Hainan International Arbitration Court

Rules for Assisting ad hoc Arbitration

(Provisional)

Table of Contents

Article 1  Purpose

Article 2  Scope of Application

Article 3  Assistance

Article 4  Initiation of Assistance

Article 5  Number of Arbitrators

Article 6  Appointment of Arbitrators and Formation of Arbitral Tribunal

Article 7  Disclosure by Arbitrators

Article 8  Challenge of Arbitrators

Article 9  Replacement of Arbitrators

Article 10  Rules of ad hoc Arbitration

Article 11  Seat of Arbitration

Article 12  Confirmation of Arbitral Awards or Mediation Statements

Article 13  Secretarial Services for ad hoc Arbitration

Article 14  Collection of Service Fees

Article 15  Exclusion of Liabilities

Article 16  Supplementary Provisions

Appendices:  

Appendix 1  Hainan International Arbitration Court Fee Schedule for Assisting ad hoc Arbitration

Appendix 2  Statement of Arbitrators

Hainan International Arbitration Court

Rules for Assisting ad hoc Arbitration

(Provisional)

 Article 1  Purpose

In order to improve the commercial arbitration system in the Hainan Free Trade Port (“the Hainan FTP”), facilitate the establishment of Hainan international commercial dispute resolution center, refine the law-governing, internationalized, and facilitative business environment, promote the economic and social development of the Hainan FTP and international economic and trade exchanges, these Rules are made in accordance with Article 83 of the Hainan Free Trade Port Law of the People's Republic of China and Article 82 of the Arbitration Rules of Hainan International Arbitration Court (Hainan Arbitration Commission) (hereinafter “HIAC”), which reads "The HIAC may assist in ad hoc arbitration upon the parties' application. The HIAC shall separately prescribe the guidelines and the applicable fee for ad hoc arbitration.”

Article 2  Scope of Application

1.Where the parties agree, or where any international treaty, law or regulation provides, that HIAC is designated as an appointing authority for ad hoc arbitration to provide assistance in matters such as determining the composition of the arbitral tribunal and the number of arbitrators, appointing arbitrator(s) or substitute arbitrator(s), and deciding on a request for challenge of arbitrator(s), these Rules shall apply.

2.In other ad hoc arbitrations where the HIAC is not an appointing authority, if the ad hoc arbitral tribunal, having consulted all parties, requests the HIAC to provide such other assistance as set out in Paragraph 2 of Article 3, the relevant provisions of these Rules shall apply.

Article 3  Assistance

1.The assistance provided by the HIAC as an appointing authority for ad hoc arbitration includes:

(1)    Determining the composition of arbitral tribunal and the number of arbitrator(s);

(2)    Appointing arbitrator(s) or substitute arbitrator(s);

(3)    Deciding on the request for challenge of arbitrator(s).

2.Regardless of whether or not the HIAC serves as an appointing authority for ad hoc arbitration, the HIAC may, upon the application of the ad hoc arbitral tribunal, provide assistance to ad hoc arbitration in the following matters:

(1) Management of financial matters related to the case, including but not limited to collecting arbitration fees on behalf of the arbitral tribunal, arranging payment of the remuneration of arbitrators, and expenses actually incurred;

(2) Hearing-related services, including but not limited to providing hearing venues and facilities, providing video conferencing facilities, arranging translation services, court stenography, etc.;

(3) Secretarial services for arbitral tribunal;

(4) Custody of case papers;

(5) Other services.

Article 4  Initiation of Assistance

1.After the commencement of ad hoc arbitration proceedings, if a party applies to the HIAC for assistance under Paragraph 1 of Article 3 pursuant to agreement or provisions under any international treaty, law or regulation, the following information shall be submitted:

(1) A precise description of the assistance requested;

(2) A copy of the notice of arbitration;

(3) The arbitration clause or arbitration agreement;

(4) Names of the parties and their representatives, contact information, letter of authorization etc.;

(5) Circumstances where the Claimant serves the notice of arbitration on the Respondent;

(6) A summary of the dispute;

(7) Such other information or documents as the HIAC considers necessary.

