采安仲裁|HKIAC就仲裁规则修订事宜征求公众意见（附：规则修订委员会成员名单）

导语

香港国际仲裁中心（HKIAC）是知名的仲裁机构，其现行有效的机构仲裁规则是2013年的。随着各仲裁机构相继修改仲裁规则，HKIAC也着手修改仲裁规则，并征求公众意见，并有专门的规则修订委员会，成员名单为Nils Eliasson (主席)，Matthew Gearing QC，Cameron Hassall，Briana Young，Sarah Grimmer，Joe Liu。

关于2013年香港国际仲裁中心机构仲裁规则修订意见的公众咨询

Public Consultation Process on Proposed Amendments to the 2013 HKIAC Administered Arbitration Rules

香港国际仲裁中心（“HKIAC”）规则修订委员会（“委员会”) 拟对在 2013 年11 月 1 日生效的现行 HKIAC 机构仲裁规则（“2013 年规则”)进行修订。

The HKIAC Rules Revision Committee (the “Committee”) is considering amendments to the current version of HKIAC’s Administered Arbitration Rules, which came into force on 1 November 2013 (the “2013 Rules”).

2013年规则在保留2008年机构仲裁规则“轻微管理”的特点的基础上，首次引入针对多方当事人、多份合同仲裁的规定（包括追加当事人、合并仲裁、多份合同下启动单个仲裁等），为国际仲裁的发展作出了重要贡献。2013年规则受到了使用者的广泛好评，被普遍认可为引领仲裁实践发展的规则之一。

The 2013 Rules, while maintaining the “light touch” approach of the 2008 Administrated Arbitration Rules, made important contributions to international arbitration by introducing unprecedented provisions on multi-party and multi-contract arbitrations (including joinder, consolidation and single arbitration under multiple contracts). The 2013 Rules have been well-received by users and are widely recognised as one of the market-leading sets.

自2013年以来，在 HKIAC 机构仲裁规则下提起的仲裁案件数量显著增加。该规则在实际运用中也得到良好的反响。因此委员会考虑将不对2013年规则进行全面修订。但是，在汲取了 HKIAC 实施2013年规则近四年的经验后，并考虑到香港和国际仲裁的最新发展，委员会认为对规则有必要进行部分修订。

Considering that the number of arbitrations brought under the HKIAC Administrated Arbitration Rules has grown significantly since 2013, and the 2013 Rules have been working well in practice, the Committee does not contemplate a wholesale revision. However, drawing upon HKIAC’s experience implementing the 2013 Rules for almost four years, and in light of the latest arbitration developments in Hong Kong and globally, the Committee nevertheless considers that certain amendments might usefully be made.

以下为委员会在现阶段的主要修订意见。 请点击此处查看包含了所有修订意见的规则。 如需要显示对2013年规则所有修改标记的版本，请联系 [e-mail]。

The major amendments proposed by the Committee to the 2013 Rules at this stage are outlined below. Please click here for a copy of the rules which incorporates all proposed amendments. If you wish to obtain a track-change copy of the rules reflecting amendments to the 2013 Rules, please send a request to [e-mail].

我们诚邀广大用户于 2017年10月2日（星期一）前将对规则修订的意见发送至 [e-mail]。 委员会随后打算在作出关于规则修订的时间和形式的最终决定前展开进一步的咨询。

Users are invited to submit comments on the proposed amendments to [e-mail] by Monday, 2 October 2017. The Committee then intends to consult further before making a final decision as to the timing and form of any amendments to the Rules.

Subject

主题

Proposed Amendments

修订意见

在线文件储存系统

Online Document Repository

经各方当事人同意后，提供安全的在线储存系统，保存在仲裁程序中提交的所有的书面文件。增加相应条款，将上传书面文件至在线储存系统认可为文件送达的一种方式。委员会就以下问题征求意见：当事人是否应当仅使用 HKIAC 设立的在线储存系统，还是可以在当事人各方同意和 HKIAC 许可的前提下使用自己设立的在线储存系统（如使用一方当事人代理律师事务所设立的系统）。

参见第2.1(c)条，第2.2条，第2.3条

Provide for use of secured online   repositories to store any written communications submitted in an arbitration   upon all parties’ agreement. Add provisions to recognise written   communications uploaded to the online repository as an alternative means of   service. The Committee seeks views on whether this should be a repository   established and maintained by HKIAC, or whether the Rules should permit the   parties to use their own online repositories (e.g. by using systems hosted by   one party's law firm), upon all parties’ agreement and subject to HKIAC’s   approval.

See Articles 2.1(c), 2.2 and 2.3

替代性争议解决方式（如“仲裁-调解-仲裁”）

Alternative Means of Dispute Settlement (e.g. "Arb-Med-Arb")

增加条款明确允许当事人在仲裁程序启动后使用其它争议解决模式，并经一方当事人请求后可恢复仲裁程序。同时规定，除非各方当事人明示同意，如果仲裁员或紧急仲裁员可能在其它争议解决程序中获取与当事人单方面沟通的信息，仲裁员或紧急仲裁员则不可参与该程序。

参见第13.9条

Include a provision to allow expressly parties to pursue other means of dispute settlement after the commencement of   the arbitration and resume arbitration upon a party’s request. Stipulate that   an arbitrator or emergency arbitrator may not participate in the other   dispute settlement process if he or she may be privy to ex parte   communications with any party, except with the express consent of all   parties.

