(Adopted by the First Council of Zhuhai Court of International Arbitration at its first meeting on August 16, 2021, and will come into effect on October 1, 2021)
CONTENTS
CHAPTER I GENERAL PROVISIONS
Article 1 Legal Basis
Article 2 Arbitration Institution
Article 3 Jurisdiction
Article 4 Scope of Application
Article 5 Principles of Arbitration
Article 6 The Obligation of Confidentiality and Exceptions
Article 7 Seat of Arbitration
Article 8 Waiver of Objections
CHAPTER II ARBITRATION AGREEMENT
Article 9 Definition and Forms of Arbitration Agreement
Article 10 Independence of Arbitration Agreement
Article 11 Validity of the Arbitration Agreement
Article 12 Objections to Arbitration Agreement and Arbitration Jurisdiction
CHAPTER III APPLICATION AND ACCEPTANCE
Article 13 Commencement of Arbitral Proceedings
Article 14 Application for Arbitration
Article 15 Handling of Multiple Related Contracts
Article 16 Acceptance of A Case
Article 17 Appointment of the Arbitration Secretary and Sending the Notice of Arbitration
Article 18 Statement of Defense
Article 19 Counterclaim
Article 20 Amendments to the Claim or Counterclaim
Article 21 Claim between Multiple Parties
Article 22 Protective Measures
Article 23 Representatives
Article 24 Provisional Measures
Article 25 Preliminary Order
Article 26 Emergency Arbitrator
Article 27 Number of Copies of Documents Submitted for Arbitration
CHAPTER IV ARBITRAL TRIBUNAL
Article 28 Independence and Impartiality of the Arbitrators
Article 29 Roster of Arbitrators
Article 30 Selection of Arbitrators out of the Roster
Article 31 Number of Arbitrators
Article 32 Selection and Appointment of Arbitrators
Article 33 Notification of the Composition of the Arbitral Tribunal
Article 34 Disclosure by Arbitrators
Article 35 Grounds for Challenging an Arbitrator
Article 36 Application and Decision for Challenging an Arbitrator
Article 37 Replacement of an Arbitrator
Article 38 Continuation of Arbitration by the Majority of Arbitrators
CHAPTER V THE TRIAL
Article 39 Decision on Procedural Matters
Article 40 Evidence
Article 41 Submission, Receipt and Check of Evidence
Article 42 Testimony of Witnesses
Article 43 Appraisal Conclusions and Expert Opinions
Article 44 Application for Persons with Special Knowledge to Appear in Person in the Trial
Article 45 The Arbitral Tribunal Collects Evidence on its Own Motion
Article 46 Cross-Examination of the Evidence
Article 47 Acceptance of Evidence
Article 48 Trial in Private
Article 49 Trial in Person or Written Trial
Article 50 Pre-trial Meeting
Article 51 Place of Trial
Article 52 Notification of Trial
Article 53 Declaration for Trial
Article 54 Default of the Parties
Article 55 Investigation during the Trial, Debate and Final Statement
Article 56 Recording of the Trial
Article 57 Combined Trials
Article 58 Addition of Parties
Article 59 Arbitral Award or Arb-Mediation Decision Based on Parties’ Settlement Agreement
Article 60 Mediation by the Arbitral Tribunal
Article 61 Withdrawal and Revocation
Article 62 Suspension of Arbitral Proceedings
Article 63 Closing of Trial
CHAPTER VI ARBITRAL AWARD
Article 64 Time limit for Award
Article 65 The Applicable Law
Article 66 Rendering the Arbitral Award
Article 67 Advance Award
Article 68 Review of the Draft Award
Article 69 Share of Arbitration Fees
Article 70 Correction of the Award
Article 71 Additional Award
Article 72 Execution of the Award or Arb-Mediation Decision
Article 73 Re-arbitration
Article 74 The Mechanism of Internal Appeal
CHAPTER VII SUMMARY PROCEDURE
Article 75 Scope of Application
Article 76 Formation of the Arbitration Tribunal
Article 77 Statement of Defense and Counterclaim
Article 78 The Mode of Trial
Article 79 Change of Procedure
Article 80 Time Limit for Award
Article 81 Applicability of Other Provisions of These Rules
CHAPTER VIII SUPPLEMENTARY ARTICLES
Article 82 Expert Consultation Meeting
Article 83 Methods of Service
Article 84 Direct Service
Article 85 Service by Post
Article 86 Service through Forwarding
Article 87 Electronic Service
Article 88 Calculation and Extension of Time limit
Article 89 Language of Arbitration
Article 90 Official Texts of These Rules
Article 91 Implementation of These Rules
Article 92 Interpretation of These Rules
CHAPTER I GENERAL PROVISIONS
Article 1 Legal Basis
These Rules are formulated in accordance with the Arbitration Law of the People’s Republic of China, Regulation on the Zhuhai Court of International Arbitration and other relevant laws and regulations.
Article 2 Arbitration Institution
The Zhuhai Court of International Arbitration (hereinafter, “the Court”) is an arbitration institution established by the Government of the City of Zhuhai and must perform the duties of an Arbitration Commission as stipulated in the Arbitration Law of the People’s Republic of China. The Court can also be run under the name of Zhuhai Arbitration Commission.
Article 3 Jurisdiction
1. The Court accepts cases of contractual disputes and other disputes of property rights between domestic and foreign parties.
2. The Court accepts cases of investment disputes between foreign investors and the host countries.
Article 4 Scope of Application
1. These Rules apply to domestic and foreign-related cases accepted by the Court. Foreign-related cases include those where in the civil legal relationship, either the parties or the subject matter or the legal fact causing, altering or terminating that legal relationship or any other note-worthy element therein is foreign-related. Within These Rules, those applicable to foreign-related cases can be applied in analogy to Hong Kong, Macau or Taiwan-related cases.
2. The parties may agree to apply the arbitration rules of other domestic or foreign arbitration institutions or the United Nations Commission on International Trade Law (UNCITRAL). They may also agree specific procedural rules for their arbitration. However, the rules agreed by the parties shall be practically applicable and must not conflict with the mandatory rules in the arbitration law of the seat of arbitration.
3. In the cases accepted by the Court where arbitration rules agreed by the parties, rather than These Rules, apply, the Court will perform the institutional duties as stipulated in those rules.
4. Where the Court has prescribed other special rules or special regulations, unless otherwise agreed by the parties, the special rules or regulations shall prevail.
Article 5 Principles of Arbitration
Arbitration conducted under These Rules shall follow the principles of good faith, party autonomy, independence and efficiency, goodwill cooperation and confidentiality.
Article 6 The Obligation of Confidentiality and Exceptions
The Court, all its staff, all people participating in arbitration proceedings shall abide by the obligation of confidentiality and must not publicize or disclose any information and materials related to the arbitration case without the parties’ consent or permission, except where there is a legal obligation to do so.
Article 7 Seat of Arbitration
1. If the parties have agreed in writing on the seat of arbitration, the parties’ agreement shall be respected.
2. If the parties have not agreed on the seat of arbitration, the location of the Court shall be regarded as the seat of arbitration. The Court may also identify other place as the seat of arbitration by taking into account the opinions of the arbitral tribunal or the whole specific circumstances of the case.
3. An arbitral award is deemed to have been rendered at the seat of arbitration.
Article 8 Waiver of Objections
If the parties know or should have known that a clause or requirement stipulated in These Rules or the arbitration agreement has been breached but still participate in the arbitral proceedings or continue with the arbitral proceedings without timely and clearly raising a written objection, it shall be deemed that the parties have waived their rights of making the objection.
CHAPTER II ARBITRATION AGREEMENT
Article 9 Definition and Forms of Arbitration Agreement
1. An arbitration agreement refers to a clause stipulated in the contract that the parties agree to submit their dispute to arbitration, or an agreement reached by the parties before or after the occurrence of their dispute that they agree to resolve the dispute by arbitration.
2. An arbitration agreement shall be made in writing. Writing include the forms of contracts, exchanged letters and data messages (including but not limited to telegrams, telexes, faxes, electronic data interchange and e-mails) and other forms that can tangibly express the contained contents. Where the applicable law of the arbitration agreement has different rules on the form and validity of the arbitration agreement, those rules shall prevail.
Article 10 Independence of Arbitration Agreement
The arbitration clause in a contract shall be regarded as a clause that exists separately and independently from the other clauses of the contract and the arbitration agreement attached to a contract shall be regarded as a part that exists separately and independently from the other parts of the contract. Whether the contract has been concluded or not and the alteration, cancellation, termination, assignment, invalidation, invalidity, voidance and revocation of the contract shall not affect the validity of the arbitration clause or arbitration agreement.
Article 11 Validity of the Arbitration Agreement
1. If the parties have made the expression that they select Zhuhai Arbitration Institution, Zhuhai City Arbitration Institution, Zhuhai City Arbitration Commission, Zhuhai Court of International Arbitration, Zhuhai Arbitration Commission, or a branch or internal unit of the Court, or any other expression from which it can be inferred that the Court has been solely chosen for their arbitration, it is deemed that the Court has jurisdiction over the case.
2. If the parties did not specify any arbitration institution but have agreed to have their arbitration conducted in accordance with These Rules or other arbitration rules or special rules of the Court, it is deemed that the Court has been chosen to take jurisdiction over the case.