2.The ad hoc arbitral tribunal, where necessary, may submit a written application to the HIAC for assistance pursuant to Paragraph 2 of Article 3. In such event, depending on the contents of the assistance requested, the HIAC may require the arbitral tribunal to provide one or more items of the following information:

(1) A precise description of the assistance requested;

(2) Names of the parties and their representatives, contact information, number of attendees in the hearing, letter of authorization etc.;

(3) Arbitrator(s)’s name, identity card or passport copy, bank account number, etc.;

(4) A summary of the dispute;

(5) Such other information or documents as the HIAC considers necessary.

3.The HIAC shall accept an application under with Paragraphs 1 and 2 of this Article if it finds that the application meets the requirements for acceptance within 3 days from its receipt of the application.

Article 5  Number of Arbitrators

1.If the parties have agreed on the constituting number of arbitrators of an ad hoc arbitral tribunal, their agreement shall prevail. If there is no such agreement, the rules of ad hoc arbitration shall apply. If the rules of ad hoc arbitration do not provide so, the law of the seat of ad hoc arbitration shall apply.

2.If the number of arbitrators cannot be determined through the above methods and the HIAC serves as the appointing authority for ad hoc arbitration, the HIAC may determine that the arbitral tribunal shall be composed of one or three arbitrators having regard to the circumstances of the case.

Article 6  Appointment of Arbitrators and Formation of Arbitral Tribunal

1.In the event the ad hoc arbitral tribunal is composed of a sole arbitrator, where all parties have failed to agree on the candidate of the arbitrator or where the parties’ agreement is impracticable, any party may request the HIAC to appoint a sole arbitrator to constitute the ad hoc arbitral tribunal within 15 days from the date of receipt of the notice of arbitration by the Respondent.

2.In the event the ad hoc arbitral tribunal is composed of three arbitrators, where all parties have failed to agree on the candidates of the arbitrators or where the parties’ agreement is impracticable, the Claimant and the Respondent shall each nominate an arbitrator, and the said two arbitrators shall jointly nominate a third arbitrator who shall act as the presiding arbitrator, so as to constitute the ad hoc arbitral tribunal.

 Where the Respondent fails to nominate an arbitrator within such time limit as agreed by the parties or, absent any such agreement, within 15 days from the date of receipt of the notice of arbitration by the Respondent, the Claimant may request the HIAC to appoint an arbitrator on behalf of the Respondent. Where the Claimant fails to nominate an arbitrator, the Claimant may also request the HIAC to appoint an arbitrator on behalf of the Claimant.

Where the said two arbitrators fail to jointly nominate a presiding arbitrator within the time limit as agreed by the parties or, absent any such agreement, within 15 days from the date of nominate or appointment of the second arbitrator, the HIAC may, at the request of any party or on its own initiative, appoint a presiding arbitrator.

3.The parties may also jointly agree that all arbitrators of the ad hoc arbitral tribunal be appointed by the HIAC. 

4.Where there are more than one Claimant or more than one Respondent in an arbitration case, the Claimant side or the Respondent side shall negotiate and decide among their side, and jointly nominate an arbitrator or jointly request the HIAC to appoint an arbitrator on their behalf in accordance with Paragraph 2 of this Article.

5.Where the parties have otherwise agreed on the composition of the arbitral tribunal, and where the HIAC serves as the appointing authority for ad hoc arbitration, the HIAC shall appoint arbitrator(s) in accordance with the parties' agreement.

6.Where the parties have agreed on the qualifications of the arbitrators and if it is practicable to implement the agreement, the HIAC shall abide by such agreement of the parties when appointing the arbitrator(s). Where there is no such an agreement, the HIAC shall take an overall consideration of factors such as the appointee’s expertise, experience, nationality, place of residence, and the appointee’s relationship with the nationalities of the parties or other arbitrators.

7. After the HIAC has appointed the arbitrators, it shall promptly notify the parties and all arbitrators of the formation of the arbitral tribunal in writing.

Article 7  Disclosure by Arbitrators

Upon accepting the appointment or nomination, each arbitrator shall sign a statement of independence and impartiality and disclose in writing any circumstances that are likely to lead any party to have justifiable doubts about his or her independence or impartiality. The HIAC shall serve the statement on all parties within 5 days after receipt of it.

Article 8  Challenge of Arbitrators

1.A party wishing to challenge the arbitrator on the basis of circumstances disclosed by the arbitrator shall raise the challenge in writing to the HIAC within 15 days from the date of receipt of the arbitrator’s written disclosure.

