中英对照版！CIETAC《投资仲裁规则》（第1条至第19条） | 万邦讯

第一章  一般规定

Chapter I General Provisions

第一条  目的

为公正高效解决国际投资争端，平等保护当事人合法权益，特制定《中国国际经济贸易仲裁委员会国际投资争端仲裁规则》（以下简称“本规则”）。

Article 1 Purpose

For fair and efficient resolution of international investment disputes, and equal protection of the legitimate rights and interests of the parties, the China International Economic and Trade Arbitration Commission (“CIETAC”) hereby adopts these International Investment Arbitration Rules (“CIETAC International Investment Arbitration Rules”, or “these Rules”).

第二条  受案范围与管辖依据

中国国际经济贸易仲裁委员会（以下简称“仲裁委员会”）根据当事人之间的仲裁协议，受理基于合同、条约、法律法规或其他文件提起的，一方当事人为投资者，另一方当事人为国家或政府间组织、经政府授权的或其行为可归责于国家的其他任何机构、部门和其他实体（以下统称“政府”）的国际投资争端。

当事人之间解决国际投资争端的仲裁协议可以规定在合同、条约、法律法规或其他文件中。一方当事人通过合同、条约、法律法规或其他文件作出了提交仲裁委员会仲裁或按照本规则仲裁的意思表示，另一方当事人通过提起仲裁或以其他方式予以接受的，视为达成仲裁协议。

Article 2 Scope and Basis of Jurisdiction

Based on the arbitration agreement between the parties, CIETAC accepts cases involving international investment disputes arising out of contracts, treaties, laws and regulations, or other instruments between an investor and a State, an intergovernmental organization, any other organ, agency or entity authorized by the government or any other organ, agency or entity of which the conducts are attributable to a State (hereinafter as “Government”, collectively).

An agreement referring an international investment dispute to arbitration may be stipulated in a contract, a treaty, a statute of law or regulation, or other instruments. An arbitration agreement is deemed to have been reached if one party manifests its intention to refer the dispute to CIETAC or to settle the dispute by arbitration in accordance with the CIETAC International Investment Arbitration Rules through a contract, a treaty, a statute of law or regulation, or other instruments, and the other party manifests its consent, either by commencing an arbitration or by other means.

第三条  规则的适用

（一）当事人约定适用本规则解决国际投资争端的，视为同意将争议提交仲裁委员会仲裁。

（二）当事人约定将国际投资争端提交仲裁委员会仲裁的，视为同意适用本规则。

（三）当事人约定将国际投资争端提交仲裁委员会依据本规则进行仲裁，但对本规则有关内容进行修改的或约定适用其他仲裁规则的，从其约定，但其约定无法实施或与仲裁程序适用法强制性规范相抵触的除外；当事人约定适用其他仲裁规则的，由仲裁委员会履行相应的管理职责。

（四）当事人约定依据本规则将国际投资争端提交仲裁，视为当事人放弃对仲裁管辖的豁免权。

（五）本规则不妨碍应予适用的强制性法律规范。

Article 3 Scope of Application

1. Where the parties have agreed to refer an international investment dispute to arbitration in accordance with the CIETAC International Investment Arbitration Rules, the parties shall be deemed to have agreed to refer such dispute to CIETAC for arbitration.

2. Where the parties have agreed to refer an international investment dispute to CIETAC for arbitration, the parties shall be deemed to have agreed to refer such dispute to arbitration in accordance with the CIETAC International Investment Arbitration Rules.

3. Where the parties agree to refer an international investment dispute to CIETAC for arbitration in accordance with the CIETAC International Investment Arbitration Rules but have agreed on a modification of these Rules or have agreed on the application of other arbitration rules, the parties’ agreement shall prevail unless such agreement is inoperable or in conflict with a mandatory provision of the law applicable to the arbitral proceedings. Where the parties have agreed on the application of other arbitration rules, CIETAC shall perform the relevant administrative duties.

4. Where the parties agree to refer an international investment dispute to CIETAC for arbitration in accordance with the CIETAC International Investment Arbitration Rules, the parties shall be deemed to have waived any of their rights of immunity from the jurisdiction of the arbitration.

5. The CIETAC International Investment Arbitration Rules apply without prejudice to any mandatory provision of the applicable law.