3. If the arbitration agreement is contained in the claim for repayment during the course of mutual communications, or statement for defense, or other correspondences, it is deemed that there exists an arbitration agreement where one party claims that there is an arbitration agreement and the other party continues to participate in the arbitration proceedings without denying it.
4. If the parties to the arbitration agreement are changed, due to merger, separation, or any other reason, the arbitration agreement shall still be binding to the successor of rights and obligations unless otherwise agreed upon when the parties entered into the arbitration agreement.
5. If a party to the arbitration agreement dies, the arbitration agreement shall still be binding to the heir who succeeds to the rights and obligations of the subject matter to be arbitrated unless otherwise agreed upon when the parties entered into the arbitration agreement.
6. Where rights and/or obligations are assigned in total or in part, the arbitration agreement shall be binding to the assignee unless the parties have agreed otherwise, or the assignee has made an express objection or did not know there was a separate arbitration agreement when the assignment was made.
7. Where an arbitration agreement is concluded by a branch of a legal person, the arbitration agreement shall be binding to the legal person and that branch.
Article 12 Objections to Arbitration Agreement and Arbitration Jurisdiction
1. The parties may raise objection to the existence and validity of the arbitration agreement or the jurisdiction over the arbitrated case. The objection shall be filed in writing before the first hearing; for a written trial, it shall be filed in writing before the expiration of the period for the first defense reply.
2. If the parties fail to raise an objection to the existence and validity of the arbitration agreement or the jurisdiction over the arbitrated case in accordance with the immediate preceding paragraph, it shall be deemed that the arbitration agreement is valid or the parties have agreed with the Court’s jurisdiction.
3. If the parties disagree with the validity of the arbitration agreement, they may request the Court to make a decision or request the people’s court to make a ruling. Where one party requests the Court to make a decision and the other party requests the people’s court to make a ruling, the people’s court shall be given the priority to make a ruling. If the parties apply to the people’s court for a ruling on the validity of the arbitration agreement, they shall submit to the Court a copy of the complaint and a copy of the case acceptance certificate issued by the people’s court.
4. The Court has the power to make decisions on the existence and validity of the arbitration agreement and the jurisdiction of arbitrated case and the Court may authorize the arbitral tribunal to make the aforementioned decisions. Where the arbitral tribunal makes such a decision based on this authorization, it may make a separate decision during the arbitral proceedings or one in the final award.
5. Where during the course of arbitral proceedings, the arbitral tribunal finds new facts or evidences which may overturn the decisions on the validity of the arbitration agreement or jurisdiction over the arbitrated case, the Court may re-make the decisions. The Court may also authorize the arbitral tribunal to re-make the above decisions.
6. The arbitral proceedings may continue before a decision is made on the existence, validity of the arbitration agreement and jurisdiction over the arbitrated case.
CHAPTER III APPLICATION AND ACCEPTANCE
Article 13 Commencement of Arbitral Proceedings
The arbitral proceedings start on the day when the Court receives the arbitration application.
Article 14 Application for Arbitration
1. The parties shall submit the application for arbitration to the Court. The arbitration application shall state:
(1) Basic information of the applicant and the respondent;
(2) The arbitration agreement on which the application for arbitration is based;
(3) The applicant’s requests;
(4) The facts and reasons on which the applicant’s requests are based.
2. When submitting the arbitration application, the applicant shall attach the materials of evidences on which the applicant’s requests rely and ID certificates of the parties. Where the applicant has a real difficulty of submitting the respondent’s ID, with consent of the Court, it can be submitted after the case is accepted. If the applicant entrusts an agent to submit the application for arbitration, a letter of authorization must be provided.
3. When applying for arbitration, the applicant shall provide his accurate address for service and fill in the confirmation form for the service address.
4. The applicant shall pre-pay arbitration fees in accordance with the standard of the Court. If the applicant does not pre-pay the arbitration fees or fails to pre-pay within the period of grace approved by this Court, it shall be deemed that the application for arbitration has been withdrawn or not filed. Matters related to the pre-payment of arbitration fees by the applicant shall be dealt with in accordance with the relevant regulations of the Court.
Article 15 Handling of Multiple Related Contracts
Applications for arbitration on multiple related contracts can be made in a single application when the following conditions are all met:
1. The arbitration agreement in each contract involves similar legal or factual issues;
2. All the disputes involve the same transaction or the same series of trans-actions, or the multiple related contracts are main or subordinate to each other (one another);
3. The arbitration agreements upon which the applications for arbitration can be made are compatible with each other (one another).
Article 16 Acceptance of A Case
1. If the Court considers that an application for arbitration can meet the conditions of being accepted, it will notify the applicant to pre-pay the arbitration fees. Once the applicant has made the pre-payment, the Court will formally accept the case within 5 days and send the applicant the notice of acceptance and its attachments, arbitration rules and roster of arbitrators. The arbitration rules and the list of arbitrators can be sent in the form of electronic documents, or QR codes or other online link addresses. If the applicant wants the paper-based hard copies, he can obtain them from the staff of the Court.
2. If the Court considers that an application for arbitration cannot meet the conditions of being accepted, it will decline the case and inform the applicant accordingly, explaining the reasons; if the applicant requests the court to issue a written notice, the Court will do so and explain the reasons in writing.
3. If the Court considers that the materials submitted by the applicant are incomplete or incorrect, it may ask the applicant to complete or correct them within a certain period of time; the date when the materials are completed or corrected shall be taken as the date of receipt of the arbitration application; where the applicant fails to do so, it is deemed that the arbitration application has never been made.
Article 17 Appointment of the Arbitration Secretary and Sending the Notice of Arbitration
1. After accepting the arbitration application, the Court will designate one or two arbitration secretaries to assist the arbitral tribunal in managing the arbitration proceedings.
2. After accepting the arbitration application, the Court will send the respondent the notice of acceptance and its attachments, arbitration rules and roster of arbitrators within 5 days, along with a copy of the arbitration application and its attachments. The arbitration rules and the list of arbitrators can be sent in the form of electronic documents, or QR codes or other online link addresses. If the respondent wants the paper-based hard copies, he can obtain them from the staff of the Court.
Article 18 Statement of Defense
1. The respondent shall submit his written defense, documentary certificates and confirmation form of service address within 15 days after the receipt of the acceptance notice if it is a domestic case; within 30 days if it is a foreign-related case. If an agent is entrusted, a letter of authorization needs to be submitted.
2. Where the respondent requests an extension of the time limit for submitting the statement of defense or relevant documentary certificates, a written application shall be made. If the arbitral tribunal considers that the respondent’s request is indeed justifiable, it may decide to extend the time limit; if the arbitral tribunal has not been constituted yet, it is up to the Court to decide whether to extend this time limit.
3. Statement of defense and documentary certificates include:
(1) Basic information of the respondent;
(2) The opinions of the respondent and the facts and reasons on which the opinions are based;
(3) The ID document of the respondent.
4. Failure to submit a statement of defense or to reply for defense shall not affect the continuation of the arbitral proceedings.
Article 19 Counterclaim
1. A counterclaim shall be filed with the Court in writing by the respondent within 15 days after the acceptance notice is received if it is a domestic case; 30 days if it is a foreign-related case. If it has not been filed within the time limit, the Court shall decide whether to accept it before the arbitral tribunal is formed; once formed, the arbitral tribunal itself shall decide whether to accept it.
2. When the Court or an arbitral tribunal decides whether to accept an overdue counterclaim, it shall consider the necessity of combining the original claim and counterclaim into one case, the length of the overdue time, whether arbitral proceedings will be excessively delayed and any other meaningful factor.
3. Within 5 days after accepting the counterclaim, the Court will send to the original applicant the acceptance notice of the counterclaim, a copy of the counterclaim application and its attachments.
4. For a counterclaim, where this article does not provide an answer for its application, acceptance and statement of defense etc., the relevant provisions of this Chapter shall apply.
Article 20 Amendments to the Claim or Counterclaim
1. The applicant may amend his claim for arbitration. The amendment shall be made in writing within 15 days after the receipt of the acceptance notice where it is a domestic case; 30 days where it is a foreign-related case. If this time of period has elapsed, the Court shall decide whether to accept it before the arbitral tribunal is formed; once formed, the arbitral tribunal itself shall decide whether to accept it.
2. The respondent may amend his counterclaim. The amendment shall be made in writing within 15 days after the receipt of the acceptance notice of the counterclaim where it is a domestic case; 30 days where it is a foreign-related case. If this time of period has elapsed, the Court shall decide whether to accept it before the arbitral tribunal is formed; once formed, the arbitral tribunal itself shall decide whether to accept it.
3. When the Court or an arbitral tribunal decides whether to accept an overdue amendment to the claim or counterclaim, it shall consider whether the amendment is too late and whether it will affect the normal progress of the arbitral proceedings and other meaningful factors.
4. Where there is a division between the parties and the arbitral tribunal regarding the nature of the legal relationship or the legal effects of the legal act, the arbitral tribunal may make these issues the focus of the trial. Where the parties amend their claims with the development of the trial, the arbitral tribunal may allow this and re-specify the time-period for submitting new evidences according to the specific circumstances of the case.
5. For the amendment to the claim or counterclaim, where this article does not provide an answer for its application, acceptance and statement of defense etc., the relevant provisions of this Chapter shall apply.
