to or refusing to agree to a challenge. **4.** If all other parties agree to the challenge, the arbitrator shall be withdrawn and a replacement arbitrator shall be appointed pursuant to the procedure set out in articles 8 to 10. If the challenged arbitrator withdraws, this shall be without prejudice to the right of the challenging party to pursue its challenge. In both cases, the arbitral proceedings shall be suspended until a replacement arbitrator has been appointed. The suspension of the arbitral proceedings shall be without prejudice to the right of the arbitral tribunal to continue the proceedings. **5.** If any party does not agree to the challenge, the challenging party may refer the matter to the appointing authority for decision. The decision of the appointing authority on the challenge shall be final. ### Article 14 – Replacement of an Arbitrator **1.** An arbitrator shall be replaced if the arbitrator withdraws, or the parties agree that the arbitrator's mandate shall be terminated, or the arbitrator's mandate is otherwise terminated. **2.** If an arbitrator is replaced, the proceedings shall resume at the stage they had reached when the vacancy occurred, unless the arbitral tribunal decides otherwise. **3.** The replacement arbitrator shall be appointed pursuant to the procedure set out in articles 8 to 10, and the proceedings shall resume from the stage they had reached when the vacancy occurred or when the arbitral tribunal decided to resume the proceedings. **4.** If a sole arbitrator is replaced, the proceedings shall resume at the stage they had reached when the vacancy occurred, unless the parties agree otherwise. ### Article 15 – Repetition of Hearings in the Event of the Replacement of an Arbitrator **1.** If an arbitrator is replaced, the new arbitrator shall decide whether any prior hearings shall be repeated. If the new arbitrator decides that prior hearings shall be repeated, the repeat hearings shall take place within a period of time to be fixed by the new arbitrator. **2.** If the new arbitrator decides that prior hearings shall not be repeated, the new arbitrator shall determine, after consultation with the parties, what further proceedings, if any, are necessary. ### Article 16 – Exclusion of Liability **1.** Neither the Secretary-General nor any member of the International Bureau nor any arbitrator shall be liable to any person for any act or omission in connection with any arbitration under these Rules, unless such limitation of liability is excluded by applicable law. **2.** The preceding paragraph shall be without prejudice to any liability of the parties under applicable law. ### SECTION III. ARBITRAL PROCEEDINGS ### Article 17 – General Provisions **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 to present its case. **2.** As soon as practicable after its constitution, the arbitral tribunal shall inform the parties of the general procedure it intends to follow, including whether it intends to apply any techniques for the efficient management or resolution of disputes, such as case management conferencing, procedural timetables, or document production. The arbitral tribunal shall consult with the parties with respect to such general procedure and shall thereafter be guided by any agreement between the parties on such matters. **3.** The arbitral tribunal shall, within a reasonable time after its constitution, establish the terms of reference or, in the absence of such terms of reference, define its tasks and duties in relation to the arbitration. The terms of reference shall, or such definition shall, include a list of the issues to be decided and shall be communicated to the parties and the International Bureau. ### Article 18 – Place of Arbitration **1.** The parties may agree on the place of arbitration. Failing such agreement, the place of arbitration shall be determined by the arbitral tribunal having regard to all relevant circumstances. **2.** The arbitral tribunal may, unless otherwise agreed by the parties, meet at any place it considers appropriate for hearings, for deliberations, or for inspections of goods, other property or documents. The arbitral tribunal shall give the parties sufficient notice of such meetings. ### Article 19 – Language **1.** Subject to any agreement by the parties, the arbitral tribunal shall determine the language or languages to be used in the proceedings. This determination shall apply to the statement of claim and defence, to any hearings and, if the arbitral tribunal considers it appropriate, to any other submissions in the proceedings. **2.** The arbitral tribunal may order that any documents delivered in another language shall be accompanied by a translation into the language or languages so determined. ### Article 20 – Statement of Claim **1.** Within a period of time to be determined by the arbitral tribunal, the claimant shall submit to the tribunal and the other parties a statement of claim containing: (a) The names and addresses of the parties; (b) A description of the circumstances that give rise to the dispute; (c) A description of the claims and the legal grounds, or a statement of the facts and law on which each claim is based; and (d) The relief or remedy sought. **2.** The claimant shall annex to the statement of claim all documents it relies on, or shall submit a list of such documents. ### Article 21 – Statement of Defence **1.** Within a period of time to be determined by the arbitral tribunal, the respondent shall submit to the tribunal and the other parties a statement of defence containing: (a) The name and address of the respondent; (b) A statement responding to each of the claimant's claims, facts and legal grounds, or a statement of the facts and law on which each response is based; (c) Any counterclaim or set-off, together with the documents and information on which the respondent relies in support thereof; and (d) The relief or remedy sought in relation to any counterclaim. **2.** The respondent shall annex to the statement of defence all documents on which it relies, or shall submit a list of such documents. ### Article 22 – Amendments to the Claim or Defence **1.** During the course of the arbitral proceedings, a party may amend or supplement its claims or defence, including any counterclaim or set-off, unless the arbitral tribunal considers it inappropriate to allow such amendment, having regard to the delay in making it or prejudice to the other party or any other relevant circumstance. A counterclaim may not be made if the arbitral tribunal considers it outside the scope of the arbitration agreement. **2.** No party shall be bound by any amendment or supplement it makes to its claims or defence unless it is accepted by the other parties or approved by the arbitral tribunal. ### Article 23 – Pleas as to the Jurisdiction of the Arbitral Tribunal **1.** The arbitral tribunal shall have the power to rule on its own jurisdiction, including any objection 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 and void shall not entail ipso jure 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 set-off, in the reply to the counterclaim. A party shall not be 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 promptly after the arbitral tribunal has indicated its intention to decide on a matter not covered by the arbitration agreement or, as the case may be, after the arbitral tribunal proceeds on that matter. **3.** The arbitral tribunal may, in the event of a plea as referred to in paragraph 2, either on the basis of the documents produced by the parties or after hearing the parties, rule on the plea as a preliminary question or join such plea to the merits of the case. The arbitral tribunal may continue the arbitral proceedings and make an award notwithstanding any pending challenge to its jurisdiction. ### Article 24 – Further Written Statements **1.** The arbitral tribunal shall decide which further written statements, in addition to the statement of claim and statement of defence, shall be required from the parties or may be presented by them, and shall fix the periods of time for submitting such statements. **2.** The periods of time fixed for the submission of the written statements should not exceed 45 days. However, the arbitral tribunal may extend such time limits if it considers such extension justified. ### Article 25 – Periods of Time **1.** The periods of time fixed by the arbitral tribunal for the submission of written statements, including the statement of claim and statement of defence, may be extended by agreement of the parties or by the arbitral tribunal if it considers such extension justified. **2.** The arbitral tribunal may direct that the reply to any counterclaim and the answer to any reply shall be submitted within a fixed period of time. ### Article 26 – Interim Measures **1.** At the request of a party, the arbitral tribunal may grant interim measures in accordance with the applicable law. **2.** The interim measures shall be formulated in a decision. The arbitral tribunal shall be entitled to order the parties to provide appropriate security in connection with a measure it has ordered. **3.** A request for interim measures addressed by a party to any judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement. Such request shall not，哪怕是 deemed to be a waiver of the right of the arbitral tribunal to order appropriate interim measures. **4.** The arbitral tribunal may order the preservation, storage, sale or other disposal of any property or assets that are the subject matter of the dispute. ### Article 27 – Evidence **1.** Each party shall have the burden of establishing the facts in support of its claim or defence. **2.** Witnesses, including expert witnesses, who are presented by a party to testify to the arbitral tribunal shall be heard by the tribunal. The tribunal may also hear other witnesses or expert witnesses not presented by either party with the agreement of the parties. **3.** The parties may agree, or the arbitral tribunal may order, that witnesses, including expert witnesses, are to be examined by testimony, cross-examination or other methods. **4.** The arbitral tribunal may direct that the testimony of witnesses, including expert witnesses, be presented in written form, either as signed statements or sworn affidavits. **5.** Subject to any limitations agreed by the parties or ordered by the arbitral tribunal, all documents, records, and other materials supplied by one party to the other shall be made available to the other party. **6.** The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of the evidence offered. ### Article 28 – Hearings **1.** In the event that an oral hearing is to be held, the arbitral tribunal shall give the parties adequate advance notice of the date, time and place of any such hearing. **2.** Witnesses and experts may be heard at a hearing and examined, cross-examined or re-examined, as the case may be, under the supervision of the arbitral tribunal. **3.** Hearings shall be held in private unless the parties agree otherwise. **4.** The arbitral tribunal shall have the power to require the production of documents, exhibits or other evidence by the parties within such time as the arbitral tribunal shall determine. ### Article 29 – Experts Appointed by the Arbitral Tribunal **1.** After consultation with the parties, the arbitral tribunal may appoint one or more independent experts to report to it on specific issues designated by the arbitral tribunal. **2.** The expert shall, upon receipt of the information and documents requested by the arbitral tribunal, include in his or her report a statement of his or her findings and conclusions on the issues referred to him or her, together with a statement of the expertise and methodology used. **3.** Copies of the expert's report shall be transmitted to the parties, which shall have an opportunity to express their opinion on the report. **4.** Upon receipt of the expert's report, the arbitral tribunal shall, upon the request of a party, provide such party with an opportunity to question the expert at a hearing. In such hearing, the parties may present expert witnesses to testify on points of substance. ### Article 30 – Default **1.** If the claimant fails to submit its statement of claim in accordance with article 20, the arbitral tribunal shall terminate the proceedings. **2.** If the respondent fails to submit its statement of defence in accordance with article 21, the arbitral tribunal shall order the proceedings to continue. **3.** If a party fails to appear at a hearing or to produce documentary evidence, the arbitral tribunal may continue the proceedings and make the award on the evidence before it. ### Article 31 – Closure of Proceedings **1.** When satisfied that the parties have had a reasonable opportunity to present their cases, the arbitral tribunal shall declare the proceedings closed. **2.** The arbitral tribunal may, on its own initiative or upon the application of a party, reopen the proceedings at any time before the award is made if it considers it necessary to do so. ### Article 32 – Waiver of Right to Object **1.** A party who knows that any provision of these Rules or any requirement under the arbitration agreement has not been complied with, and who fails to state promptly its objection to such non-compliance, shall be deemed to have waived its right to object. ### SECTION IV. THE AWARD ### Article 33 – Decisions **1.** When there is more than one arbitrator, any decision of the arbitral tribunal shall be made by a majority of the arbitrators. If any arbitrator refuses to participate in a decision for any reason, the majority may proceed and decide the matter, provided that the refusing arbitrator has been given reasonable notice and opportunity to participate. **2.** In the case of questions of procedure, when there is no majority or when the arbitration is to be conducted by a sole arbitrator, the presiding arbitrator may decide on such questions of procedure, if authorized to do so by the arbitral tribunal or, failing such authorization, after consultation with the other arbitrators. ### Article 34 – Form and Effect of the Award **1.** The award shall be made in writing and shall state the reasons on which it is based, unless the parties have agreed that no reasons are to be given. **2.** The award shall state the date and place of the arbitration in accordance with article 18. **3.** The award shall be signed by the arbitrators and shall contain a statement as to the quorum. **4.** If any arbitrator refuses to sign the award, the signature of the majority shall be sufficient and shall state the reason for the absence of the other signatures. **5.** The award shall be delivered to each party by sending copies thereof by registered post or by courier, or by any other means that provides a record of delivery or attempted delivery. Copies shall also be transmitted to the parties by the International Bureau. **6.** By agreeing to arbitration under these Rules, the parties undertake to carry out any award without delay. **7.** The award shall be final and binding on the parties from the date it is made. ### Article 35 – Applicable Law, Amiable Compositeur **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 such rules of law as it determines to be appropriate. **2.** The arbitral tribunal shall decide as amiables compositeurs only if the parties have expressly authorized the arbitral tribunal to do so. **3.** The arbitral tribunal shall not decide as ex aequo et bono unless the parties have expressly authorized the arbitral tribunal to do so. **4.** 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. ### Article 36 – Settlement or Other Grounds for Termination **1.** If the parties reach a settlement before an award is made, 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 tribunal, record the settlement in the form of a consent award. **2.** If it becomes unnecessary or impossible for the arbitral tribunal to continue the arbitral proceedings for any reason, 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 a party raises justifiable grounds for objection. **3.** The order for termination or the consent award shall be issued by the arbitral tribunal and shall state the circumstances of the termination. **4.** A consent award shall be made in accordance with the provisions of article 34. ### Article 37 – Interpretation of the Award **1.** Within 30 days after receipt of the award, any party may, with notice to the other party, request that the arbitral tribunal give an interpretation of the award. **2.** The interpretation shall be given in writing within 45 days after receipt of the request. The interpretation shall form part of the award. ### Article 38 – Correction of the Award **1.