China International Economic and Trade Arbitration Commission

China International Economic and Trade

Arbitration Commission (CIETAC)

Model Arbitration Clause (1)

Any dispute arising from or in connection with this

Contract shall be submitted to China International

Economic and Trade Arbitration Commission

(CIETAC) for arbitration which shall be conducted

in accordance with the CIETAC’s arbitration rules in

effect at the time of applying for arbitration. The arbitral

award is final and binding upon both parties.

China International Economic and Trade

Arbitration Commission (CIETAC)

Model Arbitration Clause (2)

Any dispute arising from or in connection with this

Contract shall be submitted to China International

Economic and Trade Arbitration Commission

(CIETAC) Sub-Commission (Arbitration

Center) for arbitration which shall be conducted in

accordance with the CIETAC’s arbitration rules in effect

at the time of applying for arbitration. The arbitral

award is final and binding upon both parties.

Arbitration Rules

CIETAC South China Sub-Commission

Add: 14A01, Anlian Plaza, No.4018, Jintian Road, Futian

District, Shenzhen City 518026,

Guangdong Province, P.R. China

Tel: 86 755 82796739

Fax: 86 755 23964130

E-mail: [email protected]

Website: http://www.cietac-sc.org

CIETAC Shanghai Sub-Commission

Add: 16F, Century Link Tower 1, No. 1198, Century Avenue,

Pudong New Area, Shanghai, P.R. China

Tel: 86 21 60137688

Fax: 86 21 60137689

E-Mail: [email protected]

Website: http://www.cietacshanghai.org

CIETAC Tianjin Sub-Commission

(CIETAC Tianjin International Economic and

Financial Arbitration Center)

Add: 1803/1804, 18F, Wanhai Building, Tianjin Wanda Center,

the Intersection of Six weft Road and No.8 Dazhigu Road,

Hedong District, Tianjin 300170, P.R. China

Tel: 86 22 66285688

Fax: 86 22 66285678

E-mail: [email protected]

Website: http://www.cietac-tj.org

CIETAC Southwest Sub-Commission

Add: 15F, NO.1 Lifan Center, Juxianyan Plaza, Jiangbeizui,

Chongqing, 400024, P.R. China

Tel: 86 23 67860011

Fax: 86 23 67860022

E-mail: [email protected]

Website: http://www.cietac-sw.org

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CIETAC Hong Kong Arbitration Center

Add: Room 503, 5/F, West Wing, Justice Place,

11 Ice House Street, Central, Hong Kong

Tel: 852 25298066

Fax: 852 25298266

E-mail: [email protected]

Website: http://www.cietachk.org

CIETAC Zhejiang Sub-Commission

Add: 10/F, Second light Industry Building A, Yan'an Road,

Hangzhou City 310006, Zhejiang Province,

P.R. China

Tel: 86 571 28169009

Fax: 86 571 28169010

E-mail: [email protected]

Website: http://www.cietac-zj.org

CIETAC Hubei Sub-Commission

Add: Floor11, Building B, Hubei Technology Innovation

Towers, East Road Xiaohongshan34,

Wuchang District, Wuhan City 430072,

Hubei Province, P.R. China

Tel: 86 27 87639292

Fax: 86 27 87639269

E-mail: [email protected]

Website: http://www.cietac-hb.org

CIETAC Fujian Sub-Commission

(Fujian FTZ Arbitration Center)

Add: Unit 1602, 16F, Yango Times Square, 357 XiangBan Street,

Northern Minjiang CBD, Taijiang District, Fuzhou, Fujian,

P. R. C 350002

Tel: 86 591 87600275

Fax: 86 591 87600330

E-mail: [email protected]

Website: http://www.cietac-fj.org

CIETAC Jiangsu Arbitration Center

Add: 31/F Deji Mansion, No.188 Changjiang Road,

XuanWu District, Nanjing City 210018, P. R. China

Tel: 86 25 69515388

Fax: 86 25 69515390

E-mail: [email protected]

Website: http://www.cietac-js.org

CIETAC Silk Road Arbitration Center

Add: 22/F, Building 5, Digital China Industrial Park,

No.20 Zhangba Fourth Road, Hi-Tech Zone, Xi'an 710075,

Shaanxi Province, P. R. China

Tel: 86 29 81119935

Fax: 86 29 81118163

E-mail: [email protected]

Website: http://www.cietac.org

CIETAC Sichuan Sub-Commission

Add: 12/F, Business & Innovation Centre for China-Europe

Cooperation, No.1577 Tianfu Road Middle,

High-Tech Zone, Chengdu, Sichuan Province

CIETAC Shandong Sub-Commission

Add: No.301&304, Yinfeng Fortune Plaza B,

No.1 Long'ao West Road, Jinan City 250102,

Shandong Province, P. R. China

Tel: 86 531 81283380

Fax: 86 531 81283390

E-mail: [email protected]

Website: http://www.cietacsd.org.cn

CIETAC Hainan Arbitration Center

Add: Room 1306, 13F, Windows to Global Trade; 15A

Guoxing Avenue, Meilan District, Haikou, Hainan

Tel: 86 898 36388800 86 898 36388877

Fax: 86 898 36388877

CONTENTS

China International Economic and Trade Arbitration

Commission Arbitration Rules 5

State Council’ s Official Reply Concerning the

Renaming of the Foreign Economic and Trade

Arbitration Commission as the China International

Economic and Trade Arbitration Commission

and the Amendment of its Arbitration Rules 68

State Council’s Notice Concerning the Conversion

of the Foreign Trade Arbitration Commission into

the Foreign Economic and Trade Arbitration

Commission 69

Decision of the Government Administration

Council of the Central People’s Government

Concerning the Establishment of a Foreign

Trade Arbitration Commission within

the China Council for the Promotion of

International Trade

Arbitration Rules

China International Economic and Trade Arbitration

Commission (CIETAC) Arbitration Rules

Chapter I General Provisions

Article 1 The Arbitration Commission 5

Article 2 Structure and Duties 5

Article 3 Jurisdiction 6

Article 4 Scope of Application 7

Article 5 Arbitration Agreement 8

Article 6 Objection to Arbitration Agreement

and/or Jurisdiction 8

Article 7 Place of Arbitration 10

Article 8 Service of Documents and Periods of Time 10

Article 9 Good Faith 11

Article 10 Waiver of Right to Object 11

Chapter II Arbitral Proceedings

Section 1 Request for Arbitration, Defense and Counterclaim

Article 11 Commencement of Arbitration 11

Article 12 Application for Arbitration 12

Article 13 Acceptance of a Case 12

Article 14 Multiple Contracts 13

Article 15 Statement of Defense 13

Article 16 Counterclaim 14

Article 17 Amendment to Claim or Counterclaim 15

Article 18 Joinder of Additional Parties 16

Article 19 Consolidation of Arbitrations 17

Article 20 Submission and Exchange of

Arbitration Documents 18

Article 21 Copies of Arbitration Documents 19

Article 22 Representation 19

Article 23 Conservatory and Interim Measures 19

Section 2 Arbitrators and the Arbitral Tribunal

Article 24 Duties of Arbitrator 20

Article 25 Number of Arbitrators 20

Article 26 Nomination or Appointment of

Arbitrator 20

Article 27 Three-Arbitrator Tribunal 21

Article 28 Sole-Arbitrator Tribunal 22

Article 29 Multiple-Party Tribunal 22

Article 30 Considerations in Appointing Arbitrators 22

Article 31 Disclosure 23

Article 32 Challenge to Arbitrator 23

Article 33 Replacement of Arbitrator 24

Article 34 Continuation of Arbitration by Majority 25

Section 3 Hearing

Article 35 Conduct of Hearing 25

Article 36 Place of Oral Hearing 26

Article 37 Notice of Oral Hearing 26

Article 38 Confidentiality 27

Article 39 Default 27

Article 40 Record of Oral Hearing 28

Article 41 Evidence 28

Article 42 Examination of Evidence 29

Article 43 Investigation and Evidence Collection

by the Arbitral Tribunal 29

Article 44 Expert’s Report and Appraiser’s Report 30

Article 45 Suspension of the Arbitral Proceedings 30

Article 46 Withdrawal and Dismissal 31

Article 47 Combination of Conciliation with

Arbitration 31

Chapter III Arbitral Award

Article 48 Time Period for Rendering Award 33

Article 49 Making of Award 34

Article 50 Partial Award 35

Article 51 Scrutiny of Draft Award 35

Article 52 Allocation of Fees 36

Article 53 Correction of Award 36

Article 54 Additional Award 37

Article 55 Performance of Award 37

Chapter IV Summary Procedure

Article 56 Application 37

Article 57 Notice of Arbitration 38

Article 58 Formation of the Arbitral Tribunal 38

Article 59 Defense and Counterclaim 38

Article 60 Conduct of Hearing 39

Article 61 Notice of Oral Hearing 39

Article 62 Time Period for Rendering Award 39

Article 63 Change of Procedure 40

Article 64 Context Reference 40

Chapter V Special Provisions for Domestic Arbitration

Article 65 Application 40

Article 66 Acceptance of a Case 41

Article 67 Formation of the Arbitral Tribunal 41

Article 68 Defense and Counterclaim 41

Article 69 Notice of Oral Hearing 42

Article 70 Record of Oral Hearing 42

Article 71 Time Period for Rendering Award 43

Article 72 Context Reference 43

Chapter VI Special Provisions for Hong Kong Arbitration

Article 73 Application 43

Article 74 Place of Arbitration and Law Applicable

to the Arbitral Proceedings 44

Article 75 Decision on Jurisdiction 44

Article 76 Nomination or Appointment of

Arbitrator 44

Article 77 Interim Measures and Emergency Relief 44

Article 78 Seal on Award 45

Article 79 Arbitration Fees 45

Article 80 Context Reference 45

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Chapter VII Supplementary Provisions

Article 81 Language 45

Article 82 Arbitration Fees and Costs 46

Article 83 Interpretation 47

Article 84 Coming into Force 47

Appendix I:

Directory of China International Economic and

Trade Arbitration Commission and its

Sub-commissions/Arbitration Centers 48

Appendix II:

China International Economic and Trade Arbitration

Commission Arbitration Fee Schedules 52

Appendix III:

China International Economic and Trade Arbitration

Commission Emergency Arbitrator Procedures 61

Arbitration Rules

Chapter I General Provisions

Article 1 The Arbitration Commission

1. The China International Economic and Trade

Arbitration Commission (“CIETAC”), originally

named the Foreign Trade Arbitration Commission of

the China Council for the Promotion of International

Trade and later renamed the Foreign Economic and

Trade Arbitration Commission of the China Council

for the Promotion of International Trade, concurrently

uses as its name the “Arbitration Institute of the China

Chamber of International Commerce”.

2. Where an arbitration agreement provides for arbitration

by the China Council for the Promotion of International

Trade/China Chamber of International Commerce,

or by the Arbitration Commission or the Arbitration

Institute of the China Council for the Promotion of

International Trade/China Chamber of International

Commerce, or refers to CIETAC’s previous names,

it shall be deemed that the parties have agreed to

arbitration by CIETAC.

Article 2 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. CIETAC has an Arbitration Court (the “Arbitration

Court”), which performs its functions in accordance with

these Rules under the direction of the authorized Vice

Chairman and the President of the Arbitration Court.

3. CIETAC is based in Beijing. It has sub-commissions or

arbitration centers (Appendix I). The sub-commissions/

arbitration centers are CIETAC’s branches, which accept

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arbitration applications and administer arbitration cases

with CIETAC’s authorization.

4. A sub-commission/arbitration center has an arbitration

court, which performs the functions of the Arbitration

Court in accordance with these Rules under the

direction of the president of the arbitration court of the

sub-commission/arbitration center.