Article 21 Claim between Multiple Parties
1. Where in a case there are two or more claimants or respondents, any party can file an application for arbitration against the other parties by the same arbitration agreement. Before an arbitral tribunal is formed, the Court will decide whether to accept it; once formed, the arbitral tribunal shall decide whether to accept it.
2. The application, acceptance, defense, and claim amendment of the arbitration mentioned in the preceding paragraph shall be handled in accordance with the relevant provisions of this Chapter.
3. Once the application for arbitration referred to in paragraph 1 of this article is accepted, the identities of the parties shall not change in the arbitral proceedings.
Article 22 Protective Measures
1. If a party finds that due to the actions or other reasons of the other party, it may be difficult for the final arbitral award to be enforced in the future or there may be other damages to his personal interests, he may file an application for the preservation of the other party’s property, or ordering the other party to do or not to do something.
2. Where the evidence may be lost or difficult to obtain in the future, the party concerned may file an application for the preservation of the evidence.
3. When a party makes an application mentioned in the preceding two paragraphs of this article to the Court, the Court shall forward the party’s application to a people’s court with jurisdiction over the matter.
4. In the following situations of emergency, the parties may file the applications mentioned in the preceding paragraphs of this article before making the application for arbitration:
(1) Failure to apply for preservation immediately will cause irreparable damage to his legitimate rights and interests;
(2) The evidence may be lost or will be difficult to obtain in the future.
5. The aforementioned provisions of this article do not affect the rights of one party making an application for taking protective measures against the other party in accordance with local laws abroad.
Article 23 Representatives
1. The parties may entrust lawyers or other agents to conduct arbitration activities. Generally, no more than two representatives shall be appointed. With the consent of the arbitral tribunal, the parties, however, may appropriately increase the number of representatives. If there are two or more representatives, the arbitral tribunal may require the parties to designate one of them as the main spokesperson. Where there is a conflict of opinions among the representatives, the opinions of the main spokesperson shall prevail if there is no clear indication from the concerned party.
2. Where a party entrusts a representative to conduct the arbitration activities, a letter of authorization shall be submitted to the Court, detailing the matters entrusted and the power conferred upon therein. If the entrusted matters and/or conferred powers are altered or terminated, the party shall notify the Court in writing. This shall not affect the arbitral proceedings that have already been carried out.
Article 24 Provisional Measures
1. For the proper advancement of the arbitral proceedings and the execution of the arbitral award, the arbitral tribunal may adopt interim measures in accordance with the law of the place of arbitration or the applicable law agreed upon by the parties, or simply the agreement of the parties. Interim measures include orders demanding one party to maintain the status quo, or make a restoration, or prevent damage from happening, or stop damaging activities, or preserve evidence, or provide securities by property etc.
2. The decision for interim measures may be made by the means of an order of the arbitral tribunal or other means allowed by the relevant laws.
3. Before the arbitral tribunal makes such a decision, it shall hear the other party’s statement of and opinions on the case.
4. The party applying for interim measures shall provide corresponding securities.
5. The decision on interim measures is binding on the parties and the legal effect of its enforceability depends on the law of the place of enforcement.
Article 25 Preliminary Order
1. Where the conditions specified in Article 24 (1) are met, unless otherwise agreed by the parties, a party may apply to the arbitral tribunal to issue a preliminary order of adopting the interim measures without notifying the party against whom the interim measures are to be taken.
2. After receiving the application for a preliminary order, the arbitral tribunal may issue such an order where it believes that disclosing the application to the other party targeted by the interim measures may frustrate the purpose of such measures. The party applying for the preliminary order shall provide corresponding securities in accordance with Article 24 (4).
3. Once a preliminary order is issued, the arbitral tribunal shall promptly hear the statement of the case by the party against whom the preliminary order is directed and make a decision on the objections raised against the preliminary order as soon as possible.
4. A preliminary order is binding on the parties but not enforceable. A preliminary order shall become invalid 20 days from it is issued by the arbitral tribunal.
5. After giving proper notice to the party targeted by the preliminary order and an opportunity to be heard to present the case, the arbitral tribunal may make a decision on interim measures to replace the preliminary order in accordance with the relevant provisions of Article 24.
Article 26 Emergency Arbitrator
1. Pursuant to Article 24, if interim measures are urgently required before the formation of the arbitral tribunal, upon the application of the parties, the Court may form an emergency arbitral tribunal, which can decide whether to adopt emergency interim measures.
2. If the Court approves the application for the formation of an emergency arbitral tribunal, it shall verify the relevant expenses. After the applicant has paid the fees in advance, the President of the Court shall appoint an arbitrator to constitute the emergency arbitral tribunal. Matters such as information disclosure, avoidance, replacement of this arbitrator shall be governed by the relevant provisions of Chapter 4 in These Rules.
3. The decision of the emergency arbitral tribunal shall not have binding effect on the subsequent arbitral tribunal and it may be recognized, modified or revoked by the subsequent arbitral tribunal.
Article 27 Number of Copies of Documents Submitted for Arbitration
The parties shall submit 5 copies for the application for arbitration, statement of defense, counterclaim application, evidential materials and other written documents. If there are more than two parties, the number of copies shall be increased accordingly; if the arbitral tribunal is composed of one arbitrator only, 2 copies may be reduced; if property preservation or evidence preservation is applied for, 1 copy shall be added.
CHAPTER IV ARBITRAL TRIBUNAL
Article 28 Independence and Impartiality of the Arbitrators
The arbitrators do not stand on the feet of any party and shall be independent of the parties and treat them fairly.
Article 29 Roster of Arbitrators
1. The Court establishes the general roster of arbitrators and different rosters of arbitrators for different special areas where needed.
2. The parties may select the arbitrators from the general roster or the rosters for different special areas as they wish except where the Court has put a limitation on the applicable scope of a roster for a special area.
Article 30 Selection of Arbitrators out of the Roster
1. Upon confirmation by the Court, the parties may select arbitrators from the rosters of arbitrators of the other arbitration institutions in the Guangdong-Hong Kong-Macao Greater Bay Area.
2. Upon confirmation by the Court, the parties to a case involving Hong Kong and/or Macao may select a citizen of Hong Kong or Macao as the arbitrator who is not in the roster of any arbitration institution in the Guangdong-Hong Kong-Macao Greater Bay Area.
3. Upon confirmation by the Court, where arbitrators with special knowledge are needed for a special case, the parties can agree to select arbitrators from out of the roster of the Court, provided that an application has been properly made with sound reasons.
4. The arbitrators selected by the parties out of the rosters shall satisfy the requirements laid down by the law for being qualified as an arbitrator. The parties shall submit enough materials to prove that the selected arbitrator can meet the statutory requirements.
Article 31 Number of Arbitrators
1. The arbitral tribunal shall consist of one or three arbitrators. Unless otherwise agreed by the parties or otherwise provided in These Rules, an arbitral tribunal shall consist of three arbitrators.
2. If the arbitration tribunal is composed of three persons, there shall be a presiding arbitrator. The presiding arbitrator performs the following duties:
(1) Organize members of the arbitral tribunal and other relevant staff to do preparation for the trial and related works;
(2) Preside over the proceedings during the trial;
(3) Preside over the deliberation on the case;
(4) Draft arbitral award, decision of arbitral tribunal, mediation settlement and other legal documents in accordance with the provisions of These Rules;
(5) Issue procedural orders according to the needs of the case trial;
(6) Do other related works in accordance with the provisions of These Rules.
Article 32 Selection and Appointment of Arbitrators
1. The applicant and the respondent each shall select or entrust the president of the Court to appoint an arbitrator within 15 days after receiving the notification of acceptance. If the parties fail to do so within the time limit, the president of the Court shall designate the arbitrators.
2. The third arbitrator shall be jointly selected by the parties or appointed by the president of the Court jointly entrusted by the parties within 15 days after the respondent receives the notification of acceptance. The third arbitrator shall be the presiding arbitrator. If the parties fail to jointly select the presiding arbitrator within the time limit, the president of the Court shall designate.
3. With the consent of both parties, the Court may provide a list of 5 to 7 candidates for the presiding arbitrator, from which the parties can select one or more as the candidate for the presiding arbitrator within 15 days after receiving the notification of acceptance. If there is only one candidate selected by both parties, that candidate is, then, the presiding arbitrator jointly selected by the parties; if there are more than one candidate selected by both parties, the president of the Court shall decide who is the presiding arbitrator that shall be taken as the presiding arbitrator jointly selected by both parties; if there is no identical candidate selected by both parties, the president of the Court shall appoint the presiding arbitrator out of the list of candidates.
4. If a party on one side has two or more persons, they shall reach an agreement among themselves on the selection of an arbitrator or the presiding arbitrator. Where there is no agreement, the president of the Court shall appoint an arbitrator or the presiding arbitrator for that party in accordance with paragraphs (1) and (2) of this article.
5. If an arbitrator selected by a party needs to be paid for transportation and other necessary expenses, that party shall bear the cost and pre-pay the expenses. Where a party fails to pre-pay the expenses within the prescribed time limit, it is deemed that that party has not made an effective selection of the arbitrator and the president of the Court will appoint one for him in accordance with These Rules.
6. When the president of the Court appoints an arbitrator in accordance with These Rules, he shall take into consideration the nature and circumstances of the dispute, the applicable law, the place of arbitration, the language of arbitration, and other factors that the president of the Court thinks should be taken into consideration.
