香港国际仲裁中心仲裁规则第48页起为中文

HONG KONG INTERNATIONALARBITRATION CENTRE ADMINISTERED ARBITRATION RULESIntroductionThese Rules have been adopted by the Council of the Hong Kong International Arbitration Centre (HKIAC) for use by parties who seek the formality and convenience of an administered arbitration.ApplicationThese Rules may be adopted in an arbitration agreement or by an agreement in writing at any time before or after a dispute has arisen. These Rules may be adopted for use in both domestic and international arbitral proceedings. Provisions regarding the scope of application of these Rules are set out in Article 1.EffectivenessThese Rules have been adopted to take effect from 1 September 2008, in accordance with the provisions of Article 1 of the Rules.Suggested Clauses1.The following model clause may be adopted by theparties to a contract who wish to have any futuredisputes referred to arbitration in accordance withthese Rules:"Any dispute, controversy or claim arising out of orrelating to this contract, including the validity,invalidity, breach or termination thereof, shall besettled by arbitration in Hong Kong under the HongKong International Arbitration Centre AdministeredArbitration Rules in force when the Notice ofArbitration is submitted in accordance with theseRules.* The number of arbitrators shall be ... (one or three).The arbitration proceedings shall be conducted in ....(insert language)."* Optional22.Parties to an existing dispute in which neither anarbitration clause nor a previous agreement withrespect to arbitration exists, who wish to refer suchdispute to arbitration under the Rules, may agree to doso in the following terms:"We, the undersigned, agree to refer to arbitration inHong Kong under the Hong Kong InternationalArbitration Centre Administered Arbitration Rules alldisputes or differences arising out of or in connectionwith:(Brief description of contract under which disputesor differences have arisen or may arise.)* The number of arbitrators shall be ... (one or three).The arbitration proceedings shall be conducted in ...(insert language).Signed: (Claimant)Signed: (Respondent)Date: "* Optional3TABLE OF CONTENTSSECTION I.GENERAL RULESArticle 1•Scope of Application (6)Article 2•Notices and Calculation of Periods ofTime (6)Article 3•Interpretation of Rules (8)SECTION MENCEMENT OF THEARBITRATIONArticle 4•Notice of Arbitration (9)Article 5•Answer to the Notice of Arbitration (11)SECTION III.ARBITRATORS AND THE ARBITRALTRIBUNALArticle 6•Number of Arbitrators (14)Article 7•Appointment of a Sole Arbitrator (14)Article 8•Appointment of Arbitral Tribunal (15)Article 9•Consultation on Arbitrators withAppointment Advisory Board (16)Article 10•Confirmation of Arbitrators (17)Article 11•Independence, Nationality and Challengeand Removal of Arbitrators (17)Article 12•Replacement of an Arbitrator (18)Article 13•Consequences of the Replacement of anArbitrator (18)SECTION IV.ARBITRAL PROCEEDINGSArticle 14•General Provisions (19)Article 15•Seat of the Arbitration (19)Article 16•Language (20)Article 17•Statement of Claim (20)Article 18•Statement of Defence (21)Article 19•Amendments to the Claim or Defence (21)Article 20•Jurisdiction of the Arbitral Tribunal (22)Article 21•Further Written Statements (22)Article 22•Periods of Time (22)Article 23•Evidence and Hearings (23)4Article 24•Interim Measures of Protection (24)Article 25•Tribunal-Appointed Experts (24)Article 26•Default (25)Article 27•Closure of Proceedings (26)Article 28•Waiver of Rules (26)SECTION V.THE AWARDArticle 29•Decisions (27)Article 30•Form and Effect of the Award (27)Article 31•Applicable Law, Amiable Compositeur (28)Article 32•Settlement or Other Grounds forTermination (28)Article 33•Interpretation of the Award (29)Article 34•Correction of the Award (29)Article 35•Additional Award (30)Article 36•Fees and Costs (30)Article 37•Deposits for Costs (32)SECTION VI.OTHER PROVISIONSArticle 38•Expedited Procedure (34)Article 39•Confidentiality (35)Article 40•Exclusion of Liability (36)SCHEDULE OF FEES AND COSTSOF ARBITRATION (37)ACKNOWLEDGEMENTS (42)5Section I. GENERAL RULES Article 1 - Scope of Application1.1These Rules shall govern arbitrations where anagreement to arbitrate (whether entered into before orafter a dispute has arisen) either: (a) provides for theseRules to apply; or (b) subject to Articles 1.2, 1.3 and1.4 below, provides for arbitration "administered by theHKIAC" or words to the same effect.1.2Nothing in these Rules shall prevent parties to a disputeor arbitration