** Within 30 days after receipt of the award, any party may, with notice to the other party, request that the arbitral tribunal correct any clerical, typographical or similar errors in the award. **2.** The arbitral tribunal may correct the award on its own initiative within 30 days after the date of the award. **3.** Such corrections shall be in writing and shall form part of the award. The provisions of article 34, paragraphs 4 to 6, shall apply. ### Article 39 – Additional Award **1.** Within 30 days after receipt of the award, any party may, with notice to the other party, request that the arbitral tribunal make an additional award as to claims or counterclaims presented in the proceedings but not decided in the award. **2.** If the arbitral tribunal considers the request for an additional award to be justified, it shall complete its work on the additional award within 60 days after receipt of the request. **3.** The additional award shall be made in accordance with the provisions of article 34. ### Article 40 – Definition of Costs **1.** The arbitral tribunal shall fix the costs of arbitration in the award. **2.** The term "costs" includes only: (a) The fees of the arbitral tribunal, which shall be fixed individually by the appointing authority or directly by the parties, as the case may be; (b) The reasonable travel and other expenses incurred by the arbitrators; (c) The reasonable costs for expert advice and for other assistance required by the arbitral tribunal; (d) The reasonable travel and other expenses of witnesses, to the extent approved by the arbitral tribunal; (e) The costs for legal representation and assistance of the successful party, if such costs were claimed during the arbitration and the arbitral tribunal determines them to be reasonable; (f) Any fees and expenses of the appointing authority. ### Article 41 – Fees and Expenses of Arbitrators **1.** Each arbitrator shall be entitled to request the payment of fees and expenses in accordance with a fee schedule fixed by the appointing authority, if any, or otherwise in accordance with such fee schedule as the parties may agree, or, failing such agreement, as the arbitral tribunal shall determine. **2.** If the appointing authority fixes the arbitrators' fees and expenses, it shall apply the fee schedule in effect on the date of the commencement of the arbitration. ### Article 42 – Allocation of Costs **1.** The costs of arbitration shall in principle be borne by the unsuccessful party or parties. However, the arbitral tribunal may apportion 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 its discretion, apportion the costs of arbitration if it determines that such apportionment is reasonable. In exercising such discretion, the arbitral tribunal may take into account such factors as it considers relevant, including the manner in which the parties conducted the arbitration. **3.** With respect to the costs of legal representation and assistance referred to in article 40, paragraph 2(e), the arbitral tribunal, in exercising its discretion under paragraphs 1 and 2, may take into account the outcome of the arbitration and the conduct of the parties. ### Article 43 – Deposit of Costs **1.** The arbitral tribunal may require the parties to deposit an equal amount in advance to cover the costs referred to in article 40, paragraphs 2(a) to (d). **2.** If the matter is not yet at a stage where such a deposit may be required, the arbitral tribunal shall request the deposit when appropriate. **3.** The arbitral tribunal may require the parties to deposit additional amounts as the proceedings progress. **4.** If a deposit is not paid within 15 days after receipt of the request, the arbitral tribunal shall so inform the parties in order that one or another of them may make the required payment. **5.** If neither party makes the required payment, the arbitral tribunal may order the suspension or termination of the arbitration. **Fresa Li:** PCA Arbitration Rules are an optimized version based on the UNCITRAL Arbitration Rules, making them the most historically significant and broadly representative institutional framework in the international arbitration system, and the authoritative framework for inter-State and investor-State disputes. The 2012 edition and the 2024 Optional Protocol together form the foundational framework for State-to-State dispute resolution. At the operational level, the PCA's administrative flexibility is notable—its ability to serve as appointing authority under both ad hoc and institutional frameworks, combined with the Peace Palace's facilities for hearings involving multiple States, adds legitimacy to sensitive proceedings. Practitioners in investor-State disputes should note that the PCA's financial regulations impose cost structures distinct from commercial institutions, which must be factored into the claims strategy. --- **Dr. Venessa:** The PCA is the only institution among the ten handling state-to-state disputes — its irreplaceable institutional value and its heaviest Agent-era burden. The 2024 Optional Protocols added emergency interim measures and expedited procedures built on UNCITRAL Rules. But AI involvement in state disputes differs fundamentally from commercial arbitration: autonomous weapons system accountability algorithmic trade sanction legality AI-driven cyberattack attribution — these disputes involve sovereignty not contracts. The PCA deep fracture lies in the collision between sovereign immunity and AI accountability. Article 1(2) provides that state consent to arbitration constitutes waiver of jurisdictional immunity but can AI system conduct be attributed to states? If an autonomous weapons system makes an attack decision is it state action or system action? SVAMC Guideline 6 non-delegation principle carries more profound implications in international law — delegatus non potest delegare is originally an administrative law principle but when applied to states delegating military decisions to AI it touches the definition of sovereignty itself. The PCA is the only possible institutional home for these disputes yet its rules are wholly unprepared for Agent participation in interstate disputes. This is not a rule amendment problem — it requires updating the foundations of international law. ------------------------------------------------------------ ## Chapter 9: CRCICA Cairo Regional Centre for International Commercial Arbitration ## 第九章：开罗区域国际商事仲裁中心 ### Institutional Profile ## About the Cairo Regional Centre for International Commercial Arbitration (CRCICA) The Cairo Regional Centre for International Commercial Arbitration (CRCICA) was established in 1979 under the auspices of the Asian-African Legal Consultative Committee (AALCC), making it one of the oldest arbitral institutions in the developing world. Located in Cairo, Egypt, CRCICA serves as the premier regional center for international commercial arbitration in Africa and the Middle East. CRCICA was established in response to the need for fair, inexpensive, and expeditious dispute resolution procedures for economic and commercial transactions involving parties from developing countries. The institution operates as an independent, non-profit organization governed by its own statutes and regulations. CRCICA provides comprehensive arbitration services, including institutional administration of arbitrations conducted under the UNCITRAL Arbitration Rules (as modified for CRCICA), facilities and support for ad hoc arbitrations, assistance with enforcement of arbitral awards, and training and education in international arbitration. The CRCICA Arbitration Rules (2022) incorporate the UNCITRAL Arbitration Rules as the basis for proceedings, with certain modifications and adaptations tailored to the needs of parties using the Centre. The Rules are available in English, French, and Arabic, reflecting the multilingual character of the region. **【中文翻译】** 开罗区域国际商业仲裁中心（CRCICA）于1979年在亚洲-非洲法律协商委员会（AALCC）的主持下成立，是发展中世界最古老的仲裁机构之一。CRCICA总部位于埃及开罗，是非洲和中东地区首屈一指的区域国际商业仲裁中心。 CRCICA的成立是为了满足涉及发展中国家当事人经济和商业交易的公平、经济和快速争议解决程序的需要。该机构作为独立非营利组织运作，由其自身的章程和条例管理。 CRCICA提供全面的仲裁服务，包括依据《联合国国际贸易法委员会仲裁规则》（经CRCICA修订版）进行的机构管理仲裁，为临时仲裁提供设施和支持，协助执行仲裁裁决，以及国际仲裁培训和教育。 2022年《CRCICA仲裁规则》以《联合国国际贸易法委员会仲裁规则》为程序基础，并作了针对使用该中心当事人的需要的某些修改和适应性调整。该规则有英文、法文和阿拉伯文版本，反映了该地区多语言的特点。 ### Arbitration Rules (English Original) ## CRCICA ARBITRATION RULES 2022 ### ARTICLE 1 – DEFINITIONS **1.1** In these Rules: (a) "Centre" means the Cairo Regional Centre for International Commercial Arbitration; (b) "Director" means the Director of the Centre and includes any officer acting on his behalf; (c) "Party" means a party to the arbitration and includes any person who has been joined as an additional party to the arbitration; (d) "Arbitral Tribunal" means a sole arbitrator or a panel of arbitrators, as the case may be; (e) "Claimant" means the party initiating the arbitration proceedings; (f) "Respondent" means the other party to the arbitration; (g) "Request for Arbitration" means the request for arbitration filed by the Claimant with the Centre. ### ARTICLE 2 – SCOPE OF APPLICATION **2.1** These Rules apply to arbitration under the auspices of the Centre. **2.2** The Centre shall administer arbitrations in accordance with these Rules. **2.3** These Rules shall apply subject to any agreement between the parties. ### ARTICLE 3 – NOTICE OF ARBITRATION **3.1** The Claimant shall send a Notice of Arbitration in writing to the Respondent and to the Centre. **3.2** The date of receipt of the Notice of Arbitration by the Respondent shall be deemed to be the date of commencement of the arbitration proceedings. **3.3** The Notice of Arbitration shall contain: (a) The names and addresses of the parties; (b) Reference to the contract or other instrument out of or in relation to which the dispute arises; (c) Reference to the arbitration agreement; (d) A statement of the nature of the dispute and an indication of the amount involved, if quantifiable; (e) A brief statement of the claim; (f) The Relief or remedy sought; (g) The Claimant's proposal as to the number of arbitrators, their qualifications and the seat and language of the arbitration, if not already agreed; (h) The Claimant's nomination of an arbitrator, if the parties have agreed that the Arbitral Tribunal shall be composed in this manner. ### ARTICLE 4 – RESPONSE TO THE NOTICE OF ARBITRATION **4.1** Within 30 days from receipt of the Notice of Arbitration, the Respondent shall send a Response to the Notice of Arbitration in writing to the Claimant and to the Centre. **4.2** The Response shall contain: (a) The name and address of the Respondent; (b) Confirmation or denial of all or part of the claims; (c) A brief statement of the facts and law relevant to the dispute; (d) Any counterclaim, together with the amount involved, if quantifiable; (e) The Respondent's proposal as to the number of arbitrators, their qualifications and the seat and language of the arbitration, if not already agreed; (f) The Respondent's nomination of an arbitrator, if the parties have agreed that the Arbitral Tribunal shall be composed in this manner. ### ARTICLE 5 – NUMBER OF ARBITRATORS **5.1** The number of arbitrators shall be determined in accordance with the agreement of the parties. **5.2** If the parties have not agreed on the number of arbitrators, the Centre shall determine the number, taking into account the complexity and amount in dispute. ### ARTICLE 6 – CONSTITUTION OF THE ARBITRAL TRIBUNAL **6.1** In an arbitration with a sole arbitrator, the parties shall jointly nominate the arbitrator within 30 days after the receipt of the Response to the Notice of Arbitration by the Claimant. **6.2** If the parties fail to nominate a sole arbitrator within the time limit, the Centre shall appoint the arbitrator. **6.3** In an arbitration with three arbitrators: (a) Each party shall nominate one arbitrator; (b) The two arbitrators so nominated shall appoint the third arbitrator, who shall be the presiding arbitrator; (c) If a party fails to nominate an arbitrator within the time limit, the Centre shall appoint the arbitrator. **6.4** If the two party-nominated arbitrators fail to appoint the third arbitrator within 30 days of the nomination of the second arbitrator, the Centre shall appoint the third arbitrator. **6.5** If there are multiple Claimants or multiple Respondents, the multiple Claimants or multiple Respondents shall jointly nominate the arbitrator in accordance with this Article. ### ARTICLE 7 – QUALIFICATIONS OF ARBITRATORS **7.1** Every arbitrator must be and remain impartial and independent of the parties throughout the arbitral proceedings. **7.2** Every arbitrator shall, upon appointment, disclose in writing to the parties and the Centre any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence. **7.3** An arbitrator shall disclose to the parties and the Centre any such circumstances that arise during the arbitral proceedings. ### ARTICLE 8 – CHALLENGE OF ARBITRATORS **8.1** A party may challenge an arbitrator if circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence. **8.2** A party intending to challenge an arbitrator shall send notice of the challenge to the Centre and to the other party within 15 days after becoming aware of the circumstances giving rise to the challenge. **8.3** The notice of challenge shall be in writing and shall state the reasons for the challenge. **8.4** The Centre shall decide on the challenge after consulting with the arbitrator concerned and the other party. **8.5** The decision of the Centre shall be final. ### ARTICLE 9 – REPLACEMENT OF ARBITRATORS **9.1** An arbitrator's mandate shall terminate if: (a) The Centre accepts the challenge; (b) The arbitrator resigns; (c) The arbitrator dies; (d) The Centre decides that the arbitrator is not fulfilling his or her duties. **9.2** If an arbitrator is replaced, the proceedings shall resume at the stage they had reached when the vacancy occurred, unless the Tribunal decides otherwise. ### ARTICLE 10 – CONDUCT OF PROCEEDINGS **10.1** The Arbitral Tribunal shall conduct the proceedings in an efficient and cost-effective manner. **10.2** The Arbitral Tribunal shall treat the parties with equality and shall give each party a reasonable opportunity to present its case. **10.3** The Arbitral Tribunal shall determine the procedure to be followed, taking into account the views of the parties. **10.4** The Arbitral Tribunal may hold hearings for the presentation of evidence and for oral argument. ### ARTICLE 11 – STATEMENT OF CLAIM AND DEFENCE **11.1** Within a period of time to be fixed by the Arbitral Tribunal, the Claimant shall submit a Statement of Claim containing: (a) A detailed statement of facts; (b) A statement of the legal grounds or arguments supporting each claim; (c) The Relief or remedy sought. **11.2** Within a period of time to be fixed by the Arbitral Tribunal, the Respondent shall submit a Statement of Defence containing: (a) A detailed statement of defence to the Statement of Claim; (b) Any counterclaim, together with the legal grounds or arguments supporting it; (c) The Relief or remedy sought in relation to any counterclaim. **11.3** Each party shall annex to its statement all documents on which it relies. ### ARTICLE 12 – EVIDENCE **12.1** Each party shall prove the facts on which it relies for its claims or defence. **12.2** The Arbitral Tribunal may order the parties to produce documents, exhibits or other evidence within such time as it may determine. **12.3** The Arbitral Tribunal may appoint experts to report on specific issues. **12.4** The Arbitral Tribunal shall determine the admissibility, relevance, materiality and weight of evidence. ### ARTICLE 13 – HEARINGS **13.1** If the Arbitral Tribunal decides to hold a hearing, it shall give the parties adequate notice of the date, time and place of the hearing. **13.2** Hearings shall be held in private unless the parties agree otherwise. **13.3** The Arbitral Tribunal may record the hearings in any manner it considers appropriate. ### ARTICLE 14 – DEFAULT **14.1** If the Claimant fails to submit the Statement of Claim, the Arbitral Tribunal may order the termination of the proceedings. **14.2** If the Respondent fails to submit the Statement of Defence, the Arbitral Tribunal shall continue the proceedings. **14.3** If a party fails to appear at a hearing or to produce documentary evidence, the Arbitral Tribunal may continue the proceedings and make the award on the evidence before it. ### ARTICLE 15 – CLOSURE OF PROCEEDINGS **15.1** When satisfied that the parties have had a reasonable opportunity to present their cases, the Arbitral Tribunal shall declare the proceedings closed. ### ARTICLE 16 – MAKING OF AWARD AND TIME LIMITS **16.1** The Arbitral Tribunal shall make the award within a reasonable time after the