7. Where an arbitrator declines the selection by a party, that party shall re-select an arbitrator in receipt of the notice for re-selection. The time for re-selection of an arbitrator shall be 5 days if there are less than 5 days between the receipt of the re-selection notice and the expiration date of selecting an arbitrator. Failing to re-select an arbitrator within the time limit will lead to the appointment of an arbitrator by the president of the Court.
8. The generation of a sole arbitrator shall be made by referring to the relevant provisions of These Rules concerning the generation of the presiding arbitrator. The selection of the sole arbitrator shall be completed by both parties within 10 days for a domestic case and 15 days for a foreign-related case after the respondent receives the notification of acceptance.
Article 33 Notification of the Composition of the Arbitral Tribunal
After the arbitral tribunal is formed, the Court shall promptly notify the parties of the composition of the arbitral tribunal in writing.
Article 34 Disclosure by Arbitrators
1. After being selected or designated, an arbitrator shall sign a letter of declaration promising his independence and impartiality during the course of arbitration and disclose in writing to the Court any information he knows that might cause reasonable doubts to the parties about his independence and impartiality, which will be forwarded to the parties by the Court.
2. An arbitrator shall disclose in writing to the Court any situation that occurs after signing the declaration and may cause reasonable doubts to the parties about his independence and impartiality, which will be forwarded to the parties by the Court.
3. The parties may apply for the recusal of the concerned arbitrator within 5 days after the Court forwards to the parties the information disclosed according to paragraphs (1) and (2) of this article.
4. If relying on the disclosed information the parties challenge an arbitrator, Articles 35 and 36 of These Rules shall apply.
5. If the parties do not make a challenge within the time limit specified in paragraph (3) of this article, a challenge based on the disclosed information cannot be made later on.
Article 35 Grounds for Challenging an Arbitrator
1. Under any of the following circumstances, the arbitrator shall withdraw from the case and the parties have the right to file an application for his withdrawal:
(1) Be a party of the case or a close relative of one party or one party’s representative;
(2) Have a personal interest in the case;
(3) Have other relationships with the parties or their representatives which may affect the impartiality of the arbitration;
(4) Privately meeting the parties or their representatives or accepting a treat or gift from them.
2. The “other relationships” referred to in item 3 of the preceding paragraph include, but not limited to, the following:
(1) Having advised the parties on the case in advance;
(2) There is a relationship of consultancy or other appointment with one party and this relationship is currently maintained or has terminated less than two years;
(3) Having served as a representative or a defender for a party’s case that has been ended less than two years;
(4) Being a current colleague of one party or his representative or a former colleague of one party or his representative less than two years ago;
(5) Having recommended and introduced the representative to a party for the case;
(6) Having served as a witness, appraiser, investigator, defender or representative in this case or a case related to this case;
(7) The arbitrator himself or his close relatives hold the shares or the rights of shares of one party that is a non-listed company in the stock market.
Article 36 Application and Decision for Challenging an Arbitrator
1. Where the parties have reasonable doubts about the independence and impartiality of an arbitrator, they have the right of filing an application for the withdrawal of that arbitrator. However, when one party applies for the withdrawal of the arbitrator selected by himself or jointly selected by him and the other party, his application can only be based on the grounds known by him after the arbitrator is selected. The application for an arbitrator’s withdrawal shall be submitted to the Court in writing, detailing the facts and reasons with evidences being provided.
2. An application for an arbitrator’s withdrawal shall be filed before the first hearing; if the reason for withdrawal is known after the first hearing, it can be filed before the closing of the last hearing; in a case where there is no more hearing or only a written trial, it shall be filed within 10 days after the reason for withdrawal being known and before the completion of the whole proceedings, except where there is a situation arising as illustrated in paragraph 3 of Article 34 of These Rules.
3. After receiving the application for withdrawal of an arbitrator, the Court will forward the application to the other party and all members of the arbitral tribunal. The other party, the challenged arbitrator and other members of the tribunal can express opinions to the Court in writing.
4. If one party applies for the withdrawal of an arbitrator and the other party agrees or the challenged arbitrator voluntarily withdraws after being notified of the application, the challenged arbitrator shall no longer participate in the case. However, this does not necessarily mean that the reasons raised by the party for the withdrawal are justified.
5. Except what has been said by paragraph (4) of this article, the president of the Court shall make the final decision on whether or not for an arbitrator to withdraw and whether or not reasons for such a decision need to be given according to the specific circumstances of the case.
6. If, after being notified of the composition of the arbitral tribunal, one party employs a representative for his case so that a ground for challenging an arbitrator can be established according to this chapter, this party cannot make an application for withdrawal of the concerned arbitrator on such a ground with the other party’s right being unaffected. Where there are fees incurred by such a situation, the party causing such a situation shall bear the cost.
7. Before the president of the Court makes a decision on whether or not for an arbitrator to withdraw, the concerned arbitrator shall continue to perform his duties.
Article 37 Replacement of Arbitrators
1. Arbitrators shall be replaced where an arbitrator dies, or voluntarily withdraws from the case, or the president of the Court decides for an arbitrator to withdraw or the arbitral tribunal needs to be re-organized due to new parties being added on. If both parties unanimously request an arbitrator to withdraw from the case, that arbitrator shall be replaced but the increased cost for the replacement shall be borne by both parties.
2. If an arbitrator is unable to perform his duties legally or de facto, or fails to perform his duties in accordance with These Rules or the requirements of other regulatory documents made by the Court, the president of the Court may replace him. However, before making the decision for replacement, the president of the Court shall give an opportunity to both parties and all members of the arbitral tribunal for them to submit their written opinions. The decision made by the president of the Court is final, who may also decide whether to give reasons for such a decision according to the specific circumstances of the case.
3. If the arbitrator to be replaced is one selected by the parties, a new arbitrator shall be selected within 5 days after receiving the notice of re-selection. The president of the Court shall designate one where the parties did not make the re-selection within the time limit; if the arbitrator to be replaced is one designated by the president of the Court, the president of the Court shall designate another one. After the replacement, the Court will promptly notify the parties of the composition of the new arbitral tribunal.
4. After the replacement, the newly-formed arbitral tribunal shall decide whether or not to re-conduct the past proceedings and the scope thereof. If the new arbitral tribunal decides to restart the whole proceedings, the time limit for making the final award shall be calculated from the date when the new arbitral tribunal is formed.
Article 38 Continuation of Arbitration by the Majority of Arbitrators
After the conclusion of the last hearing, if one arbitrator of the three-member tribunal withdraws due to health or cannot continue to be an arbitrator due to any other reason prescribed by These Rules, the arbitral tribunal composed of the other two members can continue with the arbitral proceedings with the consent of both parties and the president of the Court. Where consensus can be reached, a decision or award can be made; where no consensus can be reached, the vacant arbitrator shall be replaced according to Article 37 of These Rules.
CHAPTER V THE TRIAL
Article 39 Decision on Procedural Matters
1. If a matter of procedure is not regulated by These Rules and the parties have not agreed on it, either, the arbitral tribunal has the power to decide.
2. When the arbitral tribunal decides on a procedural matter, the decision shall be made in accordance with the opinions of the majority. If no majority opinions can be formed, the procedural matter shall be decided according to the opinion of the presiding arbitrator.
3. With the consent of the parties or the authorization of other arbitrators, the presiding arbitrator may make decisions on procedural matters.
Article 40 Evidence
1. A party has the responsibility to provide evidence to prove the facts on which his claim is based and the facts on which he refutes the other party’s claim. The time limit for providing evidence is within 15 days for a domestic case after the party receives the notification of acceptance and a period determined by the arbitral tribunal for a foreign-related case. Upon agreement between the parties, the time limit for providing evidence may be altered.
2. If there are difficulties for the parties to submit evidential materials within the time limit, the parties shall apply in writing for an extension of the time limit before it expires. The Court decides whether to approve the application or not before the arbitral tribunal is formed; once formed, the arbitral tribunal shall decide.
3. Before making the case-closing document, the arbitral tribunal may require the parties to supplement evidential materials within a certain period of time, based on the needs of the trial or at the request of the parties.
4. The arbitral tribunal may accept new evidence or evidence submitted by one party out of the time limit where the arbitral tribunal does think it is necessary or upon agreement of the parties.
Article 41 Submission, Receipt and Check of Evidence
1. When the parties submit evidential materials, they shall classify, paginate, note the purpose of, date, sign and stamp the evidence. Where the parties submit their evidence more than once, they shall keep consistency of the evidential materials in terms of classification and page number.
2. The arbitral tribunal has the power to require the parties to provide electronic data files related to the case.
3. Where documentary evidence submitted by the parties is in a foreign language, the arbitral tribunal may require the parties to provide a corresponding Chinese version or a version in another language if it deems necessary.
4. For the evidence submitted by the parties within the time limit, the Court shall provide a receipt and date it.
5. According to the needs of the trial of the case, the arbitral tribunal may arrange for the parties to check whether the submitted copies of the evidential materials are consistent with the originals. The arbitral tribunal may entrust the arbitration secretary to do this work.
Article 42 Testimony of Witnesses
1. The application by a party for a witness to testify in the trial in person shall be made in writing and the arbitral tribunal shall decide whether or not to approve. With the permission of the arbitral tribunal or the consent of the opposing party, the witness may also testify by means of written testimony, audio-visual transmission technology or audio-visual materials etc.