第四条  机构及职责

（一）仲裁委员会主任履行本规则规定的职责。副主任根据主任的授权履行主任的职责。

（二）仲裁委员会仲裁院院长履行本规则规定的职责。

（三）仲裁委员会在北京设有中国国际经济贸易仲裁委员会投资争端解决中心（以下简称“投资争端解决中心”），接受仲裁申请，管理仲裁案件。仲裁委员会在香港特别行政区设立的中国国际经济贸易仲裁委员会香港仲裁中心（以下简称“香港仲裁中心”），根据仲裁委员会的授权，接受仲裁申请，管理仲裁案件。

（四）当事人约定提交仲裁委员会仲裁的，由投资争端解决中心接受仲裁申请并管理案件；仲裁地在香港或者约定由香港仲裁中心仲裁的，由香港仲裁中心接受仲裁申请并管理案件。约定不明的，由投资争端解决中心接受仲裁申请并管理案件。如有争议，由仲裁委员会决定。

Article 4 Structure and Duties

1. The Chairman of CIETAC shall perform the functions and duties vested in him/her by these Rules while a Vice Chairman may perform the Chairman’s functions and duties with the Chairman’s authorization.

2. The President of the Arbitration Court of CIETAC shall perform functions and duties in accordance with these Rules.

3. CIETAC has set up its Investment Dispute Settlement Center (“IDSC”) in Beijing which accepts arbitration applications and administers arbitration cases. The CIETAC Hong Kong Arbitration Center, established by CIETAC in the Hong Kong Special Administrative Region, accepts arbitration applications and administers arbitration cases as authorized by CIETAC.

4. Where the parties agree to refer an international investment dispute to CIETAC for arbitration, the IDSC shall accept the arbitration application and administer the case. Where the parties agree to designate Hong Kong as the place of arbitration, or to refer an international investment dispute to the CIETAC Hong Kong Arbitration Center, the CIETAC Hong Kong Arbitration Center shall accept the arbitration application and administer the case. Where the agreement is ambiguous, the IDSC shall accept the arbitration application and administer the case. In the event of dispute, the decision shall be made by CIETAC.

第五条  送达及期限

（一）有关仲裁的一切文书、通知、材料等均可采用当面递交、挂号信、特快专递、传真、电子邮件等能够提供投递记录的任何方式送达。

（二）上述第（一）款所述仲裁文件应发送当事人或其仲裁代理人自行提供的或当事人约定的地址；当事人或其仲裁代理人没有提供地址或当事人对地址没有约定的，按照对方当事人或其仲裁代理人提供的地址发送。

（三）仲裁文件的发送，如经当面递交收件人或发送至收件人的营业地、注册地、住所地、惯常居住地或通讯地址，或经当事人合理查询不能找到上述任一地点，以挂号信、特快专递或能提供投递记录的包括公证送达、委托送达和留置送达在内的其他任何手段投递给收件人最后一个为人所知的营业地、注册地、住所地、惯常居住地或通讯地址，即视为有效送达。

（四）根据第（一）至（三）款发送或递交仲裁文件，均应被视为在发送或递交当日即为已经送达。以电子方式发送仲裁文件的，仲裁文件发出的日期视为仲裁文件的送达日期，但以电子方式发送启动仲裁通知书除外。启动仲裁通知书的送达日期，是其抵达收件人电子地址的日期。

（五）本规则所规定的期限，应自当事人收到或应当收到向其发送的文书、通知、材料等之日的次日起计算。在计算期间时，期间内的法定假期或非工作日应计入期间内。如果期间的届满日为收件人地的法定假期或非工作日，则期间届满日将顺延至之后的第一个工作日。

（六）除本规则另有规定外，当事人提交的有关仲裁文书、材料等，应发送或递交仲裁庭、其他当事人，并同时提交管理案件的投资争端解决中心或香港仲裁中心。仲裁庭可以规定仲裁文件的交换及送达方式等事项。

Article 5 Service of Documents and Periods of Time

1. All documents, notices and written materials in relation to the arbitration may be delivered in person or sent by registered mail or express mail, fax, electronic mail or by any other means that provides a record of the delivery.

2. The arbitration documents referred to in the preceding Paragraph 1 shall be sent to the address provided by the party itself or its representative(s), or to an address agreed by the parties. Where a party or its representative(s) has not provided an address or the parties have not agreed on an address, the arbitration documents shall be sent to such party’s address as provided by the other party or its representative(s).

3. Any arbitration correspondence shall be deemed to have been properly served if delivered to the addressee or sent to the addressee’s place of business, place of registration, domicile, habitual residence or mailing address, or where, after reasonable inquiries by the other party, none of the aforementioned addresses can be found, the arbitration correspondence is sent to the addressee’s last known place of business, place of registration, domicile, habitual residence or mailing address by registered or express mail, or by any other means that can provide a record of the delivery, including but not limited to service by public notary, entrustment or retention.