5. Where a case is administered by a sub-commission/

arbitration center, the functions and duties vested in the

President of the Arbitration Court under these Rules

may, by his/her authorization, be performed by the

president of the arbitration court of the relevant sub-

commission/arbitration center.

6. The parties may agree to submit their disputes to

CIETAC or a sub-commission/arbitration center of

CIETAC for arbitration. Where the parties have agreed

to arbitration by CIETAC, the Arbitration Court shall

accept the arbitration application and administer the

case. Where the parties have agreed to arbitration by a

sub-commission/arbitration center, the arbitration court

of the sub-commission/arbitration center agreed upon

by the parties shall accept the arbitration application

and administer the case. Where the sub-commission/

arbitration center agreed upon by the parties does not

exist or its authorization has been terminated, or where

the agreement is ambiguous, the Arbitration Court

shall accept the arbitration application and administer

the case. In the event of any dispute, a decision shall be

made by CIETAC.

Article 3 Jurisdiction

1. CIETAC accepts cases involving economic, trade and

other disputes of a contractual or non-contractual

nature, based on an agreement of the parties.

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2. The cases referred to in the preceding paragraph include:

(a) international or foreign-related disputes;

(b) disputes related to the Hong Kong Special Administrative

Region, the Macao Special Administrative Region and

the Taiwan region; and

Article 4 Scope of Application

1. These Rules uniformly apply to CIETAC and its sub-

commissions/arbitration centers.

2. Where the parties have agreed to refer their dispute to

CIETAC for arbitration, they shall be deemed to have

agreed to arbitration in accordance with these Rules.

3. Where the parties agree to refer their dispute to CIETAC

for arbitration 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 inoperative 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 their dispute to

arbitration under these Rules without providing the

name of the arbitration institution, they shall be deemed

to have agreed to refer the dispute to arbitration by

CIETAC.

5. Where the parties agree to refer their dispute to

arbitration under CIETAC’s customized arbitration rules

for a specific trade or profession, the parties’ agreement

shall prevail. However, if the dispute falls outside the

scope of the specific rules, these Rules shall apply.

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Article 5 Arbitration Agreement

1. An arbitration agreement means an arbitration clause

in a contract or any other form of a written agreement

concluded between the parties providing for the

settlement of disputes by arbitration.

2. The arbitration agreement shall be in writing. An

arbitration agreement is in writing if it is contained in

the tangible form of a document such as a contract,

letter, telegram, telex, fax, electronic data interchange,

or email. An arbitration agreement shall be deemed to

exist where its existence is asserted by one party and not

denied by the other during the exchange of the Request

for Arbitration and the Statement of Defense.

3. Where the law applicable to an arbitration agreement

has different provisions as to the form and validity of the

arbitration agreement, those provisions shall prevail.

4. An arbitration clause contained in a contract shall be

treated as a clause independent and separate from

all other clauses of the contract, and an arbitration

agreement attached to a contract shall also be treated

as independent and separate from all other clauses of

the contract. The validity of an arbitration clause or

an arbitration agreement shall not be affected by any

modification, cancellation, termination, transfer, expiry,

invalidity, ineffectiveness, rescission or non-existence of

the contract.

Article 6 Objection to Arbitration Agreement

and/or Jurisdiction

1. CIETAC has the power to determine the existence and

validity of an arbitration agreement and its jurisdiction

over an arbitration case. CIETAC may, where necessary,

delegate such power to the arbitral tribunal.

2. Where CIETAC is satisfied by prima facie evidence

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that a valid arbitration agreement exists, it may make a

decision based on such evidence that it has jurisdiction

over the arbitration case, and the arbitration shall

proceed. Such a decision shall not prevent CIETAC

from making a new decision on jurisdiction based on

facts and/or evidence found by the arbitral tribunal

during the arbitral proceedings that are inconsistent

with the prima facie evidence.

3. Where CIETAC has delegated the power to determine

jurisdiction to the arbitral tribunal, the arbitral tribunal

may either make a separate decision on jurisdiction

during the arbitral proceedings or incorporate the

decision in the final arbitral award.

4. Any objection to an arbitration agreement and/or the

jurisdiction over an arbitration case shall be raised in

writing before the first oral hearing held by the arbitral

tribunal. Where a case is to be decided on the basis of

documents only, such an objection shall be raised before

the submission of the first substantive defense.

5. The arbitration shall proceed notwithstanding

an objection to the arbitration agreement and/or

jurisdiction over the arbitration case.

6. The aforesaid objections to and/or decisions on jurisdiction

by CIETAC shall include objections to and/or decisions

on a party’s standing to participate in the arbitration.

7. CIETAC or its authorized arbitral tribunal shall decide

to dismiss the case upon finding that CIETAC has no

jurisdiction over an arbitration case. Where a case is

to be dismissed before the formation of the arbitral

tribunal, the decision shall be made by the President of

the Arbitration Court. Where the case is to be dismissed

after the formation of the arbitral tribunal, the decision

shall be made by the arbitral tribunal.

Arbitration Rules

Article 7 Place of Arbitration

1. Where the parties have agreed on the place of arbitration,

the parties’ agreement shall prevail.

2. Where the parties have not agreed on the place of

arbitration or their agreement is ambiguous, the place of

arbitration shall be the domicile of CIETAC or its sub-

commission/arbitration center administering the case.

CIETAC may also determine the place of arbitration to

be another location having regard to the circumstances

of the case.

3. The arbitral award shall be deemed as having been made

at the place of arbitration.

Article 8 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, or by any other

means considered proper by the Arbitration Court or

the arbitral tribunal.

2. The arbitration documents referred to in the preceding

Paragraph 1 shall be sent to the address provided by

the party itself or by 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 to a party or its

representative(s) shall be deemed to have been properly

served on the party 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 aforesaid addresses can be found, the arbitration

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correspondence is sent by the Arbitration Court 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 attempt at delivery, including but not limited

to service by public notary, entrustment or retention.

4. The periods of time specified in these Rules shall begin

on the day following the day when the party receives or

should have received the arbitration correspondence,

notices or written materials sent by the Arbitration Court.

Article 9 Good Faith

Arbitration participants shall proceed with the arbitration

in good faith.

Article 10 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 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.

Chapter II Arbitral Proceedings

Section 1 Request for Arbitration, Defense

and Counterclaim

Article 11 Commencement of Arbitration

The arbitral proceedings shall commence on the day

on which the Arbitration Court receives a Request for

Arbitration.

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Article 12 Application for Arbitration

A party applying for arbitration under these Rules shall:

1. Submit a Request for Arbitration in writing signed

and/or sealed by the Claimant or its authorized

representative(s), which shall, inter alia, include:

(a) the names and addresses of the Claimant and the

Respondent, including the zip code, telephone,

fax, email, or any other means of electronic

telecommunications;

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

in dispute;

(d) the claim of the Claimant; and

(e) the facts and grounds on which the claim is based.

2. Attach to the Request for Arbitration the relevant

documentary and other evidence on which the

Claimant’s claim is based.

3. Pay the arbitration fee in advance to CIETAC in

accordance with its Arbitration Fee Schedule.

Article 13 Acceptance of a Case

1. Upon the written application of a party, CIETAC

shall accept a case in accordance with an arbitration

agreement concluded between the parties either before

or after the occurrence of the dispute, in which it is

provided that disputes are to be referred to arbitration

by CIETAC.

2. Upon receipt of a Request for Arbitration and its

attachments, where after examination the Arbitration

Court finds the formalities required for arbitration

application to be complete, it shall send a Notice of

Arbitration to both parties together with one copy each

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of these Rules and CIETAC’s Panel of Arbitrators. The

Request for Arbitration and its attachments submitted

by the Claimant shall be sent to the Respondent under

the same cover.

3. Where after examination the Arbitration Court finds the

formalities required for the arbitration application to be

incomplete, it may request the Claimant to complete

them within a specified time period. The Claimant

shall be deemed not to have submitted a Request for

Arbitration if it fails to complete the required formalities

within the specified time period. In such a case, the

Claimant’s Request for Arbitration and its attachments

shall not be kept on file by the Arbitration Court.

4. After CIETAC accepts a case, the Arbitration Court shall

designate a case manager to assist with the procedural

administration of the case.

Article 14 Multiple Contracts

The Claimant may initiate a single arbitration concerning

disputes arising out of or in connection with multiple

contracts, provided that:

(a) such contracts consist of a principal contract and its

ancillary contract(s), or such contracts involve the same

parties as well as legal relationships of the same nature;

(b) the disputes arise out of the same transaction or the

same series of transactions; and

or compatible.

Article 15 Statement of Defense

1. The Respondent shall file a Statement of Defense in

writing within forty-five (45) days from the date of its

receipt of the Notice of Arbitration. If the Respondent

has justified reasons to request an extension of the

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time period, the arbitral tribunal shall decide whether

to grant an extension. Where the arbitral tribunal has

not yet been formed, the decision on whether to grant

the extension of the time period shall be made by the

Arbitration Court.

2. The Statement of Defense shall be signed and/or sealed

by the Respondent or its authorized representative(s),

and shall, inter alia, include the following contents and

attachments:

(a) the name and address of the Respondent, including the

zip code, telephone, fax, email, or any other means of

electronic telecommunications;

(b) the defense to the Request for Arbitration setting forth

the facts and grounds on which the defense is based;

and

the defense is based.

3. The arbitral tribunal has the power to decide whether

to accept a Statement of Defense submitted after the

expiration of the above time period.

4. Failure by the Respondent to file a Statement of Defense

shall not affect the conduct of the arbitral proceedings.

Article 16 Counterclaim

1. The Respondent shall file a counterclaim, if any, in

writing within forty-five (45) days from the date of its

receipt of the Notice of Arbitration. If the Respondent

has justified reasons to request an extension of the

time period, the arbitral tribunal shall decide whether

to grant an extension. Where the arbitral tribunal has

not yet been formed, the decision on whether to grant

the extension of the time period shall be made by the

Arbitration Court.

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2. When filing the counterclaim, the Respondent

shall specify the counterclaim in its Statement of

Counterclaim and state the facts and grounds on which

the counterclaim is based with the relevant documentary

and other evidence attached thereto.

3. When filing the counterclaim, the Respondent shall pay

an arbitration fee in advance in accordance with the

Arbitration Fee Schedule of CIETAC within a specified

time period, failing which the Respondent shall be

deemed not to have filed any counterclaim.

4. Where the formalities required for filing a counterclaim

are found to be complete, the Arbitration Court shall

send a Notice of Acceptance of Counterclaim to the

parties. The Claimant shall submit its Statement of

Defense in writing within thirty (30) days from the date

of its receipt of the Notice. If the Claimant has justified

reasons to request an extension of the time period, the

arbitral tribunal shall decide whether to grant such an

extension. Where the arbitral tribunal has not yet been

formed, the decision on whether to grant the extension

of the time period shall be made by the Arbitration

Court.

5. The arbitral tribunal has the power to decide whether

to accept a counterclaim or a Statement of Defense

submitted after the expiration of the above time period.

6. Failure of the Claimant to file a Statement of Defense

to the Respondent’s counterclaim shall not affect the

conduct of the arbitral proceedings.

Article 17 Amendment to Claim or Counterclaim

The Claimant may apply to amend its claim and the

Respondent may apply to amend its counterclaim.

However, the arbitral tribunal may refuse any such

amendment if it considers that the amendment is too late

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and may delay the arbitral proceedings.

Article 18 Joinder of Additional Parties

1. During the arbitral proceedings, a party wishing to

join an additional party to the arbitration may file

the Request for Joinder with CIETAC, based on the

arbitration agreement invoked in the arbitration that

prima facie binds the additional party. Where the

Request for Joinder is filed after the formation of the

arbitral tribunal, a decision shall be made by CIETAC

after the arbitral tribunal hears from all parties including

the additional party if the arbitral tribunal considers the

joinder necessary.