2. Regardless of whether the witness appears in the trial in person, the party concerned shall provide the witness’ ID, contact information and the items to be testified by him and attach a copy of his ID.
3. Where the witness appears in the trial in person, the arbitral tribunal and the parties may inquire the witness of relevant matters.
Article 43 Appraisal Conclusions and Expert Opinions
1. If the parties request to employ professional or appraisal institutions or experts or professionals to draw appraisal conclusions or provide expert opinions on professional issues, they shall submit a written application and the arbitral tribunal shall decide whether to approve. Where the parties have not filed such an application, the arbitral tribunal may make a decision on entrusting an appraisal institution or seeking expert opinions if it deems necessary.
2. The “appraisal conclusions” referred to in this article mean the cognition and judgment obtained by the employed professionals with relevant qualifications or professional capabilities on relevant issues through professional or technical means such as identification, auditing, evaluation, testing, and inspection etc. The “Expert opinions” mean the cognition and judgment made by experts on professional issues.
3. The parties shall jointly select or jointly entrust the arbitral tribunal to select the professional institutions, appraisal institutions or experts or appraisers within the time limit prescribed by the arbitral tribunal. If the parties cannot jointly select or entrust, the arbitral tribunal shall determine the professional institutions, appraisal institutions or experts or appraisers.
4. The parties shall pre-pay the percentage of the relevant expenses according to their agreement or determined by the arbitral tribunal. If the pre-payment is not made, the arbitral tribunal can decide not to proceed with the relevant procedures. The ultimate bearer and percentage of the expenses shall be determined by the arbitral tribunal in the final award.
5. The arbitral tribunal can require the parties to provide or present any document, data, property or other items needed for making the appraisal conclusions and expert opinions. If a party refuses to do so, he shall bear the consequences of an unfavorable presumption.
6. The appraisal conclusions and expert opinions shall be made in writing and copies shall be sent to the concerned parties and both parties shall be given the opportunity to express their opinions.
7. The arbitral tribunal can notify the appraiser or expert to participate in the hearing of the trial at the request of the parties or at its own discretion. With the permission of the arbitral tribunal, the parties can inquire the appraiser and/or expert of matters related to the appraisal conclusions and/or expert opinions. If the appraiser or expert refuses to appear in person, the arbitral tribunal has the power not to adopt the appraisal conclusions and/or expert opinions.
8. Matters related to appraisal conclusions and expert opinions not covered by These Rules shall follow the special regulations formulated by the Court.
Article 44 Application for Persons with Special Knowledge to Appear in Person in the Trial
1. A party may apply for one or two persons with special knowledge to appear in person in the trial, on behalf of him, to provide opinions on the appraisal conclusions or professional issues involved in the facts of the case. Whether to approve or not shall be decided by the arbitral tribunal.
2. If a party applies for a person with special knowledge to appear in person in the trial, that party shall provide that person’s ID information, contact information and the professional questions to be testified etc. and attach a copy of that person’s ID and certificate indicating that person has the relevant special knowledge.
3. If a person with special knowledge puts forward an opinion on the appraisal conclusion or the professional issues involved in the facts of the case during the trial and the party who employs that person does not expressly object to that opinion, it shall be regarded as the statement of that party.
4. With the permission of the arbitral tribunal, the parties may inquire the persons with special knowledge who appear in person in the trial. The persons with special knowledge respectively employed by the parties may debate the relevant issues in the case with each other.
5. Persons with special knowledge shall not participate in the arbitral proceedings other than the trial of professional issues for which they are employed.
Article 45 The Arbitral Tribunal Collects Evidence on its Own Motion
1. The arbitral tribunal may investigate the facts and collect evidence on its own motion where at the request of the parties, the arbitral tribunal deems it necessary, or where the arbitral tribunal deems it necessary based on the circumstances of the trial of the case without the request of the parties.
2. When the arbitral tribunal investigates the facts and collects evidence on its own motion, it may notify one or both parties to be present. If one or both parties do not come after receiving the notice, the investigation of the facts and collection of evidence by the arbitral tribunal on its own motion will not be affected.
3. The evidence collected by the arbitral tribunal on its own motion shall be forwarded to both parties and the parties shall express their opinions on examination.
Article 46 Cross-Examination of the Evidence
1. For the evidence that has been exchanged before the trial, the parties shall still do cross-examination during the trial. Where there is no trial in person, the cross-examination of evidence shall be done in writing. If the parties need to prepare for the cross-examination, they may request the arbitral tribunal to give them the time necessary.
2. For the evidence submitted by a party out of the time limit, a cross-examination shall also be done in a hearing if the arbitral tribunal decides to accept it. With the consent of the other party, the arbitral tribunal may not hold a hearing for this purpose but a cross-examination in writing shall be done and a reasonable period of time shall be given to the other party for him to submit written opinions.
Article 47 Acceptance of Evidence
1. The arbitral tribunal shall comprehensively decide whether the evidence is acceptable, in accordance with the relevant laws and referring to the relevant judicial interpretations, administrative regulations and other normative documents, combining business practices and transaction customs and applying logical reasoning and rule of thumb.
2. The evidence admitted by the opposing party in the pre-trial meeting or the evidence admitted by the parties in the arbitration application, statement of defense and other written opinions can be directly accepted to establish the fact of the case without being presented after the arbitral tribunal tells in the trial.
Article 48 Trial in Private
The arbitral tribunal shall hold the trial in private. If both parties request the trial to be held in public, the arbitral tribunal may agree to do so unless the Court considers this is inappropriate.
Article 49 Trial in Person or Written Trial
1. The arbitral tribunal shall hold the trial in person to hear cases, which may be conducted by the mode of remote instant video.
2. The arbitral tribunal may conduct a written trial based on the documents submitted by the parties where the parties have arranged for a written trial and the arbitral tribunal agrees or where the arbitral tribunal thinks it is unnecessary to hold a trial in person and both parties have agreed in writing. However, upon the decision of the Court, a trial in person shall be held for those cases in which the amount of disputed money is large, or the facts of which are complicated and sensitive, or where the interests of a third party are concerned, or the other cases that are not suitable for a written trial.
3. No matter which method of trial is adopted, the arbitral tribunal shall treat both parties fairly and impartially and give both parties reasonable chances for presentation and debate.
Article 50 Pre-trial Meeting
1. Before the trial, according to the needs of the case, the arbitral tribunal or its authorized members may organize a pre-trial meeting to clarify the preliminary procedural arrangements for the trial of the case. There shall be a minute for the pre-trial meeting, which shall be signed or stamped by the arbitrators, the parties and the recorder.
2. The pre-trial meeting can clarify the following issues related to the trial procedure:
(1) Clarify the claims of the parties, determine the focus of the parties’ disputes and the scope of the trial;
(2) Verify the parties’ contact information, address for service, place of arbitration, language of arbitration, and applicable procedural rules;
(3) Clarify whether the parties are willing to mediate and the time limit for mediation;
(4) Organize both parties to conduct evidence exchange and evidence admission and clarify the list of witnesses who are going to appear in the trial in person;
(5) Other related procedural issues.
3. Based on the pre-trial meeting, the arbitral tribunal may prepare a table of scope and a schedule for the case trial and forward them to all parties for confirmation.
Article 51 Place of Trial
The trial shall be conducted in the Court. Where the parties have arranged otherwise and the Court agrees, it can also be carried out in other places but the parties shall bear the increased cost.
Article 52 Notification of Trial
1. The arbitral tribunal shall notify the parties of the time and place for the trial 5 days before the trial is held for a domestic case and 20 days for a foreign-related case; the arbitral tribunal can advance the trial where the parties reach a consensus on the advancement and the arbitral tribunal agrees.
2. If there are legitimate reasons for a postponement of the trial, the parties to a domestic case shall submit a written application 3 days before the trial and the parties to a foreign-related case shall do so 7 days before the trial. Whether the postponement can be allowed, it is up to the arbitration tribunal. Where the parties have justifiable reasons for failing to file the application for postponement within the time limit, it is up to the arbitral tribunal to decide whether to accept the late application.
3. The notice for a second hearing after the first hearing of the trial is not subject to the time limit specified in paragraph 1 of this article.
Article 53 Declaration for Trial
During the trial, the arbitral tribunal shall make a declaration on independence and impartiality; the parties and their representatives, witnesses, appraisers and other concerned persons may make a declaration on good faith and goodwill cooperation.
Article 54 Default of the Parties
1. If the applicant fails to appear in the trial without justification or withdraws from the trial half the way without the permission of the arbitral tribunal, the application for arbitration shall be deemed to have been withdrawn; if the applicant regrets, the arbitral tribunal may continue with the trial, depending on the circumstances of his case. Where the respondent has filed a counterclaim, without being affected, the arbitral tribunal can hold the trial for the counterclaim and make an award.
2. If the respondent fails to appear in the trial without justification or withdraws from the trial half the way without the permission of the arbitral tribunal, the arbitral proceedings shall continue and not be affected. The arbitral tribunal can make an award after examining the claims for the arbitration, the facts and reasons claimed by the parties and the submitted evidential materials. Where the respondent has filed a counterclaim, it shall be deemed to have been withdrawn; if the respondent regrets, the arbitral tribunal may continue with the trial depending on the circumstances of his case.
