伦敦国际仲裁院(LondonCourtofInternationalArbitration,简称LCIA)是世界领先的解决商事纠纷的国际仲裁机构之一,也是世界上最古老的仲裁机构。LCIA不仅具有悠久的历史、较高的仲裁质量和良好的国际声誉,而且在机构设置、适用法律、仲裁规则、国际合作等方面也颇有特色。近日,LCIA发布2020年版《仲裁规则》,对2014年版本《仲裁规则》进行了修订,并将于2020年10月1日起生效实施,这一修订对“一带一路”纠纷当事人产生了很大吸引力,也是国内仲裁机构借鉴学习的重要参考。
2020年8月,西安仲裁委员会组织专家团队对2020年版的《LCIA仲裁规则》英文版进行翻译,本次翻译工作是西安仲裁委员会研究国际仲裁的一项重要工作,旨在通过对LCIA新版仲裁规则的翻译和学习借鉴,推动西安仲裁委员会仲裁规则的修改工作,进一步加快陕西自贸区仲裁模式的建立和实践,更好的服务“一带一路”及陕西自贸区市场主体,助力西安市法治营商环境及国际化大都市的建设。下一步,西安仲裁委员会将继续翻译LCIA2020年版调解规则,并围绕LCIA仲裁规则、调解规则的修改亮点与如何进一步学习借鉴国际仲裁机构先进经验推动仲裁事业发展等主题举办线上及线下研讨会。
西安仲裁委员会本次对伦敦国际仲裁院2020年版《仲裁规则》的翻译工作,是由西安仲裁委员会联合中国政法大学外国语学院王芳副教授法律翻译团队(刘红、杨梓煜、陈颖丽、李雨纯、穆丽冰)共同完成,在此特别感谢诸位专家为本次翻译工作付出的巨大努力。
伦敦国际仲裁院仲裁规则
自2020年10月1日起生效
目录
1.仲裁申请
2.答辩
3.LCIA仲裁院及书记员
4.书面通讯及期限
5.仲裁庭的组成
6.仲裁员及当事人的国籍
7.当事人及其他提名
8.三方或三方以上当事人
9A.快速组庭
9B.紧急仲裁员
9C.快速委任替换仲裁员
10.撤销及异议
11.提名及替换
12.继续审议的多数权
13.当事人与仲裁庭之间的通讯
14.仲裁程序的进行
14A仲裁庭秘书
15.仲裁的书面阶段
16.仲裁地、审理地点和适用法律
17.仲裁语言
19.开庭审理
20.证人
21.仲裁庭专家
22.附加权利
22A.命令合并/并行仲裁的权力
23.管辖权及权限
24.仲裁费预付
24A.合规
25.临时措施和保全措施
26.仲裁裁决
27.补正裁决及附加裁决
28.仲裁费用和法律费用
29.LCIA仲裁院的决定
30.保密
30A.数据保护
31.责任和管辖权限制条款
32.一般规则
凡以书面形式(无论是否签署)作出或证明有书面形式的任何协议或提交仲裁或委托仲裁的协议以任何方式规定根据伦敦国际仲裁院(LCIA,theLondonCourtofInternationalArbitration)、伦敦仲裁院(theLondonCourtofArbitration)或伦敦法院(theLondonCourt)的规则进行仲裁的,或由伦敦国际仲裁院、伦敦仲裁院或伦敦法院进行仲裁的,应视为当事人均已书面同意,双方之间的仲裁应按照LCIA规则或按照LCIA其后采纳并于仲裁开始之前已经生效的修订过的规则进行,且LCIA规则构成双方协议的一部分(统称“仲裁协议”)。本规则包括序言、条款和索引,以及本规则的附件和费用表,两者均可由LCIA随时另作修订(LCIA规则)。
第1条仲裁申请
Article1RequestforArbitration
1.1任何一方当事人拟按照本规则提请仲裁的(下称“申请人”),应向仲裁院书记员提交书面仲裁申请(下称“申请书”),申请书应包括或附载下列事项:
1.1AnypartywishingtocommencearbitrationundertheLCIARules(the“Claimant")shalldelivertotheRegistraroftheLCIACourt(the“Registrar")awrittenrequestforarbitration(the“Request"),containingoraccompaniedby:
(i)thefullname,nationalityandallcontactdetails(includingemailaddress,postaladdressandtelephonenumber)oftheClaimantforthepurposeofreceivingdeliveryofalldocumentationinthearbitrationinaccordancewithArticle4;andthesameparticularsoftheClaimant’sauthorisedrepresentatives(ifany)andofallotherpartiestothearbitration;
(ii)仲裁申请人为支持其请求而援引的仲裁协议的全部条款(LCIA规则除外),以及载有仲裁条款并与申请人的请求有关的任何合同或其他文件的副本一份;
(ii)thefulltermsoftheArbitrationAgreement(exceptingtheLCIARules)invokedbytheClaimanttosupportitsclaim,togetherwithacopyofanycontractualorotherdocumentationinwhichthosetermsarecontainedandtowhichtheClaimant’sclaimrelates;
(iii)简述争议性质和案情、预估货币金额或价值、争议交易,阐明申请人向仲裁另一方当事人(以下简称“被申请人”)所提出的仲裁请求;
(iii)astatementbrieflysummarisingthenatureandcircumstancesofthedispute,itsestimatedmonetaryamountorvalue,thetransaction(s)atissueandtheclaimadvancedbytheClaimantagainstanyotherpartytothearbitration(eachsuchotherpartybeinghereseparatelydescribedasa“Respondent");