The date on which the Arbitration Court receives the

Request for Joinder shall be deemed to be the date of

the commencement of arbitration against the additional

party.

2. The Request for Joinder shall contain the case number of

the existing arbitration; the name, address and other

means of communication of each of the parties,

including the additional party; the arbitration agreement

invoked to join the additional party as well as the facts

and grounds the request relies upon; and the claim.

The relevant documentary and other evidence on which

the request is based shall be attached to the Request for

Joinder.

3. Where any party objects to the arbitration agreement

and/or jurisdiction over the arbitration with respect

to the joinder proceedings, CIETAC has the power

to decide on its jurisdiction based on the arbitration

agreement and relevant evidence.

4. After the joinder proceedings commence, the conduct of

the arbitral proceedings shall be decided by the Arbitration

Court if the arbitral tribunal is not formed, or shall be

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decided by the arbitral tribunal if it has been formed.

5. Where the joinder takes place prior to the formation of

the arbitral tribunal, the relevant provisions on party’s

nominating or entrusting of the Chairman of CIETAC

to appoint arbitrator under these Rules shall apply to the

additional party. The arbitral tribunal shall be formed in

accordance with Article 29 of these Rules.

Where the joinder takes place after the formation of the

arbitral tribunal, the arbitral tribunal shall hear from

the additional party of its comments on the past arbitral

proceedings including the formation of the arbitral

tribunal. If the additional party requests to nominate

or entrust the Chairman of CIETAC to appoint an

arbitrator, both parties shall nominate or entrust the

Chairman of CIETAC to appoint arbitrators again. The

arbitral tribunal shall be formed in accordance with

Article 29 of these Rules.

6. The relevant provisions on the submission of

the Statement of Defense and the Statement of

Counterclaim under these Rules shall apply to the

additional party. The time period for the additional

party to submit its Statement of Defense and Statement

of Counterclaim shall start counting from the date of its

receipt of the Notice of Joinder.

7. CIETAC shall have the power to decide not to join an

additional party where the additional party is prima facie

not bound by the arbitration agreement invoked in the

arbitration, or where any other circumstance exists that

makes the joinder inappropriate.

Article 19 Consolidation of Arbitrations

1. At the request of a party, CIETAC may consolidate two

or more arbitrations pending under these Rules into a

single arbitration if:

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(a) all of the claims in the arbitrations are made under the

same arbitration agreement;

(b) the claims in the arbitrations are made under multiple

arbitration agreements that are identical or compatible

and the arbitrations involve the same parties as well as

legal relationships of the same nature;

arbitration agreements that are identical or compatible

and the multiple contracts involved consist of a

principle contract and its ancillary contract(s); or

(d) all the parties to the arbitrations have agreed to

consolidation.

2. In deciding whether to consolidate the arbitrations in

accordance with the preceding Paragraph 1, CIETAC

shall take into account the opinions of all parties and

other relevant factors such as the correlation between the

arbitrations concerned, including the nomination and

appointment of arbitrators in the separate arbitrations.

3. Unless otherwise agreed by all the parties, the arbitrations

shall be consolidated into the arbitration that was first

commenced.

4. After the consolidation of arbitrations, the conduct

of the arbitral proceedings shall be decided by the

Arbitration Court if the arbitral tribunal is not formed,

or shall be decided by the arbitral tribunal if it has been

formed.

Article 20 Submission and Exchange of

Arbitration Documents

1. All arbitration documents from the parties shall be

submitted to the Arbitration Court.

2. All arbitration documents to be exchanged during the

arbitral proceedings shall be exchanged among the

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arbitral tribunal and the parties by the Arbitration Court

unless otherwise agreed by the parties and with the

consent of the arbitral tribunal or otherwise decided by

the arbitral tribunal.

Article 21 Copies of Arbitration Documents

When submitting the Request for Arbitration, the

Statement of Defense, the Statement of Counterclaim,

evidence, and other arbitration documents, the parties

shall make their submissions in quintuplicate. Where there

are multiple parties, additional copies shall be provided

accordingly. Where the party applies for preservation of

property or protection of evidence, it shall also provide

additional copies accordingly. Where the arbitral tribunal

is composed of a sole arbitrator, the number of copies

submitted may be reduced by two.

Article 22 Representation

A party may be represented by its authorized Chinese and/

or foreign representative(s) in handling matters relating to

the arbitration. In such a case, a Power of Attorney shall

be forwarded to the Arbitration Court by the party or its

authorized representative(s).

Article 23 Conservatory and Interim Measures

1. Where a party applies for conservatory measures

pursuant to the laws of the People’s Republic of China,

CIETAC shall forward the party’s application to the

competent court designated by that party in accordance

with the law.

2. In accordance with the applicable law or the agreement

of the parties, a party may apply to the Arbitration

Court for emergency relief pursuant to the CIETAC

Emergency Arbitrator Procedures (Appendix III). The

emergency arbitrator may decide to order or award

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necessary or appropriate emergency measures. The

decision of the emergency arbitrator shall be binding

upon both parties.

3. At the request of a party, the arbitral tribunal may

decide to order or award any interim measure it deems

necessary or proper in accordance with the applicable

law or the agreement of the parties and may require

the requesting party to provide appropriate security in

connection with the measure.

Section 2 Arbitrators and the Arbitral Tribunal

Article 24 Duties of Arbitrator

An arbitrator shall not represent either party, and shall

be and remain independent of the parties and treat them

equally.

Article 25 Number of Arbitrators

1. The arbitral tribunal shall be composed of one or three

arbitrators.

2. Unless otherwise agreed by the parties or provided by

these Rules, the arbitral tribunal shall be composed of

three arbitrators.

Article 26 Nomination or Appointment of

Arbitrator

1. CIETAC maintains a Panel of Arbitrators which

uniformly applies to itself and all its sub-commissions/

arbitration centers. The parties shall nominate arbitrators

from the Panel of Arbitrators provided by CIETAC.

2. Where the parties have agreed to nominate arbitrators

from outside CIETAC’s Panel of Arbitrators, an

arbitrator so nominated by the parties or nominated

according to the agreement of the parties may act as

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arbitrator subject to the confirmation by the Chairman

of CIETAC.

Article 27 Three-Arbitrator Tribunal

1. Within fifteen (15) days from the date of receipt of the

Notice of 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 fifteen (15) days from the date of the

Respondent’s receipt of the Notice of 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. The parties may each recommend one to five arbitrators

as candidates for the presiding arbitrator and shall

each submit a list of recommended candidates within

the time period specified in the preceding Paragraph

2. Where there is only one common candidate on the

lists, such candidate shall be the presiding arbitrator

jointly nominated by the parties. Where there is more

than one common candidate on the lists, the Chairman

of CIETAC shall choose the presiding arbitrator from

among the common candidates having regard to the

circumstances of the case, and he/she shall act as the

presiding arbitrator jointly nominated by the parties.

Where there is no common candidate on the lists, the

presiding arbitrator shall be appointed by the Chairman

of CIETAC.

4. Where the parties have failed to jointly nominate the

presiding arbitrator according to the above provisions,

the presiding arbitrator shall be appointed by the

Chairman of CIETAC.

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Article 28 Sole-Arbitrator Tribunal

Where the arbitral tribunal is composed of one arbitrator,

the sole arbitrator shall be nominated pursuant to the

procedures stipulated in Paragraphs 2, 3 and 4 of Article 27

of these Rules.

Article 29 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, following discussion, shall

each jointly nominate or jointly entrust the Chairman of

CIETAC to appoint one arbitrator.

2. The presiding arbitrator or the sole arbitrator shall be

nominated in accordance with the procedures stipulated

in Paragraphs 2, 3 and 4 of Article 27 of these Rules.

When making such nomination pursuant to Paragraph

3 of Article 27 of these Rules, the Claimant side and/

or the Respondent side, following discussion, shall each

submit a list of their jointly agreed candidates.

3. Where either the Claimant side or the Respondent side

fails to jointly nominate or jointly entrust the Chairman

of CIETAC to appoint one arbitrator within fifteen

(15) days from the date of its receipt of the Notice of

Arbitration, the Chairman of CIETAC shall appoint all

three members of the arbitral tribunal and designate one

of them to act as the presiding arbitrator.

Article 30 Considerations in Appointing Arbitrators

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, and

any other factor(s) the Chairman considers relevant.

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Article 31 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 disclosure of the arbitrator

shall be submitted to the Arbitration Court to be

forwarded to the parties.

Article 32 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 ten (10) days from the date of such receipt. If

a party fails to file a challenge within the above 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 an arbitrator may challenge that

arbitrator in writing and shall state the facts and reasons

on which the challenge is based with supporting

evidence.

3. A party may challenge an arbitrator in writing within

fifteen (15) days from the date it receives the Notice

of Formation of the Arbitral Tribunal. Where a party

becomes aware of a reason for a challenge after such

receipt, the party may challenge the arbitrator in writing

within fifteen (15) days after such reason has become

known to it, but no later than the conclusion of the last

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oral hearing.

4. The challenge by one party shall be promptly

communicated to the other party, the arbitrator being

challenged and the other members of the arbitral

tribunal.

5. 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.

6. In circumstances other than those specified in the

preceding Paragraph 5, the Chairman of CIETAC shall

make a final decision on the challenge with or without

stating the reasons.

7. 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.

Article 33 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. Such arbitrator may also

voluntarily withdraw from his/her office.

2. The Chairman of CIETAC shall make a final decision on

whether or not an arbitrator should be replaced with or

without stating the reasons.

3. In the event that an arbitrator is unable to fulfill his/her

functions due to challenge or replacement, a substitute

arbitrator shall be nominated or appointed within the

time period specified by the Arbitration Court according

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to the same procedure that applied to the nomination

or appointment of the arbitrator being challenged

or replaced. If a party fails to nominate or appoint a

substitute arbitrator accordingly, the substitute arbitrator

shall be appointed by the Chairman of CIETAC.

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 repeated.

Article 34 Continuation of Arbitration by Majority

After the conclusion of the last oral hearing, if an arbitrator

on a three-member tribunal 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, or for any other reason, the other two

arbitrators may request the Chairman of CIETAC to

replace that arbitrator pursuant to Article 33 of these Rules.

After consulting with the parties and upon the approval of

the Chairman of CIETAC, the other two arbitrators may

also continue the arbitral proceedings and make decisions,

rulings, or render the award. The Arbitration Court shall

notify the parties of the above circumstances.

Section 3 Hearing

Article 35 Conduct of Hearing

1. The arbitral tribunal shall examine the case in any way

it deems appropriate unless otherwise agreed by the

parties. Under all circumstances, the arbitral tribunal

shall act impartially and fairly and shall afford a

reasonable opportunity to both parties to present their

case.

2. The arbitral tribunal shall hold oral hearings when

examining the case. However, the arbitral tribunal may

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examine the case on the basis of documents only if the

parties so agree and the arbitral tribunal consents or the

arbitral tribunal deems that oral hearings are unnecessary

and the parties so agree.

3. Unless otherwise agreed by the parties, the arbitral

tribunal may adopt an inquisitorial or adversarial

approach in hearing the case having regard to the

circumstances of the case.

4. The arbitral tribunal may hold deliberations at any place

or in any manner that it considers appropriate.

5. Unless otherwise agreed by the parties, the arbitral

tribunal may, if it considers it necessary, issue

procedural orders or question lists, produce terms of

reference, or hold pre-hearing conferences, etc. With

the authorization of the other members of the arbitral

tribunal, the presiding arbitrator may decide on the

procedural arrangements for the arbitral proceedings at

his/her own discretion.

Article 36 Place of Oral Hearing

1. Where the parties have agreed on the place of an oral

hearing, the case shall be heard at that agreed place

except in the circumstances stipulated in Paragraph 3 of

Article 82 of these Rules.