closure of proceedings. **16.2** The Centre may extend the time for making the award upon the request of the Arbitral Tribunal or on its own initiative. ### ARTICLE 17 – AWARD **17.1** The Arbitral Tribunal shall make the award in writing. **17.2** The award shall state the reasons on which it is based, unless the parties have agreed that no reasons are to be given. **17.3** The award shall state the date and place of the arbitration. **17.4** The award shall be signed by the arbitrators. If there is more than one arbitrator and any arbitrator refuses to sign, the signature of the majority shall be sufficient, provided that the reason for the omission of the signature is stated. **17.5** The award shall be sent to the parties and to the Centre. **17.6** The award shall be final and binding on the parties from the date it is made. **17.7** By agreeing to arbitration under these Rules, the parties undertake to carry out any award without delay. ### ARTICLE 18 – INTERPRETATION AND CORRECTION OF AWARD **18.1** Within 30 days after receipt of the award, any party may, with notice to the other party, request: (a) Interpretation of the award; (b) Correction of any clerical, typographical or similar errors in the award. **18.2** The Arbitral Tribunal shall make the interpretation or correction in writing within 30 days after receipt of the request. **18.3** The interpretation or correction shall form part of the award. ### ARTICLE 19 – ADDITIONAL AWARD **19.1** Within 30 days after receipt of the award, any party may, with notice to the other party, request that the Arbitral Tribunal make an additional award as to claims presented in the proceedings but not decided in the award. **19.2** The Arbitral Tribunal shall make the additional award within 60 days after receipt of the request. ### ARTICLE 20 – SETTLEMENT **20.1** If the parties reach a settlement during the proceedings, the Arbitral Tribunal shall terminate the proceedings if so requested by the parties. **20.2** If the parties request, the Arbitral Tribunal may record the settlement in the form of a consent award. ### ARTICLE 21 – COSTS **21.1** The costs of arbitration shall be fixed by the Centre in accordance with its Schedule of Costs in force at the time of the commencement of the arbitration. **21.2** The costs of arbitration shall in principle be borne by the unsuccessful party. **21.3** The Arbitral Tribunal may apportion the costs between the parties if it determines that such apportionment is reasonable. ### ARTICLE 22 – DEPOSIT OF COSTS **22.1** The Centre may require the parties to deposit amounts in advance to cover the costs of arbitration. **22.2** If the required deposit is not made, the Centre may suspend or terminate the arbitration. ### ARTICLE 23 – WAIVER **23.1** A party who knows that any provision of these Rules or any agreed procedural requirement has not been complied with, and who fails to state promptly its objection to such non-compliance, shall be deemed to have waived its right to object. ### ARTICLE 24 – CONFIDENTIALITY **24.1** The Centre, the Arbitral Tribunal and the parties shall maintain the confidentiality of the arbitration. **24.2** The Centre may publish information concerning the arbitration, provided that no party is identified by name. ### ARTICLE 25 – EXCLUSION OF LIABILITY **25.1** Neither the Centre nor any arbitrator shall be liable to any person for any act or omission in connection with any arbitration under these Rules, unless such limitation of liability is excluded by applicable law. ### ARTICLE 26 – SEAT AND LANGUAGE **26.1** The seat of arbitration shall be determined in accordance with the agreement of the parties. In the absence of such agreement, the Centre shall determine the seat. **26.2** The language of arbitration shall be determined in accordance with the agreement of the parties. In the absence of such agreement, the Arbitral Tribunal shall determine the language. ### ARTICLE 27 – APPLICABLE LAW **27.1** The Arbitral Tribunal shall decide the dispute in accordance with the rules of law chosen by the parties or agreed upon by them. **27.2** Failing such choice or agreement, the Arbitral Tribunal shall apply the rules of law it determines to be appropriate. **27.3** The Arbitral Tribunal shall decide as amiables compositeurs only if the parties have expressly authorized it to do so. ### ARTICLE 28 – INTERIM MEASURES **28.1** At the request of a party, the Arbitral Tribunal may grant interim measures in accordance with the applicable law. **28.2** The Arbitral Tribunal may order the provision of appropriate security in connection with any such measures. ### ARTICLE 29 – GENERAL PROVISIONS **29.1** In all matters not expressly provided for in these Rules, the Centre, the Arbitral Tribunal and the parties shall act in the spirit of these Rules and shall make every effort to ensure that the award is enforceable at law. **Fresa Li:** CRCICA Arbitration Rules play an increasingly important role in dispute resolution across Africa and the Middle East. The 2022 edition brings the CRCICA framework into closer alignment with international mainstream standards while preserving local characteristics that serve African and Middle Eastern parties. CRCICA has become the most representative arbitral institution in the region. As a practitioner, I note that CRCICA's Article 7 on the arbitral tribunal's authority to rule on its own jurisdiction borrows effectively from the UNCITRAL competence-competence model, while its cost schedule is calibrated to the local economic environment—a thoughtful balance between international credibility and accessibility. For disputes involving energy, infrastructure, or construction projects in North Africa. --- **Dr. Venessa:** CRCICA 2022 Rules are based on UNCITRAL with trilingual versions (English French Arabic) reflecting the developing world multilingual reality. Article 7 emphasizes arbitrator impartiality and independence inheriting the UNCITRAL model. As the oldest arbitral institution in Africa and the Middle East CRCICA serves the region with the most uneven technological infrastructure. This unevenness is CRCICA greatest institutional challenge in the Agent era. While SIAC and HKIAC advance digitization and AI governance CRCICA parties may lack reliable internet access. Agent arbitration presupposes digital infrastructure and the digital divide means Agent arbitration may widen rather than bridge the arbitration justice gap. SVAMC AI Guideline 1 assumes all participants can understand each AI tools relevant limitations biases and risks — an assumption that may not hold in CRCICA service region. If Agent arbitration becomes mainstream CRCICA parties may face structural procedural disadvantage due to lack of Agent capabilities — a disadvantage harder to bridge than economic inequality. CRCICA imperative is not how to introduce Agent arbitration but how to safeguard its parties procedural equality in the Agent era. ------------------------------------------------------------ ## Chapter 10: CAM-CCBC Brazil-Canada Chamber of Commerce Arbitration Center ## 第十章：巴西-加拿大商会仲裁与调解中心 ### Institutional Profile ## About the Centro de Arbitragem e Mediação da Câmara de Comércio Brasil-Canadá (CAM-CCBC) The Centro de Arbitragem e Mediação da Câmara de Comércio Brasil-Canadá (CAM-CCBC) is an independent dispute resolution body affiliated with the Chamber of Commerce Brazil-Canada. Established to serve the Brazilian and international business communities, the CAM-CCBC provides arbitration, mediation, and other alternative dispute resolution services regardless of the nationality, legal seat, or membership status of the parties. Headquartered in São Paulo, Brazil, the CAM-CCBC has emerged as one of Latin America's most respected arbitral institutions. It administers proceedings seated in Brazil or abroad and is widely recognized for its efficiency, independence, and adherence to international best practices. The CAM-CCBC Arbitration Rules (2022) represent a comprehensive modernization of the institution's procedural framework, incorporating contemporary innovations in international arbitration. Key features include provisions for emergency arbitrators, consolidation of proceedings, joinder of additional parties, multiple contracts, expedited procedures, and detailed confidentiality and data protection provisions. The CAM-CCBC maintains a diverse panel of arbitrators and mediators, provides state-of-the-art facilities in São Paulo, and offers virtual hearing capabilities. The institution is governed by its own Internal Rules approved by the Advisory Board of the Chamber of Commerce Brazil-Canada. **【中文翻译】** 巴西-加拿大商会仲裁与调解中心（CAM-CCBC）是隶属于巴西-加拿大商会的独立争议解决机构。CAM-CCBC的成立旨在为巴西和国际商界服务，无论当事人的国籍、法律所在地或成员资格如何，均提供仲裁、调解和其他替代性争议解决服务。 CAM-CCBC总部位于巴西圣保罗，已成为拉丁美洲最受推崇的仲裁机构之一。它管理在巴西境内或境外进行的程序，以其效率、独立性及对国际最佳实践的坚持而广受认可。 2022年《CAM-CCBC仲裁规则》代表了该机构程序框架的全面现代化，纳入了国际仲裁的当代创新。主要特点包括关于紧急仲裁员、程序合并、追加当事人、多份合同、快速程序以及详细的保密和数据保护条款。 CAM-CCBC维护一个多元化的仲裁员和调解员小组，在圣保罗提供最先进的设施，并提供虚拟庭审能力。该机构由巴西-加拿大商会咨询委员会批准的内部规则管理。 ### Arbitration Rules (English Original) ## CAM-CCBC ARBITRATION RULES 2022 ### CHAPTER I – GENERAL PROVISIONS ### Article 1 – Scope of Application of the Rules **1.1** The arbitral proceeding shall be administered by the Center for Arbitration and Mediation of the Chamber of Commerce Brazil-Canada (hereinafter referred to as CAM-CCBC) and in accordance with these Rules if the parties agree that the arbitration shall be administered by the CAM-CCBC and/or ruled by the CAM-CCBC Rules, except in the case of article 1.2. **1.2** The CAM-CCBC may also administer proceedings governed by the Arbitration Rules of the United Nations Commission on International Trade Law (UNCITRAL). **1.3** The parties may mutually agree on modifications to these Rules. Changes shall only apply to the arbitration proceeding in question and if they do not alter provisions on the organization and management model proposed by the CAM-CCBC. ### Article 2 – CAM-CCBC **2.1** The CAM-CCBC is an independent body of the Chamber of Commerce Brazil-Canada and is governed by its own Internal Rules approved according to the Bylaws of the Chamber of Commerce Brazil-Canada. **2.2** The CAM-CCBC aims to administer arbitration, mediation, and other alternative dispute resolution (ADR) proceedings regardless of nationality, legal seat, origin, or membership to the Chamber of Commerce Brazil-Canada. **2.3** The CAM-CCBC is located in São Paulo, the Capital of the State of São Paulo, Brazil, and may act in the administration of proceedings seated anywhere in Brazil or abroad, according to article 4.1 of these Rules. **2.4** The CAM-CCBC does not itself resolve disputes submitted to it. ### Article 3 – Written Communication and Time Limits **3.1** Written communications (submissions, notices, subpoenas) regarding the arbitral proceedings shall be sent electronically with proof of delivery or receipt, unless parties expressly agree otherwise. **3.2** Each party shall inform its address to receive written communication. In the absence of an indication, communications shall be sent to the address (electronic or physical) of the receiving party or its representative which has been informed by any other party. **3.3** Communication delivered to the address informed by the party shall be deemed received. In the absence of an indication by the party itself, the communication shall be deemed received if it is delivered: (i) directly to the addressee or their representative; (ii) at the registered office, primary residence, or postal address of the party or their representative; or (iii) at the addresses (electronic or physical) informed in the contract or in the arbitration agreement for receiving communications between the parties. **3.4** Periods of time will be continuous, start to run on the first business day following receipt of the communication and end on the day of its expiration. **3.5** Unless otherwise agreed upon by the parties, periods of time will be suspended during the recess period defined in the CAM-CCBC official calendar. **3.6** The periods of time provided for in these Rules may be modified by the arbitral tribunal or, within its competence, by the CAM-CCBC secretariat. **3.7** In the absence of a time limit provided for in these Rules or determined by the arbitral tribunal or by the CAM-CCBC secretariat, the period of time shall be of 10 (ten) days. ### CHAPTER II – SEAT, APPLICABLE LAW AND LANGUAGE ### Article 4 – Seat **4.1** The arbitral proceedings may be seated anywhere. **4.2** If the parties have not appointed a seat of arbitration, if there is no agreement as to the seat, or if the appointment is incomplete or unclear, the CAM-CCBC Presidency may, if necessary, establish a provisional seat, and then it will be up to the arbitral tribunal, once constituted, to decide on the definitive seat of arbitration after hearing the parties. **4.3** The acts of the arbitral proceedings may take place at a different location from that of the seat, or remotely by videoconference or other means of communication, at the discretion of the arbitral tribunal. ### Article 5 – Rules Governing the Proceedings and Applicable Law **5.1** The arbitration proceeding shall be governed by these Rules, subject to the provisions of article 1.3. In case of omission or divergence, it will be up to the arbitral tribunal to decide on the applicable procedural rules or to the CAM-CCBC before the arbitral tribunal is constituted. **5.2** The parties may choose the rules of law to be applied by the arbitral tribunal to the merits of the dispute. In case of silence or divergence, it shall be up to the arbitral tribunal to decide on the applicable law to the merits of the dispute. **5.3** The permission for the arbitral tribunal to rule ex aequo et bono must be expressed in the arbitration agreement or in the Terms of Reference. ### Article 6 – Language **6.1** The arbitration shall be conducted in the language agreed upon between the parties. **6.2** Should there be no agreement, the arbitral tribunal shall decide on the language considering all relevant circumstances. ### CHAPTER III – COMMENCING THE ARBITRATION ### Article 7 – Request for Arbitration **7.1** The party that wishes to commence an arbitration shall submit a request for arbitration to the CAM-CCBC, which shall contain the following items: (a) A contract or document with the arbitration agreement; (b) Complete name and identification of the parties involved in the arbitration, including their addresses and/or emails for notification; (c) Powers of attorney, if any; (d) Brief description of the subject matter of the arbitration and its claims; (e) Estimated amount of its claims; (f) Appointment of arbitration seat, language, and rules of law applicable to the arbitration; (g) Proposals or other relevant information as to the number and choice of arbitrators or, if set out by the parties, their appointment; and (h) Information on related parties and third-party funding (as per articles 9.5 and 9.6). **7.2** Together with the request for arbitration, the party shall attach proof of payment of the registration fee, as per the Schedule of Costs. ### Article 8 – Answer to the Request for Arbitration **8.1** The CAM-CCBC secretariat shall notify the other party as to the request for arbitration and the documents that support it, requesting that it presents its response, within 15 (fifteen) days, which shall contain: (a) Power of attorney, if any; (b) Confirmation of the addresses and/or emails for notifications; (c) A brief description of the subject matter of its claim and the respective amount involved, if any; (d) Comments on the seat, language, rules of law applicable to the arbitration; (e) Request for inclusion of parties, where applicable, as provided for in article 18; (f) Proposals or other relevant information as to the number and choice of arbitrators or their appointment, if the parties have agreed upon them; and (g) Information on related parties and third-party funding (as per articles 9.5 and 9.6). **8.2** The proceedings shall continue in the absence of any of the parties, provided that they are duly notified according to article 3.3. ### CHAPTER IV – ARBITRATORS AND CONSTITUTION OF THE ARBITRAL TRIBUNAL ### Article 9 – Arbitrators **9.1** The members of the list of arbitrators and/or other persons can be appointed by the parties as arbitrators always in accordance with the provisions of these Rules, the CAM-CCBC Code of Ethics, and with the requisites of independence and impartiality. **9.2** The arbitrator must remain independent and impartial throughout the entire arbitration. **9.3** The arbitrator must immediately disclose to the secretariat and to the parties any facts or circumstances that may raise reasonable doubts as to the arbitrator's impartiality or