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2024-01-25

HKIAC拟修订《2018香港国际仲裁中心机构仲裁规则》,现启动公众咨询


修订意见


2024年1月23日,香港国际仲裁中心((Hong Kong International Arbitration Centre,下称“HKAIC”)发布了对现行的《2018香港国际仲裁中心机构仲裁规则》(下称“2018规则”)修订意见(下称“修订意见”),诚邀广大用户于 2024年2月23日前将对修订意见的建议发送至HKAIC官方邮箱 rules@hkiac.org。修订意见的主要内容包括:鼓励仲裁庭组成多元化、加强多份合同下启动单个仲裁的机制、明确仲裁庭解决初步问题的权力、引入信息安全条款以及明确紧急仲裁员的权力。





鼓励仲裁庭组成多元化


在修订意见中,增加了“仲裁庭组成多元化”条款,鼓励在选择指定仲裁员时考虑多元化因素,同时HKIAC在行使仲裁员指定权时,会将“多元化”因素与所有其他相关因素一并考虑,具体条文如下:


10.1 The parties and co-arbitrators are encouraged to take into account considerations of diversity when designating arbitrators in accordance with Articles 7 and 8 of the Rules.10.2 When exercising its authority to appoint under Articles 7 or 8 of the Rules, HKIAC shall take into account considerations of diversity together with all other relevant considerations.


虽然该意见并未明确关于多元化的定义及考虑因素,比如国籍、民族、籍贯、毕业院校等,期待在生效能对此进行细化或列举以供参考。



加强多份合同下启动单个仲裁的机制


对于源于或涉及多份合同的单个仲裁案件,若符合在HKIAC提起并已启动的,各方当事人应被视为放弃指定仲裁员的权利,HKIAC均应就仲裁指定仲裁庭,具体条文如下:


30.2 Where HKIAC decides pursuant to Article 20.5 that the arbitration has been properly commenced under this Article 30, the parties shall be deemed to have waived their rights to designate an arbitrator. HKIAC shall appoint the arbitral tribunal in respect of the arbitration with or without regard to any party’s designation.



明确仲裁庭解决初步问题的权力


仲裁庭在其自由裁量权下,经与当事人协商,可解决全部或部分案件的初步问题,可分程序进行,分阶段进行,决定在何种阶段确定或解决何种问题,具体条文如下:


14.6 In addition to the powers provided in Article 44, the arbitral tribunal may, in its discretion and in consultation with the parties, determine preliminary issues that the tribunal considers could dispose of all or part of the case, bifurcate the proceedings, conduct the arbitration in sequential stages, and decide the stage of the arbitration at which any issue or issues shall be determined, or otherwise adopt procedures to decide the case efficiently.


为避免因当事人代表变更而产生利益冲突,仲裁庭经与各方当事人协商后有权采取任何必要措施,包括排除拟议的新当事人代表参与仲裁程序,具体条文如下:


14.9 The arbitral tribunal may, after consulting with the parties, take any measure necessary to avoid a conflict of interest arising from a change in party representation, including by excluding the proposed new party representatives from participating in the arbitral proceedings.


HKIAC在与各方当事人和仲裁庭协商后,有权采取任何必要措施维护仲裁的效率或完整性,包括在其认为任何仲裁员无法或未能按照2018规则或在规定时限内履行其职责时,撤销对该仲裁员的任命,具体条文如下:


14.10 HKIAC may, after consultation with the parties and the arbitral tribunal, take any measure necessary to preserve the efficiency or integrity of the arbitration, including by revoking the appointment of any arbitrator where it considers that the arbitrator is prevented from or has failed to fulfill his or her functions in accordance with the Rules or within the prescribed time limits.


在追加当事人方面,修订意见取消了需在“仲裁庭组成之前”的限制,在仲裁过程中追加新增当事人,HKIAC有权撤销任何对仲裁员的确认或指定,并应指定仲裁庭,具体条文如下:


28.13 Where an additional party is joined to the arbitration, HKIAC may revoke any confirmation or appointment of an arbitrator, and if so, shall appoint the arbitral tribunal with or without regard to any party’s designation.


引入信息安全条款


修订意见在第47条引入了“信息安全”条款,各方当事人可商定任何合理措施,以保护因仲裁而共享、存储或处理的信息。仲裁庭可在考虑各方当事人的意见后,根据案件的具体情况,向各方当事人下达指示,以保护仲裁期间共享、存储或处理的任何信息的安全,在考虑各方当事人的意见后,可根据本条就任何违反各方当事人约定的或仲裁庭指示的信息安全措施的行为作出决定、命令或裁决,具体条文如下:


47.1 The parties may agree on any reasonable measures to protect information shared, stored, or processed in relation to the arbitration.


47.2 The arbitral tribunal may, after considering the views of the parties, give directions to the parties to protect the security of any information shared, stored, or processed during the arbitration, taking into account the circumstances of the case.