agreement from naming the HKIAC asappointing authority, or from requesting certainadministrative services from the HKIAC, withoutsubjecting the arbitration to the provisions containedin these Rules. For the avoidance of doubt, these Rulesshall not govern arbitrations where an agreement toarbitrate provides for arbitration under other rulesadopted by the HKIAC from time to time.1.3These Rules supersede the HKIAC Procedures for theAdministration of International Arbitration adopted witheffect from 31st March 2005 (the "Procedures") save tothe extent that the parties have agreed to adopt theProcedures in an agreement made prior to 1st September2008. Where an agreement to arbitrate made after theseRules have come into effect provides for arbitrationunder the UNCITRAL Rules administered by the HKIAC,the HKIAC shall be the appointing authority and theHKIAC Secretariat shall invite the parties in such a caseto agree to the application of these Rules.1.4These Rules shall come into force on 1st September2008 and, unless the parties have agreed otherwise,shall apply to all arbitrations falling within Article 1.1in which the Notice of Arbitration is submitted on orafter that date.Article 2 -Notices and Calculation ofPeriods of Time2.1Any notice or other written communication pursuantto these Rules shall be deemed to be received by a partyor arbitrator or by the HKIAC if:(a)delivered by hand, registered post or courierservice to6(i)the address of the addressee or itsrepresentative as notified in writing in thearbitration proceedings; or(ii)in the absence of (i), to the addressspecified in any applicable agreementbetween the relevant parties; or(iii)in the absence of (i) or (ii), to any addresswhich the addressee holds out to theworld at the time of such delivery; or(iv)in the absence of (i), (ii) or (iii), to anylast known address of the addressee; or(b)transmitted by facsimile, e-mail or any othermeans of telecommunication that provides arecord of its transmission and the time and datethereof to:(i)the facsimile number or email address (orequivalent) of that person or itsrepresentative as notified in thearbitration proceedings; or(ii)in the absence of (i), to the facsimilenumber or email address or equivalentspecified in any applicable agreementbetween the relevant parties; or(iii)in the absence of (i) and (ii), to anyfacsimile number or email address whichthe addressee holds out to the world at thetime of such transmission.2.2Any such notice or written communication shall bedeemed to be received on the date when it is deliveredpursuant to paragraph (a) above or transmittedpursuant to paragraph (b) above. For this purpose, thedate shall be determined according to the local time atthe place of receipt.2.3For the purposes of calculating a period of time underthese Rules, such period shall begin to run on the dayfollowing the day when a notice, notification,communication or proposal is received. If the last dayof such period is an official holiday or a non-businessday at the place of receipt, the period shall be extendeduntil the first business day which follows. Official7holidays or non-business days occurring during therunning of the period of time shall be included incalculating the period.2.4If the circumstances so justify, the HKIAC Secretariatmay extend the time limits provided for in these Rules,as well as any time limits that it has set.Article 3 - Interpretation of Rules3.1The arbitral tribunal shall interpret the Rules insofaras they relate to its powers and duties hereunder. TheHKIAC Council shall interpret all other provisions ofthese Rules.3.2References in the Rules to the "HKIAC Council" are tothe Council of the HKIAC or the sub-committee or otherbody specially designated by it to perform the functionsreferred to herein.3.3References in the Rules to the "HKIAC Secretariat" areto the Secretary General of the HKIAC for the time beingand other executive staff members of the Secretariatof the HKIAC.8Section II. COMMENCEMENT OFTHE ARBITRATIONArticle 4 - Notice of Arbitration4.1The party initiating recourse to arbitration (hereinaftercalled the "Claimant" or, where applicable, "Claimants")shall submit a Notice of Arbitration to the HKIACSecretariat at the following address, facsimile numberor email address:The HKIAC SecretariatHong Kong International Arbitration Centre38th Floor, Two Exchange Square8 Connaught PlaceHong Kong Special Administrative RegionPeople's Republic of ChinaFacsimile: +852 2524 2171Email: adr@4.2Arbitral proceedings shall be