2. Unless otherwise agreed by the parties, the place of oral

hearings shall be in Beijing for a case administered by

the Arbitration Court or at the domicile of the sub-

commission/arbitration center administering the case,

or if the arbitral tribunal considers it necessary and with

the approval of the President of the Arbitration Court,

at another location.

Article 37 Notice of Oral Hearing

1. Where a case is to be examined by way of an oral

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hearing, the parties shall be notified of the date of the

first oral hearing at least twenty (20) days in advance of

the oral hearing. A party having justified reasons may

request a postponement of the oral hearing. However,

the party shall communicate such request in writing to

the arbitral tribunal within five (5) days of its receipt of

the notice of the oral hearing. The arbitral tribunal shall

decide whether or not to postpone the oral hearing.

2. Where a party has justified reasons for its failure to

submit a request for a postponement of the oral hearing

in accordance with the preceding Paragraph 1, the

arbitral tribunal shall decide whether or not to accept

the request.

3. A notice of a subsequent oral hearing, a notice of

a postponed oral hearing, as well as a request for

postponement of such an oral hearing, shall not be

subject to the time periods specified in the preceding

Paragraph 1.

Article 38 Confidentiality

1. Hearings shall be held in camera. Where both parties

request an open hearing, the arbitral tribunal shall make

a decision.

2. For cases heard in camera, the parties and their

representatives, the arbitrators, the witnesses, the

interpreters, the experts consulted by the arbitral

tribunal, the appraisers appointed by the arbitral

tribunal and other relevant persons shall not disclose

to any outsider any substantive or procedural matters

relating to the case.

Article 39 Default

1. If the Claimant fails to appear at an oral hearing

without showing sufficient cause, or withdraws from

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an on-going oral hearing without the permission of

the arbitral tribunal, the Claimant may be deemed to

have withdrawn its application for arbitration. In such

a case, if the Respondent has filed a counterclaim, the

arbitral tribunal shall proceed with the hearing of the

counterclaim and make a default award.

2. If the Respondent fails to appear at an oral hearing

without showing sufficient cause, or withdraws from

an on-going oral hearing without the permission of

the arbitral tribunal, the arbitral tribunal may proceed

with the arbitration and make a default award. In such

a case, if the Respondent has filed a counterclaim, the

Respondent may be deemed to have withdrawn its

counterclaim.

Article 40 Record of Oral Hearing

1. The arbitral tribunal may arrange for a written and/or an

audio-visual record to be made of an oral hearing. The

arbitral tribunal may, if it considers it necessary, take

minutes of the oral hearing and request the parties and/

or their representatives, witnesses and/or other persons

involved to sign and/or affix their seals to the written

record or the minutes.

2. The written record, the minutes and the audio-visual

record of an oral hearing shall be available for use and

reference by the arbitral tribunal.

3. At the request of a party, the Arbitration Court may,

having regard to the specific circumstances of the

arbitration, decide to engage a stenographer to make a

stenographic record of an oral hearing, the cost of which

shall be advanced by the parties.

Article 41 Evidence

1. Each party shall bear the burden of proving the facts

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on which it relies to support its claim, defense or

counterclaim and provide the basis for its opinions,

arguments and counter-arguments.

2. The arbitral tribunal may specify a time period for the

parties to produce evidence and the parties shall produce

evidence within the specified time period. The arbitral

tribunal may refuse to admit any evidence produced

after that time period. If a party experiences difficulties

in producing evidence within the specified time period,

it may apply for an extension before the end of the

period. The arbitral tribunal shall decide whether or not

to extend the time period.

3. If a party bearing the burden of proof fails to produce

evidence within the specified time period, or if the

produced evidence is not sufficient to support its claim

or counterclaim, it shall bear the consequences thereof.

Article 42 Examination of Evidence

1. Where a case is examined by way of an oral hearing, the

evidence shall be produced at the oral hearing and may

be examined by the parties.

2. Where a case is to be decided on the basis of documents

only, or where the evidence is submitted after the

hearing and both parties have agreed to examine the

evidence by means of writing, the parties may examine

the evidence in writing. In such circumstances, the

parties shall submit their written opinions on the

evidence within the time period specified by the arbitral

tribunal.

Article 43 Investigation and Evidence Collection

by the Arbitral Tribunal

1. The arbitral tribunal may undertake investigation and

collect evidence as it considers necessary.

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2. When investigating and collecting evidence, the arbitral

tribunal may notify the parties to be present. In the

event that one or both parties fail to be present after

being notified, the investigation and collection of

evidence shall proceed without being affected.

3. Evidence collected by the arbitral tribunal through its

investigation shall be forwarded to the parties for their

comments.

Article 44 Expert’s Report and Appraiser’s Report

1. The arbitral tribunal may consult experts or appoint

appraisers for clarification on specific issues of the case.

Such an expert or appraiser may be a Chinese or foreign

institution or natural person.

2. The arbitral tribunal has the power to request the

parties, and the parties are also obliged, to deliver

or produce to the expert or appraiser any relevant

materials, documents, property, or physical objects for

examination, inspection or appraisal by the expert or

appraiser.

3. Copies of the expert’s report and the appraiser’s report

shall be forwarded to the parties for their comments. At

the request of either party and with the approval of the

arbitral tribunal, the expert or appraiser shall participate

in an oral hearing and give explanations on the report

when the arbitral tribunal considers it necessary.

Article 45 Suspension of the Arbitral Proceedings

1. Where the parties jointly or separately request a

suspension of the arbitral proceedings, or under

circumstances where such suspension is necessary, the

arbitral proceedings may be suspended.

2. The arbitral proceedings shall resume as soon as the

reason for the suspension disappears or the suspension

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period ends.

3. The arbitral tribunal shall decide whether to suspend

or resume the arbitral proceedings. Where the arbitral

tribunal has not yet been formed, the decision shall be

made by the President of the Arbitration Court.

Article 46 Withdrawal and Dismissal

1. A party may withdraw its claim or counterclaim in its

entirety. In the event that the Claimant withdraws its

claim in its entirety, the arbitral tribunal may proceed

with its examination of the counterclaim and render an

arbitral award thereon. In the event that the Respondent

withdraws its counterclaim in its entirety, the arbitral

tribunal may proceed with the examination of the claim

and render an arbitral award thereon.

2. A party may be deemed to have withdrawn its claim or

counterclaim if the arbitral proceedings cannot proceed

for reasons attributable to that party.

3. A case may be dismissed if the claim and counterclaim

have been withdrawn in their entirety. Where a case is

to be dismissed prior to the formation of the arbitral

tribunal, the President of the Arbitration Court shall

make a decision on the dismissal. Where a case is to be

dismissed after the formation of the arbitral tribunal, the

arbitral tribunal shall make the decision.

4. The seal of CIETAC shall be affixed to the Dismissal

Decision referred to in the preceding Paragraph 3 and

Paragraph 7 of Article 6 of these Rules.

Article 47 Combination of Conciliation with

Arbitration

1. Where both parties wish to conciliate, or where one

party wishes to conciliate and the other party’s consent

has been obtained by the arbitral tribunal, the arbitral

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tribunal may conciliate the dispute during the arbitral

proceedings. The parties may also settle their dispute by

themselves.

2. With the consents of both parties, the arbitral tribunal

may conciliate the case in a manner it considers

appropriate.

3. During the process of conciliation, the arbitral tribunal

shall terminate the conciliation proceedings if either

party so requests or if the arbitral tribunal considers that

further conciliation efforts will be futile.

4. The parties shall sign a settlement agreement where they

have reached settlement through conciliation by the

arbitral tribunal or by themselves.

5. Where the parties have reached a settlement agreement

through conciliation by the arbitral tribunal or

by themselves, they may withdraw their claim or

counterclaim, or request the arbitral tribunal to

render an arbitral award or a conciliation statement in

accordance with the terms of the settlement agreement.

6. Where the parties request for a conciliation statement,

the conciliation statement shall clearly set forth the

claims of the parties and the terms of the settlement

agreement. It shall be signed by the arbitrators, sealed by

CIETAC, and served upon both parties.

7. Where conciliation is not successful, the arbitral tribunal

shall resume the arbitral proceedings and render an

arbitral award.

8. Where the parties wish to conciliate their dispute but do

not wish to have conciliation conducted by the arbitral

tribunal, CIETAC may, with the consents of both

parties, assist the parties to conciliate the dispute in a

manner and procedure it considers appropriate.

9. Where conciliation is not successful, neither party may

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invoke any opinion, view or statement, and any proposal

or proposition expressing acceptance or opposition by

either party or by the arbitral tribunal in the process

of conciliation as grounds for any claim, defense or

counterclaim in the subsequent arbitral proceedings,

judicial proceedings, or any other proceedings.

10. Where the parties have reached a settlement agreement

by themselves through negotiation or conciliation

before the commencement of an arbitration, either

party may, based on an arbitration agreement concluded

between them that provides for arbitration by CIETAC

and the settlement agreement, request CIETAC to

constitute an arbitral tribunal to render an arbitral

award in accordance with the terms of the settlement

agreement. Unless otherwise agreed by the parties, the

Chairman of CIETAC shall appoint a sole arbitrator to

form such an arbitral tribunal, which shall examine the

case in a procedure it considers appropriate and render

an award in due course. The specific procedure and

time period for rendering the award shall not be subject

to other provisions of these Rules.

Chapter III Arbitral Award

Article 48 Time Period for Rendering Award

1. The arbitral tribunal shall render an arbitral award within

six (6) months from the date on which the arbitral

tribunal is formed.

2. Upon the request of the arbitral tribunal, the President

of the Arbitration Court may extend the time period if

he/she considers it truly necessary and the reasons for

the extension truly justified.

3. Any suspension period shall be excluded when

calculating the time period in the preceding Paragraph 1.

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Article 49 Making of Award

1. The arbitral tribunal shall independently and impartially

render a fair and reasonable arbitral award based on

the facts of the case and the terms of the contract,

in accordance with the law, and with reference to

international practices.

2. Where the parties have agreed on the law applicable to

the merits of their dispute, the parties’ agreement shall

prevail. In the absence of such an agreement or where

such agreement is in conflict with a mandatory provision

of the law, the arbitral tribunal shall determine the law

applicable to the merits of the dispute.

3. The arbitral tribunal shall state in the award the claims,

the facts of the dispute, the reasons on which the award

is based, the result of the award, the allocation of the

arbitration costs, and the date on which and the place

at which the award is made. The facts of the dispute

and the reasons on which the award is based may not

be stated in the award if the parties have so agreed, or

if the award is made in accordance with the terms of a

settlement agreement between the parties. The arbitral

tribunal has the power to fix in the award the specific

time period for the parties to perform the award and the

liabilities for failure to do so within the specified time

period.

4. The seal of CIETAC shall be affixed to the arbitral

award.

5. Where a case is examined by an arbitral tribunal

composed of three arbitrators, the award shall be

rendered by all three arbitrators or a majority of the

arbitrators. A written dissenting opinion shall be kept

with the file and may be appended to the award. Such

dissenting opinion shall not form a part of the award.

6. Where the arbitral tribunal cannot reach a majority

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opinion, the arbitral award shall be rendered in

accordance with the presiding arbitrator’s opinion. The

written opinions of the other arbitrators shall be kept

with the file and may be appended to the award. Such

written opinions shall not form a part of the award.

7. Unless the arbitral award is made in accordance with the

opinion of the presiding arbitrator or the sole arbitrator

and signed by the same, the arbitral award shall be

signed by a majority of the arbitrators. An arbitrator

who has a dissenting opinion may or may not sign his/

her name on the award.

8. The date on which the award is made shall be the date

on which the award comes into legal effect.

9. The arbitral award is final and binding upon both

parties. Neither party may bring a lawsuit before a court

or make a request to any other organization for revision

of the award.