independence. **9.4** It is up to the arbitrator to, at any time, declare an impediment and refuse appointment, or to resign. **9.5** The parties must disclose any natural persons or legal entities that may be relevant to the arbitration in order to allow the arbitrators to verify any conflict of interest. **9.6** The parties must promptly disclose the existence of third-party funding in order to allow the arbitrators to verify and disclose any conflict of interest. ### Article 10 – Arbitral Tribunal Composition **10.1** When the parties have not defined in the arbitration agreement the number of arbitrators to act in the proceedings, or have not agreed on their number, the CAM-CCBC Presidency shall decide whether there should be appointed one or three arbitrators, considering the complexity and amount in dispute. **10.2** The expression "arbitral tribunal" shall apply to a sole arbitrator or to a three-person arbitral tribunal. ### Article 11 – Three-Person Arbitral Tribunal **11.1** When the parties have agreed that the dispute shall be resolved by three arbitrators or when it is thus determined by the CAM-CCBC Presidency, the secretariat shall forward to both parties a copy of these Rules and the list of arbitrators, inviting the parties to within 15 (fifteen) days each appoint 1 (one) arbitrator to compose the Arbitral Tribunal. **11.2** The parties may freely appoint the arbitrators that will compose the arbitral tribunal. The appointment of a name outside of the list of arbitrators shall be followed by their curriculum, which shall be submitted for approval by the CAM-CCBC Presidency. **11.3** The CAM-CCBC secretariat will inform the parties and the arbitrators regarding the appointments. The appointed arbitrators shall be requested to fill out the CAM-CCBC Conflict of Interest and Availability Form, or simply the Form, within 10 (ten) days. **11.4** The answers to the Forms and any relevant facts shall be forwarded to the parties, who shall have 10 (ten) days to comment. Should the parties request clarifications or additional information, the arbitrator(s) shall be invited to answer them. If the parties challenge the appointment, article 14 shall apply. **11.5** After the co-arbitrator appointment step, the CAM-CCBC secretariat, except when stipulated otherwise by the parties, shall notify the co-arbitrators to appoint the president of the arbitral tribunal within 10 (ten) days, preferably a member on the list of arbitrators from the CAM-CCBC. **11.6** In the event that the president is not included on the CAM-CCBC list of arbitrators, the appointment shall be followed by adequate reasoning, by the curriculum of the appointed arbitrator, and shall depend on the approval of the CAM-CCBC Presidency. **11.7** If any of the parties fails to appoint an arbitrator or the arbitrators appointed by the parties fail to appoint the president of the arbitral tribunal, the CAM-CCBC Presidency shall make the appointment preferably from among the members of the list of arbitrators. **11.8** In proceedings in which the parties have nationality, headquarters, or residence in different countries, any of them may request that the president of the arbitral tribunal be of a different nationality from that of the parties involved. The CAM-CCBC Presidency, assessing the need and convenience, will decide on the request in the particular case. ### Article 12 – Multiparty Arbitration **12.1** In the case of an arbitration with multiple parties as claimants and/or respondents, should there be no agreement on a method for appointing arbitrators by the parties, the CAM-CCBC Presidency, considering the interests of the parties, may appoint all the members of the arbitral tribunal, appointing one of them to act as president. **12.2** The CAM-CCBC Presidency, even in the event of absence from a party, may verify how many interested parties are involved in the dispute when deciding. ### Article 13 – Sole Arbitrator **13.1** When the parties have agreed that the dispute shall be resolved by a sole arbitrator or this is thus determined by the CAM-CCBC Presidency, the arbitrator shall be appointed by the agreement of the parties within 15 (fifteen) days after notice from the secretariat. After this time limit, should there be no sole arbitrator appointed or no agreement as to the arbitrator's appointment, the sole arbitrator shall be appointed by the CAM-CCBC Presidency abiding by article 11.8. **13.2** The parties shall preferably appoint the sole arbitrator from the CAM-CCBC list of arbitrators. In the event that the sole arbitrator is not included in the aforementioned list, the appointment shall be followed by adequate reasoning, from the curriculum of the appointed arbitrator, and shall depend on the approval of the CAM-CCBC Presidency. ### Article 14 – Challenging Arbitrators **14.1** The parties may challenge arbitrators for lack of independence, impartiality, or for justifiable cause, within 10 (ten) days after becoming aware of a relevant fact. **14.2** The challenge must be reasoned and presented to the CAM-CCBC secretariat, which shall submit it to the challenged arbitrator and other parties for comments. The CAM-CCBC shall take the necessary steps for the constitution of the special committee and for collecting the corresponding fees in accordance with article 34.5. **14.3** The challenge shall be decided by a special committee composed of 3 (three) members of the list of arbitrators appointed by the CAM-CCBC Presidency. **14.4** The special committee constituted to assess the challenge of an arbitrator, when deemed necessary and without compromising the speediness of deciding the incident, may request that the parties and the challenged arbitrator provide additional clarifications, the production of new documents, and any other measures deemed useful, necessary, and proper. **14.5** The CAM-CCBC secretariat shall inform the parties and the arbitrators regarding the conclusion of the required measures. The special committee shall decide within 30 (thirty) days. If necessary, the committee may extend the period of time to decide on the challenge for 15 (fifteen) additional days. **14.6** The decision of the special committee shall be reasoned and final with no possibility of appeal. ### Article 15 – Arbitrator Replacement **15.1** In case of resignation, acceptance of challenge, incapacity, or death of any of the arbitrators, their replacement shall occur as per the original procedure adopted for their appointment. **15.2** In cases of arbitrator replacement and considering the stage of the arbitration, the CAM-CCBC secretariat may alter the periods of time of the proceedings to recompose the arbitral tribunal. ### Article 16 – Institution of the Arbitration **16.1** After the arbitrators are appointed, the secretariat shall notify the arbitral tribunal so that, within 5 (five) days, each arbitrator signs the term of independence which represents their formal acceptance of the position for all due effects. **16.2** The arbitration shall be deemed instituted, and the arbitral tribunal constituted on the day the secretariat receives the term(s) of independence signed by the appointed arbitrator(s). ### CHAPTER V – PRIMA FACIE ANALYSIS OF ARBITRATION AGREEMENT ### Article 17 – Prima Facie Analysis of the Existence, Validity and Effectiveness of the Arbitration Agreement **17.1** The party that wishes to oppose to the continuation of the arbitration based on the inexistence, invalidity, or ineffectiveness of the arbitration agreement, even if regarding only one of the parties, shall submit a formal objection to the CAM-CCBC Presidency at the first possible opportunity. **17.2** The CAM-CCBC Presidency shall proceed to a prima facie analysis of the arbitration agreement and decide administratively on matters related to the existence, validity, and effectiveness that may be promptly decided upon, regardless of the production of evidence. **17.3** The decision of the CAM-CCBC Presidency for the continuation of the arbitration is preliminary and it shall be up to the arbitral tribunal to decide on its own jurisdiction. ### CHAPTER VI – ADDITIONAL PARTIES ### Article 18 – Joinder of Additional Parties **18.1** The party who wishes to include an additional party to the arbitration shall submit to the secretariat a request for arbitration against the additional party in accordance with article 7.1 at the first opportunity for such. The date the request is received by the secretariat shall be deemed, for all purposes, the initial date of the arbitration regarding the additional party. **18.2** Before the constitution of the arbitral tribunal, the CAM-CCBC Presidency shall decide on the joinder of the additional party when: (a) There is consent from all parties involved; or (b) The additional party has a connection with the subject matter submitted to the arbitration and may, on a prima facie analysis, be deemed bound by the arbitration agreement. **18.3** The decision of the CAM-CCBC Presidency that determines the joinder or not of the additional party into the arbitration may be revisited by the arbitral tribunal. **18.4** After the constitution of the arbitral tribunal, the joinder of the additional party to the arbitration shall be decided by the arbitrators with the parties being called upon to comment. **18.5** The party that voluntarily wishes to be included in the proceedings may request it at any time, submitting the decision to the CAM-CCBC Presidency or to the arbitral tribunal if it has already been constituted. **18.6** The party to be included in the arbitral proceedings must accept the arbitral tribunal constituted and an amendment to the Terms of Reference shall be signed. ### CHAPTER VII – CONSOLIDATION ### Article 19 – Consolidation of Arbitrations **19.1** The CAM-CCBC Presidency may, at the request of a party, before the constitution of the arbitral tribunal of the second proceeding, considering the stage of the first proceeding, consolidate two or more pending arbitrations into a single one, under these Rules, when: (a) The parties have agreed to the consolidation; or (b) All the claims in the arbitrations are made based on the same arbitration agreement(s); or (c) The arbitration claims are not made based on the same arbitration agreements(s), but (i) the arbitrations involve the same parties, (ii) the disputes are related to the same legal relationship, and (iii) the CAM-CCBC Presidency understands that the arbitration agreements are compatible. **19.2** When deciding on the consolidation, the CAM-CCBC Presidency may consult the arbitrators in office. **19.3** The arbitral proceedings shall be consolidated into the first arbitration, unless the parties agree otherwise. ### CHAPTER VIII – MULTIPLE CONTRACTS ### Article 20 – Multiple Contracts **20.1** The parties may deduce claims arising from or related to more than one contract in a single arbitral proceeding. **20.2** Before the constitution of the arbitral tribunal, in case there is any objection to its continuation in a single arbitral proceeding of claims arising from or related to more than one contract, the CAM-CCBC Presidency, after hearing the parties, shall rule on the matter. **20.3** Continuation in a single arbitration shall be possible in the following cases: (a) The arbitration agreements are compatible with one another. (b) The claims originate from the same transaction or series of transactions. (c) There is no significant impact on the efficiency and expediency of the process. **20.4** After the constitution of the arbitral tribunal, the decision that had authorized the processing of the claims in a single arbitration shall be submitted to the analysis of the arbitral tribunal. ### CHAPTER IX – EMERGENCY ARBITRATOR AND PROVISIONAL MEASURES ### Article 21 – Emergency Arbitrator **21.1** Before the constitution of the arbitral tribunal, the party that needs urgent measures may file for the appointment of an emergency arbitrator, unless the parties have agreed otherwise. **21.2** The emergency arbitrator may take any measures under article 22.1 that, due to their very nature, cannot wait for the constitution of the arbitral tribunal. **21.3** The emergency arbitrator shall comply with the same duties of independence and impartiality, provided for in article 9.2. **21.4** The institution of an emergency arbitrator proceeding does not imply the waiver of any other urgent measures before the competent judicial authority. **21.5** The emergency arbitrator procedure shall follow the rules provided for in Appendix I. ### Article 22 – Provisional Measures **22.1** Unless otherwise agreed between the parties, the arbitral tribunal may issue provisional, coercive, and interlocutory measures that may, at the discretion of the arbitral tribunal, be amended, suspended, or revoked, even at the request of a party, and that shall be immediately notified to the parties, as well as preliminary measures that are urgent and that cannot be postponed, that the arbitral tribunal may order, even ex parte, preserving the right of the parties to subsequently present their arguments, which must be submitted within 5 (five) days from the notification of such measures. **22.2** The request for provisional measures shall state the circumstances giving rise to the request, the measures requested, and the reasons why the provisional measures are necessary to prevent the imposition of harm or to preserve the status quo, under the penalty of refusing to accept such request. **22.3** The arbitral tribunal may require the party that requested the provisional measures to provide adequate security in connection with such measures. **22.4** A request for provisional measures addressed by a party to any judicial authority shall not be deemed incompatible with the arbitration agreement, or as a waiver of the right to arbitrate. **22.5** The arbitral tribunal may, in particular, order the preservation, storage, sale or other disposal of any evidence or of any property or assets that are the subject matter of the dispute. ### CHAPTER X – TERMS OF REFERENCE ### Article 23 – Terms of Reference **23.1** After the institution of the arbitration, the arbitral tribunal shall prepare the Terms of Reference that shall be signed by the parties and by the arbitrators within 30 (thirty) days, which shall include: (a) The names and addresses of the parties and their representatives; (b) The names and addresses of the arbitrators; (c) A summary of the parties' claims and, where applicable, of the counterclaims; (d) The definition of the matters in dispute and the legal grounds; (e) The seat of the arbitration; (f) The language of the arbitration; (g) The rules of law applicable to the merits; (h) The timetable for the proceeding. **23.2** If the parties have not reached an agreement on any item of the Terms of Reference, the arbitral tribunal shall decide on such item, after hearing the parties. **23.3** The Terms of Reference shall be amended whenever necessary, due to the evolution of the dispute, as required by the arbitral tribunal or by request of a party, after hearing the parties. ### CHAPTER XI – ARBITRAL AWARD ### Article 24 – General Provisions **24.1** The arbitral tribunal shall decide the dispute submitted to it in accordance with the rules of law agreed upon by the parties or, failing such agreement, chosen by the arbitral tribunal. **24.2** The arbitral tribunal shall decide as amiables compositeurs or ex aequo et bono only if the parties have expressly authorized it to do so. **24.3** 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. **24.4** The arbitral tribunal shall make the award in the form of a single final award or in the form of partial awards, as established in the Terms of Reference, in accordance with the evolution and complexity of the proceeding. **24.5** The parties are assured freedom of agreement on procedural matters, subject to the limits established by these Rules. ### Article 25 – Evidence **25.1** Each party shall have the burden of establishing the facts in support of its claims. **25.2** The arbitral tribunal may order the parties to produce documents, exhibits or other evidence within such time as the arbitral tribunal may determine. **25.3** The parties may agree, or the arbitral tribunal may order, that witnesses, including expert witnesses, are to be examined by testimony, cross-examination or other methods. **25.4** The arbitral tribunal may appoint one or more independent experts to report to it on specific issues designated by the arbitral tribunal. Upon receipt of the expert's report, the arbitral tribunal shall provide a copy to the parties, which shall have the opportunity to express their opinion on the report. **25.5** The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of evidence offered, as well as the hearing