deemed to commence onthe date on which the Notice of Arbitration is receivedby the HKIAC Secretariat. For the avoidance of doubt,this date shall be calculated in accordance with theprovisions of Articles 2.1 and 2.2.4.3The Notice of Arbitration shall, if provided by a methodspecified in Article 2.1(a), be submitted in as manycopies as there are other parties (hereinafter called the"Respondent" or, where applicable, "Respondents"),together with an additional copy for each arbitrator andone copy for the HKIAC Secretariat. It shall includethe following:(a) a demand that the dispute be referred toarbitration;(b)the names and (in so far as known) theaddresses, telephone and fax numbers, and emailaddresses of the parties and of their counsel;(c) a copy of the arbitration agreement that isinvoked;(d) a reference to the contract or other legalinstrument(s) out of or in relation to which thedispute arises;9(e) a description of the general nature of the claimand an indication of the amount involved, if any;(f)the relief or remedy sought;(g) a proposal as to the number of arbitrators (i.e.one or three), if the parties have not previouslyagreed thereon.4.4The Notice of Arbitration shall be accompanied bypayment, by cheque or transfer to the account of theHKIAC, of the Registration Fee as required by theSchedule of Fees and Costs of Arbitration attachedhereto in force on the date when the Notice ofArbitration is submitted.4.5The Notice of Arbitration shall be submitted in thelanguage of the arbitration as agreed by the parties. Ifno agreement has been reached between the parties,the Notice of Arbitration shall be submitted in eitherEnglish or Chinese.4.6The Notice of Arbitration may also include:(a)the Claimant's proposals for the appointment ofa sole arbitrator referred to in Article 7;(b)the Claimant's designation of an arbitrator, forthe purpose of constituting a three-memberarbitral tribunal referred to in Article 8;(c)the Statement of Claim referred to in Article 17.4.7If the Notice of Arbitration is incomplete or if the copiesor attachments are not submitted in the requirednumber, or if the Registration Fee is not paid, theHKIAC Secretariat may request the Claimant to remedythe defect within an appropriate period of time. TheHKIAC Secretariat may also request within such timelimit a translation of the Notice of Arbitration if it isnot submitted in the language of the arbitration agreedby the parties or, if no agreement has been reached, ineither English or Chinese. If the Claimant complies withsuch directions within the applicable time limit, theNotice of Arbitration shall be deemed to have beenvalidly filed on the date when the initial version wasreceived by the HKIAC Secretariat.104.8The HKIAC Secretariat shall provide without delay acopy of the Notice of Arbitration and of any exhibitsincluded therewith to the Respondent.Article 5 -Answer to the Notice ofArbitration5.1Within 30 days from receipt of the Notice of Arbitration,the Respondent shall submit to the HKIAC Secretariatan Answer to the Notice of Arbitration. This Answer tothe Notice of Arbitration shall, if provided by a methodspecified in Article 2.1(a), be submitted in as manycopies as there are other parties, together with anadditional copy for each arbitrator and one copy forthe HKIAC Secretariat, and shall, to the extent possible,include the following:(a)the name, address, telephone and fax numbers,and email address of the Respondent and of itscounsel (if different from the descriptioncontained in the Notice of Arbitration);(b)any plea that an arbitral tribunal constitutedunder these Rules lacks jurisdiction;(c)the Respondent's comments on the particularsset forth in the Notice of Arbitration, pursuantto Article 4.3(e);(d)the Respondent's answer to the relief or remedysought in the Notice of Arbitration, pursuant toArticle 4.3(f);(e)the Respondent's proposal as to the number ofarbitrators (i.e. one or three), if the parties havenot previously agreed thereon.5.2The Answer to the Notice of Arbitration shall besubmitted in the language of the arbitration as agreedby the parties. If no agreement has been reachedbetween the parties, the Answer to the Notice ofArbitration shall be submitted in either English orChinese.5.3The Answer to the Notice of Arbitration may alsoinclude:(a)the Respondent's proposals for the appointmentof a sole arbitrator referred to in Article 7;(b)the Respondent's designation of an arbitrator forthe purpose of constituting a three-memberarbitral tribunal referred to in