貿(mào)仲發(fā)布《關(guān)于新冠肺炎疫情期間積極穩(wěn)妥推進(jìn)仲裁程序指引（試行）》
為有效防控新冠肺炎疫情，積極穩(wěn)妥推進(jìn)仲裁程序，保障當(dāng)事人合法權(quán)益，維護(hù)社會(huì)公平正義，中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)（簡(jiǎn)稱“貿(mào)仲”）于2020年4月28日發(fā)布《關(guān)于新冠肺炎疫情期間積極穩(wěn)妥推進(jìn)仲裁程序指引（試行）》，自2020年5月1日起施行，疫情結(jié)束后廢止。
中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)
2020年4月28日
中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)關(guān)于新冠
肺炎疫情期間積極穩(wěn)妥推進(jìn)仲裁程序指引（試行）
為有效應(yīng)對(duì)新冠肺炎疫情影響，依法積極穩(wěn)妥推進(jìn)仲裁程序，保障當(dāng)事人合法權(quán)益，維護(hù)社會(huì)公平正義,結(jié)合仲裁實(shí)踐經(jīng)驗(yàn),制定本指引。
一、基本原則
1.仲裁庭應(yīng)公正高效推進(jìn)仲裁程序。根據(jù)《中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)仲裁規(guī)則》（以下簡(jiǎn)稱“《仲裁規(guī)則》”）》有關(guān)規(guī)定，仲裁庭負(fù)有高效推進(jìn)仲裁程序的義務(wù)，該等義務(wù)并不因新冠肺炎疫情影響而改變。根據(jù)《仲裁規(guī)則》第35條，仲裁庭享有廣泛的權(quán)限積極推進(jìn)仲裁程序,可以按照其認(rèn)為適當(dāng)?shù)姆绞綄徖戆讣?。在采取相關(guān)措施時(shí)，仲裁庭應(yīng)公平和公正行事，給予雙方當(dāng)事人陳述與辯論的合理機(jī)會(huì)，保證仲裁裁決的可執(zhí)行性。
2.當(dāng)事人應(yīng)誠(chéng)信參與仲裁程序。根據(jù)《仲裁規(guī)則》第9條，當(dāng)事人及其仲裁代理人應(yīng)遵循誠(chéng)信原則，進(jìn)行仲裁程序，盡量減少新冠肺炎疫情對(duì)仲裁程序的影響，而不應(yīng)濫用權(quán)利，以新冠肺炎疫情為由謀求不合理、不正當(dāng)?shù)某绦驒?quán)利，故意拖延甚至惡意阻礙仲裁程序的進(jìn)行。當(dāng)事人確因新冠肺炎疫情影響不能及時(shí)行使仲裁權(quán)利的，依照法律法規(guī)和《仲裁規(guī)則》辦理。
二、具體措施
1.關(guān)于立案。建議當(dāng)事人及其仲裁代理人優(yōu)先通過(guò)中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)（以下簡(jiǎn)稱“貿(mào)仲”）在線立案系統(tǒng)(http://online.cietac.org/)提交立案申請(qǐng)，也可以通過(guò)郵寄及非接觸方式提交立案申請(qǐng)。貿(mào)仲總會(huì)及分會(huì)（中心）辦公場(chǎng)所恢復(fù)對(duì)外開(kāi)放后，在符合防疫要求的前提下，可現(xiàn)場(chǎng)接受當(dāng)事人立案申請(qǐng)。
2.關(guān)于文件送達(dá)。為提高仲裁文件送達(dá)效率，建議當(dāng)事人協(xié)議以電子郵件方式提交和接收仲裁文件。在發(fā)送仲裁通知時(shí)，貿(mào)仲總會(huì)和分會(huì)(中心)仲裁院就以電子郵件方式提交、接收和送達(dá)仲裁文件征求雙方當(dāng)事人意見(jiàn)的，建議當(dāng)事人予以積極考慮。在仲裁程序進(jìn)行的任何階段，鼓勵(lì)當(dāng)事人就以電子郵件方式提交和接收仲裁文件達(dá)成一致。