4. Any arbitration correspondence shall be deemed to have been served on the date it is sent or delivered if it is sent or delivered pursuant to the preceding Paragraphs 1 to 3. Any arbitration correspondence, except the Request for Arbitration, served by electronic means shall be deemed to have been received on the day it is sent.  A Request for Arbitration served by electronic means shall be deemed to have been received on the day it reaches the addressee’s electronic address.

5. The periods of time specified in these Rules shall begin to run from the date following the day when a document, notice or written material is received or should have been received by a party. When calculating the period of time under these Rules, official holidays or non-business days during the running of the period of time shall be included. If the last day of such period of time is an official holiday or non-business day at the place of receipt, the period is extended until the first business day which follows.

6. Unless otherwise specified in these Rules, all documents and materials relating to the arbitration submitted by a party shall be forwarded to the arbitral tribunal and the other party or parties, and shall, at the same time, be submitted to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case. The tribunal can rule on issues including the means of exchange and service of arbitration documents.

第六条  诚实信用

仲裁参与人应遵循诚实信用原则，进行仲裁程序。

Article 6 Good Faith

Arbitration participants shall proceed with the arbitration in good faith.

第七条  放弃异议

一方当事人知道或理应知道本规则或仲裁协议中规定的任何条款或情事未被遵守，仍参加仲裁程序或继续进行仲裁程序而且不对此不遵守情况及时地、明示地提出书面异议的，视为放弃提出异议的权利。

Article 7 Waiver of Right to Object

A party shall be deemed to have waived its right to object where it knows or should have known that any provision of, or requirement under, these Rules or the arbitration agreement has not been complied with and yet participates in or proceeds with the arbitral proceedings without promptly and explicitly submitting its objection in writing to such non-compliance.

第二章  开始仲裁

Chapter II Commencement of Arbitration

第八条  启动仲裁通知书

（一）根据本规则提起仲裁的一方当事人（以下简称“申请人”）应向管理案件的投资争端解决中心或香港仲裁中心提交启动仲裁通知书。启动仲裁通知书应列明以下内容：

1．将争议提交仲裁的书面意思表示；

2．当事人及其代理人的名称、国籍和住所，包括邮政编码、电话、传真、电子邮箱或其他电子通讯方式；

3．申请仲裁所依据的仲裁协议；

4．与争议有关的合同、条约、法律法规和其他文件及其相关条款；

5．关于当事人与有关国家、政府间组织或政府实体之间关系及其性质的简要说明，以及仲裁协议约束当事人的理由（如适用）；

6．关于争议事项的性质和引发争议事项的简要说明，包括仲裁请求的救济事项，并尽可能对索赔金额进行初步量化；

7．当事人双方之间是否事先就仲裁庭人数、组成方式和仲裁程序等事项作出约定，或者申请人的相关建议；

8．关于按照本规则规定选定的仲裁员或提出的人选建议；

9．关于适用法律规则的意见；

10．关于仲裁语言的意见；

11.申请人认为其他必要的内容。

（二）启动仲裁通知书也可包含第二十一条仲裁申请书列明的内容。

（三）申请人应按照仲裁委员会制定的《中国国际经济贸易仲裁委员会国际投资争端仲裁费用表》（以下简称“《费用表》”）（附件一）的规定缴纳案件登记费。

（四）仲裁程序自管理案件的投资争端解决中心或香港仲裁中心收到启动仲裁通知书之日开始。当事人申请仲裁手续完备的，管理案件的投资争端解决中心或香港仲裁中心将向双方当事人发出受理通知。

如果启动仲裁通知书不完整或未缴纳案件登记费，管理案件的投资争端解决中心或香港仲裁中心可以要求申请人在合理期限内予以完备。申请人在规定的期限内完备申请仲裁手续的，仲裁程序应视为在管理案件的投资争端解决中心或香港仲裁中心第一次收到第（一）款规定的启动仲裁通知书之日开始。申请人未能在规定期限内完备申请仲裁手续的，视为申请人未有效提出启动仲裁通知书，仲裁程序尚未根据第（一）款开始。本款规定不影响申请人此后再次提出相同请求的启动仲裁通知书的权利。

（五）申请人在向管理案件的投资争端解决中心或香港仲裁中心提交启动仲裁通知书的同时，应向被申请人发送启动仲裁通知书，并向管理案件的投资争端解决中心或香港仲裁中心说明向被申请人发送启动仲裁通知书的日期和方式，附具送达证明。