Article 55 Investigation during the Trial, Debate and Final Statement
1. The investigation during the trial can be conducted according to the following order:
(1) The applicant puts forward his claim and states the facts and reasons;
(2) The respondent advances his defense and states the facts and reasons;
(3) The respondent files a counterclaim and states the facts and reasons;
(4) The applicant responds to the counterclaim and states the facts and reasons;
(5) The parties present and cross-examine evidence, and the arbitral tribunal verifies the evidence;
(6) Witnesses testify or read the testimony of the unattended witnesses;
(7) The appraiser presents the appraisal conclusion and answers questions from the arbitral tribunal and the parties;
(8) The arbitral tribunal inquires the parties of factual or legal issues.
2. The parties have the right to debate during the arbitration process and the arbitral tribunal shall organize the parties to debate after the investigation of the trial. The parties may submit written opinions for debate and the arbitral tribunal may also require the parties to submit written opinions for debate based on the circumstances of the trial.
3. At the closing of the debate, the arbitral tribunal shall ask the final opinions of the parties. The final opinions of the parties may be presented orally during the trial or in writing within the time limit set by the arbitral tribunal.
Article 56 Recording of the Trial
1. When the arbitral tribunal holds the trial, recording shall be made. However, it is not required to record the process of mediation and negotiation between the parties. The Court may make audio- or video-recordings for the trials, which can only be checked and utilized by the Court and the concerned arbitral tribunals and cannot be made public.
2. If the parties or other arbitration participants find that there is an omission or error in the recording of their statements, they can make an application for correction; if the arbitral tribunal does not agree to correct, the application shall be recorded.
3. The recording shall be signed/stamped by the arbitrators, the recorder, the parties and other arbitration participants; if the parties or arbitration participants refuse to sign/stamp, the recorder shall record the situation and attach it to the case file.
4. Without the consent of the arbitral tribunal, the parties, other arbitration participants, or observers shall not make an audio- or video-recording.
Article 57 Combined Trials
1. Upon the request of one party and the consent of the other parties or where the Court deems it necessary and all the parties also agree, the Court may decide to combine two or more cases together to have the trial.
2. The cases combined in accordance with paragraph 1 of this article shall be connected with each other and the members of the arbitral tribunal and the presiding arbitrator shall be the same for all of them.
3. Unless otherwise agreed by the parties, the combined cases shall be combined into the case that first started the arbitral proceedings. Unless otherwise agreed by the parties, the arbitral tribunal shall decide whether to re-run the procedures that have already been carried out before the combination and the scope thereof. Where arbitral proceedings restart, the time limit for making an award shall be calculated from the date of the combination of the cases.
4. Unless the parties have arranged for or agreed to make only one award, the combined cases shall have separate awards.
Article 58 Addition of Parties
1. After the start of the arbitral proceedings, the parties may apply in writing for additional persons outside the case under the same arbitration agreement to join the arbitration and the persons outside the case under the same arbitration agreement may also apply for joining the arbitration. Application for adding parties shall be submitted to the Court. The Court will decide whether to approve before the formation of the arbitral tribunal; if the arbitral tribunal has been formed, the arbitral tribunal must have agreed first before the Court makes the decision. The addition of a respondent shall be proposed by the applicant while the addition of an applicant must be agreed in writing by the proposed applicant to be added or applied for by the proposed applicant to be added himself.
2. With the written consent of both parties and a third party outside the case, the parties may apply for the third party outside the case to join the arbitration as a party and the third party outside the case may also apply for joining the arbitration as a party. Whether this can be allowed or not is to be decided by the Court before the formation of the arbitral tribunal; if the arbitral tribunal has been formed, the arbitral tribunal must have agreed first before the Court makes the decision.
3. Where the Court makes a decision to approve the addition of a party after the formation of the arbitral tribunal, if it is the case where the new party agrees in writing to join or applies for joining the arbitration, the already-formed arbitral tribunal shall be deemed to have been agreed by the new party; if it is the case where the new party is listed as a respondent who did not submit written opinions, the new party may ask to exercise the right of selecting an arbitrator. Whether the arbitral proceedings that have already been conducted before the addition of the new party need to be restarted is up to the arbitral tribunal. However, at the request of the new party, the arbitral tribunal shall restart the arbitral proceedings.
4. The other rights or restrictions of the new party participating in the arbitration shall be determined with reference to the relevant provisions of These Rules. In accordance with the relevant provisions of These Rules, other parties may raise objections to the validity of the arbitration agreement or jurisdiction in terms of the addition of the new party.
Article 59 Arbitral Award or Arb-Mediation Decision Based on Parties’ Settlement Agreement
1. If the parties have reached a settlement agreement on their own or through mediation conducted by an agency, they may request the Court to issue an award or arb-mediation decision based on the settlement agreement. After accepting the request, the Court shall form an arbitral tribunal in accordance with the relevant provisions of These Rules.
2. The matters and contents of the settlement agreement between the parties referred to in this article shall not do harm to the interests of the public or a third party and shall not evade the relevant laws.
3. Before making the award or arb-mediation decision, the arbitral tribunal shall comprehensively review the parties’ claims, the concerned contract, the settlement agreement and other evidential materials. If the parties’ request violates paragraph 2 of this article, the request shall be dismissed by the arbitral tribunal.
4. Where the arbitral tribunal concludes the case by making an award, it shall be indicated in the award that the award is made based on the settlement agreement of the parties.
Article 60 Mediation by the Arbitral Tribunal
1. The arbitral tribunal may conduct mediation at the request or with the consent of the parties.
2. If a settlement agreement is reached through mediation by the arbitral tribunal, the parties may request the arbitral tribunal to make an award or arb-mediation decision based on the contents of the settlement agreement. An arb-mediation decision has the same legal effect as an award.
3. The arb-mediation decision shall specify the parties’ claims, the ultimate agreements on settlement between the parties and the share of the arbitration fees. After being signed by the arbitrators and affixed with the seal of the Court, the arb-mediation decision shall be served on both parties. The arb-mediation decision becomes legally binding upon the receipt by both parties. If the parties repent before the receipt, the arbitral tribunal shall make an award in a timely manner.
4. If there is an error of writing, printing, calculation or something similar in nature in the arb-mediation decision, the arbitral tribunal shall make a correction. The parties can also request a correction within 30 days after receipting the arb-mediation decision. The correction made for the arb-mediation decision is an integral part of that decision and will become legally binding upon the receipt by both parties.
5. If the mediation by the arbitral tribunal fails, the arbitral tribunal shall continue with the arbitral proceedings and make an award. In the subsequent arbitral proceedings, judicial procedures and any other procedures, neither party shall invoke any opinions, views, statements, suggestions or proposals of the other party or the arbitral tribunal expressed in the mediation process as the basis for his claim, defense or counterclaim.
Article 61 Withdrawal and Revocation
1. A party may apply to withdraw his claim or counterclaim. If the applicant withdraws all his claims, without being affected, the arbitral tribunal can continue with the arbitral proceedings and make an award for the counterclaim of the respondent; if the respondent withdraws all his counterclaims, without being affected, the arbitral tribunal can continue with the arbitral proceedings and make an award for the claim of the applicant.
2. After a party has withdrawn all his claims or counterclaims, that party files an application for arbitration again on the withdrawn claims but applies for the withdrawal of all his claims where the trial in person has started, the arbitral tribunal may give the other party an opportunity to express opinions. If the other party raises an objection which can be agreed by the arbitral tribunal, with the consent of the Court, the arbitral tribunal may not allow the withdrawal and continue the arbitral proceedings.
3. The Court or the arbitral tribunal may make a decision to revoke the case where it is unnecessary or impossible to continue the arbitral proceedings for whatever reason.
4. The parties may re-apply for arbitration in accordance with the arbitration agreement respecting an application that has been withdrawn.
Article 62 Suspension of Arbitral Proceedings
1. Arbitral proceedings may be suspended if there is any of the following circumstances:
(1) One party applies to a court with jurisdiction to determine the validity of the arbitration agreement;
(2) One party dies and his successor is waited for to participate in the arbitration;
(3) One of the parties has lost the legal capacity to participate in arbitration and the legal representative has not yet been determined;
(4) The legal person or unincorporated organization of one party terminates and the successor of its rights and obligations has not been determined;
(5) One party is unable to attend the arbitration due to force majeure;
(6) The decision of this case must be based on the decision of another case and the another case has not yet been concluded;
(7) Other circumstances under which arbitral proceedings may be suspended.
2. After the reason for suspension is eliminated, the arbitral proceedings shall be resumed.
3. If the reason for suspension occurs before the formation of the arbitral tribunal, the Court shall decide whether to suspend the arbitral proceedings. If the reason for suspension occurs after the formation of the arbitral tribunal, the arbitral tribunal shall decide whether to suspend the arbitral proceedings but the arbitral tribunal shall continue with the arbitral proceedings where the Court considers it is inappropriate to suspend the proceedings. The decision to suspend the arbitral proceedings shall be served on the parties.
Article 63 Closing of Trial
Where the arbitral tribunal believes that the parties have fully stated the facts and expressed opinions, it can declare the closing of the trial. After closing the trial, the parties may no longer present any evidence or make any statement. However, before making the award, where it deems necessary the arbitral tribunal can resume the trial.