3.關(guān)于程序令、問(wèn)題單、審理范圍書、庭前會(huì)議等。根據(jù)《仲裁規(guī)則》第35條，除非當(dāng)事人另有約定，根據(jù)案情需要，仲裁庭可以采取以下一種或者幾種措施進(jìn)行仲裁程序：（1）經(jīng)征求當(dāng)事人意見(jiàn)后，就仲裁案件程序安排發(fā)布程序令，采取有針對(duì)性的措施減少新冠肺炎疫情對(duì)仲裁程序造成的影響；（2）制作審理范圍書，盡早整理、歸納爭(zhēng)議焦點(diǎn)，明確審理重點(diǎn)，引導(dǎo)當(dāng)事人有效進(jìn)行仲裁程序；仲裁庭也可以發(fā)出問(wèn)題單就某些事實(shí)和法律問(wèn)題進(jìn)行調(diào)查，要求雙方當(dāng)事人給予答復(fù)并提交證據(jù)；（3）召開(kāi)電話或者視頻庭前會(huì)議，為正式開(kāi)庭做好準(zhǔn)備，提高庭審的質(zhì)量和效率。
4.關(guān)于鑒定。建議當(dāng)事人考慮申請(qǐng)鑒定的必要性，仲裁庭應(yīng)綜合考慮鑒定是否具有不可替代性、鑒定的時(shí)間成本和經(jīng)濟(jì)成本、鑒定程序?qū)χ俨贸绦虻挠绊?、新冠肺炎疫情期間鑒定工作能否順利開(kāi)展等因素審慎決定。當(dāng)事人應(yīng)根據(jù)仲裁庭的要求積極配合鑒定工作的開(kāi)展。鑒定人參加開(kāi)庭審理的，優(yōu)先考慮采取視頻等非接觸形式。
5.關(guān)于書面審理。
——關(guān)于適用簡(jiǎn)易程序案件。根據(jù)《仲裁規(guī)則》第60條，在征求當(dāng)事人意見(jiàn)后，仲裁庭可以決定只依據(jù)當(dāng)事人提交的書面材料和證據(jù)進(jìn)行審理。建議仲裁庭主動(dòng)考慮采取書面審理的可行性，并就此征求雙方當(dāng)事人的意見(jiàn)。
——關(guān)于適用普通程序案件。根據(jù)《仲裁規(guī)則》第35條，仲裁庭應(yīng)當(dāng)開(kāi)庭審理。但是，對(duì)于事實(shí)清楚、證據(jù)材料簡(jiǎn)單的案件，建議仲裁庭主動(dòng)征求雙方當(dāng)事人意見(jiàn)，在征得雙方當(dāng)事人同意后，依據(jù)書面文件進(jìn)行審理。
6.關(guān)于開(kāi)庭審理。
——在線開(kāi)庭是一種具體的開(kāi)庭方式，符合仲裁規(guī)則的規(guī)定。在新冠肺炎疫情期間，開(kāi)庭審理的案件，建議仲裁庭優(yōu)先考慮在線開(kāi)庭的可行性。
——決定在線開(kāi)庭時(shí)，仲裁庭應(yīng)綜合考慮雙方當(dāng)事人的意見(jiàn)、案件的復(fù)雜程度、證據(jù)材料的多少、是否有證人出庭、當(dāng)事人不同意在線開(kāi)庭的理由是否正當(dāng)、參加開(kāi)庭人員獲得在線開(kāi)庭服務(wù)的便捷性和平等性等因素作出決定。在線開(kāi)庭的，仲裁庭應(yīng)當(dāng)充分保護(hù)當(dāng)事人的程序權(quán)利，給予雙方當(dāng)事人陳述與辯論的合理機(jī)會(huì)，確保平等對(duì)待雙方當(dāng)事人，確保仲裁裁決根據(jù)所適用的仲裁程序法具有可執(zhí)行性。當(dāng)事人及其仲裁代理人、其他參加開(kāi)庭人員參加在線開(kāi)庭，應(yīng)當(dāng)遵守《中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)視頻庭審規(guī)范（試行）》（見(jiàn)附件）等要求。