（六）启动仲裁通知书应使用当事人约定的仲裁语言。当事人未有约定的，则为中文或英文。

（七）受理案件后，管理案件的投资争端解决中心或香港仲裁中心应指定案件秘书协助仲裁案件的程序管理。

Article 8 Request for Arbitration

1. A party applying for arbitration under these Rules (the “Claimant”) shall submit a Request for Arbitration to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case. The Request for Arbitration shall include:

(a) a written demand that the dispute be referred to arbitration;

(b) the names, nationalities and addresses including the postcodes, telephone numbers, fax numbers, electronic mail addresses, or any other electronic means of  communication of the parties and their representative(s);

(c) a reference to the arbitration agreement that is invoked;

(d) a reference to the contract, treaty, statute or other instrument out of or in relation to which the dispute arises and the relevant provisions thereof;

(e) where applicable, a brief statement describing the relationship and the nature of such relationship between the party and any relevant State, intergovernmental organization or government, and the reason why the parties are bound by the arbitration agreement;

(f) a brief statement describing the nature of the dispute and the circumstances giving rise to such dispute, including the relief sought and where possible, an initial quantification of the claim amount;

(g) a statement regarding any prior agreement between the parties on matters such as the number of arbitrators, formation of the arbitral tribunal, the arbitral proceedings or any proposal by the Claimant on such matters;

(h) any nomination of arbitrator(s) made in accordance with these Rules or any proposal for nomination of arbitrator(s);

(i) any comment as to the applicable rules of law;

(j) any comment as to the language of the arbitration; and

(k) any other information the Claimant considers necessary.

2. The Request for Arbitration may also include the contents of the Statement of Claim referred to in Article 21 of these Rules.

3. The Claimant shall pay the registration fee in accordance with the CIETAC International Investment Arbitration Fees Schedule (“Fees Schedule”) (Appendix I).

4. The arbitral proceedings shall commence on the day on which the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case receives a Request for Arbitration. Where the Claimant has complied with all the formalities required for an arbitration application to be complete, the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case shall issue a Notice of Arbitration to both parties.

Where the Request for Arbitration is incomplete or where the registration fee is not paid, the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case may request the Claimant to complete them within an appropriate period of time. Where the Claimant complies with such request(s) within the specified time limit, the arbitration shall be deemed to have commenced on the date the Request for Arbitration was initially received by the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case under Paragraph 1 of this Article. Where the Claimant fails to comply with such request(s), the submission of the Request for Arbitration shall be deemed invalid and the arbitration shall be deemed not to have commenced under Paragraph 1 of this Article, without prejudice to the Claimant’s right to submit another Request for Arbitration for the same claim at a later date.

5. The Claimant shall, at the same time as it submits the Request for Arbitration to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case, send a copy of the Request for Arbitration to the Respondent, and shall notify the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case of the date and means of delivery, together with a proof of delivery.

6. The Request for Arbitration shall be submitted in the language of arbitration as agreed by the parties. If no agreement has been made between the parties regarding the language of the arbitration, the Request for Arbitration shall be in either Chinese or English.

7. Upon acceptance of a case, the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case shall designate a case manager to assist with the procedural administration of the case.

第九条  对启动仲裁通知书的答复

（一）被申请人应自收到启动仲裁通知书之日起30日内向管理案件的投资争端解决中心或香港仲裁中心提交书面答复，该答复应列明以下内容：

1．当事人及其代理人的名称、国籍和住所，包括邮政编码、电话、传真、电子邮箱或其他电子通讯方式；

2．对仲裁案件管辖权的异议（如有）；

3．确认或否认全部或者部分仲裁请求；

4．被申请人提出反请求的，应简述反请求的性质和相关情形，列明反请求的救济事项，并尽可能对反请求事项的索赔金额进行初步量化；

5．对依据第八条第（一）款提交的启动仲裁通知书中的任何陈述提出意见，或对该条所包含的事项提出意见；

6．关于按照本规则选定的仲裁员或提出的人选建议。

（二）如果启动仲裁通知书包含了第二十一条仲裁申请书列明的内容，则该答复也可包含第二十二条仲裁答辩书列明的内容。

（三）就反请求按照《费用表》（附件一）的规定缴纳仲裁费。

（四）被申请人向管理案件的投资争端解决中心或香港仲裁中心递交答复的同时，应向申请人发送答复，并向管理案件的投资争端解决中心或香港仲裁中心说明向申请人发送答复的日期和方式，附具送达证明。

（五）对启动仲裁通知书的答复应使用当事人约定的仲裁语言。当事人未有约定的，则为中文或英文。

Article 9 Response to the Request for Arbitration

1. Within thirty (30) days from the date of its receipt of the Request for Arbitration, the Respondent shall submit to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case a written Response to the Request for Arbitration, which shall include:

(a) the names, nationalities and addresses including the postcodes, telephone numbers, fax numbers, electronic mail addresses, or any other electronic means of  communication of the parties and their representative(s);

(b) objection to jurisdiction (if any);

(c) admission or denial of all or part of the claims;

(d) where a counterclaim is made, a brief statement describing the nature of the counterclaim and the circumstances giving rise to such counterclaim, including the relief sought and where possible, an initial quantification of the claim amount;

(e) any comment in response to any statements contained in the Request for Arbitration pursuant to Paragraph 1 of Article 8, or any comment with respect to the matters covered in Article 8 of these Rules; and

(f)  any nomination of arbitrator(s) made in accordance with these Rules or any proposal for nomination of arbitrator(s).

2. Where the Request for Arbitration contains a Statement of Claim as referred to in Article 21 of these Rules, the Response to the Request for Arbitration may also include the Statement of Defense referred to in Article 22 of these Rules.

3. When filing a counterclaim, the Respondent shall pay the registration fee in accordance with the Fees Schedule (Appendix I).

4. The Respondent shall, at the same time as it submits the Response to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case, send a copy of the Response to the Claimant, and shall notify the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case of the date and means of delivery, together with a proof of delivery.

5. The Response to the Request for Arbitration shall be submitted in the language of arbitration as agreed by the parties. If no agreement has been made between the parties regarding the language of the arbitration, the Response to the Request for Arbitration shall be in either Chinese or English.

第三章  仲裁庭的组成

Chapter III Composition of the Arbitral Tribunal

第十条  仲裁庭的人数

（一）当事人可以约定仲裁庭由一名、三名或其他任意奇数仲裁员组成。

（二）除非当事人另有约定，仲裁庭由三名仲裁员组成。

Article 10 Number of Arbitrators

1. The parties may agree that the arbitral tribunal shall be composed of one, three or any other odd number of arbitrators.

2. Unless otherwise agreed by the parties, the arbitral tribunal shall be composed of three arbitrators.

第十一条  仲裁员的选定或指定

（一）仲裁委员会制定《中国国际经济贸易仲裁委员会国际投资争端仲裁员名册》，当事人应从该名册中选择仲裁员。当事人也可以约定在该名册之外选定仲裁员，但该仲裁员应满足第（二）款所规定的资格要求并经仲裁委员会主任确认。

（二）仲裁员应道德高尚，在法律、投资等专业领域具备公认的能力，善于进行独立裁判。

（三）除非当事人另有约定或共同选定，独任仲裁员、首席仲裁员和仲裁庭的多数成员不得与当事人具有相同的国籍。

（四）仲裁委员会主任根据本规则规定指定仲裁员的，应考虑争议所适用的法律、仲裁地、仲裁语言、当事人国籍和仲裁员国籍以及其他应予考虑的适当因素。

（五）仲裁员委员会主任应在可能的范围内尽快指定仲裁员。

Article 11 Nomination or Appointment of Arbitrator

1. CIETAC maintains a Panel of Arbitrators for International Investment Disputes. The parties shall nominate arbitrators from the Panel of Arbitrators for International Investment Disputes provided by CIETAC. The parties may agree to nominate arbitrators from outside the Panel of Arbitrators for International Investment Disputes, subject to the fulfillment of qualifications set forth in Paragraph 2 of Article 11 by the arbitrators so nominated and to the confirmation by the Chairman of CIETAC.

2. Arbitrators shall be persons of high moral character and of recognized competence in professional fields such as law and investment, and who are proficient in exercising independent judgment.

3. Unless otherwise agreed by the parties or by joint nomination by the parties, a sole arbitrator, a presiding arbitrator or the majority of arbitrators shall be of different nationality or nationalities than the parties.

4. When appointing arbitrators pursuant to these Rules, the Chairman of CIETAC shall take into consideration the law applicable to the dispute, the place of arbitration, the language of arbitration, the nationalities of the parties, the nationalities of arbitrators, and any other factor(s) the Chairman considers relevant.