CHAPTER VI ARBITRAL AWARD
Article 64 Time limit for Award
1. From the date of formation, the arbitral tribunal shall make an award within 4 months for a domestic case and 6 months for a foreign-related case. If there is a special circumstance that requires an appropriate extension of the time limit, upon the request of the arbitral tribunal, the Court may decide to extend it if deemed justified and necessary.
2. The following periods shall not be calculated into the above-mentioned time limit:
(1) The period of auditing, verification, evaluation, appraisal, inspection, examination, and expert consultation;
(2) The period of mediation being conducted and the period of the parties’ negotiating a settlement outside the trial;
(3) The period of arbitral proceedings being suspended in accordance with law and These Rules.
Article 65 The Applicable Law
1. The arbitral tribunal of a foreign-related case shall make an award for the dispute according to the law that has been chosen by the parties. Unless otherwise agreed by the parties, the law chosen by the parties refers to the substantive law and not conflict of laws rules. Where the parties did not make a choice of law or the law chosen conflicts with the mandatory provisions of the law of the place of arbitration, the arbitral tribunal can determine the applicable law according to the circumstances of the case.
2. According to the written agreement of amicable arbitration between the parties, the arbitral tribunal may make an award in accordance with the equity principles of good faith, good will and reasonableness and business customs but this shall not violate the mandatory provisions of laws and administrative regulations and do harm to the public interests.
Article 66 Rendering the Arbitral Award
1. In the arbitral award, the arbitral tribunal shall specify the claims, the disputed facts, the reasons, the results of the award, the share of arbitration fees and the date of the award. Where the parties have agreed not to specify the facts of the dispute and the reasons for the award or the award is made in accordance with the settlement agreement between the parties, the facts of the dispute and the reasons for the award may not be stated. The arbitral tribunal can determine the specific time limit for the parties to perform the obligations in the arbitral award.
2. The arbitral award shall be affixed with the seal or electronic signature of the Court.
3. For cases heard by an arbitral tribunal composed of three arbitrators, the award shall be made in accordance with the opinions of all arbitrators or the majority arbitrators. The written opinions of the minority arbitrator shall be attached to the file of the case.
4. Where the arbitral tribunal cannot have a majority opinion, the award shall be made in accordance with the opinion of the presiding arbitrator. The written opinions of other arbitrators shall be attached to the file of the case.
5. The award shall be signed or electronically signed by the arbitrators. The arbitrator who reserved his opinions on the award may sign or not sign it; the arbitrator who does not sign shall provide a written opinion on the award.
6. The arbitral award shall be final and binding on both parties. The date when the award is rendered is the date on which the award becomes legally binding.
Article 67 Advance Award
Where the arbitral tribunal deems it necessary or at the request of the parties and approved by the arbitral tribunal, a partial award can be first made before the arbitral tribunal makes the final award. The partial award is final and binding on both parties. Where the parties do not perform the obligations of the partial award, without being affected, the arbitral proceedings can continue and the final award can be rendered.
Article 68 Review of the Draft Award
Before signing the award, the arbitral tribunal shall submit the draft award to the Court for review. The Court may propose amendments to the formality of the award or directly make amendments to the formality of the award. The Court may also make suggestions on substantive issues with the arbitral tribunal’s autonomous power of making decisions being unaffected. Where the arbitral tribunal does not adopt the suggestions on substantive issues made by the Court, it shall submit a written explanation to the Court.
Article 69 Share of Arbitration Fees
1. Additional expenses incurred on the special requirements of the parties for the arbitral proceedings or on the needs of the trial of the case shall be collected in advance by the Court. The above-mentioned expenses include, but not limited to, appraisal fees, evaluation fees, auditing fees, travel expenses for arbitrators dealing with the case, and expenses for hiring experts and translators by the arbitral tribunal. If the parties do not pay in advance, the Court or the arbitral tribunal may stop the relevant procedures.
2. If the parties agree not to have the trial in the Court, they shall prepay the necessary expenses resulting therefrom. At the conclusion of the case, the Court will deduct the actual expenses from the prepaid or ask the parties to make up for it. If the parties do not pay in advance, the trial shall be held in the Court.
3. The Court shall collect arbitration fees from the parties in accordance with the established standards. The parties can make an agreement on the proportion of arbitration fees to be borne by each one respectively. If the parties did not have an agreement, the losing party in principle shall bear the arbitration costs but the arbitral tribunal may decide to share the arbitration costs between the parties according to the proportion that it considers reasonable after taking into account the relevant circumstances. If the parties partially win and lose to each other, the arbitral tribunal shall determine the respective proportions of the arbitration fees to be borne by each party, based on the proportion of losing the case, the degree of responsibilities of the parties and other factors.
4. According to the circumstances of the case, the arbitral tribunal can make an award requiring the losing party to compensate the winning party for reasonable expenses incurred during the case including, but not limited to, attorney fees, preservation fees, travel expenses, notarization fees, and fees for hiring a person with special knowledge to appear in the trial etc. However, the total amount of compensation for attorney fees and hiring a person with special knowledge shall not exceed 10% of the amount won by the winning party.
5. When the arbitral tribunal decides that the losing party shall compensate for the expenses incurred to the winning party during the case, it shall award the amount within the limit of being necessary and reasonable by comprehensively taking into account the outcome of the case, the complexity of the case, the actual workload of the winning party and his representative and the disputed amount of the case etc.
6. If a party breaks the relevant provisions of These Rules so that extra expenses are incurred, he shall bear these expenses.
Article 70 Correction of the Award
Within 30 days after receiving the award, either party may request in writing the arbitral tribunal to make corrections for the mistakes in the award such as writing, printing, calculation or other errors of similar nature. If the arbitral tribunal considers the request to be justified, it shall make corrections within 30 days from the date of receipt of the written request. The arbitral tribunal can also make corrections on its own within a reasonable time after issuing the award. The corrections to the award are an integral part of the award and shall be subject to the relevant provisions of Article 66 of These Rules.
Article 71 Additional Award
1. Where there is an omission on a party’s claim in the award, if the arbitral tribunal has made factual and legal judgments in the award or has had a complete trial for the omitted claim, the arbitral tribunal shall make an additional award for it.
2. Where a party discovers the situation as described in the preceding paragraph of this article, he may request in writing the arbitral tribunal to make an additional award within 30 days from the date of receipt of the award. If there is an omission indeed, the arbitral tribunal shall make an additional award within 30 days from the date of receipt of the written request. The arbitral tribunal may also make an additional award on its own within a reasonable time after issuing the award.
3. The above-mentioned additional award is an integral part of the original award and shall be subject to the relevant provisions of Article 66 of These Rules.
Article 72 Execution of the Award or Arb-Mediation Decision
1. The parties shall, on their own initiative, fully perform the award or the arb-mediation decision in accordance with the time limit set therein; if no time limit is set, they shall perform immediately.
2. Where one party fails to perform the award or arb-mediation decision, the other party may apply to a people’s court with jurisdiction for its execution.
Article 73 Re-arbitration
Where a party applies for revocation of the award and the people’s court informs the arbitral tribunal to re-arbitrate, the original arbitral tribunal shall conduct the re-arbitration. However, if arbitrators shall be replaced according to the relevant provisions of These Rules, a new arbitral tribunal may be formed to conduct the re-arbitration.
Article 74 The Mechanism of Internal Appeal
1. In accordance with the law of the place of arbitration or the applicable law chosen by the parties, the parties may agree in writing on the internal appeal mechanism before the award is rendered.
2. If the parties have agreed on an internal appeal mechanism in writing but have not agreed on a specific appellate body or arbitral tribunal for appeal, the Court is the appellate body. If the parties have not agreed on the appeal procedure, the relevant provisions of this article shall apply; if there is no provision applicable in this article, reference shall be made to the relevant provisions of These Rules.
3. If a party applies for internal appeal according to paragraphs 1 and 2 of this article, a written application shall be submitted to the Court within 15 days from the date of receipt of the original award.
4. Where the Court is the appellate body for the internal appeal, if the party fails to file an appeal application in accordance with paragraph 3 of this article, the original arbitral award shall come into force; if the party submits an appeal application in accordance with paragraph 3 of this article, the original award shall not be final.
5. If the parties have not agreed on the composition of the arbitral tribunal for appeal, the Court shall form it in accordance with the relevant provisions of These Rules, for which the members of the original arbitral tribunal shall be out.
6. The arbitral tribunal for appeal shall conduct a comprehensive review of the original arbitral award unless the parties have agreed on the specific scope of the internal appeal.
7. The arbitral tribunal for appeal may maintain or modify the original award. The award rendered by the arbitral tribunal for appeal shall be final and binding upon the parties.
8. If a party applies for the internal appeal mechanism, he shall prepay the fees for appeal with reference to the Court’s standards of fees for normal arbitration.
CHAPTER VII SUMMARY PROCEDURE
Article 75 Scope of Application
1. Unless the parties have agreed otherwise, if the amount in dispute does not exceed RMB 1 million (including 1 million), the summary procedure shall apply.
2. Where the disputed amount exceeds RMB 1 million, the summary procedure may also apply upon agreement of the parties or agreed by the parties. However, where the disputed amount is relatively large and the fact of the case is complicated, the normal procedure shall apply upon the decision of the Court.