——仲裁庭在征求雙方當(dāng)事人意見(jiàn)后，可根據(jù)案件具體情形決定采用下述在線開(kāi)庭方式：（1）仲裁員、當(dāng)事人及其仲裁代理人、其他參加開(kāi)庭人員位于我國(guó)內(nèi)地不同地點(diǎn)的，可以通過(guò)“中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)智慧庭審平臺(tái)”（https://kt.cietac.org/portal/main/domain/index.htm）進(jìn)行在線開(kāi)庭；（2）仲裁員、當(dāng)事人及其仲裁代理人、其他參加開(kāi)庭人員位于不同司法管轄區(qū)域，或者庭審語(yǔ)言為中文以外語(yǔ)言的，也可以通過(guò)當(dāng)事人同意并經(jīng)貿(mào)仲總會(huì)或分會(huì)（中心）認(rèn)可的其他遠(yuǎn)程視頻系統(tǒng)在線開(kāi)庭；（3）在貿(mào)仲總會(huì)和分會(huì)(中心)辦公場(chǎng)所恢復(fù)對(duì)外開(kāi)放后，仲裁員、當(dāng)事人及其仲裁代理人、其他參加開(kāi)庭人員分處總會(huì)和分會(huì)(中心)所在地的，可以就近在總會(huì)和分會(huì)（中心）辦公場(chǎng)所通過(guò)在線方式開(kāi)庭；（4）仲裁員、當(dāng)事人及其仲裁代理人、其他參加開(kāi)庭人員位于不同司法管轄區(qū)域的，也可以通過(guò)貿(mào)仲與境外仲裁機(jī)構(gòu)合作平臺(tái)進(jìn)行開(kāi)庭（貿(mào)仲與世界主要仲裁機(jī)構(gòu)之間簽訂合作協(xié)議，就相互協(xié)助開(kāi)庭作出了安排。如有需要,請(qǐng)與案件經(jīng)辦秘書聯(lián)系）。
——總會(huì)及分會(huì)（中心）辦公場(chǎng)所恢復(fù)對(duì)外開(kāi)放后，在符合防疫要求的前提下，可以線下開(kāi)庭。
——無(wú)論是在線開(kāi)庭還是線下開(kāi)庭，建議當(dāng)事人在保障自身應(yīng)有權(quán)利的前提下，盡量減少參加開(kāi)庭人員的人數(shù)，減少不必要的證人出庭。
7.關(guān)于仲裁庭合議。根據(jù)《仲裁規(guī)則》第35條，仲裁庭可以按其認(rèn)為適當(dāng)?shù)姆绞竭M(jìn)行合議。不能當(dāng)面合議的，建議仲裁庭通過(guò)電話會(huì)議、視頻會(huì)議等非接觸方式及時(shí)合議。
8.關(guān)于調(diào)解。為降低當(dāng)事人解決爭(zhēng)議的成本，維護(hù)當(dāng)事人之間的良好合作關(guān)系，仲裁庭應(yīng)加強(qiáng)調(diào)解工作，積極引導(dǎo)當(dāng)事人協(xié)商和解、共渡難關(guān)。正式開(kāi)庭有困難的，在當(dāng)事人自愿的基礎(chǔ)上，仲裁庭可以主持召開(kāi)調(diào)解庭特別是在線調(diào)解庭，促進(jìn)當(dāng)事人和解。
9.關(guān)于仲裁裁決。審理終結(jié)的案件，仲裁庭應(yīng)克服新冠肺炎疫情的影響，盡快制作仲裁裁決。不具備作出最終裁決條件但當(dāng)事人某些請(qǐng)求事項(xiàng)可以先行裁決的，建議仲裁庭根據(jù)《仲裁規(guī)則》第50條考慮作出部分裁決的可行性。
三、其他
上述建議并非窮盡性的。仲裁庭有權(quán)根據(jù)案件具體情況，采取其他適當(dāng)?shù)姆绞椒椒ǜ咝七M(jìn)仲裁程序，但應(yīng)確保公平和公正行事，給予雙方當(dāng)事人陳述與辯論的合理機(jī)會(huì)。
貿(mào)仲積極配合仲裁庭高效推進(jìn)仲裁程序，為仲裁庭、當(dāng)事人、代理人及其他仲裁參與人參與仲裁程序提供服務(wù)和保障。貿(mào)仲將視新冠肺炎疫情發(fā)展情況，在有關(guān)法律法規(guī)允許的范圍內(nèi),根據(jù)有關(guān)部門的要求，盡最大可能，逐步有序恢復(fù)開(kāi)放總會(huì)及分會(huì)（中心）對(duì)外辦公場(chǎng)所，盡快提供現(xiàn)場(chǎng)咨詢、現(xiàn)場(chǎng)立案、現(xiàn)場(chǎng)開(kāi)庭等服務(wù)。