5. The Chairman of CIETAC shall appoint the arbitrator(s) as soon as practicable.

第十二条  三人仲裁庭

（一）仲裁庭由三名仲裁员组成的，申请人和被申请人应在被申请人收到启动仲裁通知书之日起30日内各自选定或委托仲裁委员会主任指定一名仲裁员。当事人未在上述期限内选定或委托仲裁委员会主任指定仲裁员的，由仲裁委员会主任指定。

（二）第三名仲裁员由双方当事人在被申请人收到启动仲裁通知书之日起30日内共同选定或共同委托仲裁委员会主任指定。第三名仲裁员为首席仲裁员。

（三）当事人未在上述期限内选定或委托仲裁委员会主任指定首席仲裁员的，由仲裁委员会主任指定。

（四）除非当事人另有约定，仲裁委员会主任应按照以下方式指定首席仲裁员：

1．仲裁委员会主任应将至少列有五名人选的相同名单发送双方当事人；

2．自收到名单之日起30日内，每一方当事人可删除其反对的一名或数名人选并将名单上剩余的人选按优先顺序排列后，将名单发回管理案件的投资争端解决中心或香港仲裁中心；

3．仲裁委员会主任应从发回名单上获得当事人认可的人选中，依据当事人的选择顺序指定一人为首席仲裁员；

4．无法按照上述程序指定首席仲裁员的，仲裁委员会主任可以指定其认为适当的首席仲裁员。

Article 12 Three-Arbitrator Tribunal

1. Where the arbitral tribunal is composed of three arbitrators, within thirty (30) days from the date of the Respondent’s receipt of the Request for Arbitration, the Claimant and the Respondent shall each nominate, or entrust the Chairman of CIETAC to appoint an arbitrator, failing which the arbitrator shall be appointed by the Chairman of CIETAC.

2. Within thirty (30) days from the date of the Respondent’s receipt of the Request for Arbitration, the parties shall jointly nominate, or entrust the Chairman of CIETAC to appoint the third arbitrator, who shall act as the presiding arbitrator.

3. Where the parties fail to jointly nominate or entrust the Chairman of CIETAC to appoint the presiding arbitrator within the aforementioned time limit, the presiding arbitrator shall be appointed by the Chairman of CIETAC.

4. Unless otherwise agreed by the parties, the Chairman of CIETAC shall appoint the presiding arbitrator in accordance with the following procedure:

(a) the Chairman of CIETAC shall communicate to each of the parties an identical list containing at least five candidates;

(b) within thirty (30) days from the receipt of such list, each party may delete from the list the candidate(s) to whom it objects, rank the remaining candidates in its order of preference and return the list to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case;

(c) the Chairman of CIETAC shall appoint the presiding arbitrator from among the candidates on the returned lists in accordance with the order of preference indicated by the parties; and

(d) if for any reason the appointment of the presiding arbitrator cannot be made in accordance with the procedure set forth in the preceding sub-paragraphs (a) to (c), the Chairman of CIETAC may directly appoint a presiding arbitrator whom he/she deems suitable.

第十三条  独任仲裁员

（一）仲裁庭由独任仲裁员组成的，双方当事人应在被申请人收到启动仲裁通知书之日起30日内共同选定或共同委托仲裁委员会主任指定。

（二）双方当事人未能在上述期限内共同选定或共同委托仲裁委员会主任指定独任仲裁员的，由仲裁委员会主任指定。

（三）除非当事人另有约定，仲裁委员会主任按照第十二条第（四）款的规定指定独任仲裁员。

Article 13 Sole-Arbitrator Tribunal

1. Where the arbitral tribunal is composed of one arbitrator, within thirty (30) days from the date of the Respondent’s receipt of the Request for Arbitration, the parties shall jointly nominate or jointly entrust the Chairman of CIETAC to appoint the sole arbitrator.

2. Where the parties fail to jointly nominate or entrust the Chairman of CIETAC to appoint the sole arbitrator within the aforementioned time limit, the sole arbitrator shall be appointed by the Chairman of CIETAC.

3. Unless otherwise agreed by the parties, the Chairman of CIETAC shall appoint the sole arbitrator in accordance with the procedure set forth in Paragraph 4 of Article 12.

第十四条  三人以上仲裁庭

（一）仲裁庭由三名以上仲裁员组成的，除非当事人另有约定，首席仲裁员之外的仲裁庭其他成员的指定，申请人和被申请人应在被申请人收到启动仲裁通知书之日起30日内选定或委托仲裁委员会主任指定相等人数的仲裁员。当事人未在上述期限内选定或委托仲裁委员会主任指定的，由仲裁委员会主任指定。

（二）首席仲裁员按照第十二条的规定选定或指定。

Article 14 Tribunal of More than Three Arbitrators

1. Where the arbitral tribunal is composed of more than three arbitrators, unless otherwise agreed by the parties, for arbitrators other than the presiding arbitrator, the Claimant and the Respondent shall each nominate or entrust the Chairman of CIETAC to appoint the same number of arbitrators within thirty (30) days from the date of the Respondent’s receipt of the Request for Arbitration. Where the parties fail to nominate or entrust the Chairman of CIETAC to appoint the arbitrators within the aforementioned time limit, such arbitrators shall be appointed by the Chairman of CIETAC.