(iv)当事人已经书面同意的或仲裁申请人根据仲裁协议建议的任何关于仲裁程序事项(如仲裁地、仲裁语言、仲裁员人数、仲裁员的资格和身份)的陈述;
(iv)astatementofanyproceduralmattersforthearbitration(suchasthearbitralseat,thelanguage(s)ofthearbitration,thenumberofarbitrators,theirqualificationsandidentities)uponwhichthepartieshavealreadyagreedinwritingorinrespectofwhichtheClaimantmakesanyproposalundertheArbitrationAgreement;
(v)iftheArbitrationAgreement(oranyotherwrittenagreement)howsoevercallsforanyformofpartynominationofarbitrators,thefullname,emailaddress,postaladdressandtelephonenumberoftheClaimant'snominee;
(vi)确认费用表中规定的案件登记费已经或正在支付给LCIA,LCIA未实际收到该项费用的,应当视为仲裁申请未被书记员收悉且依据仲裁协议仲裁程序未启动;
(vi)confirmationthattheregistrationfeeprescribedintheScheduleofCostshasbeenorisbeingpaidtotheLCIA,withoutactualreceiptofwhichtheRequestshallbetreatedbytheRegistrarasnothavingbeendeliveredandthearbitrationasnothavingbeencommencedundertheArbitrationAgreement;and
(vii)确认仲裁申请书副本(包括所有附件)已经或正在按照第4条规定以该确认书中具体指明的一种或多种方式向仲裁的所有其他当事人送达,并在当时或之后尽快提供符合LCIA仲裁院要求的实际送达的证明文件(包括送达日期),或不能按照仲裁院要求实际送达的,应提供任何关于其他有效通知形式的充分信息。
(vii)confirmationthatcopiesoftheRequest(includingallaccompanyingdocuments)havebeenorarebeingdeliveredtoallotherpartiestothearbitrationinaccordancewithArticle4byoneormoremeanstobeidentifiedspecificallyinsuchconfirmation,tobesupportedthenorassoonaspossiblethereafterbydocumentaryproofsatisfactorytotheLCIACourtofactualdelivery(includingthedateofdelivery)or,ifactualdeliveryisdemonstratedtobeimpossibletotheLCIACourt’ssatisfaction,sufficientinformationastoanyothereffectiveformofnotification.
1.2申请人希望根据LCIA规则启动多个仲裁的(无论是针对一名或多名被申请人,或依据一个或多个仲裁协议),可就所有这些仲裁提交一个合并申请,但就每项仲裁而言,须按照LCIA仲裁院要求符合第1.1条之规定。特别是,在任何合并申请中,申请人必须分别确定争议中的估算货币金额或价值、争议交易,以及申请人在每项仲裁中对任何其他当事人提出的仲裁请求。由此提起的每项仲裁均应按照LCIA规则单独进行,除非LCIA仲裁院或仲裁庭另有决定。
1.2AClaimantwishingtocommencemorethanonearbitrationundertheLCIARules(whetheragainstoneormoreRespondentsandunderoneormoreArbitrationAgreements)mayserveacompositeRequestinrespectofallsucharbitrations,providedthattherequirementsofArticle1.1arecompliedwithtothesatisfactionoftheLCIACourtinrespectofeacharbitration.Inparticular,inanycompositeRequesttheClaimantmustidentifyseparatelytheestimatedmonetaryamountorvalueindispute,thetransaction(s)atissueandtheclaimadvancedbytheClaimantagainstanyotherpartyineacharbitration.EacharbitrationsocommencedshallproceedseparatelyandinaccordancewiththeLCIARules,subjecttotheLCIACourtortheArbitralTribunaldeterminingotherwise.
1.3仲裁申请书(包括所有附件)应当根据第4.1条之规定以电子方式提交给书记员。
1.3TheRequest(includingallaccompanyingdocuments)shallbesubmittedtotheRegistrarinelectronicforminaccordancewithArticle4.1.