2.A party which has justifiable doubts as to the impartiality or independence of an arbitrator may raise challenge in writing and shall state the facts and grounds on which the challenge is based and provide supporting evidence.

A challenge to an arbitrator shall be submitted to the HIAC in writing before the first hearing. A challenge based on circumstances that become known after the first hearing shall be raised in writing within 15 days after the party becomes aware of the circumstances giving rise to the challenge. In cases of an arbitration conducted on paper, a challenge to an arbitrator shall be raised in writing prior to the conclusion of the proceedings.

3.Within 5 days after receiving the application for challenge from a party, the HIAC shall forward the application to the other party, the arbitrator being challenged and other arbitrators.

4.Where a party challenges an arbitrator and the other party concurs with the challenge, the arbitrator shall withdraw from the arbitration. The challenged arbitrator may also resign voluntarily from office. Neither of these circumstances shall imply that the grounds on which the challenge is based are established.

5.Where the other party does not agree or the challenged arbitrator does not resign voluntarily within 15 days after having been  forwarded the challenge application, the HIAC shall make a decision within 30 days after forwarding the challenge application and promptly communicate the decision to the parties and the arbitrators.

Article 9  Replacement of Arbitrators

1.If an arbitrator fails to act or is de jure or de facto unable to perform his or her duties as an arbitrator, a party may apply for replacement of the arbitrator. 

2.If the HIAC decides that an arbitrator should be withdrawn or the arbitrator resigns on his or her own initiative, a party may also apply for replacement of the arbitrator.

3.If an arbitrator is to be replaced during the arbitration proceedings, a substitute arbitrator shall be nominated or appointed afresh in the same manner as the replaced arbitrator was nominated or appointed.

4.After the substitute arbitrator is nominated or appointed, the ad hoc arbitral tribunal shall decide whether to re-hear the case and the scope of the rehearing.

Article 10  Rules of ad hoc Arbitration

Where the parties have agreed on the rules of ad hoc arbitration, such rules shall apply. In the absence of such an agreement, the ad hoc arbitral tribunal may make rules on its own or determine the applicable ad hoc arbitration rules. except for those that cannot be implemented or are in conflict with the mandatory provisions of the law.

Article 11  Seat of Arbitration

The parties may agree on the seat of ad hoc arbitration. Where the parties have not agreed on the seat of arbitration or the agreed seat of arbitration is ambiguous, the ad hoc arbitral tribunal shall determine the seat of arbitration taking into account of the specific circumstances of the case and having overall consideration of factors such as the arbitration procedural law, the substantive applicable law, and the judicial protection of the prospective seat of arbitration.

Article 12  Confirmation of Arbitral Awards or Mediation Statements

1.The ad hoc arbitral tribunal independently renders its arbitral award. Where the parties reach a settlement agreement, the ad hoc arbitral tribunal may render a mediation statement or a consent award in accordance with the content of the settlement agreement.

2.Where the parties unanimously agree that the HIAC is to confirm the ad hoc arbitral award or mediation statement, the HIAC shall abide by the agreement. Any party may pursuant to such agreement request the arbitral tribunal to forward the arbitral award or mediation statement to the HIAC for confirmation, and the requesting party shall pay the deposit of the corresponding fees in advance.

3.Within 30 days from the date of acceptance, the HIAC shall make a decision on the application. If the confirmation is granted, the HIAC shall indicate the date of confirmation on the award or mediation statement, affix the seal of the HIAC, and serve the same on the parties. If confirmation is not granted, the deposit of fees shall be refunded save the expenses already incurred. The HIAC is not obliged to give any reason for the grant or refusal of the confirmation.

4.The confirmation made by the HIAC on the arbitral award or mediation statement rendered by the ad hoc arbitral tribunal shall not affect the validity which it should enjoy under the ad hoc arbitration rules or the laws of the seat of the ad hoc arbitration.

Article 13  Secretarial Services for ad hoc Arbitration

1.Upon request of the ad hoc arbitral tribunal, the HIAC may designate a tribunal secretary to provide assistance.

2.When designating a tribunal secretary, the HIAC shall consider factors such as the type and complexity of the case, the nationalities of the parties to the arbitration agreement, and the nationalities of the arbitrators.

3.Articles 7, 8, and 9 shall apply mutatis mutandis to the information disclosure, challenge, and replacement of a tribunal secretary.