2. The presiding arbitrator shall be nominated or appointed in accordance with Article 12.

第十五条  多方当事人仲裁庭的组成

（一）仲裁案件有两名或两名以上申请人或被申请人的，申请人或被申请人应各自协商共同选定或共同委托仲裁委员会主任指定仲裁员。

（二）首席仲裁员或独任仲裁员应按照第十二条第（二）（三）（四）款、第十三条规定的程序选定或指定。申请人或被申请人按照第十二条第（四）款规定选定首席仲裁员或独任仲裁员的，应共同协商，提交全部当事人共同选定的人选名单。

（三）仲裁庭由三名或三名以上仲裁员组成的，如果申请人或被申请人未能在被申请人收到启动仲裁通知书之日起30日内共同选定或共同委托仲裁委员会主任指定仲裁员，则由仲裁委员会主任指定仲裁庭全部成员，并从中确定一人担任首席仲裁员。

Article 15 Multiple-Party Tribunal

1. Where there are two or more Claimants and/or Respondents in an arbitration case, the Claimant side and/or the Respondent side shall, upon their respective discussion, each jointly nominate or jointly entrust the Chairman of CIETAC to appoint the arbitrator(s). 

2. The presiding arbitrator or the sole arbitrator shall be nominated or appointed in accordance with the procedures stipulated in Paragraphs 2, 3 and 4 of Article 12 and Article 13. When making such nomination pursuant to Paragraph 4 of Article 12, the Claimant side and/or the Respondent side, upon their respective discussion, shall each submit a list of their jointly agreed candidates.

3. Where the tribunal is composed of three or more arbitrators, if the Claimants and/or Respondents fail to jointly appoint or entrust the Chairman of CIETAC to appoint the arbitrator(s) within thirty (30) days from the date of the Respondent’s receipt of the Request for Arbitration, the Chairman of CIETAC shall appoint all such arbitrators and designate one of them to act as the presiding arbitrators.

第十六条  披露

（一）被选定或被指定的仲裁员应签署声明书，披露可能引起对其公正性和独立性产生合理怀疑的任何事实或情况。

（二）在仲裁程序中出现应披露情形的，仲裁员应立即书面披露。

（三）仲裁员的声明书或书面披露应提交管理案件的投资争端解决中心或香港仲裁中心并转交各方当事人及仲裁庭其他成员。

Article 16 Disclosure

1. An arbitrator nominated by the parties or appointed by the Chairman of CIETAC shall sign a Declaration and disclose any facts or circumstances likely to give rise to justifiable doubts as to his/her impartiality or independence.

2. If circumstances that need to be disclosed arise during the arbitral proceedings, the arbitrator shall promptly disclose such circumstances in writing.

3.The Declaration and/or the written disclosure of the arbitrator shall be submitted to the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case, which shall also forward the Declaration and/or the written disclosure to the parties and other member(s) of the arbitral tribunal.

第十七条  仲裁员的回避

（一）当事人收到仲裁员的声明书或书面披露后，如果以披露的事实或情况为理由要求该仲裁员回避，则应于收到仲裁员的书面披露后30日内书面提出。逾期没有申请回避的，不得以仲裁员曾经披露的事项为由申请该仲裁员回避。

（二）当事人对被选定或被指定的仲裁员的公正性和独立性产生具有正当理由的怀疑的，可以书面提出要求该仲裁员回避的请求，但应说明提出回避请求所依据的具体事实和理由，并举证。当事人对其选定的仲裁员，仅得以其在选定仲裁员后得知的回避事由，提出回避申请。

（三）当事人申请仲裁员回避，另一当事人同意的，或被申请回避的仲裁员主动提出不再担任仲裁员的，该仲裁员不再担任仲裁员。上述情形并不表示当事人提出回避的理由成立。

（四）除第（三）款规定的情形外，仲裁员是否回避，由仲裁委员会主任在综合考虑各种相关情形后作出决定。该决定是终局的。除非当事人另有约定，决定应说明理由。

（五）仲裁委员会主任对仲裁员回避作出决定前，被申请回避的仲裁员应继续履行职责。

Article 17 Challenge to Arbitrator

1. Upon receipt of the Declaration and/or the written disclosure of an arbitrator, a party wishing to challenge the arbitrator on the grounds of the disclosed facts or circumstances shall forward the challenge in writing within thirty (30) days from the date of such receipt. If a party fails to file a challenge within the aforementioned time period, it may not subsequently challenge the arbitrator on the basis of the matters disclosed by the arbitrator.