procedure to be followed. ### Article 26 – Hearings **26.1** The arbitral tribunal shall hold hearings for the presentation of evidence by witnesses and experts, and for oral argument, unless the parties have agreed that no hearings shall be held. **26.2** The arbitral tribunal shall give the parties adequate advance notice of the date, time and place of any hearings. **26.3** The hearings shall be held at the seat of the arbitration or at any other place that the arbitral tribunal determines to be appropriate and convenient, and that is agreed by the parties or, in the absence of agreement, determined by the arbitral tribunal. **26.4** The arbitral tribunal may conduct hearings remotely by videoconference or any other means of communication, after hearing the parties. **26.5** Hearings shall be recorded and transcribed, at the arbitral tribunal's discretion. ### Article 27 – Default **27.1** If the Claimant fails to submit the Statement of Claim without showing sufficient cause, the arbitral tribunal may nevertheless proceed with the arbitration. **27.2** If the Respondent fails to submit the Statement of Defense without showing sufficient cause, the arbitral tribunal may continue the proceedings. **27.3** If a party fails to appear at a hearing or to produce documentary evidence, the arbitral tribunal may continue the proceedings and make the award on the evidence before it. ### Article 28 – Closure of Proceedings **28.1** When satisfied that the parties have had a reasonable opportunity to present their cases, the arbitral tribunal shall declare the proceedings closed. **28.2** The arbitral tribunal may, on its own initiative or upon application of a party, and only if it considers it necessary, reopen the proceedings at any time before the award is made. ### Article 29 – Time Limit for the Award **29.1** The arbitral tribunal shall render an arbitral award within 60 (sixty) days after receiving the closing statements (or after receiving the notice of expiration of the time limit for presenting closing statements), unless another time limit is established in the Terms of Reference or is agreed with the parties. **29.2** The period of time provided for in article 29.1 can be extended for up to 60 (sixty) days at the discretion of the president of the arbitral tribunal. ### Article 30 – Arbitral Award **30.1** The arbitral award may be partial or final. **30.2** The arbitral award shall be issued in a written document and cannot be based on the absence of the party. **30.2.1** In cases of a three-person tribunal, the arbitral award shall be issued by consensus whenever possible, and, if this is not viable, by a majority vote, with each arbitrator, including the president of the arbitral tribunal, having one vote. Failing a majority opinion, the vote of the president of the arbitral tribunal shall prevail. **30.2.2** An arbitrator who dissents from the majority may state his or her dissenting vote. **30.3** The arbitral award shall contain the following: (a) Report (procedural and factual background), with the name of the parties and a summary of the dispute; (b) Reasons for the decision, if required by the applicable law or per the parties' agreement, which shall address both questions of fact and of law, and, when that is the case, with an express statement that it was issued ex aequo et bono; (c) The operative part, with all the specifications and time limit for compliance with the decision, when appropriate; and (d) The day, month, and year when it was issued and the seat of arbitration. **30.4** Subject to the agreement between the parties, the arbitral award shall establish liability for costs and other expenses incurred with the arbitration and their respective apportionment. **30.4.1** The arbitral tribunal shall take into consideration the result of the arbitral proceedings, the complexity of the case, the actions of the attorneys, and the behavior of the parties and their counsel, including bad faith litigation or abuse of process, in light of article 25.1, in order to determine reimbursement amounts and its proportion. **30.5** The arbitral award shall be deemed issued at the seat of arbitration. **30.6** The arbitral award shall be signed by all arbitrators. It shall be up to the president of the arbitral tribunal, in the event that one or more arbitrators do not sign the award, to attest this fact. **30.6.1** Subject to the applicable mandatory rules, and unless otherwise agreed upon or determined, the arbitral award may be signed electronically and/or have separate signature sheets subsequently combined into a single document. **30.7** The president of the arbitral tribunal shall send the award to the CAM-CCBC secretariat which, after verifying that all costs have been effectively received, will notify the parties. **30.8** Once the final arbitral award has been rendered and the parties have been notified, the arbitration will be terminated, except in the case of a request for clarification, as provided for in article 31, in which the jurisdiction shall be extended until the respective decision is made. ### Article 31 – Clarification of the Award **31.1** The parties may, within 15 (fifteen) days after receiving the arbitral award, request clarification on any contradiction, omission, or obscurity by means of a request to the arbitral tribunal. **31.2** The arbitral tribunal may allow the other parties to comment on the request for clarification submitted within 15 (fifteen) days. **31.3** The arbitral tribunal shall decide on the subsequent 15 (fifteen) days and this time limit starts to run after receiving the request for clarification, after receiving the comments from the counterparty or after the end of the time limit to present comments, whichever occurs last. **31.4** The time limit mentioned in article 31.3 may be extended by up to 15 (fifteen) days at the discretion of the arbitral tribunal. ### Article 32 – Consent Award **32.1** If the parties come to a settlement during the arbitral proceedings, ending the dispute, the arbitral tribunal, at the request of the parties, may record the settlement on a consent award. ### Article 33 – Compliance with the Arbitral Award **33.1** The parties are obliged to comply with the arbitral award as issued in the manner and by the time provided for in it, and if they do not do so, the losing party shall be liable for the harm caused to the prevailing party. ### CHAPTER XII – COSTS ### Article 34 – Schedule of Costs **34.1** The CAM-CCBC shall issue its Schedule of Costs which amounts and guidelines may be amended from time to time by the CAM-CCBC Presidency. **34.2** The Schedule of Costs shall set out the form and time for (i) payment of costs and other expenses, (ii) payment of arbitrators' and experts' fees, (iii) reimbursement of amounts, among other matters. **34.3** Compliance with the provisions of the Schedule of Costs is mandatory for parties, arbitrators, experts, secretaries of the arbitral tribunal, and other participants in the proceedings. **34.4** Administration fees and arbitrator fees are due and must be paid to the CAM-CCBC by claimant as of the date of filing the request for arbitration, and for respondent, as of the date of their notice. **34.5** The special committee provided for in article 14 of these Rules shall only be constituted after payment of the amounts determined in the Schedule of Costs. Unless there is an express specific provision to the contrary, the special committee fees must be paid by the party that presented the challenge. ### Article 35 – Default on Costs **35.1** If there is no advance payment of the administration fee, arbitrators' and experts' fees, or any other arbitration expenses within the periods of time provided for in the Schedule of Costs or those indicated by the CAM-CCBC secretariat, one party shall be allowed to make the due payments in the name of the other within the time limit established by the CAM-CCBC secretariat. **35.2** When payment is made by another party, the CAM-CCBC secretariat shall give notice to the parties and the arbitral tribunal, in which case the latter shall dismiss the defaulting party's claims, if any. **35.3** If none of the parties are willing to pay, the proceedings shall be stayed. **35.4** Once the proceedings have been stayed for 30 (thirty) days for lack of payment without either of the parties providing the funds, the proceedings may be terminated without prejudice to the right of the parties to file a new request for arbitration seeking resolution of the dispute after the outstanding amounts are paid. **35.5** The arbitrators can demand in or out of court payment of the arbitrators' fees, and the CAM-CCBC can demand in or out of court payment of the administrative fees or expenses, which shall be deemed certain and liquid credits, and may be collected through collection or execution suits, plus interest and inflation adjustment. ### CHAPTER XIII – EXPEDITED ARBITRATION PROCEDURE ### Article 36 – Submission to Expedited Procedure **36.1** The expedited procedure is a faster option to resolve disputes by arbitration and only applies to proceedings that involve amounts that do not exceed those established in the Schedule of Costs. **36.2** The expedited procedure provisions are not applicable if the parties agreed to opt out of the procedure. **36.3** Before the constitution of the arbitral tribunal, the CAM-CCBC Presidency, at their discretion or at the request of a party, may dismiss the application of the expedited procedure. **36.4** The CAM-CCBC Presidency shall analyze the suitability of the expedited procedure to the particular case, on an administrative instance, taking into consideration its complexity and other relevant circumstances. **36.5** The decision rendered by the CAM-CCBC Presidency shall be subject to ratification from the arbitral tribunal. **36.6** If the expedited procedure is dismissed from applying to a particular case, the arbitral tribunal shall continue with its duties. **36.7** The costs of an expedited procedure shall be lower as provided for in a specific chapter of the Schedule of Costs. **36.8** If the amount in dispute is reassessed, exceeding the limit, the amount provided for under "Main Costs" on the Schedule of Costs must be paid. ### Article 37 – Expedited Procedure **37.1** The other provisions of the Rules shall apply to arbitrations subject to the expedited procedure to the extent that they do not conflict with the rules of this article. **37.2** After the expiration of the time limit under article 8.1 of the Rules, the CAM-CCBC secretariat, meeting the requirements provided for in articles 36.1 and 36.2, shall notify the parties that the expedited procedure will be applied to the case. **37.3** The time limits provided for in the Rules may be reduced by the CAM-CCBC secretariat until the constitution of the arbitral tribunal in order to speed up the proceedings. **37.4** All communications, notices, or subpoenas, as well as filings of any submissions, decisions, or documents shall be made exclusively electronically. **37.5** The expedited procedure, unless agreed otherwise, shall be conducted and decided by a sole arbitrator, appointed as provided for in these Rules. **37.6** If the arbitration agreement provides that the proceedings shall be conducted by three arbitrators, the CAM-CCBC secretariat shall invite the parties to agree to the appointment of a sole arbitrator. If there is no such agreement, the arbitral tribunal shall be constituted as agreed between the parties. **37.7** The special committee provided for in article 14 of the Rules shall be composed of 1 (one) member, preferably of the list of arbitrators, appointed by the CAM-CCBC Presidency. **37.8** After the arbitration is instituted as provided for in article 16.2 of these Rules, the CAM-CCBC secretariat shall notify the parties and arbitrators to sign the Terms of Reference within 15 (fifteen) days. **37.9** For the sake of the speediness of the expedited procedure, the arbitral tribunal may take the following actions: (a) Restrict the number, length, and scope of written submissions; and (b) Decide, after having heard the parties, that the proceedings shall be conducted based on documental evidence only, possibly rejecting the production of other evidence. **37.10** The hearing, if the arbitral tribunal authorizes it, shall preferably be held remotely through videoconferencing or any other telematic communication media. **37.11** The proceedings shall not last longer than 10 (ten) months from the signing of the Terms of Reference to the start of the time limit to render the final award. **37.12** Should the proceedings exceed 10 (ten) months, they shall be administered in accordance with the expedited procedure, unless otherwise agreed between the parties or determined by the arbitral tribunal. In any event, exceeding the 10 (ten) months, the amounts provided for under "Main Costs" on the Schedule of Costs must be paid. **37.13** The arbitral award shall be rendered within 30 (thirty) days from closing of the evidentiary stage with the possibility of extension for the same period of time. ### CHAPTER XIV – GENERAL PROVISIONS ### Article 38 – Interpretation **38.1** The arbitrators shall interpret and apply the present Rules to the extent of their powers and duties. **38.2** The arbitrators may consult with the CAM-CCBC Presidency on the interpretation of the provisions of these Rules. **38.3** The CAM-CCBC Code of Ethics is part of these Rules for all legal purposes, regulating as a secondary source the interpretation of the provisions of these Rules. ### Article 39 – Confidentiality **39.1** The arbitration shall be confidential, except in the cases provided for by law, other applicable legal rules, or by express agreement between the parties. **39.1.1** The production in legal proceedings of documents related to the arbitration proceeding that proves necessary to protect the right of the party involved in the arbitration case does not constitute a violation of the duty of confidentiality. **39.2** Unless the parties object, the CAM-CCBC may publish the award and other decisions rendered in the proceedings without mentioning the parties or data which would allow the parties or the case to be identified. **39.3** The members of the CAM-CCBC, the arbitrators, the tribunal secretaries, the experts, the parties, and other participants are prohibited from disclosing any information they have had access to in virtue of their duty or participation in the arbitral proceedings. ### Article 40 – Secretariat Support After the Termination of the Arbitration and Recordkeeping **40.1** The CAM-CCBC shall provide, at the written request of the parties or the arbitrators (and only to them), copies of the documents regarding the arbitral proceedings. **40.2** The physical records of the arbitral proceedings shall remain filed for 6 (six) months and the electronic records for 5 (five) years from the end of the arbitration. **40.2.1** It is up to the interested party to request, within the referred period of time and at its own expenses, copies of the records and documents of interest. **40.2.2** After these periods of time, all documents may be destroyed, regardless of previous authorization of the parties. ### Article 41 – Processing Personal Data **41.1** The parties, their legal representatives, the arbitrators, and the other participants acknowledge that the collection, use, processing, transfer, and storage of personal data are necessary for the continuation of the arbitral proceedings, and when strictly necessary, may be included in notices, decisions, and other documents. **41.2** The arbitral tribunal and the parties must ensure that the applicable legislation on data protection is complied with for purposes of the correct development of the arbitral proceeding. **41.3** In case of suspected or confirmed personal data breach in the context of the arbitral proceeding, the CAM-CCBC and other participants shall be immediately informed so that the competent authority may be duly notified. **41.4** After the arbitration ends, the personal data processed during the proceedings shall be stored for as long as necessary for the regular exercise of rights, including from the CAM-CCBC, and for compliance with a legal obligation, and subsequently shall be subject to anonymization or disposal. ### Article 42 – Administrative Decisions and Accountability **42.1** No arbitrator, the CAM-CCBC, nor any person connected with the CAM-CCBC shall be held accountable for any acts, facts, or omissions related to the arbitration, except in cases of proven willful misconduct. **42.2** Any objections to non-compliance with the provisions of these Rules or any other rules applicable to the proceeding, the determinations of the arbitral tribunal, or