如何在香港国际仲裁中心机构仲裁规则项下提交仲裁?

HKIAC Administered Arbitration Rules:

Submitting a Dispute to Arbitration

如何在香港国际仲裁中心机构仲裁规则项下提交仲裁

The information provided below concerns the requirements for initiating an arbitration under the 2018 HKIAC Administered Arbitration Rules (the “Rules”) only. It is therefore subject to the parties’ agreement as well as any applicable laws, including those of the seat of arbitration, the arbitration agreement and the intended jurisdiction of enforcement, all of which may add a further layer of requirements on top of the Rules.

本文内容仅涉及在2018年版《香港国际仲裁中心机构仲裁规则》（以下称“《规则》”）项下开始一项仲裁的相关要求。并且该内容取决于当事人的约定以及所适用的法律，不同的仲裁地、仲裁协议以及仲裁的执行管辖地均可能在本文的基础上赋予当事人额外的要求。

The commencement of an arbitration represents the starting point for the arbitral process. This is a critical step as the commencement is relevant to timing issues (including limitation periods) and a party commencing an arbitration generally precludes the possibility of referring the same dispute to a court.

仲裁的启动意味着仲裁程序的开始。仲裁的启动是一个非常重要的环节，因为启动一项仲裁涉及到相关的时限问题（包括诉讼时效），且当事人启动仲裁程序后往往会排除将同一争议事项提交法院的可能性。

To initiate an arbitration under the Rules, a party or its legal representative must submit a Notice of Arbitration (the “Notice”) to HKIAC under Article 4.1 of the Rules. The Notice of Arbitration serves several important functions, including: (a) setting out the claims to be determined in the arbitration which in turn determines the scope of the arbitral tribunal’s jurisdiction; (b) putting the respondent and HKIAC on notice that the arbitral proceedings have commenced; and (c) giving the respondent an initial opportunity to consider its defence and any counterclaim.

若当事人及其代理人有意在《规则》项下启动一项仲裁，需根据《规则》第4.1款的规定向香港国际仲裁中心（下称“本中心”）提交一份《仲裁通知》。该《仲裁通知》有如下几个重要的作用，即：（1）将仲裁请求提交至有管辖权的仲裁庭进行裁决；（2）通知被申请人及本中心仲裁程序已启动；以及（3）给予被申请人初步考虑仲裁答辩及反请求的机会。

This article provides a brief overview with respect to the commencement of an HKIAC arbitration under the Rules.

本文将就如何在本中心《规则》项下启动仲裁作出概述。

Form 形式要求

Pursuant to Articles 2.16 and 4.1 of the Rules, the Notice must be in writing. However, Article 4 of the Rules does not require a Notice to be submitted in any particular form, nor does it require the Notice to be signed or notarized. A Notice may vary in style and format as long as it includes the required content set out in Article 4.3. Further, the claimant can decide how to present its case in the Notice and which supporting documents to attach. In practice, most Notices are relatively short documents in which the claimant reserves the right to particularize its case in subsequent written submissions.

依据《规则》第2.16款及4.1款的相关规定，《仲裁通知》需使用书面形式。但是根据《规则》第4条的规定，该《仲裁通知》无需采用特定的格式撰写，也无需签署或公证。只要确保《仲裁通知》包含《规则》第4.3款中所列举的必要内容，其形式可以是多样的。另外，申请人可自行决定如何提交该《仲裁通知》及其附随的辅助材料。在实践中，多数申请人会选择提交简短的书面《仲裁通知》，并在其中注明保留其进一步主张的权利。

The Notice must be submitted in the language of the arbitration as agreed by the parties. If no agreement has been reached between the parties, the Notice of Arbitration shall be submitted in either English or Chinese.

《仲裁通知》应使用当事人约定的仲裁语言书写并提交。若当事人未就仲裁语言达成一致意见，则该《仲裁通知》应使用英语或中文提交。

Content 内容要求

Article 4.3 details the information required in the Notice. This content ensures that the Notice contains sufficient detail to enable HKIAC and the respondent to proceed to the next step of the arbitration. In particular, Article 4.3 of the Rules provides that the Notice shall include:

《规则》第4.3款的规定细化了《仲裁通知》中的内容要求，并确保《仲裁通知》中能包含足够的信息使本中心及被申请人可据此进一步推进仲裁程序。具体而言，根据《规则》第4.3款的规定，《仲裁通知》应包含以下内容：

(a)   a request that the dispute be referred to arbitration; 将争议提交仲裁的请求；

(b)   the names and (in so far as known) the addresses, facsimile numbers and/or email addresses of the parties and of their representatives; 各方当事人及其代理人的名称、（所能知道的）地址、传真号码及/ 或电子邮件地址；