Article 8;(c)if the Notice of Arbitration contained theStatement of Claim referred to in Article 17, theStatement of Defence referred to in Article 18.5.4Any counterclaim or set-off defence shall to the extentpossible be raised with the Respondent's Answer to theNotice of Arbitration, which should include in relationto any such counterclaim or set-off defence:(a) a reference to the contract or other legalinstrument(s) out of or in relation to which itarises;(b) a description of the general nature of thecounterclaim and/or set-off defence and anindication of the amount involved, if any;(c)the relief or remedy sought.5.5If no counterclaim or set-off defence is raised with theRespondent's Answer to the Notice of Arbitration, or ifthere is no indication of the amount of the counterclaimor set-off defence, the HKIAC Secretariat shall only relyupon the information provided by the Claimantpursuant to Article 4.3(e) in order to determine whetherthe provisions of Article 38.1 (Expedited Procedure)shall be applicable.5.6The HKIAC Secretariat shall provide without delay acopy of the Answer to the Notice of Arbitration and ofany exhibits included therewith to the Claimant.5.7Once the Registration Fee has been paid and allarbitrators have been confirmed, the HKIAC Secretariatshall transmit without delay the file to the solearbitrator or to the arbitral tribunal.5.8The parties may be represented or assisted by personsof their choice. The names, addresses, telephone andfax numbers, and email addresses of such persons shallbe communicated in writing to the other party and theHKIAC Secretariat.Section III. ARBITRATORS AND THE ARBITRAL TRIBUNALArticle 6 - Number of Arbitrators6.1If the parties have not agreed upon the number ofarbitrators, the HKIAC Council shall at the request of aparty decide whether the case shall be referred to asole arbitrator or to a three-member arbitral tribunal,taking into account the factors set out in Rule 9 of the"Arbitration (Appointment of Arbitrators and Umpires)Rules" made under the Hong Kong ArbitrationOrdinance. These include:(a)the amount in dispute;(b)the complexity of the claim;(c)the nationalities of the parties;(d)any relevant customs of the trade, business orprofession involved in the said dispute;(e)the availability of appropriate arbitrators; and(f)the urgency of the case.6.2Before deciding on the number of arbitrators to beappointed, the HKIAC Council shall allow the otherparty or parties to the arbitration to serve on the HKIACSecretariat brief written responses in support of theircontention as to the number of arbitrators appropriatefor their dispute. Where no such reasons are servedon the HKIAC Secretariat within 14 days of the day onwhich a request for responses has been made by theHKIAC Secretariat, the HKIAC Council may proceedwith the decision.6.3Where a case is handled under an Expedited Procedurein accordance with Article 38, the provisions of Article38.1(b) and (c) shall apply.Article 7 - Appointment of a Sole Arbitrator7.1Unless the parties have agreed otherwise and subjectto Articles 11.1 and 11.2:(a)where the parties have agreed that the disputeshall be referred to a sole arbitrator, they shalljointly designate the sole arbitrator within 30days from the later of (i) the date when theNotice of Arbitration was received by theRespondent(s) and (ii) the date the partiesagreed that the dispute should be referred to asole arbitrator;(b)where the parties have not agreed upon thenumber of arbitrators but the HKIAC Council hasdecided that the dispute shall be referred to asole arbitrator, the parties shall jointly designatethe sole arbitrator within 30 days from the datewhen the HKIAC Council's decision was receivedby the last of them.7.2If the parties fail to designate the sole arbitrator withinthe applicable time limit, the HKIAC Council shallappoint the sole arbitrator.Article 8 - Appointment of Arbitral Tribunal8.1Where a dispute between two parties is referred to athree-member arbitral tribunal, the tribunal shall beconstituted as follows unless the parties have agreedotherwise:(a)each party shall designate one arbitrator. If aparty fails to designate an arbitrator within 30days after it receives notification of the otherparty's appointment of an arbitrator or within thetime limit set by the parties' agreement, theHKIAC Council shall appoint the secondarbitrator;(b)the two arbitrators so appointed shall designatea third arbitrator who shall act as the presidingarbitrator of the arbitral tribunal. Failing