any other stipulation of the arbitration agreement regarding the formation of the arbitral tribunal or the conduct of the proceeding shall be presented at the earliest opportunity. ### Article 43 – Entry into Force **43.1** The present Rules, approved by the CAM-CCBC Advisory Board on 1st August 2022, shall enter into force on 1st November 2022. **43.2** Unless otherwise agreed by the parties, the Rules effective on the date of the filing of the request for arbitration, set out in article 7.1, shall apply. **43.3** At the parties' option, these Rules might also apply to arbitrations filed before 1st November 2022 whose Terms of Reference come to be signed after the entry into Force of the present Rules. ### APPENDIX I – EMERGENCY ARBITRATOR PROCEEDINGS RULES ### Emergency Measures Request **Article 1** The party wishing to resort to an emergency arbitrator, pursuant to Article 21 of the Rules, shall submit to the CAM-CCBC a request for emergency measures, which shall contain the following: (a) contract or document with the arbitration agreement; (b) complete name and identification of the parties involved in the arbitration, including their addresses and/or emails for notification; (c) powers of attorney, if any; (d) a description of the circumstances that gave rise to the request for provisional measures, including a brief description of the main dispute submitted or to be submitted to the CAM-CCBC; (e) a description of the emergency measures requested and the grounds on which the urgency is based; (f) appointment of arbitration seat, language, and rules of law applicable to the arbitration; (g) contracts or information which the applicant considers relevant or helpful for the assessment of the request for emergency measures; (h) indication of judicial measures, both pending or in force; (i) request for arbitration or other submission on the underlying dispute submitted to the CAM-CCBC by the parties bound to the emergency arbitrator proceedings; (j) proof of payment of the fees related to the emergency arbitrator proceedings provided for in the Schedule of Costs. **Article 2** The Presidency of the CAM-CCBC will reject the request for provisional measures in the following cases: (a) If an arbitral tribunal is already constituted, pursuant to Article 16.2 of the CAM-CCBC Rules; (b) In the absence of an arbitration agreement providing for the competence of CAM-CCBC to administer the arbitration proceedings; (c) If the parties entered into an arbitration agreement prior to July 20, 2018, and did not subsequently include the option to submit their disputes to the emergency arbitrator proceeding; (d) If the parties entered into an arbitration agreement between July 20, 2018, and November 24, 2020, unless they expressly opted to adopt the emergency arbitrator proceeding; (e) If the parties have expressly agreed to opt out of the emergency arbitrator proceedings; or (f) In the absence of proof of payment of the fees related to the emergency arbitrator proceedings. **Article 3** In case of preliminary refusal, the CAM-CCBC Secretariat shall notify the applicant that the emergency arbitrator proceedings shall not proceed. **Article 4** If the request for emergency measures is not preliminarily rejected, the CAM-CCBC Secretariat shall immediately send a copy of the request and the supporting documents to the other parties, simultaneously notifying the applicant. **Article 5** The parties shall inform, within 2 (two) days as of their notification, their electronic addresses. **Article 6** The Presidency of the CAM-CCBC shall terminate the emergency arbitrator proceedings if a request for arbitration is not filed, pursuant to Article 7.1 of the Rules, within fifteen (15) days from the receipt of the request for emergency measures by the Presidency of the CAM-CCBC. **6.1** In exceptional situations, this time limit may be extended by the Presidency of the CAM-CCBC. ### Appointment of the Emergency Arbitrator and Transmission of the Proceedings **Article 7** The Presidency of the CAM-CCBC, upon accepting the proceedings, shall appoint an emergency arbitrator, preferably among the members of the arbitrators' list. **Article 8** No emergency arbitrator may be appointed after the constitution of the arbitral tribunal. However, an emergency arbitrator appointed prior to the constitution of the arbitral tribunal shall keep their authority to render their decision within the period provided under Article 20 of this Appendix. **Article 9** The emergency arbitrator shall receive a copy of the proceedings and shall fill in the Questionnaire and sign the Statement of Independence, both within two (2) days as from the receipt of their appointment. **Article 10** The emergency arbitrator shall not act as an arbitrator in any arbitration relating to the dispute that gave rise to the request for emergency measures, unless otherwise agreed by the parties. **Article 11** Immediately upon receipt of the Questionnaire and the Statement of Independence signed by the emergency arbitrator, the CAM-CCBC Secretariat shall notify the parties. Thereafter, all written communication from the parties shall be addressed to the emergency arbitrator, copying the other parties and the CAM-CCBC Secretariat. **Article 12** The emergency arbitrator shall decide on their jurisdiction and on the existence, validity and scope of the arbitration agreement. ### Emergency Arbitrator Challenge **Article 13** The parties may challenge the emergency arbitrator for lack of independence, impartiality, or for justifiable doubt within 2 (two) days after becoming aware of a relevant fact. **Article 14** The challenge shall be decided by the CAM-CCBC Presidency after the expiration of the time period for the emergency arbitrator and the other parties to comment on the matter. **Article 15** In the cases of resignation, acceptance of the challenge, incapacity or death of the emergency arbitrator, their replacement shall be performed by the CAM-CCBC Presidency within two (2) days. **15.1** In case of replacement of an emergency arbitrator, the proceedings shall resume at the stage they were at, unless the new emergency arbitrator decides otherwise. ### Seat and Language of the Emergency Arbitrator Proceedings **Article 16** The seat of the emergency arbitrator proceedings shall be the one agreed upon between the parties as the seat of the arbitration, subject to article 4 of the Rules. **Article 17** The language of the emergency arbitrator proceedings shall be the language agreed upon between the parties as the language of the arbitration, subject to Article 6 of the Rules. ### Performance of the Proceedings **Article 18** The emergency arbitrator shall conduct the proceedings as they consider appropriate considering the nature of the dispute and the urgency of the request for provisional measures, with due regard for the principles of audi alteram partem, the full right to defend and equal treatment of the parties. **18.1** Upon receipt of the files, the emergency arbitrator shall establish a provisional timetable for the proceedings. ### Decision of the Emergency Arbitrator **Article 19** The orders and decisions rendered by the emergency arbitrator shall be issued in writing stating the reasons upon which it is based, and it shall comply with the requirements of Article 30.3 of the Rules. **19.1** The emergency arbitrator may set such conditions as they consider necessary to ensure compliance with their decisions, including coercive fines and provision of guarantees. **Article 20** The emergency arbitrator's decision shall be rendered within fifteen (15) days from the submission of the signed Statement of Independence, or as established in the provisional schedule. **20.1** The CAM-CCBC Presidency may extend such time limit (i) upon a reasoned request by the emergency arbitrator, (ii) on its own initiative in appropriate circumstances, or, further, (iii) if the parties so agree. **Article 21** By submitting the dispute to emergency arbitration proceedings, the parties undertake to comply with the decisions to be rendered by the emergency arbitrator without delay. **Article 22** The decisions rendered by the emergency arbitrator, due to their provisional nature, shall not bind the arbitral tribunal, which, once constituted, will be competent to modify, revoke or annul any decision previously made. **Article 23** Until the arbitral tribunal is constituted, the analysis of new facts that may change the decision previously rendered may be evaluated by the emergency arbitrator. Once constituted, the arbitral tribunal shall decide on any request from the parties relating to the emergency arbitrator proceedings, including any claim relating to the enforcement of the emergency arbitrator's decision and the reallocation of the emergency arbitrator proceedings fees. **Article 24** The emergency arbitrator's decision shall cease to be binding on the parties if, for any reason, the arbitration terminates without the rendering of a final award. ### Final Provision **Article 25** The provisions of the CAM-CCBC Rules shall apply to the extent they do not conflict with this Appendix, and the CAM-CCBC Presidency shall be responsible for resolving any doubts as to the interpretation of such articles. **Fresa Li:** The 2022 CAM-CCBC Arbitration Rules represent the highest standard of arbitration practice in Latin America and the most internationally-engaged institutional rules in the region, holding authoritative status in South American infrastructure and energy dispute resolution. Article 1's flexibility in allowing parties to modify the rules is remarkably practical—a design that preserves institutional stability while accommodating the specific needs of large-scale infrastructure and energy projects prevalent in the region. CAM-CCBC's institutional bilingual capability (Portuguese/English) and arbitrator appointment pool that draws from both civil law traditions and international practice make it uniquely suited for disputes involving Brazilian parties and foreign investors. The Rules maintain a sensible balance between procedural efficiency and the civil law traditions of the region. --- **Dr. Venessa:** CAM-CCBC 2022 Rules are Latin America strongest and among the most comprehensively digitized of the ten. Article 3.1 defaults to electronic communication Article 37 provides fully electronic expedited procedures five-year electronic archiving Article 21 emergency arbitrators Article 30.6.1 electronically signed awards — from service filing and hearings to award issuance the entire chain is electronic. But full-chain digitization is not Agent governance. CAM-CCBC digitization follows paperless logic — replacing paper processes with electronic means but the decision-making subject remains the human arbitrator. When Agents participate the critical fracture point is Article 30.6.1 electronic signature — what does an AI system signing an award mean? Electronic signatures verify the signer identity and intent but AI systems have no legal identity or intent. SVAMC Guideline 6 non-delegation principle encounters its most concrete technical challenge: if an arbitrator uses AI to draft an award and then electronically signs it does the signature cover the human decision or the AI-generated content? CAM-CCBC electronic rules are a necessary condition for Agent arbitration but far from sufficient. It needs to upgrade from digitized human arbitration to Agent arbitration governance — not a technical upgrade but an institutional paradigm shift. ============================================================ # Part IV: Related Arbitration Institutions / 第四部分：其他仲裁相关机构 # World Famous Arbitration Institutions Rules # 世界知名仲裁机构规则 ## Batch 4: Related Arbitration Institutions ## 第四批：其他仲裁相关机构 **Reference Book on International Arbitration Rules** **国际仲裁规则参考书** ## Table of Contents ## 目录 1. [BCDR-AAA Bahrain Centre for Dispute Resolution — BCDR Arbitration Rules (2022)](#1-bcdr-aaa-bahrain-centre-for-dispute-resolution) 2. [SCCA Saudi Center for Commercial Arbitration — SCCA Arbitration Rules (2023)](#2-scca-saudi-center-for-commercial-arbitration) 3. [CIArb Chartered Institute of Arbitrators — CIArb Arbitration Rules](#3-ciarb-chartered-institute-of-arbitrators) 4. [NAI Netherlands Arbitration Institute — NAI Arbitration Rules (2024)](#4-nai-netherlands-arbitration-institute) 5. [CEPANI Belgian Centre for Arbitration and Mediation — CEPANI Arbitration Rules (2023)](#5-cepani-belgian-centre-for-arbitration-and-mediation) 6. [Milan Chamber of Arbitration — CAM Milano Arbitration Rules (2023)](#6-milan-chamber-of-arbitration-cam) 7. [AIA Italian Arbitration Association — AIA Arbitration Rules](#7-aia-italian-arbitration-association) 8. [Polish Court of Arbitration — PCA Poland Arbitration Rules (2022)](#8-polish-court-of-arbitration-pca) 9. [SVAMC Silicon Valley Arbitration and Mediation Center — AI Guidelines (2024)](#9-svamc-silicon-valley-arbitration-and-mediation-center) ## S1: BCDR-AAA Bahrain Centre for Dispute Resolution ## S1: 巴林争议解决中心（BCDR-AAA） ### Institution Overview ### 机构简介 The Bahrain Chamber for Dispute Resolution (BCDR-AAA) is a leading arbitration institution in the Middle East, established under the auspices of the Bahrain Ministry of Industry, Commerce and Tourism. It operates under a unique tri-partite agreement between the Bahrain Ministry, the American Arbitration Association (AAA), and the International Chamber of Commerce (ICC). The BCDR-AAA offers state-of-the-art arbitration and mediation services with international standards, combining regional expertise with global best practices. ### BCDR Rules of Arbitration (2022) ### BCDR仲裁规则（2022年） **Effective Date:** October 1, 2022 **生效日期：** 2022年10月1日 #### Article 1: Scope #### 第一条：适用范围 1.1 Where parties have agreed in writing (whether before or after a dispute has arisen) to arbitrate a dispute under the rules of arbitration of the Bahrain Chamber for Dispute Resolution (the "Chamber"), or BCDR, or BCDR-AAA, or have provided for the arbitration of a dispute by the Bahrain Chamber for Dispute Resolution, or BCDR, or BCDR-AAA without designating particular rules, the arbitration shall take place in accordance with these rules, as they may have been amended by the Chamber to take effect before the date of commencement of the arbitration (the "Rules"). The Rules include the Fee Schedule as may be separately amended from time to time by the Chamber. #### Article 2: Request for Arbitration #### 第二条：仲裁申请 2.1 A party wishing to initiate an arbitration under the Rules (if one, the "Claimant"; if more than one, each a "Claimant") shall submit to the Chamber, and at the same time to all other parties to the arbitration (if one, the "Respondent"; if more than one, each a "Respondent"), a written Request for Arbitration (the "Request"). #### Article 3: Date of Commencement #### 第三条：仲裁开始日期 Provided always that the Chamber is prima facie satisfied that an arbitration agreement conforming to Article 1.1 may exist, the arbitration shall be deemed to have commenced on the date on which the Chamber has received the Request and the Filing Fee, and the Chamber shall advise all the parties accordingly, in writing. #### Article 4: Response to the Request #### 第四条：对申请的回应 4.1 Within 30 days after the commencement of the arbitration, the Respondent shall submit to the Chamber, and at the same time to all other parties to the arbitration, a written Response to the Request (the "Response"). #### Article 5: Case Management Fee #### 第五条：案件管理费 5.1 As soon as practicable after the submission of the Response or, if no Response is submitted, after the time for submission of a Response has elapsed, the Chamber shall direct the parties to pay the case management fee prescribed by the Fee Schedule (the "Case Management Fee"), which shall be paid by the party or parties directed to pay it no later than the deadline set by the Chamber for the payment. #### Article 6: Expedited Procedure #### 第六条：快速程序 6.1 This Article shall apply to the exclusion of any conflicting Article of the Rules: #### Article 7: Written Communications and Time Limits #### 第七条：书面通讯和期限 7.1 Any written communication by any party (including its legal representative), by the arbitral tribunal, or by the Chamber, to any or all of these shall be delivered personally; by courier; by registered mail; or by e-mail, facsimile, or any other form of electronic communication that provides a record of its transmission. #### Article 8: Number and Nationality of Arbitrators #### 第八条：仲裁员人数和国籍 8.1 The arbitral tribunal shall consist of one or three arbitrators. If the parties do not agree in writing on the number of arbitrators, one arbitrator shall be appointed unless the Chamber determines that three arbitrators should be appointed, taking account of all the circumstances of