本指引不構(gòu)成《仲裁規(guī)則》的一部分。
本指引由貿(mào)仲負(fù)責(zé)解釋。
本指引自2020年5月1日起施行,新冠肺炎疫情結(jié)束后廢止。
附件：《中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)視頻庭審規(guī)范（試行）》
附件
中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)
視頻庭審規(guī)范（試行）
為保障案件當(dāng)事人正當(dāng)權(quán)利，規(guī)范視頻庭審活動(dòng)，維護(hù)庭審秩序，提高裁判效率，根據(jù)《中華人民共和國(guó)仲裁法》等相關(guān)法律規(guī)定，以及中國(guó)國(guó)際經(jīng)濟(jì)貿(mào)易仲裁委員會(huì)（以下簡(jiǎn)稱“仲裁委員會(huì)”）現(xiàn)行仲裁規(guī)則，現(xiàn)將視頻庭審有關(guān)事項(xiàng)規(guī)范如下：
第一條 視頻庭審嚴(yán)格保密。禁止未經(jīng)當(dāng)事人授權(quán)或仲裁庭準(zhǔn)許的非案件當(dāng)事人、仲裁代理人及其他仲裁參與人參加視頻庭審。
專用賬號(hào)和密碼是當(dāng)事人、仲裁代理人及其他仲裁參與人參與庭審的身份標(biāo)識(shí)。當(dāng)事人、仲裁代理人及其他仲裁參與人應(yīng)使用自己的專用賬號(hào)參加視頻庭審并妥善保管專用賬號(hào)和密碼，不得授意他人使用其專用賬號(hào)和密碼冒充本人參加庭審。他人不得冒充當(dāng)事人、仲裁代理人或者其他仲裁參與人參加庭審。
第二條 決定視頻庭審的案件，當(dāng)事人、仲裁代理人及其他仲裁參與人，經(jīng)有效通知，無(wú)正當(dāng)理由不按時(shí)參加視頻庭審，視為不到庭，庭審中未經(jīng)仲裁庭許可故意脫離庭審視頻畫面，視為中途退庭。
申請(qǐng)人無(wú)正當(dāng)理由開(kāi)庭時(shí)不到庭或中途退庭的，可以視為撤回仲裁申請(qǐng)；被申請(qǐng)人提出反請(qǐng)求的，不影響仲裁庭就反請(qǐng)求進(jìn)行審理，并作出裁決。
被申請(qǐng)人無(wú)正當(dāng)理由開(kāi)庭時(shí)不到庭或中途退庭的，仲裁庭可以進(jìn)行缺席審理并作出裁決；被申請(qǐng)人提出反請(qǐng)求的，可以視為撤回反請(qǐng)求。
第三條 當(dāng)事人、仲裁代理人及其他仲裁參與人應(yīng)選擇保密性強(qiáng)、安靜、無(wú)干擾、光線適宜、網(wǎng)絡(luò)信號(hào)良好的場(chǎng)所參加視頻庭審，禁止在網(wǎng)吧、商場(chǎng)、廣場(chǎng)等公開(kāi)、影響庭審音視頻效果或有損庭審嚴(yán)肅性的場(chǎng)所參加庭審，禁止駕駛交通工具時(shí)參加庭審，禁止在醉酒等精神狀態(tài)異常情況下參加庭審。
當(dāng)事人、仲裁代理人及其他仲裁參與人應(yīng)提前向仲裁委員會(huì)告知其參加視頻庭審的具體地點(diǎn)。
當(dāng)事人、仲裁代理人及其他仲裁參與人應(yīng)在規(guī)定的時(shí)間進(jìn)行庭前測(cè)試，確保庭審時(shí)網(wǎng)絡(luò)穩(wěn)定、暢通，視頻畫面清晰，音頻傳輸順暢。
第四條 當(dāng)事人、仲裁代理人及其他仲裁參與人參加視頻庭審時(shí)，應(yīng)儀表整潔，規(guī)范著裝，并確保頭面部完全顯示在視頻畫面的合理區(qū)域。
第五條 當(dāng)事人、仲裁代理人及其他仲裁參與人在庭審活動(dòng)中，應(yīng)保持其他通訊設(shè)備靜音或關(guān)閉，遵守庭審紀(jì)律，尊重庭審禮儀。不得實(shí)施下列行為：
（一）錄音錄像；
（二）以文字、圖片、音頻、視頻等任何方式傳播庭審活動(dòng)；