suchdesignation within 30 days from the confirmationof the second arbitrator or within the time limitset by the parties' agreement, the HKIAC Councilshall appoint the presiding arbitrator;(c)subject always to Articles 11.1 and 11.2.8.2Where a dispute between more than one Claimant ormore than one Respondent is referred to a three-member arbitral tribunal, the tribunal shall beconstituted as follows unless the parties have agreedotherwise:(a)the HKIAC Secretariat shall set an initial 30 daytime limit for the Claimant or group of Claimantsto designate an arbitrator and set a subsequent30 day time limit for the Respondent or group ofRespondents to designate an arbitrator;(b)if the parties have designated arbitrators inaccordance with Article 8.2(a), the procedure inArticle 8.1(b) shall apply to the designation ofthe presiding arbitrator;(c)where one or more parties or groups of partiesfail to designate an arbitrator in multipartyproceedings within the time period set by theHKIAC Secretariat, the HKIAC Council shallappoint the arbitrator in question and thepresiding arbitrator. Prior to doing so, theHKIAC Secretariat shall give any party or groupof parties which has duly appointed an arbitratorthe opportunity within a specified time to electi n w r i t i n g w h e t h e r t o w i t h d r a w s u c happointment and allow the HKIAC Council toappoint all three arbitrators. Failing suchelection within the specified time, theappointment shall be deemed not to have beenwithdrawn;(d)subject always to Articles 11.1 and 11.2.Article 9 -Consultation on Arbitratorswith Appointment AdvisoryBoard9.1Before making a final decision on the appointment ofan arbitrator, or on the number of arbitrators that areappropriate for any particular dispute, the HKIACCouncil shall consult with at least three availablemembers of the Appointment Advisory Board. TheHKIAC Council shall consider their advice but is notbound by it. The content of any such consultationprocess is private and shall not be disclosed to theparties.Article 10 -Confirmation of Arbitrators10.1All designations of a sole arbitrator or of the arbitratorscomposing a three-member arbitral tribunal, made bythe parties or the arbitrators, are subject toconfirmation by the HKIAC Council, upon which theappointments shall become effective. The HKIACCouncil has no obligation to give reasons when it doesnot confirm an arbitrator.Article 11 -Independence, Nationality andChallenge and Removal ofArbitrators11.1All arbitrators appointed under these Rules shall be andremain at all times impartial and independent of theparties.11.2Where the parties to an arbitration under these Rulesare of different nationalities, a sole arbitrator and thechairman of a three-member arbitral tribunal shall nothave the same nationality as any party unlessspecifically agreed otherwise by all parties in writing.11.3 A prospective arbitrator shall disclose without delayto those who approach him in connection with hispossible appointment any circumstances likely to giverise to justifiable doubts as to his impartiality orindependence. An arbitrator, once designated, shalldisclose without delay such circumstances to theparties unless they have already been informed by himof these circumstances.11.4Any arbitrator may be challenged if circumstances existthat give rise to justifiable doubts as to the arbitrator'simpartiality or independence. A party may challengethe arbitrator designated by it only for reasons whichit became aware or ought reasonably to have becomeaware after designation was made.11.5 A party who intends to challenge an arbitrator shallsend notice of his challenge within 15 days after theappointment of the challenged arbitrator has beennotified to the challenging party or within 15 days afterthat party became aware or ought reasonably to havebecome aware of the circumstances mentioned inArticles 11.3 and 11.4.11.6The challenge shall be notified to the HKIACSecretariat, all other parties, the arbitrator who ischallenged and the other members of the arbitraltribunal. The notification shall be in writing and shallstate the reasons for the challenge.11.7If the arbitrator being challenged does not withdraw,the HKIAC Council shall decide on the challenge. Thechallenge shall be dealt with in accordance with theHong Kong International Arbitration Centre ChallengeRules.Article 12 - Replacement of an Arbitrator12.1Unless all parties otherwise agree and subject alwaysto any applicable mandatory law, if an arbitratordesignated by a party dies or becomes