Article 50 Partial Award

1. Where the arbitral tribunal considers it necessary, or

where a party so requests and the arbitral tribunal agrees,

the arbitral tribunal may first render a partial award on

any part of the claim before rendering the final award. A

partial award is final and binding upon both parties.

2. Failure of either party to perform a partial award shall

neither affect the arbitral proceedings nor prevent the

arbitral tribunal from making the final award.

Article 51 Scrutiny of Draft Award

The arbitral tribunal shall submit its draft award to

CIETAC for scrutiny before signing the award. CIETAC

may bring to the attention of the arbitral tribunal issues

addressed in the award on the condition that the arbitral

tribunal’s independence in rendering the award is not

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affected.

Article 52 Allocation of Fees

1. The arbitral tribunal has the power to determine in the

arbitral award the arbitration fees and other expenses to

be paid by the parties to CIETAC.

2. The arbitral tribunal has the power to decide in the

arbitral award, having regard to the circumstances of

the case, that the losing party shall compensate the

winning party for the expenses reasonably incurred

by it in pursuing the case. In deciding whether or not

the winning party’s expenses incurred in pursuing the

case are reasonable, the arbitral tribunal shall take into

consideration various factors such as the outcome and

complexity of the case, the workload of the winning

party and/or its representative(s), the amount in dispute,

etc.

Article 53 Correction of Award

1. Within a reasonable time after the award is made,

the arbitral tribunal may, on its own initiative, make

corrections in writing of any clerical, typographical

or calculation errors, or any errors of a similar nature

contained in the award.

2. Within thirty (30) days from its receipt of the arbitral

award, either party may request the arbitral tribunal in

writing for a correction of any clerical, typographical

or calculation errors, or any errors of a similar nature

contained in the award. If such an error does exist in the

award, the arbitral tribunal shall make the correction

in writing within thirty (30) days of its receipt of the

written request for the correction.

3. The above written correction shall form a part of the

arbitral award and shall be subject to the provisions in

Paragraphs 4 to 9 of Article 49 of these Rules.

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Article 54 Additional Award

1. Where any matter which should have been decided

by the arbitral tribunal was omitted from the arbitral

award, the arbitral tribunal may, on its own initiative,

make an additional award within a reasonable time after

the award is made.

2. Either party may, within thirty (30) days from its receipt

of the arbitral award, request the arbitral tribunal

in writing for an additional award on any claim or

counterclaim which was advanced in the arbitral

proceedings but was omitted from the award. If such an

omission does exist, the arbitral tribunal shall make an

additional award within thirty (30) days of its receipt of

the written request.

3. Such additional award shall form a part of the arbitral

award and shall be subject to the provisions in

Paragraphs 4 to 9 of Article 49 of these Rules.

Article 55 Performance of Award

1. The parties shall perform the arbitral award within the

time period specified in the award. If no time period

is specified in the award, the parties shall perform the

award immediately.

2. Where one party fails to perform the award, the other

party may apply to a competent court for enforcement

of the award in accordance with the law.

Chapter IV Summary Procedure

Article 56 Application

1. The Summary Procedure shall apply to any case where

the amount in dispute does not exceed RMB 5,000,000

unless otherwise agreed by the parties; or where the

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amount in dispute exceeds RMB 5,000,000, yet one

party applies for arbitration under the Summary

Procedure and the other party agrees in writing; or

where both parties have agreed to apply the Summary

Procedure.

2. Where there is no monetary claim or the amount in

dispute is not clear, CIETAC shall determine whether

or not to apply the Summary Procedure after full

consideration of relevant factors, including but not

limited to the complexity of the case and the interests

involved.

Article 57 Notice of Arbitration

Where after examination the Claimant’s arbitration

application is accepted for arbitration under the Summary

Procedure, the Arbitration Court shall send a Notice of

Arbitration to both parties.

Article 58 Formation of the Arbitral Tribunal

Unless otherwise agreed by the parties, a sole-arbitrator

tribunal shall be formed in accordance with Article 28 of

these Rules to hear a case under the Summary Procedure.

Article 59 Defense and Counterclaim

1. The Respondent shall submit its Statement of Defense,

evidence and other supporting documents within twenty

(20) days of its receipt of the Notice of Arbitration.

Counterclaim, if any, shall also be filed with evidence

and supporting documents within such time period.

2. The Claimant shall file its Statement of Defense to the

Respondent’s counterclaim within twenty (20) days of

its receipt of the counterclaim and its attachments.

3. If a party has justified reasons to request an extension

of the time period, the arbitral tribunal shall decide

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whether to grant such extension. Where the arbitral

tribunal has not yet been formed, such decision shall be

made by the Arbitration Court.

Article 60 Conduct of Hearing

The arbitral tribunal may examine the case in the manner

it considers appropriate. The arbitral tribunal may decide

whether to examine the case solely on the basis of the

written materials and evidence submitted by the parties or

to hold an oral hearing after hearing from the parties of

their opinions.

Article 61 Notice of Oral Hearing

1. For a case examined by way of an oral hearing, after the

arbitral tribunal has fixed a date for the first oral hearing,

the parties shall be notified of the date at least fifteen

(15) days in advance of the oral hearing. A party having

justified reasons may request a postponement of the oral

hearing. However, the party shall communicate such

request in writing to the arbitral tribunal within three (3)

days of its receipt of the notice of the oral hearing. The

arbitral tribunal shall decide whether or not to postpone

the oral hearing.

2. If a party has justified reasons for failure to submit

a request for a postponement of the oral hearing in

accordance with the preceding Paragraph 1, the arbitral

tribunal shall decide whether to accept such a request.

3. A notice of a subsequent oral hearing, a notice of

a postponed oral hearing, as well as a request for

postponement of such oral hearing, shall not be subject to

the time periods specified in the preceding Paragraph 1.

Article 62 Time Period for Rendering Award

1. The arbitral tribunal shall render an arbitral award within

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three (3) months from the date on which the arbitral

tribunal is formed.

2. Upon the request of the arbitral tribunal, the President

of the Arbitration Court may extend the time period if

he/she considers it truly necessary and the reasons for

the extension truly justified.

3. Any suspension period shall be excluded when

calculating the time period in the preceding Paragraph 1.

Article 63 Change of Procedure

The Summary Procedure shall not be affected by any

amendment to the claim or by the filing of a counterclaim.

Where the amount in dispute of the amended claim or that

of the counterclaim exceeds RMB 5,000,000, the Summary

Procedure shall continue to apply unless the parties agree

or the arbitral tribunal decides that a change to the general

procedure is necessary.

Article 64 Context Reference

The relevant provisions in the other Chapters of these Rules

shall apply to matters not covered in this Chapter.

Chapter V Special Provisions for

Domestic Arbitration

Article 65 Application

1. The provisions of this Chapter shall apply to domestic

arbitration cases.

2. The provisions of the Summary Procedure in Chapter IV

shall apply if a domestic arbitration case falls within the

scope of Article 56 of these Rules.

Arbitration Rules

Article 66 Acceptance of a Case

1. Upon receipt of a Request for Arbitration, where

the Arbitration Court finds the Request to meet the

requirements specified in Article 12 of these Rules, the

Arbitration Court shall notify the parties accordingly

within five (5) days from its receipt of the Request.

Where a Request for Arbitration is found not to be

in conformity with the requirements, the Arbitration

Court shall notify the party in writing of its refusal of

acceptance with reasons stated.

2. Upon receipt of a Request for Arbitration, where after

examination, the Arbitration Court finds the Request

not to be in conformity with the formality requirements

specified in Article 12 of these Rules, it may request the

Claimant to comply with the requirements within a

specified time period.

Article 67 Formation of the Arbitral Tribunal

The arbitral tribunal shall be formed in accordance with

the provisions of Articles 25, 26, 27, 28, 29 and 30 of these

Rules.

Article 68 Defense and Counterclaim

1. Within twenty (20) days from the date of its receipt of

the Notice of Arbitration, the Respondent shall submit

its Statement of Defense, evidence and other supporting

documents. Counterclaim, if any, shall also be filed with

evidence and other supporting documents within the

time period.

2. The Claimant shall file its Statement of Defense to the

Respondent’s counterclaim within twenty (20) days

from the date of its receipt of the counterclaim and its

attachments.

3. If a party has justified reasons to request an extension

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of the time period, the arbitral tribunal shall decide

whether to grant such extension. Where the arbitral

tribunal has not yet been formed, such decision shall be

made by the Arbitration Court.

Article 69 Notice of Oral Hearing

1. For a case examined by way of an oral hearing, after the

arbitral tribunal has fixed a date for the first oral hearing,

the parties shall be notified of the date at least fifteen

(15) days in advance of the oral hearing. A party having

justified reason may request a postponement of the oral

hearing. However, the party shall communicate such

request in writing to the arbitral tribunal within three (3)

days of its receipt of the notice of the oral hearing. The

arbitral tribunal shall decide whether or not to postpone

the oral hearing.

2. If a party has justified reasons for failure to submit

a request for a postponement of the oral hearing in

accordance with the preceding Paragraph 1, the arbitral

tribunal shall decide whether to accept such a request.

3. A notice of a subsequent oral hearing, a notice of

a postponed oral hearing, as well as a request for

postponement of such oral hearing, shall not be subject

to the time periods specified in the preceding Paragraph

Article 70 Record of Oral Hearing

1. The arbitral tribunal shall make a written record of the

oral hearing. Any party or participant in the arbitration

may apply for a correction upon finding any omission

or mistake in the record regarding its own statements. If

the application is refused by the arbitral tribunal, it shall

nevertheless be recorded and kept with the file.

2. The written record shall be signed or sealed by the

arbitrator(s), the recorder, the parties, and any other

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participant in the arbitration.

Article 71 Time Period for Rendering Award

1. The arbitral tribunal shall render an arbitral award within

four (4) months from the date on which the arbitral

tribunal is formed.

2. Upon the request of the arbitral tribunal, the President

of the Arbitration Court may extend the time period if

he/she considers it truly necessary and the reasons for

the extension truly justified.

3. Any suspension period shall be excluded when

calculating the time period in the preceding Paragraph 1.

Article 72 Context Reference

The relevant provisions in the other Chapters of these

Rules, with the exception of Chapter VI, shall apply to

matters not covered in this Chapter.

Chapter VI Special Provisions for

Hong Kong Arbitration

Article 73 Application

1. CIETAC has established the CIETAC Hong Kong

Arbitration Center in the Hong Kong Special

Administrative Region. The provisions of this

Chapter shall apply to arbitration cases accepted and

administered by the CIETAC Hong Kong Arbitration

Center.

2. Where the parties have agreed to submit their disputes

to the CIETAC Hong Kong Arbitration Center for

arbitration or to CIETAC for arbitration in Hong Kong,

the CIETAC Hong Kong Arbitration Center shall

accept the arbitration application and administer the

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case.

Article 74 Place of Arbitration and Law Applicable

to the Arbitral Proceedings

Unless otherwise agreed by the parties, for an arbitration

administered by the CIETAC Hong Kong Arbitration

Center, the place of arbitration shall be Hong Kong, the

law applicable to the arbitral proceedings shall be the

arbitration law of Hong Kong, and the arbitral award shall

be a Hong Kong award.

Article 75 Decision on Jurisdiction

Any objection to an arbitration agreement and/or the

jurisdiction over an arbitration case shall be raised in

writing no later than the submission of the first substantive

defense.

The arbitral tribunal has the power to determine the

existence and validity of the arbitration agreement and its

jurisdiction over the arbitration case.

Article 76 Nomination or Appointment of

Arbitrator

The CIETAC Panel of Arbitrators in effect shall be

recommended in arbitration cases administered by the

CIETAC Hong Kong Arbitration Center. The parties may

nominate arbitrators from outside the CIETAC’s Panel of

Arbitrators. An arbitrator so nominated shall be subject to

the confirmation of the Chairman of CIETAC.