the dispute. #### Article 9: Appointment of Arbitrators #### 第九条：仲裁员的指定 9.1 Where a sole arbitrator is to be appointed, the parties may jointly nominate the arbitrator in writing, for appointment by the Chamber. #### Article 10: Impartiality and Independence of Arbitrators #### 第十条：仲裁员的公正性和独立性 10.1 All arbitrators shall be and shall remain at all times impartial and independent of the parties, and no arbitrator shall act as advocate for any party. #### Article 11: Challenge of an Arbitrator #### 第十一条：仲裁员的回避 11.1 Any arbitrator may be challenged by a party if circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence. #### Article 12: Replacement of an Arbitrator #### 第十二条：仲裁员的更换 12.1 If an arbitrator refuses to act, or is de jure or de facto prevented from concluding the arbitral proceedings, or fails to act without demonstrating sufficient cause, the procedure provided for in Article 9 shall apply to the appointment of a replacement arbitrator. #### Article 13: Secretary of the Arbitral Tribunal #### 第十三条：仲裁庭秘书 13.1 The Chamber may, on the request of the arbitral tribunal or on its own initiative, appoint a secretary to the arbitral tribunal, from a panel maintained by the Chamber. #### Article 14: Emergency Measures of Protection #### 第十四条：紧急保护措施 14.1 A party that is unable to await the constitution of the arbitral tribunal may request emergency interim measures of protection from the Chamber pursuant to this Article (the "Application for Emergency Measures"). #### Article 16: Conduct of the Arbitration #### 第十六条：仲裁的进行 16.1 The arbitral tribunal shall conduct the arbitration in a manner that it considers suitable to the nature and circumstances of the dispute, taking into account the parties' views. #### Article 19: Place of Arbitration #### 第十九条：仲裁地 19.1 The place of arbitration shall be Bahrain, unless otherwise agreed by the parties in writing. #### Article 20: Language of Arbitration #### 第二十条：仲裁语言 20.1 The language of the arbitration shall be English, unless otherwise agreed by the parties in writing. #### Article 21: Party Representation #### 第二十一条：当事人代理 21.1 Any party may be represented in the arbitration by legal or other representatives of its choice. #### Article 21 bis: Third-Party Funding #### 第二十一条附则：第三方资助 21bis.1 A party that has entered into a third-party funding arrangement in connection with the arbitration shall disclose the identity of the third-party funder to the Chamber, all other parties and any arbitrator forthwith, and in any event no later than the date on which it submits its Response pursuant to Article 4, or the date on which it becomes a party to any such funding arrangement if later. #### Article 26: Interim Measures of Protection #### 第二十六条：临时保护措施 26.1 On the written application of any party, the arbitral tribunal shall have the power to order or award any interim or conservatory measures it deems necessary, including injunctive relief and measures for the protection or conservation of property. #### Article 27: Jurisdiction #### 第二十七条：管辖权 27.1 The arbitral tribunal shall have the power to rule on its own jurisdiction, including any objection to the existence, validity or effectiveness of the Arbitration Agreement. #### Article 28: Joinder #### 第二十八条：追加当事人 28.1 A party wishing to join an additional party to the arbitration shall submit a written request for arbitration against the additional party. #### Article 29: Consolidation #### 第二十九条：合并仲裁 29.1 If two or more arbitrations subject to these Rules are commenced pursuant to the same arbitration agreement and between the same parties, the Chamber may consolidate the arbitrations into a single arbitration. #### Article 30: Advances on Costs #### 第三十条：费用预付 30.1 The Chamber shall direct the parties to pay appropriate amounts as an advance for the costs of the arbitration. #### Article 31: Fees and Expenses of the Arbitrators #### 第三十一条：仲裁员的费用和开支 31.1 The fees and expenses of the arbitrators shall conform to the Fee Schedule and shall be reasonable in amount. #### Article 32: Applicable Law #### 第三十二条：适用法律 32.1 The arbitral tribunal shall apply the rules of law agreed by the parties as applicable to the substance of the dispute. #### Article 33: Close of Proceedings #### 第三十三条：程序终结 33.1 Following the last submissions, written or oral, made in accordance with the procedural timetable, the arbitral tribunal shall declare the arbitral proceedings closed. #### Article 34: Awards, Orders, Decisions and Rulings #### 第三十四条：裁决、命令、决定和裁定 34.1 In addition to making a final award, the arbitral tribunal may make interim or partial awards, orders, decisions and rulings. #### Article 35: Time, Form and Effect of Award #### 第三十五条：裁决的时间、形式和效力 35.1 The arbitral tribunal shall deliberate and issue its final award as soon as possible, and no later than 60 days from the date of the close of proceedings. #### Article 36: Costs of Arbitration #### 第三十六条：仲裁费用 36.1 The arbitral tribunal shall fix the costs of the arbitration in its final award. #### Article 37: Interpretation or Correction of the Award #### 第三十七条：裁决的解释或更正 37.1 Within 30 days after the receipt of an award, any party may request the arbitral tribunal to interpret the award or correct any errors. #### Article 38: Settlement and Other Reasons for Termination #### 第三十八条：和解和其他终止原因 38.1 If the parties settle the dispute before a final award is made, the arbitral tribunal shall terminate the arbitration and, if requested by all parties, may record the settlement in the form of an award on agreed terms. #### Article 39: Waiver #### 第三十九条：弃权 39.1 A party who knows of any non-compliance with any provision of the Rules and proceeds with the arbitration without promptly stating its objections waives the right to object. #### Article 40: Confidentiality #### 第四十条：保密性 40.1 Confidential information disclosed during the arbitration shall not be divulged by the parties, arbitrators, experts, or the Chamber. #### Article 41: Limitation of Liability #### 第四十一条：责任限制 41.1 The arbitrators, the Chamber, and any emergency arbitrator shall not be liable to any person for any act or omission in connection with the arbitration. ### Appendix II – Model Arbitration Clause ### 附件二——示范仲裁条款 "Any dispute arising out of or in connection with this contract, including any question regarding its existence, validity or termination, shall be finally settled by arbitration in accordance with the Rules of Arbitration of the Bahrain Chamber for Dispute Resolution. ## S2: SCCA Saudi Center for Commercial Arbitration ## S2: 沙特商业仲裁中心（SCCA） ### Institution Overview ### 机构简介 The Saudi Center for Commercial Arbitration (SCCA) was established in 2014 in Riyadh, Saudi Arabia, as part of Saudi Arabia's Vision 2030 initiative to develop a world-class dispute resolution infrastructure. The SCCA provides arbitration, mediation, and other alternative dispute resolution services in accordance with international standards while taking into account regional business practices. The SCCA has emerged as the leading ADR institution in the Gulf region, handling disputes involving parties from over 20 different nationalities. ### SCCA Arbitration Rules (2023) ### SCCA仲裁规则（2023年） **Effective Date:** May 1, 2023 **生效日期：** 2023年5月1日 #### Article 1: Definitions #### 第一条：定义 In these SCCA Arbitration Rules and appendices, the following words have these meanings: #### Article 2: Scope of Application #### 第二条：适用范围 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 these Rules, or have provided for arbitration of a dispute by the SCCA without designating particular rules, then such disputes shall be settled in accordance with these Rules. They thereby authorize the SCCA to administer the arbitration. #### Article 3: SCCA Court #### 第三条：SCCA法院 1. The SCCA Court is a body independent of the SCCA, which performs certain functions set forth in the Rules and the Internal Rules of the SCCA Court. #### Article 4: Notice and Calculation of Periods of Time #### 第四条：通知和期限计算 1. Unless the parties agree, or the Arbitral Tribunal orders, otherwise, a Notice shall be transmitted by courier, registered mail, or any means of communication that provides a record of its transmission, including email or other electronic means. #### Article 5: Request for Arbitration #### 第五条：仲裁申请 1. A Claimant wishing to commence arbitration shall submit a Request for Arbitration to the SCCA. #### Article 6: Notification of the Request #### 第六条：申请的送达 1. Upon receipt of a Request for Arbitration and the registration fee, the SCCA shall forward a copy of the Request to the Respondent. #### Article 7: Response to the Request #### 第七条：对申请的回应 1. Within 30 days after receipt of the Request, the Respondent may submit a Response to the SCCA. #### Article 8: Number of Arbitrators #### 第八条：仲裁员人数 1. The Arbitral Tribunal shall consist of a sole arbitrator unless the parties have agreed otherwise. #### Article 9: Appointment of Arbitrators #### 第九条：仲裁员的指定 1. If the parties agree on a sole arbitrator, the SCCA Court shall make the appointment. #### Article 10: Impartiality and Independence #### 第十条：公正性和独立性 1. Every arbitrator shall be impartial and independent of the parties. #### Article 11: Challenge of Arbitrators #### 第十一条：仲裁员的回避 1. A party may challenge an arbitrator if circumstances exist that give rise to justifiable doubts as to the arbitrator's impartiality or independence. #### Article 12: Replacement of Arbitrators #### 第十二条：仲裁员的更换 1. If an arbitrator is to be replaced, the replacement shall be appointed in the same manner as the arbitrator being replaced. #### Article 13: Representation #### 第十三条：代理 1. Parties may be represented by persons of their choice. #### Article 14: Joinder of Third Parties #### 第十四条：追加第三人 1. Upon request, a third party may be joined if it is likely to be bound by the arbitration agreement. #### Article 15: Consolidation #### 第十五条：合并仲裁 1. Upon request, two or more arbitrations may be consolidated if: #### Article 16: Arbitral Tribunal - General Provisions #### 第十六条：仲裁庭——般规定 1. Arbitrators shall be impartial and independent. #### Article 17: Constitution of Arbitral Tribunal #### 第十七条：仲裁庭的组建 1. The parties may agree on the number of arbitrators. #### Article 18: Appointment Procedure #### 第十八条：指定程序 1. The Board may use a list procedure or appoint directly. #### Article 19: Disclosure #### 第十九条：披露 1. Before appointment, arbitrators shall sign a declaration of acceptance and independence. #### Article 20: Challenge #### 第二十条：回避 1. A party may challenge an arbitrator for lack of independence or impartiality. #### Article 21: Termination of Mandate #### 第二十一条：授权的终止 1. An arbitrator's mandate terminates upon resignation, removal, or death. #### Article 22: Replacement #### 第二十二条：更换 1. If an arbitrator is replaced, the proceedings shall continue from the stage reached. #### Article 23: Multiple Parties #### 第二十三条：多方当事人 1. If multiple parties are on one side, they shall jointly nominate an arbitrator. #### Article 24: Expedited Proceedings #### 第二十四条：快速程序 1. The expedited procedure may apply if: #### Article 25: Place of Arbitration #### 第二十五条：仲裁地 1. The place of arbitration shall be Vienna unless otherwise agreed. #### Article 26: Language of Proceedings #### 第二十六条：程序语言 1. The language(s) shall be as agreed by the parties. #### Article 27: Applicable Law, Amiable Compositeur #### 第二十七条：适用法律、友好调停人 1. The Arbitral Tribunal shall apply the law or rules of law designated by the parties. #### Article 28: Conduct of Proceedings #### 第二十八条：程序的进行 1. The Arbitral Tribunal shall conduct the proceedings in an efficient manner. #### Article 29: Establishing Facts #### 第二十九条：事实认定 1. The Claimant shall submit a statement of claim within the time fixed. #### Article 30: Hearings #### 第三十条：庭审 1. The Arbitral Tribunal shall hold hearings unless the parties agree that the case be decided on documents only. #### Article 31: Duty to Object #### 第三十一条：异议义务 1. A party that knows of non-compliance with the Rules and fails to object promptly shall be deemed to have waived its objection. #### Article 32: Closure of Proceedings #### 第三十二条：程序的终结 1. The Arbitral Tribunal shall declare the proceedings closed when satisfied that all opportunities to present the case have been afforded. #### Article 33: Interim and Conservatory Measures #### 第三十三条：临时措施和保全措施 1. At the request of a party, the Arbitral Tribunal may order interim measures. #### Article 34: Means of Termination #### 第三十四条：程序的终结方式 1. The proceedings terminate by award, settlement, or termination order. #### Article 35: Decisions of the Arbitral Tribunal #### 第三十五条：仲裁庭的决定 1. If there is more than one arbitrator, decisions shall be made by a majority. #### Article 36: Arbitral Award #### 第三十六条：仲裁裁决 1. The award shall be in writing and shall state the reasons upon which it is based. #### Article 37: Award on Agreed Terms #### 第三十七条：和解裁决 1. If the parties settle, the Arbitral Tribunal shall issue an award on agreed terms if requested. #### Article 38: Decision on Costs #### 第三十八条：费用决定 1. The Arbitral Tribunal shall fix the costs of arbitration in the award. #### Article 39: Correction, Clarification, Supplementation #### 第三十九条：更正、澄清和补充 1. Within 30 days of receipt of the award, a party may request correction or clarification. #### Article 40: Remission to the Arbitral Tribunal #### 第四十条：发回仲裁庭 1. The Board may remit the award to the Arbitral Tribunal for reconsideration. #### Article 41: Publication of Awards #### 第四十一条：裁决的公布 1. VIAC and arbitrators shall keep the proceedings and award confidential. #### Article 42: Advance on Costs #### 第四十二条：费用预付 1. The Secretariat shall fix the amounts to be deposited as advances for costs. #### Article 45: Expedited Proceedings (Opt-in) #### 第四十五条：快速程序（选择性适用） 1. Parties may agree to expedite the proceedings. #### Article 46: Disclaimer #### 第四十六条：免责 1. VIAC, its bodies, and arbitrators shall not be liable for acts or omissions in connection with the arbitration. #### Article 47: Entry into Force #### 第四十七条：生效 1. These Rules enter into force on July 1, 2021. ### Model Clause ### 示范条款 "Any dispute arising out of or in connection with this contract shall be finally settled under the Rules of Arbitration (Vienna Rules) of the Vienna International Arbitral Centre (VIAC) of the Austrian Federal Economic Chamber by one or three arbitrators appointed in accordance with the said Rules." ## S3: CIArb Chartered Institute of Arbitrators ## S3: 英国特许仲裁员学会（CIArb） ### Institution Overview ### 机构简介 The Chartered Institute of Arbitrators (CIArb) is a professional body for arbitrators, mediators, and adjudicators, with a global membership of over 17,000 professionals across 150 countries. Founded in 1915 and headquartered in London, CIArb sets standards for dispute resolution and offers training and accreditation for dispute resolution professionals worldwide. ### CIArb Arbitration Rules ### CIArb仲裁规则 #### Article 1: Application #### 第一条：适用 1. These Rules apply where the parties have agreed in writing that disputes shall be referred to arbitration under the CIArb Rules. #### Article 2: Commencement #### 第二条：程序的启动 1. Arbitration proceedings commence when the Claimant sends the Request to the Respondent and to CIArb. #### Article 3: Arbitral Tribunal #### 第三条：仲裁庭 1. The arbitral tribunal may consist of a sole arbitrator or three arbitrators. #### Article 4: Appointment #### 第四条：指定 1. The parties shall endeavour to agree on the appointment procedure. #### Article 5: Independence and Impartiality #### 第五条：独立性和公正性 1. Every arbitrator shall be and remain impartial and independent. #### Article 6: Challenge #### 第六条：回避 1. A party may challenge an arbitrator if circumstances exist that affect impartiality. #### Article 7: Replacement #### 第七条：更换 1. If an arbitrator is replaced, the proceedings may continue from the stage reached. #### Article 8: Seat #### 第八条：仲裁地 1. The seat of arbitration shall be as agreed by the parties. #### Article 9: Language #### 第九条：语言 1. The language of arbitration shall be as agreed by the parties. #### Article 10: Applicable Law #### 第十条：适用法律 1. The tribunal shall apply the law chosen by the parties. #### Article 11: Terms of Reference #### 第十一条：程序令 1. The tribunal may prepare terms of reference if appropriate. #### Article 12: Procedure #### 第十二条：程序 1. The tribunal shall conduct the proceedings fairly and efficiently. #### Article 13: Award #### 第十三条：裁决 1. The award shall be made within the time fixed by the tribunal. #### Article 14: Costs #### 第十四条：费用 1. The tribunal shall fix the costs of arbitration. #### Article 15: Confidentiality #### 第十五条：保密 1. The proceedings and award shall be kept confidential. ## S4: NAI Netherlands Arbitration Institute ## S4: 荷兰仲裁协会（NAI） ### Institution Overview ### 机构简介 The Netherlands Arbitration Institute (NAI) is a leading Dutch arbitration institution established in 1929. Located in Rotterdam, NAI administers domestic and international