（三）允許未經(jīng)當(dāng)事人授權(quán)或仲裁庭準(zhǔn)許的人員以任何形式旁聽(tīng)庭審，與其討論或獲取庭審建議；
（四）撥打或接聽(tīng)電話；
（五）其他妨害庭審秩序的行為。
第六條 證人、專家、鑒定人等應(yīng)在仲裁庭指定或認(rèn)可的場(chǎng)所參加視頻庭審，原則上不得與當(dāng)事人、仲裁代理人及其他仲裁參與人于同一房間參加庭審。
當(dāng)事人申請(qǐng)證人出庭的，應(yīng)在仲裁庭規(guī)定的期限內(nèi)提交書面申請(qǐng)。證人在得到仲裁庭允許后方可上線出庭，在仲裁庭要求其退出視頻庭審后，不得繼續(xù)旁聽(tīng)庭審。
專家、鑒定人根據(jù)仲裁庭的要求在視頻庭審中發(fā)表專業(yè)意見(jiàn)前及發(fā)表專業(yè)意見(jiàn)后，不得旁聽(tīng)庭審。
第七條 仲裁員、當(dāng)事人、仲裁代理人及其他仲裁參與人、經(jīng)辦秘書、速錄人員應(yīng)通過(guò)視頻庭審系統(tǒng)的電子簽名功能簽署庭審筆錄。
第八條 本規(guī)范由仲裁委員會(huì)仲裁院負(fù)責(zé)解釋。
China International Economic and Trade Arbitration Commission
Guidelines on Proceeding with Arbitration Actively and Properly during the COVID-19 Pandemic
(Trial)
China International Economic and Trade Arbitration Commission (“CIETAC”) adopts these Guidelines (“Guidelines”) based on its arbitration practice and experience, as an effort to effectively mitigate the effects of the COVID-19 pandemic (“pandemic”), proceed with arbitration actively and properly in accordance with the law, protect the parties’ legitimate interests, and uphold social fairness and justice.
1. Fundamental Principles
1.1 The arbitral tribunal shall proceed with arbitration fairly and efficiently. According to the CIETAC Arbitration Rules (“Arbitration Rules”), the arbitral tribunal bears the responsibility to proceed with the arbitration efficiently, which is not changed by the pandemic. According to Article 35 of the Arbitration Rules, the arbitral tribunal enjoys extensive power in actively proceeding with the arbitration and may examine the case in any way it deems appropriate. While taking such measures, the arbitral tribunal shall act impartially and fairly and shall afford a reasonable opportunity to both parties to present their case in order to ensure the enforceability of the arbitral award.