Article 77 Interim Measures and Emergency Relief

1. Unless otherwise agreed by the parties, the arbitral

tribunal has the power to order appropriate interim

measures at the request of a party.

2. Where the arbitral tribunal has not yet been formed, a

party may apply for emergency relief pursuant to the

Arbitration Rules

CIETAC Emergency Arbitrator Procedures (Appendix

III).

Article 78 Seal on Award

The seal of the CIETAC Hong Kong Arbitration Center

shall be affixed to the arbitral award.

Article 79 Arbitration Fees

The CIETAC Arbitration Fee Schedule III (Appendix

II) shall apply to the arbitration cases accepted and

administered in accordance with this Chapter.

Article 80 Context Reference

The relevant provisions in the other Chapters of these

Rules, with the exception of Chapter V, shall apply to

matters not covered in this Chapter.

Chapter VII Supplementary Provisions

Article 81 Language

1. Where the parties have agreed on the language of

arbitration, their agreement shall prevail. In the absence

of such agreement, the language of arbitration to be used

in the proceedings shall be Chinese. CIETAC may also

designate another language as the language of arbitration

having regard to the circumstances of the case.

2. If a party or its representative(s) or witness(es) requires

interpretation at an oral hearing, an interpreter may be

provided either by the Arbitration Court or by the party.

3. The arbitral tribunal or the Arbitration Court may, if

it considers it necessary, require the parties to submit

a corresponding translation of their documents and

evidence into Chinese or other languages.

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Article 82 Arbitration Fees and Costs

1. Apart from the arbitration fees charged in accordance

with its Arbitration Fee Schedule, CIETAC may charge

the parties for any other additional and reasonable

actual costs, including but not limited to arbitrators’

special remuneration, their travel and accommodation

expenses incurred in dealing with the case, engagement

fees of stenographers, as well as the costs and expenses

of experts, appraisers or interpreters appointed by the

arbitral tribunal. The Arbitration Court shall, after

hearing from the arbitrator and the party concerned,

determine the arbitrator’s special remuneration with

reference to the standards of arbitrators’ fees and

expenses set forth in the CIETAC Arbitration Fee

Schedule III (Appendix II).

2. Where a party has nominated an arbitrator but fails to

advance a deposit for such actual costs as the special

remuneration, travel and accommodation expenses

of the nominated arbitrator within the time period

specified by CIETAC, the party shall be deemed not to

have nominated the arbitrator.

3. Where the parties have agreed to hold an oral hearing

at a place other than the domicile of CIETAC or its

relevant sub-commission/arbitration center, they shall

advance a deposit for the actual costs such as travel and

accommodation expenses incurred thereby. In the event

that the parties fail to do so within the time period

specified by CIETAC, the oral hearing shall be held at

the domicile of CIETAC or its relevant sub-commission/

arbitration center.

4. Where the parties have agreed to use two or more than

two languages as the languages of arbitration, or where

the parties have agreed on a three-arbitrator tribunal

in a case where the Summary Procedure shall apply in

accordance with Article 56 of these Rules, CIETAC

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may charge the parties for any additional and reasonable

costs.

Article 83 Interpretation

1. The headings of the articles in these Rules shall not

be construed as interpretations of the contents of the

provisions contained therein.

2. These Rules shall be interpreted by CIETAC.

Article 84 Coming into Force

These Rules shall be effective as of January 1, 2015. For

cases administered by CIETAC or its sub-commissions/

arbitration centers before these Rules come into force, the

Arbitration Rules effective at the time of acceptance shall

apply, or where both parties agree, these Rules shall apply.

Arbitration Rules

Appendix I

Directory of China International Economic

and Trade Arbitration Commission and its

Sub-commissions/Arbitration Centers

China International Economic and Trade

Arbitration Commission (CIETAC)

Add: 6/F, CCOIC Building, No.2 Huapichang Hutong,

Xicheng District, Beijing 100035, P.R. China

Tel: 86 10 82217788

Fax: 86 10 82217766/64643500

E-mail: [email protected]

Website: http://www.cietac.org

CIETAC South China Sub-Commission

Add: 14A01, Anlian Plaza, No.4018, Jintian Road, Futian

District, Shenzhen City 518026,

Guangdong Province, P.R. China

Tel: 86 755 82796739

Fax: 86 755 23964130

E-mail: [email protected]

Website: http://www.cietac-sc.org

CIETAC Shanghai Sub-Commission

Add: 16F, Century Link Tower 1, No. 1198, Century Avenue,

Pudong New Area, Shanghai, P.R. China

Tel: 86 21 60137688

Fax: 86 21 60137689

E-Mail: [email protected]

Website: http://www.cietacshanghai.org

Arbitration Rules

CIETAC Tianjin Sub-Commission

(CIETAC Tianjin International Economic and

Financial Arbitration Center)

Add: 1803/1804, 18F, Wanhai Building, Tianjin Wanda Center,

the Intersection of Six weft Road and No.8 Dazhigu Road,

Hedong District, Tianjin 300170, P.R. China

Tel: 86 22 66285688

Fax: 86 22 66285678

E-mail: [email protected]

Website: http://www.cietac-tj.org

CIETAC Southwest Sub-Commission

Add: 15F, NO.1 Lifan Center, Juxianyan Plaza, Jiangbeizui,

Chongqing, 400024, P.R. China

Tel: 86 23 67860011

Fax: 86 23 67860022

E-mail: [email protected]

Website: http://www.cietac-sw.org

CIETAC Hong Kong Arbitration Center

Add: Room 503, 5/F, West Wing, Justice Place,

11 Ice House Street, Central, Hong Kong

Tel: 852 25298066

Fax: 852 25298266

E-mail: [email protected]

Website: http://www.cietachk.org

CIETAC Zhejiang Sub-Commission

Add: 10/F, Second light Industry Building A, Yan'an Road,

Hangzhou City 310006, Zhejiang Province,

P.R. China

Tel: 86 571 28169009

Fax: 86 571 28169010

E-mail: [email protected]

Website: http://www.cietac-zj.org

Arbitration Rules

CIETAC Hubei Sub-Commission

Add: Floor11, Building B, Hubei Technology Innovation

Towers, East Road Xiaohongshan34,

Wuchang District, Wuhan City 430072,

Hubei Province, P.R. China

Tel: 86 27 87639292

Fax: 86 27 87639269

E-mail: [email protected]

Website: http://www.cietac-hb.org

CIETAC Fujian Sub-Commission

(Fujian FTZ Arbitration Center)

Add: Unit 1602, 16F, Yango Times Square, 357 XiangBan Street,

Northern Minjiang CBD, Taijiang District, Fuzhou, Fujian,

P. R. C 350002

Tel: 86 591 87600275

Fax: 86 591 87600330

E-mail: [email protected]

Website: http://www.cietac-fj.org

CIETAC Jiangsu Arbitration Center

Add: 31/F Deji Mansion, No.188 Changjiang Road,

XuanWu District, Nanjing City 210018, P. R. China

Tel: 86 25 69515388

Fax: 86 25 69515390

E-mail: [email protected]

Website: http://www.cietac-js.org

CIETAC Silk Road Arbitration Center

Add: 22/F, Building 5, Digital China Industrial Park,

No.20 Zhangba Fourth Road, Hi-Tech Zone, Xi'an 710075,

Shaanxi Province, P. R. China

Tel: 86 29 81119935

Fax: 86 29 81118163

E-mail: [email protected]

Website: http://www.cietac.org

Arbitration Rules

CIETAC Sichuan Sub-Commission

Add: 12/F, Business & Innovation Centre for China-Europe

Cooperation, No.1577 Tianfu Road Middle,

High-Tech Zone, Chengdu, Sichuan Province

CIETAC Shandong Sub-Commission

Add: No.301&304, Yinfeng Fortune Plaza B,

No.1 Long'ao West Road, Jinan City 250102,

Shandong Province, P. R. China

Tel: 86 531 81283380

Fax: 86 531 81283390

E-mail: [email protected]

Website: http://www.cietacsd.org.cn

CIETAC Hainan Arbitration Center

Add: Room 1306, 13F, Windows to Global Trade; 15A

Guoxing Avenue, Meilan District, Haikou, Hainan

Tel: 86 898 36388800 86 898 36388877

Fax: 86 898 36388877

Arbitration Rules

Appendix II

China International Economic and Trade

Arbitration Commission

Arbitration Fee Schedule I

(This fee schedule applies to arbitration cases accepted under Item

(a) and (b), Paragraph 2 of Article 3 of the Arbitration Rules)

Amount in Dispute (RMB) Arbitration Fee (RMB)

Up to 1,000,000 4% of the amount, minimum 10,000

From 1,000,001 to

2,000,000

40,000 + 3.5% of the amount over

1,000,000

From 2,000,001 to

5,000,000

75,000 + 2.5% of the amount over

2,000,000

From 5,000,001 to

10,000,000

150,000 + 1.5% of the amount over

5,000,000

From 10,000,001 to

50,000,000

225,000 + 1% of the amount over

10,000,000

From 50,000,001 to

100,000,000

625,000 + 0.5% of the amount over

50,000,000

From 100,000,001 to

500,000,000

875,000 + 0.48% of the amount over

100,000,000

From 500,000,001to

1,000,000,000

2,795,000 + 0.47% of the amount

over 500,000,000

From 1,000,000,001 to

2,000,000,000

5,145,000 + 0.46% of the amount

over 1,000,000,000

Over 2,000,000,001

9,745,000 + 0.45% of the amount

over 2,000,000,000, maximum

15,000,000

Arbitration Rules

When a case is accepted, an additional amount of RMB 10,000

shall be charged as the registration fee, which shall include the

expenses for examining the application for arbitration, initiating

the arbitral proceedings, computerizing management and filing

documents.

The amount in dispute referred to in this Schedule shall be based

on the sum of money claimed by the Claimant. If the amount

claimed is different from the actual amount in dispute, the actual

amount in dispute shall be the basis for calculation.

Where the amount in dispute is not ascertained at the time of

applying for arbitration, or where special circumstances exist, the

amount of the arbitration fee shall be determined by CIETAC.

Where the arbitration fee is to be charged in a foreign currency,

the amount in the foreign currency shall be equivalent to the

corresponding amount in RMB as specified in this Schedule.

Apart from charging the arbitration fee according to this Schedule,

CIETAC may also collect other additional and reasonable actual

expenses pursuant to the relevant provisions of the Arbitration

Rules.

Arbitration Rules

China International Economic and Trade Arbitration

Commission Arbitration Fee Schedule II

(This fee schedule applies to arbitration cases accepted under Item

(c), Paragraph 2 of Article 3 of the Arbitration Rules)

I. Registration Fee

Amount in Dispute (RMB) Registration Fee (RMB)

Up to 1,000 Minimum 100

From 1,001 to 50,000

100 + 5%

of the amount over 1,000

From 50,001 to 100,000

2,550 + 4%

of the amount over 50,000

From 100,001 to 200,000

4,550 + 3%

of the amount over 100,000

From 200,001 to 500,000

7,550 + 2%

of the amount over 200,000

From 500,001 to 1,000,000

13,550 + 1%

of the amount over 500,000

Over 1,000,001

18,550 + 0.5%

of the amount over 1,000,000

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II. Handling Fee

Amount in Dispute (RMB) Handling Fee (RMB)

Up to 200,000 Minimum 6,000

From 200,001 to

500,000

6,000 + 2%

of the amount over 200,000

From 500,001 to

1,000,000

12,000 + 1.5%

of the amount over 500,000

From 1,000,001 to

2,000,000

19,500 + 0.5%

of the amount over 1,000,000

From 2,000,001 to

5,000,000

24,500 + 0.45%

of the amount over 2,000,000

From 5,000,001 to

10,000,000

38,000 + 0.4%

of the amount over 5,000,000

From 10,000,001 to

20,000,000

58,000 + 0.3%

of the amount over 10,000,000

From 20,000,001 to

40,000,000

88,000 + 0.2%

of the amount over 20,000,000

From 40,000,001 to

100,000,000

128,000 + 0.15%

of the amount over 40,000,000

From 100,000,001 to

500,000,000

218,000 + 0.13%

of the amount over 100,000,000

Over 500,000,001

738,000 + 0.12%

of the amount over 500,000,000

The amount in dispute referred to in this Schedule shall be based

on the sum of money claimed by the Claimant. If the amount

claimed is different from the actual amount in dispute, the actual

amount in dispute shall be the basis for calculation.