See Article 13.9

多语言程序

Multilingual Procedures

引入一套使用两种或两种以上仲裁语言的默认程序，例如规定仲裁庭、当事人和其他参与方在开庭和电话会议时使用的语言，以及所有书面通信中所使用的语言。

参见第15.4条和附录5

Introduce a set of default procedures on   the conduct of arbitral proceedings in two or more languages, such as the   language(s) to be used by the arbitral tribunal, the parties and other   participants at hearings and conference calls, as well as the language(s) of   all written communications.

See Article 15.4 and Schedule 5

追加当事人的新情形

New Grounds for Joinder

新增追加当事人的情形。允许追加（1）不受仲裁下的仲裁协议约束的新增当事人，前提是包括新增当事人在内的各方当事人明示同意追加；和（2）受新规则下另一仲裁协议约束的新增当事人，前提是存在共同的法律或事实问题，请求救济的权利均源于同一交易或一系列相关联的交易，且各仲裁协议之间彼此兼容。

参见第27.1(b)条和(c)条

Introduce new grounds to permit the   joinder of (i) an additional party that is not bound by the arbitration   agreement giving rise to the arbitration, provided that all parties,   including the additional party, expressly agree; and (ii) an additional party   that is bound by a different arbitration agreement under the Rules, provided   that a common question of law or fact arises, the rights to relief claimed   arise out of the same transaction or a series of related transactions, and   the arbitration agreements are compatible.

See Article 27.1(b) and (c)

扩大多份合同单个仲裁的适用范围

Expanded provisions for single 

arbitration under multiple contracts

增加条款，允许即便是各合同中当事人不完全相同的情况下，当事人可在多份合同下提起单一仲裁程序。比如，这将允许申请人提起单个仲裁解决源于一个主合同和若干相关子合同的纠纷。

参见第29条

Add a provision permitting parties to   commence a single arbitration under multiple contracts, even where there is not   complete identity of parties to each relevant contract. This would allow a   claimant to commence one arbitration to resolve disputes arising under, for   example, a head contract and related sub-contracts.

See Article 29

同步程序

Concurrent Proceedings

引入条款，明确规定当存在共同的法律或事实问题，且在规则下多项仲裁未得到合并时，同一仲裁庭，甚至也许不同的仲裁庭，可同时进行多项仲裁程序的审理，或接连进行审理，或先暂停审理其中一项程序直至决定完另一项程序后再恢复审理。

参见第30条

Incorporate a provision to state   expressly that the same arbitral tribunal and (possibly) different arbitral   tribunals may hear multiple proceedings at the same time, or one immediately   after another, or suspend any of those proceedings until after the   determination of any other of them, in situations where a common question of   law or fact arises and the arbitrations have not been consolidated under the   Rules.

See Article 30

第三方资助

Third Party Funding

在考虑到香港《仲裁条例》（第609章）对第三方资助问题的修订后，增加第三方资助信息披露的条款，并修改相关保密条款，允许当事人对资助方披露信息。委员会就以下问题征求意见：是否应该增加条款明确允许仲裁庭判给有关第三方资助的费用，以作为仲裁费用的一部分。

参见第34.1(d)条，第44条，第45.3(e)条

Add a new provision on disclosure of   third party funding (“TPF”)   and amend the confidentiality provisions to allow disclosure of information   to a third party funder, having regard to the TPF amendments to the   Arbitration Ordinance (Cap. 609). The Committee seeks views on whether an   express provision should be added to allow the arbitral tribunal to award   costs of third party funding as part of costs of arbitration?

See Articles 34.1(d), 44 and 45.3(e)

委员会希望就是否应该在下列问题上增加明确条款征求意见：

The Committee seeks views on whether express provisions should be introduced in relation to the following:

投资条约仲裁

Investment Treaty Arbitration

发布一套对国际商事仲裁与投资条约仲裁均适用的规则，适用于投资条约仲裁的规定可在一个新增附录中列出。委员会就以下问题征求意见：在新增附录中应当包括哪些条款。

Whether HKIAC should issue a set of rules suitable for both international commercial and investment treaty arbitration, with provisions applicable to investment treaty arbitration possibly contained in a new schedule. The Committee invites views on what provisions should be included.

初期决定程序

Early Determination Procedure

是否应该引入一套程序，允许仲裁庭在初步或独立的阶段，以简易形式决定一个或多个事实或法律问题。

Whether a procedure should be introduced to allow the arbitral tribunal to determine one or more issues of fact or law in a preliminary or a separate phase, and in a summary fashion.

附：规则修订委员会成员名单

Nils Eliasson (主席)

Matthew Gearing QC

Cameron Hassall

Briana Young

Sarah Grimmer

Joe Liu

王军

采安合伙人

高级顾问

王军教授，采安合伙人，曾任对外经贸大学法学院院长，目前担任东亚贸易争端解决咨询委员会顾问、中国国际经济贸易法学研究会副会长，贸仲、北仲、新加坡国际仲裁中心、台湾中华仲裁协会仲裁员，北京卓亚经济社会发展研究中心理事。