(c) a copy of the arbitration agreement(s) invoked; 所援引的仲裁协议的复本；

(d) a copy of the contract(s) or other legal instrument(s) out of or in relation to which the dispute arises, or reference thereto; 引发争议或与争议有关的一份或多份合同或其他法律文件的复本，或指明该合同或其他法律文件；

(e)   a description of the general nature of the claim and an indication of the amount involved, if any; 仲裁请求的基本性质的描述及所涉金额（如有）；

(f)    the relief or remedy sought; 寻求的救济或补救；

(g)   a proposal as to the number of arbitrators (i.e. one or three), if the parties have not previously agreed thereon; 若当事人事先未约定仲裁员人数，建议的仲裁员人数（即一名或三名）；

(h) the Claimant's proposal and any comments regarding the designation of a sole arbitrator under Article 7, or the Claimant's designation of an arbitrator under Article 8; 申请人有关提名第7条所述的独任仲裁员的建议或任何评述，或根据第8条提名的一位仲裁员；

(i) the existence of any funding agreement and the identity of any third party funder pursuant to Article 44; and 根据第44条的规定，披露是否存在资助协议和任何出资第三方的身份；及

(j) confirmation that copies of the Notice of Arbitration and any supporting materials included with it have been or are being communicated simultaneously to the respondent by one or more means of service to be identified in such confirmation. 确认仲裁通知及其所附的辅助材料的复本已经或正在依注明的一种或几种方式同时向被申请人传送。

Normally HKIAC will require the Notice to include all the information listed in Article 4.3 in order to consider a Notice complete. However, in some circumstances, HKIAC may proceed despite the absence of certain information and will communicate this to the claimant. An incomplete Notice will face the consequences set out in Article 4.6 of the Rules.

本中心通常要求一份完整的《仲裁通知》应包含《规则》第4.3款中列举的所有信息。但有时本中心也会在某些信息缺失的情况下继续推进程序，并同时要求申请人将该等缺失信息补齐。提交不完整的《仲裁通知》将会导致《规则》第4.6款规定的相关后果。

The Rules do not require a party representative to furnish proof of his or her authority (e.g., a power of attorney) unless the arbitral tribunal or HKIAC directs him or her to do so. In practice, an arbitral tribunal and HKIAC rarely ask a party's counsel to provide proof of authority.

本中心的《规则》不要求当事人的代理人证明其代理权限（例如：提交授权委托书），除非仲裁庭或本中心要求其提供相关证明。在实践中，仲裁庭及本中心很少要求当事人代理人提供其代理权限的相关证明。

HKIAC will accept a Notice sent to its postal address, facsimile number, or email address.

本中心接受寄送至我们邮寄地址、传真及电邮的《仲裁通知》。

In practice, the claimant often emails a copy of the Notice to HKIAC, followed by a hard copy which can be delivered by hand, registered post or courier. Delivery through email is increasingly used to avoid any delay of service. In addition to email delivery, some parties still provide hard copies by post or fax to ensure effective delivery of the Notice.

在实践中，申请人通常会使用电邮的方式向本中心寄送《仲裁通知》的复本，并配合使用亲自递送、挂号信或快递的方式将《仲裁通知》的复本送达本中心。电邮的方式可有效避免送达的延迟，因此被越来越多的当事人所采用。除此之外，一些当事人仍会使用邮寄或传真的方式以确保《仲裁通知》能够有效的送达。

In general, HKIAC will process the Notice and send a first letter to the parties within one to two business days.

通常情况下，本中心将会于收到《仲裁通知》之日起1至2个工作日内向当事人寄送第一封信函。

After the claimant provides the confirmation of service required by Article 4.3(j), it must submit documentary evidence to prove the date of receipt by the respondent. This particular date is required to establish: (a) the due date for the respondent to submit the Answer; and (b) the due date for the parties to agree on the method for paying the arbitral tribunal’s fees.

待申请人确认已依据《规则》第4.3（j）款的规定向被申请人寄送《仲裁通知》后，其另需提供将《仲裁通知》成功送达被申请人的核实文件以证明被申请人签收文件的确切日期。该确切签收日期关系到以下日期的确定：（1）被申请人提交《对仲裁通知的答复》的截止日期；及（2）当事人就仲裁庭收费方式是否能协商一致的截止日期。

The types of documentary evidence submitted by claimants in practice include: (a) email delivery or read receipts; (b) fax transmission reports; (c) courier delivery status reports; and (d) acknowledgement slips for hand delivery. These documents must state clearly the date of receipt, the identity of the recipient, and the number or address used for delivery.

申请人所提供的核实文件类型包括：（1）邮件送达后的回执；（2）传真的送达报告；（3）快递的投递记录；以及（4）亲自递送所收到的回执。这些核实文件应显示确切的签收日期、具体的签收人以及确切地址或号码。

When submitting the Notice, the claimant must pay the registration fee in the amount set by HKIAC on its website on the date the Notice is submitted. At the time of writing, HKIAC’s Registration Fee is HK$8,000.