1.2 The parties shall participate in the arbitral proceedings in good faith. According to Article 9 of the Arbitration Rules, the parties and their representatives shall proceed with the arbitration in good faith. They shall try their best to mitigate the effects of the pandemic on the arbitral proceedings and avoid abuse of rights, and shall not pursue unreasonable and unfair procedural rights with the pandemic as an excuse or impede the arbitral proceedings in bad faith. Where the parties are truly unable to exercise their arbitration rights in a timely manner due to the pandemic, the case shall be conducted in accordance with the laws and regulations as well as the Arbitration Rules.
2. Specific Measures
2.1 On case filing. The parties and their representatives are encouraged to file their arbitration applications with the CIETAC online case filing system (http://online.cietac.org/), or to use postal service or other non-contact means to submit their arbitration applications. After the office facilities of the CIETAC headquarters and its sub-commissions/centers reopen to the public, case filing at its offices may be accepted with the necessary anti-epidemic measures in place.
2.2 On service of documents. In order to promote efficiency in service of documents, the parties are encouraged to agree to submit and receive arbitration documents via emails. Where the arbitration court of CIETAC or its sub-commissions/centers asks in the Notice of Arbitration for the parties’ opinions on the submission, receipt and service of arbitration documents by emails, the parties shall give due consideration thereto. In any stage of the arbitral proceedings, the parties are always encouraged to agree on submitting and receiving arbitration documents via emails.
2.3 On procedural orders, question lists, terms of reference, and pre-hearing conferences. According to Article 35 of the Arbitration Rules, unless otherwise agreed by the parties, the arbitral tribunal may adopt one or several of the following measures to proceed with the arbitration: (1) issue procedural orders after consulting with the parties, and take targeted measures to mitigate the effects of the pandemic on the arbitral proceedings; (2) produce terms of reference to summarize the issues in dispute and clarify the focus of hearing as early as possible in order to guide the parties through the arbitral proceedings effectively; the arbitral tribunal may also issue question lists to investigate on certain factual or legal questions, and request the parties to reply and submit evidence; or (3) hold pre-hearing conference by audio/ video conference, to prepare for the oral hearing and improve its quality and efficiency.
2.4 On appraisal. The parties are advised to consider the necessity of applying for an appraisal. The arbitral tribunal shall decide prudently by first making a comprehensive consideration on the factors such as the irreplaceability of the appraisal, the time and economic cost for the appraisal, its effects on the arbitral proceedings and the chance of having a successful appraisal during the pandemic. The parties shall fully cooperate in the appraisal procedure as requested by the arbitral tribunal. Where an appraiser is required to attend an oral hearing, his/her attendance by video conference or other non-contact means of communication shall be preferably considered.
2.5 On documents-only case examination.
--For cases where the Summary Procedure applies, according to Article 60 of the Arbitration Rules, the arbitral tribunal may decide to examine the case solely on the basis of the written materials and evidence submitted by the parties after hearing from the parties of their opinions. The arbitral tribunal is advised to consider the feasibility of examining the case on a documents-only basis on its own initiative, and ask for the parties’ opinions thereof.
--For cases where the Summary Procedure does not apply, according to Article 35 of the Arbitration Rules, the arbitral tribunal shall hold oral hearings when examining the case. However, for cases with clear facts and simple evidence, the arbitral tribunal is advised to ask for the parties’ opinions on its own initiative and decide to examine the case on a documents-only basis if the parties so agree.
2.6 On oral hearing.
Virtual hearing is considered as a specific way of oral hearing which is in accordance with the Arbitration Rules. During the pandemic, for cases to be examined with oral hearings, the arbitral tribunal is advised to first consider the possibility of holding virtual hearings.
--When deciding whether to hold a virtual hearing, the arbitral tribunal shall take into comprehensive consideration a variety of factors such as the parties’ opinions, the complexity of the case, the volume of evidence, any witness to be present, the justification of the party’s reasons against holding a virtual hearing, and the convenience and equality of the participants to access to the virtual hearing facilities. Where a virtual hearing is conducted, the arbitral tribunal shall fully protect the procedural rights of the parties, afford a reasonable opportunity to both parties to present their case, and treat both parties equally, so as to ensure the enforceability of the arbitral award under the applicable procedural law. The parties and their representatives as well as other participants of a virtual hearing shall follow CIETAC Provisions on Virtual Hearings (Trial) as attached and other relevant requirements.