47.3 The arbitral tribunal may, after taking into account the views of the parties, make a decision, order or award in respect of any breach of the information security measures agreed by the parties or directed by the arbitral tribunal, pursuant to this Article.


除此之外,修订意见在“书面通讯和期限计算”中,增加了HKIAC可以批准双方当事人认可的其他电子通信沟通形式,该形式则不限于以往常用的较为传统的传真或电子邮件,但应受“信息安全条款”制约,具体条文如下:


3.1 (f) communicated through any form of electronic communication that the parties have agreed to use, subject to approval by HKIAC and the arbitral tribunal, once constituted.


另外,在此次修订意见中,在人员联系方式上,加上了“电话”一项。


在“仲裁的进行”中,修订意见增加了仲裁庭除考虑复杂程度、争议金额和科技的有效使用外,还应考虑信息安全与环境影响,具体条文如下:


14.1 Subject to these Rules, the arbitral tribunal shall adopt suitable procedures for the conduct of the arbitration in order to avoid unnecessary delay or expense, having regard to the complexity of the issues, the amount in dispute, the effective use of technology, information security, and environmental impact, and provided that such procedures ensure equal treatment of the parties and afford the parties a reasonable opportunity to present their case.



明确紧急仲裁员的权力


在修订意见附录4“紧急仲裁员程序”中,明确了在作出紧急裁决之前,紧急仲裁员有权在自HKIAC向其移交案卷之日起14日内发出任何命令,此期限可根据当事人的协议延长,也可在适当情况下由HKIAC延长,即使在此期间案卷已转交仲裁庭,紧急仲裁员仍可继续进行紧急救济程序并可在前述期间中做出决定, 一旦仲裁庭组成,修订意见规定以外,紧急仲裁员对此权利则不再享有,具体条文如下:


10. Taking into account the urgency inherent in the Emergency Relief proceedings and ensuring that each party has a reasonable opportunity to be heard on the Application, the emergency arbitrator may…The Emergency Arbitrator shall have the power to make any order within the period referred to in paragraph 12 of this Schedule, pending the Emergency Decision.


13. The emergency arbitrator may proceed with the Emergency Relief proceedings and the Emergency Decision may be made within the period referred to in paragraph 12 of this Schedule, even if in the meantime the case file has been transmitted to the arbitral tribunal.


14. Subject to paragraph 13 of this Schedule, the emergency arbitrator shall have no further power to act once the arbitral tribunal is constituted.


另外,与紧急仲裁员程序有关的合理费用被纳入了“仲裁费用”,具体条文如下:


35.1 The arbitral tribunal shall determine the costs of the arbitration in one or more orders or awards. The term "costs of the arbitration” includes only:… (e) the reasonable costs associated with Emergency Arbitrator proceedings; and…



其他


在“审理终结”中,修订意见增加了“在不迟于各个独立程序(不包括提出的费用问题)最后一次直接实质性口头或书面陈述之日起45天内,仲裁庭应宣布程序或程序的相关阶段结束”的限定,具体条文如下:


32.1 When it is satisfied that the parties have had a reasonable opportunity to present their case, whether in relation to the entire proceedings or a discrete phase of the proceedings, and no later than 45 days from the last directed substantive oral or written submissions in respect of the discrete phase of the proceedings (excluding submissions on costs under Article 35), the arbitral tribunal shall declare the proceedings or the relevant phase of the proceedings closed. Thereafter, no further submissions or arguments may be made, or evidence produced in respect of the entire proceedings or the discrete phase, as applicable, unless the arbitral tribunal reopens the proceedings or the relevant phase of the proceedings in accordance with Article 32.4.


在“仲裁费用”中,修订意见删除了“法律代理和其他协助产生的费用不得超出特定金额”的限制。对于仲裁费用的组成中,仲裁庭应考虑案件的复杂程度、各方当事人在程序中的表现、第三方资助安排、与结果有关的收费架构的协议、以及任何不利于环境的影响,具体条文如下:


35.3 In deciding whether and how to apportion the costs of the arbitration in accordance with Article 35.2, the arbitral tribunal shall take into account the circumstances of the case, including but not limited to:(a) the scale and complexity of the dispute pursuant to Article 14.1; (b) the conduct of the parties in relation to the proceedings;(c) any third party funding arrangement;(d) any outcome related fee structure agreement; and/or(e) any adverse environmental impact.


在“简易程序”中,增加了“仲裁庭或HKIAC”可决定不再适用简易程序,具体条文如下:


43.3 Upon the request of any party or the arbitral tribunal, or if HKIAC so determines, and after consulting with the parties and any confirmed or appointed arbitrators, HKIAC may, having regard to any new circumstances that have arisen, decide that the Expedited Procedure under Article 43 shall no longer apply to the case. Unless HKIAC considers that it is appropriate to revoke the confirmation or appointment of any arbitrator, the arbitral tribunal shall remain in place.





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