2. A party having justifiable doubts as to the impartiality or independence of a nominated or appointed arbitrator may challenge that arbitrator in writing and shall state the facts and reasons on which the challenge is based with supporting evidence. A party may challenge an arbitrator it nominated only for facts or circumstances known after such nomination.  

3. Where an arbitrator is challenged by one party and the other party agrees to the challenge, or the arbitrator being challenged voluntarily withdraws from his/her office, such arbitrator shall no longer be a member of the arbitral tribunal. However, in neither case shall it be implied that the reasons for the challenge are sustained.

4. In circumstances other than those specified in the preceding Paragraph 3, the Chairman of CIETAC shall make a decision on the challenge, taking into account all relevant circumstances. Such decision is final. Unless otherwise agreed by the parties, the Chairman of CIETAC shall state the reasons for his/her decision.

5. An arbitrator who has been challenged shall continue to serve on the arbitral tribunal until a final decision on the challenge has been made by the Chairman of CIETAC.

第十八条  仲裁员的更换

（一）仲裁员在法律上或事实上不能履行职责，或没有遵守本规则的要求或没有在本规则规定的期限内履行应尽职责的，仲裁委员会主任有权主动决定将其更换；该仲裁员也可以主动申请不再担任仲裁员。

（二）是否更换仲裁员，由仲裁委员会主任作出决定。该决定是终局的。仲裁委员会主任主动决定更换仲裁员的，在更换仲裁员前，应征询当事人和包括该仲裁员在内的仲裁庭成员的意见。仲裁庭尚未组成的，应征询所有已被指定或选定的仲裁员意见。

（三）在仲裁员因回避或更换不能履行职责时，应按照原选定或指定该仲裁员的方式在管理案件的投资争端解决中心或香港仲裁中心规定的期限内选定或指定替代的仲裁员。

（四）重新选定或指定仲裁员后，由仲裁庭决定是否重新审理及重新审理的范围。

Article 18 Replacement of Arbitrator

1. In the event that an arbitrator is prevented de jure or de facto from fulfilling his/her functions, or fails to fulfill his/her functions in accordance with the requirements of these Rules or within the time period specified in these Rules, the Chairman of CIETAC shall have the power to replace the arbitrator on his/her own initiative. Such arbitrator may also voluntarily withdraw from his/her office.

2. The Chairman of CIETAC shall make a decision on whether or not an arbitrator is to be replaced. Such decision is final. When deciding on whether to replace an arbitrator on his/her own initiative, the Chairman of CIETAC shall, prior to making such decision, consult the parties and the members of the arbitral tribunal including the arbitrator being considered for replacement. Where the arbitral tribunal has not yet been constituted, the Chairman of CIETAC shall consult any nominated or appointed arbitrator(s).

3. In the event that an arbitrator is unable to fulfill his/her duties due to challenge or replacement, a substitute arbitrator shall be nominated or appointed within the time period specified by the IDSC or the CIETAC Hong Kong Arbitration Center that administers the case in accordance with the same procedure that applied to the nomination or appointment of the arbitrator challenged or replaced.

4. After the replacement of an arbitrator, the arbitral tribunal shall decide whether and to what extent the previous proceedings in the case shall be reheard.

第十九条  多数仲裁员继续仲裁程序

仲裁庭宣布审理终结后，仲裁员因死亡或被除名等情形而不能参加合议或作出裁决的，其他多数仲裁员可以请求仲裁委员会主任按照第十八条的规定替换该仲裁员；或在征求双方当事人意见后并经仲裁委员会主任同意，其他多数仲裁员也可以继续仲裁程序，作出决定或裁决。管理案件的投资争端解决中心或香港仲裁中心应将上述情况通知双方当事人。

Article 19 Continuation of Arbitration by Majority

After the conclusion of hearing is declared by the arbitral tribunal, if an arbitrator is unable to participate in the deliberations and/or to render the award owing to his/her demise or to his/her removal from CIETAC’s Panel of Arbitrators for International Investment Disputes, or for any other reason, the other majority arbitrators may request the Chairman of CIETAC to replace that arbitrator in accordance with Article 18. Alternatively, after consultation with the parties and upon approval of the Chairman of CIETAC, the majority arbitrators may also continue the arbitral proceedings and make decisions, rulings, or render the award. The IDSC or the CIETAC Hong Kong Arbitration Center that administers the case shall notify the parties of the above circumstances.

【万邦仲裁】主编：何以堪

微信号：fishinarbitration

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