--After consulting with the parties, the arbitral tribunal may adopt one of the following means of virtual hearings based on the specific circumstances of the case: (1) where the arbitrator(s), the parties and their representatives, and other participants are located in different parts of mainland China, a virtual hearing maybe conducted via CIETAC smart oral hearing platform (https://kt.cietac.org/portal/main/domain/index.htm); (2) where the arbitrator(s), the parties and their representatives, and other participants are located in different jurisdictions, or the language of the oral hearing is not Chinese, a virtual hearing may be conducted via other video conferencing platforms agreed by the parties and approved by the CIETAC headquarters or its sub-commissions/centers; (3) after the office facilities of the CIETAC headquarters and its sub-commissions/centers reopen to the public, the arbitrator(s), the parties and their representatives, and other participants at different localities of the CIETAC headquarters or any of its sub-commissions/centers may participate in a virtual hearing by using the nearest CIETAC facilities; (4) where the arbitrator(s), the parties and their representatives, and other participants are located in different jurisdictions, a virtual hearing may also be conducted through the joint platforms between CIETAC and other foreign arbitration institutions (CIETAC has cooperation agreements with major arbitration institutions in the world with arrangements for mutual assistance in oral hearings. If needed, please contact CIETAC case managers).
--After the office facilities of the CIETAC headquarters and its sub-commissions/centers reopen to the public, oral hearings may be conducted by physical presence with the necessary anti-epidemic measures in place.
--No matter an oral hearing is conducted virtually or by physical presence, the parties are advised to limit the number of participants and avoid the attendance of unnecessary witnesses under the premise of ensuring their legitimate rights.
2.7 On deliberation of the arbitral tribunal. According to Article 35 of the Arbitration Rules, the arbitral tribunal may hold deliberations in any manner that it considers appropriate. Where the members of the tribunal cannot meet in person to deliberate, the arbitral tribunal is advised to deliberate promptly through audio/video conference or other non-contact means of communication.
2.8 On mediation. For the sake of reducing the parties’ cost in dispute resolution and keeping the sound cooperation relationship between the parties, the arbitral tribunal shall make greater endeavors to mediate and actively lead the parties through the difficulties by consultation and conciliation. Where it is difficult to have a formal oral hearing, with the consent of the parties, the arbitral tribunal may encourage settlement by holding mediation meetings, especially virtual mediation meetings.
2.9 On arbitral award. The arbitral tribunal shall try its best to overcome the adverse effects of the pandemic and render the arbitral award as soon as possible for cases with hearings concluded. Where in a case it is not ready for a final award yet but is possible to have any part of the claims to be decided first, the arbitral tribunal shall consider the feasibility of rendering a partial award according to Article 50 of the Arbitration Rules.
3. Miscellaneous
These suggestions are non-exhaustive. The arbitral tribunal has the power to adopt other appropriate measures to efficiently proceed with the arbitration based on the specific circumstances of the case, but shall act impartially and fairly and shall afford a reasonable opportunity to both parties to present their case.
CIETAC will actively assist the arbitral tribunal to proceed with the arbitration efficiently, provide necessary service and guarantee to the arbitral tribunal, the parties and their representatives, and other participants to participate in the arbitral proceedings. Depending on the development of the pandemic, CIETAC will gradually and orderly reopen the office facilities of its headquarters and sub-commission/centers to the public to the best extent allowed by the relevant laws, regulations and requirements of the relevant departments, and provide consultation, case filing and oral hearing services at its offices as soon as possible.
These Guidelines do not constitute part of the Arbitration Rules.
These Guidelines shall be interpreted by CIETAC.
These Guidelines shall be effective as of May 1, 2020, and shall cease to have effect when the pandemic is over.