arbitrations and has recently updated its rules to include sustainability considerations. NAI is recognized for its modern approach to dispute resolution and its commitment to efficiency. ### NAI Arbitration Rules (2024) ### NAI仲裁规则（2024年） **Effective Date:** January 1, 2024 **生效日期：** 2024年1月1日 #### Article 1: Definitions #### 第一条：定义 **Administrator:** The Netherlands Arbitration Institute or its secretariat. #### Article 2: Scope of Application #### 第二条：适用范围 1. These Rules apply when parties have agreed that disputes shall be settled by arbitration under the NAI Rules. #### Article 3: Commencement of Proceedings #### 第三条：程序的启动 1. Arbitration commences when the Claimant files the Request with NAI. #### Article 4: Request for Arbitration #### 第四条：仲裁申请 The Request shall contain: #### Article 5: Answer #### 第五条：答辩 1. The Respondent may submit an Answer within four weeks. #### Article 6: Number of Arbitrators #### 第六条：仲裁员人数 1. The parties may agree on the number of arbitrators. #### Article 7: Appointment of Arbitrators #### 第七条：仲裁员的指定 1. The arbitrators are appointed by NAI unless the parties have agreed otherwise. #### Article 8: Impartiality and Independence #### 第八条：公正性和独立性 1. Every arbitrator shall be impartial and independent. #### Article 9: Challenge #### 第九条：回避 1. A party may challenge an arbitrator for lack of independence. #### Article 10: Replacement #### 第十条：更换 1. If an arbitrator is replaced, the proceedings continue. #### Article 11: Seat #### 第十一条：仲裁地 1. The seat is determined by agreement or by NAI. #### Article 12: Language #### 第十二条：语言 1. The language is determined by agreement or by the tribunal. #### Article 13: Applicable Law #### 第十三条：适用法律 1. The tribunal applies the law chosen by the parties. #### Article 14: Terms of Reference #### 第十四条：程序令 1. The tribunal may establish terms of reference if appropriate. #### Article 15: Procedure #### 第十五条：程序 1. The tribunal conducts the proceedings fairly and efficiently. #### Article 16: Hearings #### 第十六条：庭审 1. Hearings are held if requested by a party or ordered by the tribunal. #### Article 17: Award #### 第十七条：裁决 1. The award is made within the time fixed by the tribunal. #### Article 18: Costs #### 第十八条：费用 1. The tribunal fixes the costs in the award. #### Article 19: Confidentiality #### 第十九条：保密 1. Proceedings and awards are confidential unless otherwise agreed. #### Article 20: Third-Party Funding #### 第二十条：第三方资助 1. Parties must disclose third-party funding arrangements. #### Article 21: Expedited Procedure #### 第二十一条：快速程序 1. Expedited procedure applies if agreed or if the amount is below a threshold. #### Article 22: Interim Measures #### 第二十二条：临时措施 1. The tribunal may order interim measures at the request of a party. #### Article 23: Consolidation #### 第二十三条：合并仲裁 1. Consolidations may be ordered if parties agree or claims arise from the same transaction. #### Article 24: Multiple Parties #### 第二十四条：多方当事人 1. Multiple claimants or respondents may jointly nominate arbitrators. ## S5: CEPANI Belgian Centre for Arbitration and Mediation ## S5: 比利时仲裁与调解中心（CEPANI） ### Institution Overview ### 机构简介 The Belgian Centre for Arbitration and Mediation (CEPANI) is the leading dispute resolution institution in Belgium, established in 1969. Located in Brussels, CEPANI administers arbitrations, mediations, and other ADR procedures and has updated its rules to align with international best practices. It serves as a hub for dispute resolution in Europe. ### CEPANI Arbitration Rules (2023) ### CEPANI仲裁规则（2023年） #### Article 1: Scope #### 第一条：适用范围 1. These Rules apply when parties have agreed to submit disputes to CEPANI arbitration. #### Article 2: Request for Arbitration #### 第二条：仲裁申请 1. The Claimant submits a Request containing: #### Article 3: Answer #### 第三条：答辩 1. The Respondent submits an Answer within 30 days. #### Article 4: Number of Arbitrators #### 第四条：仲裁员人数 1. Parties may agree on the number of arbitrators. #### Article 5: Appointment #### 第五条：指定 1. CEPANI appoints arbitrators unless parties agree otherwise. #### Article 6: Impartiality #### 第六条：公正性 1. Arbitrators must be impartial and independent. #### Article 7: Challenge #### 第七条：回避 1. Challenges are submitted within 15 days of appointment. #### Article 8: Replacement #### 第八条：更换 1. New arbitrator appointed if needed. #### Article 9: Seat #### 第九条：仲裁地 1. Seat is Brussels unless agreed otherwise. #### Article 10: Language #### 第十条：语言 1. Language is determined by agreement or by CEPANI. #### Article 11: Applicable Law #### 第十一条：适用法律 1. Tribunal applies law chosen by parties. #### Article 12: Procedure #### 第十二条：程序 1. Tribunal conducts proceedings fairly. #### Article 13: Award #### 第十三条：裁决 1. Award is made with reasons in writing. #### Article 14: Costs #### 第十四条：费用 1. Costs fixed by tribunal in award. #### Article 15: Confidentiality #### 第十五条：保密 1. Proceedings are confidential. ## S6: Milan Chamber of Arbitration (CAM) ## S6: 米兰仲裁院（CAM） ### Institution Overview ### 机构简介 The Camera Arbitrale di Milano (CAM) is the leading arbitration institution in Italy, established in 1986. Located in Milan, CAM administers domestic and international arbitrations and has updated its rules to include emergency arbitrator provisions and third-party funding disclosure requirements. It serves as a hub for dispute resolution in Italy and Europe. ### CAM Milano Arbitration Rules (2023) ### CAM米兰仲裁规则（2023年） #### Article 1: Application #### 第一条：适用 1. These Rules apply to arbitrations administered by CAM. #### Article 2: Request #### 第二条：申请 1. Claimant files Request with CAM containing required information. #### Article 3: Answer #### 第三条：答辩 1. Respondent files Answer within 30 days. #### Article 4: Arbitrators #### 第四条：仲裁员 1. Number determined by agreement or by CAM. #### Article 5: Impartiality #### 第五条：公正性 1. Arbitrators are impartial and independent. #### Article 6: Seat #### 第六条：仲裁地 1. Seat is Milan unless agreed otherwise. #### Article 7: Language #### 第七条：语言 1. Language is determined by agreement or by tribunal. #### Article 8: Applicable Law #### 第八条：适用法律 1. Tribunal applies law chosen by parties. #### Article 9: Procedure #### 第九条：程序 1. Tribunal conducts proceedings efficiently. #### Article 10: Award #### 第十条：裁决 1. Award made in writing with reasons. #### Article 11: Costs #### 第十一条：费用 1. Costs fixed in award. #### Article 12: Expedited Procedure #### 第十二条：快速程序 1. Expedited procedure available if agreed. #### Article 13: Emergency Arbitrator #### 第十三条：紧急仲裁员 1. Emergency arbitrator may be appointed upon request. #### Article 14: Third-Party Funding #### 第十四条：第三方资助 1. Third-party funding must be disclosed. ## S7: AIA Italian Arbitration Association ## S7: 意大利仲裁协会（AIA） ### Institution Overview ### 机构简介 The Italian Arbitration Association (AIA) is a professional organization dedicated to promoting arbitration in Italy. Established to advance the use of arbitration as an alternative dispute resolution method, AIA provides rules, training, and support for arbitration practitioners. ### AIA Arbitration Rules ### AIA仲裁规则 #### Article 1: Scope #### 第一条：适用范围 1. These Rules apply when parties have agreed to AIA arbitration. #### Article 2: Request #### 第二条：申请 1. Claimant files Request with AIA. #### Article 3: Arbitrators #### 第三条：仲裁员 1. Parties agree on number and appointment procedure. #### Article 4: Impartiality #### 第四条：公正性 1. Arbitrators are impartial and independent. #### Article 5: Award #### 第五条：裁决 1. Award is final and binding. ## S8: Polish Court of Arbitration (PCA) ## S8: 波兰仲裁院（PCA） ### Institution Overview ### 机构简介 The Court of Arbitration at the Polish Chamber of Commerce (Sąd Arbitrażowy przy Polskiej Izbie Gospodarczej) is a permanent arbitration court established by the Polish Chamber of Commerce. Located in Warsaw, it is one of the oldest and most respected arbitration institutions in Central and Eastern Europe. The Court administers both domestic and international commercial arbitrations and has updated its rules to align with international best practices. ### Arbitration Rules (2022) ### 仲裁规则（2022年） **Effective Date:** January 1, 2022 (with amendments from April 1, 2022) **生效日期：** 2022年1月1日（2022年4月1日修订） #### Chapter I: Introductory Provisions #### 第一章：一般规定 ##### § 1: Court of Arbitration ##### 第1条：仲裁院 1. The Court of Arbitration at the Polish Chamber of Commerce ("Court of Arbitration") is a permanent arbitration court. ##### § 2: Authorities ##### 第2条：机构 1. The authorities are the President, the Arbitral Council, and the Secretary General. ##### § 3: Jurisdiction ##### 第3条：管辖权 1. The Arbitral Tribunal has jurisdiction if: ##### § 4: Arbitration Rules ##### 第4条：仲裁规则 1. In matters not addressed, the Arbitral Tribunal shall conduct the proceeding as it deems proper. ##### § 5: Due Diligence and Liability ##### 第5条：尽职和责任 1. The Court of Arbitration and Arbitral Tribunal shall perform their duties with due diligence. #### Chapter II: General Provisions #### 第二章：一般规定 ##### § 6: Grounds for Resolution ##### 第6条：裁决依据 1. The Arbitral Tribunal shall resolve the dispute according to the law mutually indicated by the parties. ##### § 7: Principles of Proceeding ##### 第7条：程序原则 1. The Arbitral Tribunal shall ensure equal treatment and the right to be heard. ##### § 8: Confidentiality ##### 第8条：保密性 1. Unless otherwise agreed, arbitrators and the Court shall maintain confidentiality. ##### § 9: Consolidation ##### 第9条：合并仲裁 1. Two or more proceedings may be consolidated if: ##### § 10: Joinder ##### 第10条：追加当事人 1. A third party may be admitted upon application and consent of the parties. ##### § 11: Service ##### 第11条：送达 1. Written communications shall be served personally, by registered post, or courier. ##### § 13: Language ##### 第13条：语言 1. Unless otherwise agreed, the language of the proceeding shall be Polish. ##### § 14: Place of Arbitration ##### 第14条：仲裁地 1. Unless otherwise agreed, the place of arbitration shall be Warsaw. #### Chapter III: Arbitrators #### 第三章：仲裁员 ##### § 15: Qualifications ##### 第15条：资格 1. Arbitrators must be independent and impartial. ##### § 16: List of Arbitrators ##### 第16条：仲裁员名册 1. The Court maintains a List of Arbitrators. ##### § 18: Number ##### 第18条：人数 1. Unless otherwise agreed: ##### § 19: Appointment ##### 第19条：指定 1. For three arbitrators, each party appoints one arbitrator. ##### § 20: Default Appointment ##### 第20条：缺席指定 1. The Arbitral Council shall appoint an arbitrator if a party fails to do so. ##### § 21: Termination of Appointment ##### 第21条：指定的终止 1. Upon termination, a new arbitrator shall be appointed. ##### § 22: Challenge ##### 第22条：回避 1. An arbitrator may be challenged for circumstances raising doubts. ##### § 23: Effects of Challenge ##### 第23条：回避的效果 1. If upheld, the arbitrator shall be replaced. #### Chapter IV: Proceedings #### 第四章：程序 ##### § 24: Statement of Claim ##### 第24条：诉状 1. The Claimant shall submit a statement of claim containing: ##### § 25: Service of Statement ##### 第25条：诉状的送达 1. The Secretary General shall serve the statement on the Respondent. ##### § 26: Statement of Defense ##### 第26条：答辩状 1. Within 30 days of service, the Respondent shall submit a statement of defense. ##### § 27: Evidence ##### 第27条：证据 1. Each party shall prove the facts on which it relies. ##### § 28: Hearings ##### 第28条：庭审 1. The Arbitral Tribunal shall hold hearings unless the parties agree otherwise. ##### § 29: Interim Measures ##### 第29条：临时措施 1. The Arbitral Tribunal may order interim measures upon request. ##### § 30: Close of Proceedings ##### 第30条：程序的终结 1. Upon completion of submissions and hearings, the Arbitral Tribunal shall close the proceedings. ##### § 31: Deliberations ##### 第31条：评议 1. The Arbitral Tribunal shall deliberate in private. #### Chapter V: Award #### 第五章：裁决 ##### § 32: Making of Award ##### 第32条：裁决的作出 1. The Arbitral Tribunal shall make the award as soon as possible. ##### § 33: Effect ##### 第33条：效力 1. Awards are final and binding. ##### § 34: Correction ##### 第34条：更正 1. Within 30 days, a party may request correction of clerical errors. ##### § 35: Interpretation ##### 第35条：解释 1. Within 30 days, a party may request interpretation. ##### § 36: Settlement ##### 第36条：和解 1. If settled, the Arbitral Tribunal shall issue an award on agreed terms. #### Chapter VI: Costs #### 第六章：费用 ##### § 37: Costs of Arbitration ##### 第37条：仲裁费用 1. The Arbitral Tribunal shall fix the costs of arbitration. ##### § 38: Advances ##### 第38条：预付款 1. The Secretary General shall fix advances for costs. ### Standard Arbitration Clause ### 标准仲裁条款 "Any disputes arising out of or in connection with this contract shall be finally settled by arbitration under the Arbitration Rules of the Court of Arbitration at the Polish Chamber of Commerce by one or three arbitrators appointed in accordance with the said Rules. The place of arbitration shall be Warsaw." ## S9: SVAMC Silicon Valley Arbitration and Mediation Center ## S9: 硅谷仲裁与调解中心（SVAMC） ### Institution Overview ### 机构简介 The Silicon Valley Arbitration and Mediation Center (SVAMC) serves the global technology sector by promoting business-practical dispute resolution. SVAMC works with leading technology companies, law firms, ADR institutions, and universities to provide educational programming and resources for technology-related disputes. SVAMC is particularly known for publishing the Tech List of leading technology neutrals and the groundbreaking Guidelines on the Use of Artificial Intelligence in Arbitration. ### Guidelines on the Use of Artificial Intelligence in Arbitration (2024) ### 仲裁中人工智能使用指南（2024年） **First Edition, Published April 30, 2024** **第一版，2024年4月30日发布** **IMPORTANT:** These AI Guidelines are specifically significant for DWAC (Digital World Arbitration Center) research as they represent the first comprehensive framework for AI use in international arbitration. #### Foreword #### 前言 The SVAMC Guidelines on the Use of Artificial Intelligence in Arbitration introduce a principle-based framework for the use of AI tools in arbitration at a time when such technologies are becoming increasingly powerful and popular. #### Members of the SVAMC AI Task Force #### SVAMC人工智能工作组组员 **Chair:** Benjamin I. Malek, T.H.E. Chambers, New York ### Preliminary Provisions ### 初步规定 #### Application of the Guidelines #### 指南的适用 These Guidelines shall apply when and to the extent that the parties have so agreed and/or following a decision by an arbitral tribunal or an arbitral institution to adopt these Guidelines. ### Part I: Guidelines for All Participants in Arbitrations ### 第一部分：适用于仲裁所有参与者的指南 #### GUIDELINE 1: Understanding the Uses, Limitations, and Risks of AI Applications #### 指南1：理解人工智能应用的使用、局限性和风险 1. All participants involved in arbitration proceedings who use AI tools in preparation for or during an arbitration are responsible for familiarising themselves with the AI tool's intended uses and should adapt their use accordingly. #### GUIDELINE 2: Safeguarding Confidentiality #### 指南2：保密保障 All participants in international arbitration are responsible for ensuring their use of AI tools is consistent with their obligations to safeguard confidential information (including privileged, private, secret, or otherwise protected data). They should not submit confidential information to any AI tool without appropriate vetting and authorisation. #### GUIDELINE 3: Disclosure #### 指南3：披露 1. Disclosure that AI tools were used in connection with an arbitration is not necessary as a general matter. ============================================================ # 全书总评 / Overall Commentary ## Dr. Venessa — Summary Commentary All ten institutions face the same structural fracture in the Agent era: they all operate at the authorization layer — arbitrator authority derives from institutional confirmation and party choice — but the other three layers are entirely absent: capability qualification certification bias accountability auditing and reversibility guarantees. The SVAMC AI Guidelines are the only institutional effort attempting to fill this vacuum but they are guidelines not rules and Guideline 6 non-delegation principle while protecting procedural due process also closes the door on institutional exploration of Arbitrator-Agents. DWAC mission is not to patch within the existing framework but to build new institutions for the Agent era. The four-dimensional framework (capability qualification bias accountability authorization endorsement reversibility) is the systematic response to this structural fracture. *本参考书编纂于2026年6月，为DWAC研究系列成果之一。* --- ## 附录 / Appendix ### 评论专家简介 **Fresa Li** 资深仲裁实务律师，长期代理国际商事仲裁案件，拥有丰富的跨境争议解决经验。 擅长从实务操作角度分析仲裁规则的实际效果与策略选择。 **Dr. Frontie** 国际仲裁法前沿学者，致力于仲裁规则的比较研究和制度创新分析。 关注仲裁制度在全球范围内的竞争与趋同趋势。 **Dr. Gochye** 比较仲裁法专家，精通大陆法系、普通法系及伊斯兰法系仲裁制度的深层结构分析。 聚焦跨法域仲裁制度的融合与创新。 **Dr. Venessa** 程序正义与人权法学者，专攻仲裁程序中的正当程序保障与弱势方保护机制。 关注仲裁透明度与程序公正的制度设计。 **灵犀** 数字仲裁与AI应用研究员，DWAC（数字世界仲裁中心）核心成员。 专注AI辅助仲裁、区块链存证及数字仲裁规则设计。