The Registration Fee is to cover primarily the work undertaken by HKIAC to review the Notice and provide instructions to the parties regarding the next steps in the arbitration. Pursuant to paragraph 1.2 of Schedule 1 of the Rules, the Registration Fee is not refundable save in exceptional circumstances as determined by HKIAC in its sole discretion. HKIAC will not refund the fee if the claimant subsequently withdraws its Notice.

提交仲裁通知的同时，申请人应按本中心设定的，并于《仲裁通知》提交之日公布于其网站上的金额缴付受理费。本中心现行受理费为8,000港元。该受理费主要用于本中心对《仲裁通知》的审核以及与当事人就如何推进仲裁程序进行沟通。根据《规则》附录一第1.2段的规定，该受理费是不予退还的，除非本中心在例外情形下根据其完全自由裁量权另作决定。若当事人最终撤回了其仲裁申请，本中心对该受理费亦不予以退还。

The claimant can pay the Registration Fee through three methods: that is, cheque, bank transfer, or PayPal. Further details about these payment methods are available on HKIAC’s website. After making the payment, the claimant should provide proof with the identity of the payer, the names of the parties, and any other information that will help track the payment.

申请人可通过三种途径支付受理费，即：使用支票、银行转账或PayPal来支付。本中心的官网上载有更多关于支付方式的详细内容用以参考。申请人应于付款后向本中心提供载有付款人、当事人名称及其他有用信息的付款凭证以便于查找该款项。

If the claimant fails to pay the Registration Fee at the time of filing the Notice, it will be given a short period of time to make the payment. If the Registration Fee remains unpaid after this time period expires, HKIAC will notify the parties that the Notice will be deemed to not be validly submitted pursuant to Article 4.6 and the arbitration will be deemed not to have commenced.

若申请人未在规定的期限内缴付受理费，本中心可要求申请人在适用的期限内进行补缴。若申请人在该期限内仍未补缴受理费，则本中心会告知当事人由于《仲裁通知》未予有效提交故本仲裁将视为尚未依《规则》第4.6款的相关规定启动。

As soon as practicable after receipt of the Notice of Arbitration by the respondent, HKIAC shall, in principle, request the claimant and the respondent each to deposit with HKIAC an equal amount as an advance for (a) HKIAC’s Administrative Fees and (b) the Fees and Expenses of the Arbitral Tribunal.

一旦确认被申请人已切实收到了《仲裁通知》，本中心原则上将会要求当事人平均分摊本中心的管理费：（1）本中心管理费的预付款；以及（2）仲裁庭费用及开支的预付款。

As a general rule, HKIAC will request the initial deposits from each side in equal shares within fifteen days from receipt of the Notice by the respondent. This practice is to ensure that HKIAC holds sufficient funds at the earliest possible stage of the proceedings, so there is security to pay the fees, if any, of HKIAC and the arbitral tribunal even if the parties settle at a very early stage of the arbitration. HKIAC may refuse to transmit the case file to the arbitral tribunal until all deposits requested have been paid (see Article 5.4).

本中心通常会要求当事人于被申请人收到《仲裁通知》之日起15日内缴付首期预付款。该实践是为了确保本中心及仲裁庭尽早地获得费用担保，以便于在当事人于仲裁程序早期即达成和解的情况下亦能收取费用。本中心在所有预付款未缴付完毕前通常不会将案卷材料转递予仲裁庭。（请参见《规则》第5.4款的相关规定）

HKIAC’s Administrative Fees are calculated based on percentage of the total amount in dispute, in accordance with the Fee Schedule set out at Schedule 1 of the Rules (HKIAC also provides an online calculator on its website). As a large part of HKIAC’s work is undertaken at the early stage of the arbitration (i.e. from the commencement of the arbitration to and including the constitution of the arbitral tribunal), HKIAC asks for the full amount of its Administrative Fees as part of the initial deposits to cover this work.

本中心管理费的金额主要依据《规则》附录一按照涉案金额的比例进行计算（本中心在网站上提供了在线计费的计算器供当事人使用）。由于本中心的大部分工作均在仲裁程序的起始阶段完成（即自仲裁程序的启动直至仲裁庭组成），因此本中心将全额收取管理费作为首期预付款用以支付其工作。

At the time of writing, time of writing, HKIAC will normally request each side to pay HK$50,000 in deposits to cover the initial fees and expenses of a sole arbitrator. For a three-member arbitral tribunal, HKIAC will usually ask each side to pay HK$100,000.

本中心现今通常会向当事人每一方收取50,000港元作为预付款用以支付独任仲裁庭的费用。同时，若碰到由三位仲裁员组成的合议庭时，本中心通常会向每一方收取100,000港元作为预付款。

来源：香港国际仲裁中心HKIAC