Annex
China International Economic and Trade Arbitration Commission
Provisions on Virtual Hearings (Trial)
In order to protect the legitimate rights of the parties, regulate the virtual hearings activities, maintain the order of the hearings, and improve the efficiency of arbitration, these Provisions on Virtual Hearings (“Provisions”) are formulated in accordance with the relevant laws and regulations including the Arbitration Law of the People's Republic of China, as well as the current Arbitration Rules of the China International Economic and Trade Arbitration Commission (“CIETAC”).
Article 1 Virtual hearings are strictly confidential. Non-parties to the arbitration, arbitration agents and/or other arbitration participants, if without the authorization of the parties or the permission of the arbitral tribunal, are not allowed to take part in the virtual hearing.
The account and the password are the virtual IDs of the parties, arbitration agents and other arbitration participants to a virtual hearing. The parties, arbitration agents and other arbitration participants shall use their own accounts to participate in the virtual hearing and keep their account and password information properly, and shall not allow others to use their accounts to participate in the virtual hearing under their names. No one may impersonate the parties, their agents or other arbitration participants to participate in the virtual hearing.
Article 2 In cases where the arbitral tribunal decides to conduct a virtual hearing, the parties, arbitration agents and other arbitration participants will be deemed to be in default if they fail to take part in the virtual hearing on schedule without showing sufficient cause after being duly notified. During an on-going virtual hearing, they will be deemed to withdraw from the hearing if they are deliberately off-screen without the tribunal’s permission.
If the Claimant fails to appear in a virtual hearing or withdraws from an on-going virtual hearing without justifiable reasons, 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.
If the Respondent fails to appear in a virtual hearing or withdraws from an on-going virtual hearing without justifiable reasons, 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 3 The parties, arbitration agents and other arbitration participants, when taking part in a virtual hearing, shall be at a location that can satisfy the requirements of confidentiality and privacy. Such location shall be free from interruptions, and with good illumination and network signals.
It is forbidden for the participants to take part in a virtual hearing at public locations such as Internet cafes, shopping malls, squares, etc., which may affect the sound and image effects of the hearing, or may impair the seriousness of the hearing. It is forbidden to take part in a virtual hearing while the participant is driving a vehicle, or under drunkenness and other abnormal mental status.
The parties, arbitration agents and other arbitration participants shall inform CIETAC in advance of the specific location at which they will participate in the virtual hearing.
The parties, arbitration agents and other arbitration participants shall conduct pre-hearing tests at a specified time to ensure that the equipments are functional and the audio/video transmission is smooth and stable.
Article 4 The parties, arbitration agents and other arbitration participants shall dress properly when participating in a virtual hearing, and shall ensure that their heads and faces are fully shown in a reasonable area of the screen.
Article 5 The parties, arbitration agents and other arbitration participants shall mute or turn off other communication equipments during the virtual hearing, and shall observe the rules and etiquette of the hearing.
The following acts are forbidden:
(1) Any unauthorized audio/video recording;
(2) Disseminate information of the hearing in any way including by message, pictures, audio, and video etc.;
(3) Allow persons who are not authorized by the parties or approved by the arbitral tribunal to attend the hearing in any manner, and seek advice or discuss the case with such persons;
(4) Make or receive calls; and
(5) Other acts that may obstruct the proceeding of the virtual hearing.
Article 6 Witnesses, experts and appraisers shall take part in the virtual hearing at a place designated or approved by the arbitral tribunal. In principle, they are not allowed to participate in the hearing in the same room with the parties, their agents and other arbitration participants.
A party applying for a witness to appear in the virtual hearing shall submit a written application within the time limit provided by the arbitral tribunal. Witnesses shall only attend the virtual hearing with the approval of the arbitral tribunal and shall withdraw from the hearing when the arbitral tribunal so requests.
Experts and appraisers shall give professional opinions upon the requests of the arbitral tribunal during the virtual hearing, before or after which they shall not audit the hearing.
Article 7 The arbitrator(s), the parties, arbitration agents, other arbitration participants, the case manager and stenographer shall sign the transcript by using the electronic signature function of the operating system of the virtual hearing.
Article 8 These Provisions shall be interpreted by the Arbitration Court of CIETAC.