Where the amount in dispute is not ascertained at the time of

applying for arbitration, or where special circumstances exist,

the amount of the arbitration fee deposit shall be determined

by CIETAC in consideration of the specific rights and interests

involved in the dispute.

Apart from charging the arbitration fee according to this Schedule,

CIETAC may also collect other additional and reasonable actual

expenses pursuant to the relevant provisions of the Arbitration Rules.

Arbitration Rules

China International Economic and Trade Arbitration

Commission Arbitration Fee Schedule III

(This fee schedule applies to arbitration cases administered by the

CIETAC Hong Kong Arbitration Center under Chapter VI of the

Arbitration Rules)

I. Registration Fee

When submitting a Request for Arbitration to the CIETAC Hong

Kong Arbitration Center, the Claimant shall pay a registration fee

of HKD 8,000, which shall include the expenses for examining

the application for arbitration, initiating the arbitral proceedings,

computerizing management, filing documents and labor costs.

The registration fee is not refundable.

II. Administrative Fee

1. Administrative Fee Table

Amount in Dispute (HKD) Administrative Fee (HKD)

Up to 500,000 16,000

From 500,001 to 1,000,000

16,000 + 0.78%

of the amount over 500,000

From 1,000,001 to 5,000,000

19,900 + 0.65%

of the amount over 1,000,000

From 5,000,001 to 10,000,000

45,900 + 0.38%

of the amount over 5,000,000

From 10,000,001 to 20,000,000

64,900 + 0.22%

of the amount over 10,000,000

From 20,000,001 to 40,000,000

86,900 + 0.15%

of the amount over 20,000,000

From 40,000,001 to 80,000,000

116,900 + 0.08%

of the amount over 40,000,000

From 80,000,001 to 200,000,000

148,900 + 0.052%

of the amount over 80,000,000

From 200,000,001 to

400,000,000

211,300 + 0.04%

of the amount over 200,000,000

Over 400,000,001 291,300

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2. The administrative fee includes the remuneration of the case

manager and the costs of using oral hearing rooms of CIETAC

and/or its sub-commissions/arbitration centers.

3. Claims and counterclaims are aggregated for the determination

of the amount in dispute. Where the amount in dispute is not

ascertained at the time of applying for arbitration, or where

special circumstances exist, the amount of the administrative

fee shall be determined by CIETAC taking into account the

circumstances of the case.

4. Apart from charging the administrative fee according to this

Table, the CIETAC Hong Kong Arbitration Center may

also collect other additional and reasonable actual expenses

pursuant to the relevant provisions of the Arbitration Rules,

including but not limited to translation fees, written record

fees, and the costs of using oral hearing rooms other than those

of CIETAC and/or its sub-commissions/arbitration centers.

5. Where the registration fee and the administrative fee are to be

charged in a currency other than HKD, the CIETAC Hong

Kong Arbitration Center shall charge an amount of the foreign

currency equivalent to the corresponding amount in HKD as

specified in this Table.

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III. Arbitrator’s Fees and Expenses

A. Arbitrator’s Fees and Expenses

(Based on the Amount in Dispute)

1. Arbitrator’s Fees Table

Amount in

Dispute

(HKD)

Arbitrator’s Fees (HKD, per arbitrator)

Minimum Maximum

Up to 500,000 15,000 60,000

From 500,001 to

1,000,000

15,000 + 2.30%

of the amount over

500,000

60,000 + 8.50%

of the amount over

500 ,000

From 1,000,001 to

5,000,000

26,500 + 0.80%

of the amount over

1,000,000

102,500 + 4.3%

of the amount over

1,000,000

From 5,000,001 to

10,000,000

58,500 + 0.60%

of the amount over

5,000,000

274,500 + 2.30%

of the amount over

5,000,000

From 10,000,001 to

20,000,000

88,500 + 0.35%

of the amount over

10,000,000

389,500 + 1.00%

of the amount over

10,000,000

From 20,000,001 to

40,000,000

123,500 + 0.20%

of the amount over

20,000,000

489,500 + 0.65%

of the amount over

20,000,000

From 40,000,001 to

80,000,000

163,500 + 0.07%

of the amount over

40,000,000

619,500 + 0.35%

of the amount over

40,000,000

From 80,000,001 to

200,000,000

191,500 + 0.05%

of the amount over

80,000,000

759,500 + 0.25%

of the amount over

80,000,000

From 200,000,001 to

400,000,000

251,500 + 0.03%

of the amount over

200,000,000

1,059,500 + 0.15%

of the amount over

200,000,000

From 400,000,001 to

600,000,000

311,500 + 0.02%

of the amount over

400,000,000

1,359,500 + 0.12%

of the amount over

400,000,000

From 600,000,001 to

750,000,000

351,500 + 0.01%

of the amount over

600,000,000

1,599,500 + 0.10%

of the amount over

600,000,000

Over 750,000,001

366,500 + 0.008%

of the amount over

750,000,000

1,749,500 + 0.06%

of the amount over

750,000,000

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2. Unless otherwise stipulated in this Schedule, the arbitrator’s

fees shall be determined by CIETAC in accordance with the

above Table taking into account the circumstances of the case.

The arbitrator’s expenses shall include all reasonable actual

expenses incurred from the arbitrator’s arbitration activities.

3. The arbitrator’s fees may exceed the corresponding maximum

amount listed in the Table provided that the parties so agree

in writing or CIETAC so determines under exceptional

circumstances.

4. The parties shall advance the payment of the arbitrator’s fees

and expenses determined by CIETAC to the CIETAC Hong

Kong Arbitration Center. Subject to the approval of the

CIETAC Hong Kong Arbitration Center, the parties may pay

the arbitrator’s fees and expenses in installments. The parties

shall be jointly and severally liable for the payment of the

arbitrator’s fees and expenses.

5. Claims and counterclaims are aggregated for the determination

of the amount in dispute. Where the amount in dispute is not

ascertainable, or where special circumstances exist, the amount

of the arbitrator’s fees shall be determined by CIETAC taking

into account the circumstances of the case.

B. Arbitrator’s Fees and Expenses

(Based on an Hourly Rate)

1. Where the parties have agreed in writing that the arbitrator’s

fees and expenses are to be based on an hourly rate, their

agreement shall prevail. The arbitrator is entitled to fees based

on an hourly rate for all the reasonable efforts devoted in the

arbitration. The arbitrator’s expenses shall include all reasonable

actual expenses incurred from the arbitrator’s arbitration

activities.

2. Where a party applies for the Emergency Arbitrator Procedures,

the emergency arbitrator’s fees shall be based on an hourly rate.

3. The hourly rate for each co-arbitrator shall be the rate agreed

Arbitration Rules

upon by that co-arbitrator and the nominating party. The

hourly rate for a sole or presiding arbitrator shall be the

rate agreed upon by that arbitrator and both parties. Where

the hourly rate cannot be agreed upon, or the arbitrator is

appointed by the Chairman of CIETAC, the hourly rate of the

arbitrator shall be determined by CIETAC. The hourly rate for

the emergency arbitrator shall be determined by CIETAC.

4. An agreed or determined hourly rate shall not exceed the

maximum rate fixed by CIETAC as provided on the website

of the CIETAC Hong Kong Arbitration Center on the date of

the submission of the Request for Arbitration. The arbitrator’s

fees may exceed the fixed maximum rate provided that the

parties so agree in writing or CIETAC so determines under

exceptional circumstances.

5. The parties shall advance the payment of the arbitrator’s fees

and expenses to the CIETAC Hong Kong Arbitration Center,

which amount shall be fixed by the latter. The parties shall be

jointly and severally liable for the payment of the arbitrator’s

fees and expenses.

C. Miscellaneous

1. In accordance with the decision of the arbitral tribunal, the

CIETAC Hong Kong Arbitration Center shall have a lien

over the award rendered by the tribunal so as to secure the

payment of the outstanding fees for the arbitrators and all the

expenses due. After all such fees and expenses have been paid

in full jointly or by one of the parties, the CIETAC Hong

Kong Arbitration Center shall release such award to the parties

according to the decision of the arbitral tribunal.

2. Where the arbitrator’s fees and expenses are to be charged in a

currency other than HKD, the CIETAC Hong Kong

Arbitration Center shall charge an amount of the foreign

currency equivalent to the corresponding amount in HKD as

specified in this Schedule.

Arbitration Rules

Appendix III

China International Economic and Trade

Arbitration Commission

Emergency Arbitrator Procedures

Article 1 Application for the Emergency

Arbitrator Procedures

1. A party requiring emergency relief may apply for the

Emergency Arbitrator Procedures based upon the

applicable law or the agreement of the parties.

2. The party applying for the Emergency Arbitrator

Procedures (the “Applicant”) shall submit its Application

for the Emergency Arbitrator Procedures to the

Arbitration Court or the arbitration court of the

relevant sub-commission/arbitration center of CIETAC

administering the case prior to the formation of the

arbitral tribunal.

3. The Application for the Emergency Arbitrator Procedures

shall include the following information:

(a) the names and other basic information of the parties

involved in the Application;

(b) a description of the underlying dispute giving rise

to the Application and the reasons why emergency

relief is required;

the reasons why the applicant is entitled to such

emergency relief;

(d) other necessary information required to apply for

the emergency relief; and

(e) comments on the applicable law and the language of

the Emergency Arbitrator Procedures.

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When submitting its Application, the Applicant shall

attach the relevant documentary and other evidence

on which the Application is based, including but not

limited to the arbitration agreement and any other

agreements giving rise to the underlying dispute.

The Application, evidence and other documents shall be

submitted in triplicate. Where there are multiple parties,

additional copies shall be provided accordingly.

4. The Applicant shall advance the costs for the Emergency

Arbitrator Procedures.

5. Where the parties have agreed on the language of

arbitration, such language shall be the language of the

Emergency Arbitrator Procedures. In the absence of

such agreement, the language of the Procedures shall be

determined by the Arbitration Court.

Article 2 Acceptance of Application and

Appointment of the Emergency Arbitrator

1. After a preliminary review on the basis of the

Application, the arbitration agreement and relevant

evidence submitted by the Applicant, the Arbitration

Court shall decide whether the Emergency Arbitrator

Procedures shall apply. If the Arbitration Court decides

to apply the Emergency Arbitrator Procedures, the

President of the Arbitration Court shall appoint an

emergency arbitrator within one (1) day from his/her

receipt of both the Application and the advance payment

of the costs for the Emergency Arbitrator Procedures.

2. Once the emergency arbitrator has been appointed by

the President of the Arbitration Court, the Arbitration

Court shall promptly transmit the Notice of Acceptance

and the Applicant’s application file to the appointed

emergency arbitrator and the party against whom the

emergency measures are sought, meanwhile copying the

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Notice of Acceptance to each of the other parties to the

arbitration and the Chairman of CIETAC.

Article 3 Disclosure and Challenge of the

Emergency Arbitrator

1. An emergency arbitrator shall not represent either party,

and shall be and remain independent of the parties and

treat them equally.