Article 14  Collection of Service Fees

1.The fees incurred by the HIAC in providing assistance under Article 3 shall be paid, in accordance with the HIAC’s Fee Schedule for Assisting ad hoc Arbitration appended hereto as Appendix 1, by the requesting party in advance. Where assistance is requested by the ad hoc arbitral tribunal, the ad hoc arbitral tribunal shall direct the relevant parties to pay to the HIAC a deposit of the fees in advance. Unless otherwise agreed by the parties, the above fees shall be part of the arbitration costs. The particular proportion of allocation of the costs shall be determined by the ad hoc arbitral tribunal in the award having regard to the particular circumstances of the case.

2.The parties shall be jointly and severally liable for the fees specified in this Article. Except for disbursing deposit of fees to the arbitrators or refunding fees to the parties in accordance with the decision of an ad hoc arbitral tribunal, the HIAC shall not be obliged to make any payment to the ad hoc arbitral tribunal or any party.

Article 15  Exclusion of Liabilities

Unless otherwise provided by the laws of the seat of ad hoc arbitration, the HIAC and its staff shall not bear any legal liability in relation to assistance provided under these Rules.

Article 16  Supplementary Provisions

1.These Rules shall be interpreted by the HIAC.

2.These Rules shall take effect on 1 November 2023.

Appendix 1

Hainan International Arbitration Court

Fee Schedule for Assisting ad hoc Arbitration

1. If the HIAC determines the composition of arbitral tribunal and the number of arbitrators in accordance with these Rules, a fee of 2,000 RMB (Chinese Yuan, the same below) shall be charged per decision.

2. If the HIAC appoints an arbitrator or substitute arbitrator in accordance with these Rules, a fee of 4,000 RMB shall be charged for each appointment of one arbitrator.

3. If the HIAC makes a decision on whether an arbitrator should withdraw from his/her office in accordance with these Rules, a fee of 4,000 RMB shall be charged per decision.

4. If the HIAC provides assistance in managing the financial matters related to a case, a fee of 3,000 RMB shall be charged per case.

5. If the HIAC provides a hearing venue and facilities, a fee of 3,000 RMB per room every 4 hours shall be charged. For duration of use less than 4 hours, the fee shall be charged pro rata.

6. If the HIAC provides translation or hearing stenography assistance by its staff, a fee of 2,000 RMB shall be charged every 4 hours.

7. If the HIAC provides assistance by furnishing a tribunal secretary, a fee of 1,000 RMB per hour shall be charged.

8. If the HIAC provides assistance in custody of case papers, a fee of 1,000 RMB per case shall be charged.

9. If the HIAC confirms an ad hoc arbitral award or a mediation statement, a fee of 5,000 RMB per case shall be charged.

10. Other assistance service fees shall be determined by the HIAC having regard to the particular circumstances of the case.

Appendix 2

Statement of Arbitrators

Case Number:

Claimant:

Claimant's Representative(s):

Respondent:

Respondent's Representative(s):

Acceptance Declaration

□  I confirm that I accept the nomination/appointment as an arbitrator in the ad hoc arbitration case. I am aware of the requirements of applicable laws and arbitration rules, and I undertake to perform the duties of an arbitrator independently, impartially, efficiently and diligently, in accordance with the requirements.

Independence Declaration

(If you accept the designation/appointment, please select one of the following options)

□     I declare that I am independent of both parties to the ad hoc arbitration case and will conduct the case independently, impartially, efficiently and diligently.

I also confirm that, to the best of my knowledge, there exist no facts or circumstances that may give rise to justifiable doubts as to my independence or impartiality.

or

□  I declare that, prior to accepting the nomination/appointment, I considers that there exist no circumstances that disqualify me from being an arbitrator under the requirements of relevant laws and arbitration rules. I undertake to perform the duties of an arbitrator independently, impartially, efficiently and diligently. However, I now disclose the following circumstances that may give rise to doubts, on the part of any parties or any party’s representatives, as to my impartiality or independence:

Disclosure Obligation

During the arbitration proceedings, where I become aware of any new circumstances that may give rise to doubts, on the part of any parties or any party’s representatives, as to my independence or impartiality, I shall continue to fulfill my duty of disclosure.

Arbitrator (Signature):

Date: Year/Month/Day

中文版：海南国际仲裁院协助临时仲裁工作规则(试行）