3. If there is no disputed money or the disputed amount is not clear, the Court shall decide whether to apply the summary procedure, based on the complexity of the case, the size of the interests involved, and other relevant factors.
Article 76 Formation of the Arbitral Tribunal
For a case where summary procedure applies, an arbitral tribunal composed of one sole arbitrator shall be formed in accordance with the relevant provisions of Article 32 of These Rules unless the Court deems it is necessary to form an arbitral tribunal with three arbitrators.
Article 77 Statement of Defense and Counterclaim
1. A respondent shall submit a statement of defense and relevant supporting documents to the Court within 10 days from the date of receipt of the notification of acceptance for a domestic case and 20 days for a foreign-related case. If there is a counterclaim, an application for the counterclaim and relevant supporting documents shall also be submitted within the above-mentioned time limit.
2. After receiving a copy of the counterclaim application and its attachments, the applicant shall submit a statement of defense and relevant supporting documents to the Court within 10 days for a domestic case and 20 days for a foreign-related case.
3. If a party requests an extension of the time limit for submitting the statement of defense and relevant supporting documents, a written application shall be made. Where the arbitral tribunal thinks the party’s request is justified, it may decide to extend the time limit; before the formation of the arbitral tribunal, the Court shall decide whether to extend it.
Article 78 The Mode of Trial
1. The arbitral tribunal may hold the trial in the mode it deems appropriate. With the consent of the parties, the arbitral tribunal may decide only to conduct a written trial according to the documentary materials and evidence submitted by the parties; the arbitral tribunal may also decide to have a trial in person.
2. Where the trial is held in person, the arbitral tribunal shall notify both parties of the date and place of the trial 3 days before the trial for a domestic case and 10 days for a foreign-related case. The notice of resuming the trial is not subject to the above-mentioned time limit. If there is any legitimate reason for a postponement of the trial, the party shall submit a written application 1 day before the trial for a domestic case and 5 days for a foreign-related case. The arbitral tribunal shall decide whether to allow the postponement.
3. For a case where the trial is held in person, the trial is generally held only once; if it is necessary, the arbitral tribunal may decide to hold the trial once again.
Article 79 Change of Procedure
1. During the summary procedure, if the arbitral tribunal considers it necessary or both parties agree to change from the summary procedure to the normal procedure, the Court shall decide whether to change.
2. Where there is a change of the claim or a counterclaim newly raised or changed so that the disputed amount exceeds RMB 1 million in the case, at the request of one party or according to the opinion of the arbitral tribunal, the Court may decide to change from the summary procedure to the normal procedure.
3. In the case of the arbitral tribunal composed of one sole arbitrator, after the procedure is changed, the parties shall respectively select or entrust the president of the Court to appoint an arbitrator in accordance with the relevant provisions of These Rules within 5 days from the date of receiving the notice of the procedure change. If the parties did not do this within the time limit, the president of the Court shall designate the arbitrators. Unless the parties agree otherwise, the original sole arbitrator shall be the presiding arbitrator.
4. The new arbitral tribunal shall decide whether the arbitral proceedings already carried out before the procedure change are to be restarted and the scope thereof. Where the new arbitral tribunal decides to restart the proceedings all over again, the time limit prescribed in Paragraph 1 of Article 64 of These Rules shall be calculated from the date when the new arbitral tribunal is formed.
Article 80 Time Limit for Award
The arbitral tribunal shall make an award within 2 months from the date of formation for a domestic case and 4 months for a foreign-related case. If there is a special circumstance that requires an appropriate extension of the time limit, at the request of the arbitral tribunal, the Court may decide to extend if it deems justified and necessary.
Article 81 Applicability of Other Provisions of These Rules
For matters not covered in this chapter, the relevant provisions of other chapters of These Rules shall apply.
CHAPTER VIII SUPPLEMENTARY ARTICLES
Article 82 Expert Consultation Meeting
1. Based on the needs of the trial of the case, the Court may convene an expert consultation meeting to obtain advisory opinions. The arbitral tribunal shall take into enough consideration the written opinions of the expert consultation meeting and if deciding not to adopt those opinions, it shall state the reason in writing to the Court.
2. Respecting the concrete procedure of convening an expert consultation meeting, it shall follow the special regulation enacted by the Court.
Article 83 Methods of Service
Arbitration documents may be served by direct service, mail service, forwarding service, electronic service etc. or other methods deemed appropriate by the Court or the arbitral tribunal. If the parties have agreed otherwise, their agreement shall prevail.
Article 84 Direct Service
1. If direct service is to be applied, the arbitration document shall be directly delivered to the person to be served or his arbitration representative or collecting agent.
2. If the person to be served is a natural person, the arbitration document shall be receipted by his adult family member when he is absent. If the person to be served is a legal person or other organization, the arbitration document shall be receipted by the legal representative of the legal person, or the person in charge of the other organization or staff in the office, mail room or duty room. The date signed by the above-mentioned personnel is taken as the date of service. If the person to be served refuses to accept the arbitration document, the arbitration document can be left at his domicile and the service is deemed to have been completed by a recording of the service process through taking photos or videos etc.
3. The Court may directly serve the party not at his domicile. If the party refuses to sign the receipt of service, the service is deemed to have been completed by a recording of the service process through taking photos or videos etc.
4. If the party, his representative or collecting agent has arrived at the Court but refuses to sign the receipt of service, the service shall be deemed to have been completed. The person performing the service shall write down the reason and date of the refusal on the receipt of service and sign.
Article 85 Service by Post
1. If service is conducted by post, it shall be deemed to have been completed in the following circumstances:
(1) Posted to the address for service confirmed by the parties during the arbitration;
(2) If no such an address, posted to the address for service agreed in the disputed contract;
(3) If further no such an address, posted to the correspondence address agreed by the contractual parties;
(4) If no addresses mentioned above, posted to the address indicated on his ID card or his habitual residence where the addressee is a natural person; posted to the address of domicile as indicated in the certificate of its industrial and commercial registration or other legal registration or report where the addressee is a legal person or other organization;
(5) In the absence of any above address and after a reasonable investigation, the addressee’s business place, habitual residence and correspondence address still cannot be found, posted to the addressee’s last known business place or registered address or other correspondence address.
2. In the case of service by post, the date indicated on the receipt of service shall be taken as the date of service. If the addressee refuses to receipt or nobody receipts, the date of being posted in return shall be deemed as the date of service.
3. Where the first service by post is successful, in the subsequent proceedings, service posted to the same address shall be deemed to have been completed even if nobody receipts it.
Article 86 Service through Forwarding
Where the person to be served is a Chinese military man, service can be forwarded through his army; where the person to be served is imprisoned in the Mainland China, service can be forwarded through prison he is in; where the person to be served is one who is put under a measure of compulsory education in the Mainland China, service can be forwarded through the institution of executing the compulsory education.
Article 87 Electronic Service
1. If the person to be served agrees with electronic service, he shall confirm his accurate electronic service address or telephone number. If the parties have clearly agreed in their contract to use electronic service and also agreed on the electronic service address or telephone number, electronic service can be applied.
2. Electronic service can make use of a specific system of instantly receiving as the medium such as fax, e-mail, and mobile communication etc. The date of successfully sending the fax, e-mail, and mobile phone message etc. as indicated in the corresponding system of the Court shall be taken as the date of service. However, where there is a conflict between what has been indicated in the corresponding system of the Court and what has been proven by the person to be served for the date of arrival at his own specific system, the latter shall prevail.
Article 88 Calculation and Extension of Time limit
1. The time limit specified in These Rules or determined in accordance with These Rules shall be calculated from the day immediately following the starting date. The starting date for the time limit shall not be counted.
2. Public holidays and non-working days within the time limit shall be included in the time limit. If the expiration date of the time limit is a public holiday or non-working day, the first working day thereafter shall be the expiration date of the time limit.
3. The time limit does not include the time in transit. The arbitration documents, notices, and materials posted or delivered before the expiration date shall be viewed as being on time.
4. If the time limit is delayed due to force majeure or other legitimate reasons, the parties shall notify the Court within a reasonable time. Within 10 days after the impediment is removed, they may apply for an extension of the time limit; the arbitral tribunal shall decide whether to approve it or not; if the arbitration tribunal has not yet been formed, the Court shall decide.
Article 89 Language of Arbitration
1. Chinese is the official language of the Court. The parties for a foreign-related case may agree another language for their arbitration but the Court may require the parties to provide translation and bear the translation cost.
2. During the trial, if the parties or their representatives or witnesses need a translator, the Court may provide the translator, or the parties themselves may provide the translator. The cost of translation shall be borne by the parties.
3. For the various documents and certification materials submitted by the parties, the Court or arbitral tribunal may require the parties to provide a corresponding Chinese version of translation where deemed necessary.
Article 90 Official Texts of These Rules
The Chinese, English and Portuguese versions of These Rules publicized by the Court are all official texts. In the event of ambiguity among the different texts, the Chinese text shall prevail.
Article 91 Implementation of These Rules
These Rules will come into force on October 1, 2021. For cases accepted before the implementation of These Rules, the arbitration rules that were in force at the time of acceptance shall apply. However, if agrees by the parties in writing, These Rules can apply.
Article 92 Interpretation of These Rules
1. These Rules shall be interpreted by the Court.
2. The headings of the articles of These Rules shall not be employed to explain the meaning of the articles.