2. Upon acceptance of the appointment, an emergency

arbitrator shall sign a Declaration and disclose to the

Arbitration Court any facts or circumstances likely to

give rise to justifiable doubts as to his/her impartiality or

independence. If circumstances that need to be disclosed

arise during the Emergency Arbitrator Procedures,

the emergency arbitrator shall promptly disclose such

circumstances in writing.

3. The Declaration and/or the disclosure of the emergency

arbitrator shall be communicated to the parties by the

Arbitration Court.

4. Upon receipt of the Declaration and/or the written

disclosure of an emergency arbitrator, a party wishing

to challenge the arbitrator on the grounds of the facts

or circumstances disclosed by the emergency arbitrator

shall forward the challenge in writing within two (2)

days from the date of such receipt. If a party fails to

file a challenge within the above time period, it may

not subsequently challenge the emergency arbitrator

on the basis of the matters disclosed by the emergency

arbitrator.

5. A party which has justifiable doubts as to the impartiality

or independence of the appointed emergency arbitrator

may challenge that emergency arbitrator in writing and

shall state the facts and reasons on which the challenge is

based with supporting evidence.

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6. A party may challenge an emergency arbitrator in writing

within two (2) days from the date of its receipt of the

Notice of Acceptance. Where a party becomes aware of

a reason for a challenge after such receipt, the party may

challenge the emergency arbitrator in writing within two

(2) days after such reason has become known, but no

later than the formation of the arbitral tribunal.

7. The President of the Arbitration Court shall make

a final decision on the challenge of the emergency

arbitrator. If the challenge is accepted, the President

of the Arbitration Court shall reappoint an emergency

arbitrator within one (1) day from the date of the

decision confirming the challenge, and copy the decision

to the Chairman of CIETAC. The emergency arbitrator

who has been challenged shall continue to perform his/

her functions until a final decision on the challenge has

been made.

The disclosure and challenge proceedings shall apply

equally to the reappointed emergency arbitrator.

8. Unless otherwise agreed by the parties, the emergency

arbitrator shall not accept nomination or appointment

to act as a member of the arbitral tribunal in any

arbitration relating to the underlying dispute.

Article 4 Place of the Emergency Arbitrator

Proceedings

Unless otherwise agreed by the parties, the place of the

emergency arbitrator proceedings shall be the place of

arbitration, which is determined in accordance with Article

7 of the Arbitration Rules.

Article 5 The Emergency Arbitrator Proceedings

1. The emergency arbitrator shall establish a procedural

timetable for the emergency arbitrator proceedings

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within a time as short as possible, best within two (2)

days from his/her acceptance of the appointment. The

emergency arbitrator shall conduct the proceedings in

the manner the emergency arbitrator considers to be

appropriate, taking into account the nature and the

urgency of the emergency relief, and shall ensure that

each party has a reasonable opportunity to present its

case.

2. The emergency arbitrator may order the provision of

appropriate security by the party seeking the emergency

relief as the precondition of taking emergency measures.

3. The power of the emergency arbitrator and the

emergency arbitrator proceedings shall cease on the date

of the formation of the arbitral tribunal.

4. The emergency arbitrator proceedings shall not affect

the right of the parties to seek interim measures from a

competent court pursuant to the applicable law.

Article 6 Decision of the Emergency Arbitrator

1. The emergency arbitrator has the power to make a

decision to order or award necessary emergency relief,

and shall make every reasonable effort to ensure that the

decision is valid.

2. The decision of the emergency arbitrator shall be made

within fifteen (15) days from the date of that arbitrator’s

acceptance of the appointment. The President of the

Arbitration Court may extend the time period upon the

request of the emergency arbitrator only if the President

of the Arbitration Court considers it reasonable.

3. The decision of the emergency arbitrator shall state the

reasons for taking the emergency measures, be signed

by the emergency arbitrator and stamped with the seal

of the Arbitration Court or the arbitration court of its

relevant sub-commission/arbitration center.

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4. The decisionof the emergency arbitrator shall be binding

upon both parties. A party may seek enforcement of

the decision from a competent court pursuant to the

relevant law provisions of the enforcing state or region.

Upon a reasoned request of a party, the emergency

arbitrator or the arbitral tribunal to be formed may

modify, suspend or terminate the decision.

5. The emergency arbitrator may decide to dismiss

the application of the Applicant and terminate the

emergency arbitrator proceedings, if that arbitrator

considers that circumstances exist where emergency

measures are unnecessary or unable to be taken for

various reasons.

6. The decision of the emergency arbitrator shall cease to be

binding:

(a) if the emergency arbitrator or the arbitral tribunal

terminates the decision of the emergency arbitrator;

(b) if the President of the Arbitration Court decides to

accept a challenge against the emergency arbitrator;

tribunal, unless the arbitral tribunal decides that the

decision of the emergency arbitrator shall continue to be

effective;

(d) upon the Applicant’s withdrawal of all claims before the

rendering of a final award;

(e) if the arbitral tribunal is not formed within ninety (90)

days from the date of the decision of the emergency

arbitrator. This period of time may be extended by

agreement of the parties or by the Arbitration Court

under circumstances it considers appropriate; or

(f) if the arbitration proceedings have been suspended for

sixty (60) consecutive days after the formation of the

arbitral tribunal.

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Article 7 Costs of the Emergency Arbitrator

Proceedings

1. The Applicant shall advance an amount of RMB 30,000

as the costs of the emergency arbitrator proceedings,

consisting of the remuneration of the emergency

arbitrator and the administrative fee of CIETAC. The

Arbitration Court may require the Applicant to advance

any other additional and reasonable actual costs.

A party applying to the CIETAC Hong Kong

Arbitration Center for emergency relief shall advance

the costs of the emergency arbitrator proceedings in

accordance with the CIETAC Arbitration Fee Schedule

III (Appendix II).

2. The emergency arbitrator shall determine in its decision

in what proportion the costs of the emergency arbitrator

proceedings shall be borne by the parties, subject to the

power of the arbitral tribunal to finally determine the

allocation of such costs at the request of a party.

3. The Arbitration Court may fix the amount of the costs

of the emergency arbitrator proceedings refundable to

the Applicant if such proceedings terminate before the

emergency arbitrator has made a decision.

Article 8 Miscellaneous

These rules for the Emergency Arbitrator Procedures shall

be interpreted by CIETAC.

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STATE COUNCIL’ S OFFICIAL REPLY

CONCERNING THE RENAMING OF

THE FOREIGN ECONOMIC AND TRADE

ARBITRATION COMMISSION AS THE CHINA

INTERNATIONAL ECONOMIC AND TRADE

ARBITRATION COMMISSION AND THE

AMENDMENT OF ITS ARBITRATION RULES

June 21, 1988

China Council for the Promotion of

International Trade:

The State Council approves the renaming of the Foreign

Economic and Trade Arbitration Commission of your

Council as the China International Economic and Trade

Arbitration Commission. The existing relationship

of its subordination remains unchanged and its scope

of handling cases covers all disputes arising from

international economic and trade transactions.

The Arbitration Rules of the China International

Economic and Trade Arbitration Commission shall be

amended by your Council in accordance with China’s

laws and the international treaties concluded or acceded

to by China and with reference to international practice,

and then promulgated for implementation after adoption

by your Council. Hereafter, any amendments to the

Arbitration Rules shall be made by your Council’s own

decision.

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STATE COUNCIL’ S NOTICE

CONCERNING THE CONVERSION

OF THE FOREIGN TRADE

ARBITRATION COMMISSION INTO

THE FOREIGN ECONOMIC AND TRADE

ARBITRATION COMMISSION

(Beijing, February 26, 1980)

On May 6, 1954, the former Government Administration

Council of the Central People's Government adopted a

decision in accordance with which the Foreign Trade

Arbitration Commission was set up within the China

Council for the Promotion of International Trade.

To meet the needs of the constant development of

China’s economic and trade relations with foreign

countries, it is hereby decided that the Foreign Trade

Arbitration Commission shall be converted into the

Foreign Economic and Trade Arbitration Commission

and its scope of taking cognizance of disputes may be

enlarged to the extent that covers the disputes arising

from various kinds of China’s economic cooperation

with foreign countries, such as joint ventures using

Chinese and foreign investment, foreign investment

to build factories in China, credits and loans between

Chinese and foreign banks, etc., and that the number

of members of the Commission may appropriately

increase to suit the expansion of work.

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DECISION

OF THE GOVERNMENT ADMINISTRATION

COUNCIL OF THE CENTRAL PEOPLE’ S

GOVERNMENT CONCERNING THE

ESTABLISHMENT OF A FOREIGN TRADE

ARBITRATION COMMISSION WITHIN THE

CHINA COUNCIL FOR THE PROMOTION OF

INTERNATIONAL TRADE

(Adopted on May 6, 1954 at the 215th session of the Government

Administration Council)

With a view to settling by way of arbitration any

dispute that may arise in relation to foreign trade, it

is necessary to set up an arbitral body within a social

organization concerned with foreign trade. It is hereby

decided as follows:

1. There shall be established within the China

Council for the Promotion of International Trade a

Foreign Trade Arbitration Commission (hereinafter

referred to as the Arbitration Commission) to

settle such disputes as may arise from contracts

and transactions in foreign trade, particularly

disputes between foreign firms, companies or

other economic organizations on the one hand

and Chinese firms, companies or other economic

organizations on the other.

2. The Arbitration Commission exercises jurisdiction

for the arbitration of disputes in foreign trade in

accordance with the relevant contracts, agreements

and/or other documents concluded between the

disputing parties.

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3. The Arbitration Commission shall be composed

of 15 to 21 members to be selected and appointed

by the China Council for the Promotion of

International Trade for a term of one year from

among persons having special knowledge and

experience in foreign trade, commerce, industry,

agriculture, transportation, insurance and other

related matters as well as in law.

4. The Arbitration Commission shall elect a Chairman

and two Deputy Chairmen from among its members.

5. When a case of dispute is submitted for arbitration,

the disputing parties shall each choose an arbitrator

from among the members of the Arbitration

Commission. The arbitrators so chosen shall also

select the presiding arbitrator within the time

limit fixed by the Arbitration Commission. If one

of the parties fails to choose an arbitrator within

the prescribed time limit, the Chairman of the

Arbitration Commission shall, upon the request

of the other party, appoint the arbitrator on the

former’s behalf. In case the arbitrators so chosen

or appointed cannot agree upon the choice of the

presiding arbitrator within the prescribed time

limit, the Chairman of the Arbitration Commission

shall select a presiding arbitrator for them.

6. Either of the parties in dispute may authorize

the Arbitration Commission to choose for

him an arbitrator who shall, jointly with the

arbitrator chosen by the other party, select a

presiding arbitrator to arbitrate the disputed case

in association with the arbitrators. If, by mutual

agreement, both parties jointly delegate the choice

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of arbitrators to the Arbitration Commission, the

Chairman of the Arbitration Commission may

appoint a sole arbitrator to conduct the proceedings

singly.

7. The disputing parties may appoint attorneys to

defend their interests during the proceedings of a

case before the Arbitration Commission.

Such attorneys may be citizens of the People’s

Republic of China or foreign citizens.

8. During the proceedings of a case, the Arbitration

Commission may, for the purpose of safeguarding

the interests of the disputing parties, prescribe

provisional measures concerning the materials,

property rights and/or other matters appertaining

to the parties.

9. To compensate for the costs of arbitration, the

Arbitration Commission may collect a fee not

exceeding one percent of the amount of the claim.

10. The award given by the Arbitration Commission

is final and neither party shall bring an appeal

for revision before a court of law or any other

organization.

11. The award of the Arbitration Commission shall be

executed by the parties themselves within the

time limit fixed by the award. In case an award is

not executed after the expiration of the fixed time

limit, the People’s Courts of the People’s Republic

of China shall, upon the request of one of the

parties, enforce it in accordance with law.

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12. Rules concerning the procedure of arbitration shall

be made by the China Council for the Promotion

of International Trade.