unable toperform his/her functions due to any reasons beyondhis/her control, the HKIAC Secretariat shall set a timelimit for the party having designated that arbitrator todesignate a replacement arbitrator. This rule alsoapplies if an arbitrator has been successfullychallenged, has been otherwise removed, has resignedor is not confirmed by the HKIAC Council pursuant toArticle 10.1.12.2If the party concerned fails to designate a replacementarbitrator within the applicable time limit, the HKIACCouncil shall appoint a replacement arbitrator.Article 13 -Consequences of theReplacement of an Arbitrator13.1If an arbitrator is replaced, the proceedings shallresume at the stage where the arbitrator who wasreplaced ceased to perform his/her functions, unlessthe arbitral tribunal decides otherwise.Section IV. ARBITRAL PROCEEDINGS Article 14 - General Provisions14.1The arbitral tribunal shall adopt suitable proceduresfor the conduct of the arbitration, in order to avoidunnecessary delay or expenses, provided that suchprocedures ensures equal treatment of the parties andafford the parties a reasonable opportunity to be heardand to present their case.14.2At any stage of the proceedings, the arbitral tribunalshall hold hearings for the presentation of evidence bywitnesses, including expert witnesses, or for oralargument in relation to the merits of the dispute, if itso determines or if either party so requests.14.3At an early stage of the arbitral proceedings and inconsultation with the parties, the arbitral tribunal shallprepare a provisional timetable for the arbitralproceedings, which shall be provided to the parties and,for information, to the HKIAC Secretariat.14.4All documents or information supplied to the arbitraltribunal by one party shall at the same time becommunicated by that party to the other party.14.5The arbitral tribunal may, after consulting with theparties, appoint a secretary. Article 11 of these Rulesshall apply by analogy to the secretary.14.6The arbitral tribunal shall have the power to allow, uponthe application of a party, one or more third persons tobe joined in the arbitration as a party, provided thatsuch third person or persons and the applicant partyhave consented to such joinder in writing.14.7The parties shall do everything necessary to ensure thefair and efficient conduct of the proceedings. Article 15 - Seat of the Arbitration15.1The seat of all arbitrations conducted under these Rulesshall be the Hong Kong Special Administrative Regionof the People's Republic of China, unless the partieshave expressly agreed otherwise.15.2Without prejudice to the determination of the seat ofthe arbitration, the arbitral tribunal may hear witnesses,oral argument and hold meetings for consultationamong its members at any place it deems appropriate,having regard to the circumstances of the arbitration.15.3The arbitral tribunal may meet at any place it deemsappropriate for the inspection of goods, other propertyor documents. The parties shall be given sufficientnotice to enable them to be present at such inspection.15.4The award shall be deemed to have been made at theseat of the arbitration.Article 16 - Language16.1Subject to agreement by the parties, the arbitral tribunalshall, promptly after its appointment, determine thelanguage or languages to be used in the proceedings.This determination shall apply to the Statement ofClaim, the Statement of Defence, and any furtherwritten statements and, if oral hearings take place, tothe language or languages to be used in such hearings.16.2The arbitral tribunal may order that any documentsannexed to the Statement of Claim or Statement ofDefence, and any supplementary documents or exhibitssubmitted in the course of the proceedings, deliveredin their original language, shall be accompanied by atranslation into the language or languages of thearbitration agreed upon by the parties or determinedby the arbitral tribunal.Article 17 - Statement of Claim17.1Unless the Statement of Claim was contained in theNotice of Arbitration (or the Claimant elects to treatthe Notice of Arbitration as the Statement of Claim),within a period of time to be determined by the arbitraltribunal, the Claimant shall communicate its Statementof Claim in writing to the Respondent and to each ofthe arbitrators. A copy of the contract, and of thearbitration agreement if not contained in the contract,shall be annexed thereto.17.2The Statement of Claim shall include the followingparticulars:(a)the names and addresses of the parties;。