1.4如LCIA已收到仲裁登记费,则书记员收到以电子方式送达的申请书(包括所有附件)之日应视为仲裁启动之日(下称“启动日”)。如登记费是其后收到的,则仲裁启动日为LCIA实际收到登记费之日。
1.4ThearbitrationshallbetreatedashavingcommencedforallpurposesonthedateuponwhichtheRequest(includingallaccompanyingdocuments)isreceivedelectronicallybytheRegistrar(the“CommencementDate”),providedthattheLCIAhasreceivedtheregistrationfee.WheretheregistrationfeeisreceivedsubsequentlytheCommencementDatewillbethedateoftheLCIA’sactualreceiptoftheregistrationfee.
1.5在启动日后仲裁庭组庭之前的任何时候,LCIA仲裁院可允许申请人补充、变更或修改其请求,以纠正任何计算错误、任何书写或印刷错误、任何歧义或任何类似性质的错误,但要提前给予当事各方合理机会陈述其观点,并依据LCIA仲裁院可以决定的条件。
1.5AtanytimeaftertheCommencementDatebutpriortotheappointmentoftheArbitralTribunaltheLCIACourtmayallowaClaimanttosupplement,modifyoramenditsRequesttocorrectanyerrorincomputation,anyclericalortypographicalerror,anyambiguityoranymistakeofasimilarnature,aftergivingthepartiesareasonableopportunitytostatetheirviewsanduponsuchtermsastheLCIACourtmaydecide.
1.6可以有一名或多名申请人(无论是否有共同代表);在此种情况下,如适当,“申请人”一词应根据仲裁协议做如此解释。
1.6TheremaybeoneormoreClaimants(whetherornotjointlyrepresented);andinsuchevent,whereappropriate,theterm“Claimant”shallbesointerpretedundertheArbitrationAgreement.
Article2Response
2.1在仲裁启动日起28日内,或由LCIA仲裁院根据任何一方的申请或自行决定的较短或较长的期限内(根据第22.5条),被申请人应当向书记员提交一份对仲裁申请的书面答辩书(下称“答辩书”),其中应载有或附有:
2.1Within28daysoftheCommencementDate,orsuchlesserorgreaterperiodtobedeterminedbytheLCIACourtuponapplicationbyanypartyoruponitsowninitiative(pursuanttoArticle22.5),theRespondentshalldelivertotheRegistrarawrittenresponsetotheRequest(the“Response"),containingoraccompaniedby:
(i)theRespondent’sfullname,nationalityandallcontactdetails(includingemailaddress,postaladdressandtelephonenumber)forthepurposeofreceivingdeliveryofalldocumentationinthearbitrationinaccordancewithArticle4andthesameparticularsofitsauthorisedrepresentatives(ifany);
(ii)确认或否认申请人在仲裁申请中提出的全部或部分请求,包括申请人为支持其请求而援引的仲裁协议;
(ii)confirmationordenialofallorpartoftheclaimadvancedbytheClaimantintheRequest,includingtheClaimant’sinvocationoftheArbitrationAgreementinsupportofitsclaim;
(iii)如果没有全部确认,则简述该争议的性质和案情、预估货币金额或价值、争议交易和被申请人提出的答辩,并陈述被申请人针对申请人提出的反请求以及针对其他被申请人提出的交叉请求;
(iii)ifnotfullconfirmation,astatementbrieflysummarisingthenatureandcircumstancesofthedispute,itsestimatedmonetaryamountorvalue,thetransaction(s)atissueandthedefenceadvancedbytheRespondent,andalsoindicatinganycounterclaimadvancedbytheRespondentagainstanyClaimantandanycross-claimagainstanyotherRespondent;
(iv)aresponsetoanystatementofproceduralmattersforthearbitrationcontainedintheRequestunderArticle1.1(iv),includingtheRespondent’sownstatementrelatingtothearbitralseat,thelanguage(s)ofthearbitration,thenumberofarbitrators,theirqualificationsandidentitiesandanyotherproceduralmatteruponwhichthepartieshavealreadyagreedinwritingorinrespectofwhichtheRespondentmakesanyproposalundertheArbitrationAgreement;
(v)iftheArbitrationAgreement(oranyotherwrittenagreement)howsoevercallsforpartynominationofarbitrators,thefullname,emailaddress,postaladdressandtelephonenumberoftheRespondent'snominee;and
(vi)确认答辩书副本(包括所有附件)已经或正在按照第4条规定以该确认书中具体指明的一种或多种方式向仲裁的所有其他当事人送达,并在当时或之后尽快提供符合LCIA仲裁院要求的实际送达的证明文件(包括送达日期),或不能按照LCIA仲裁院要求实际送达的,应提供任何关于其他有效通知形式的充分信息。
(vi)confirmationthatcopiesoftheResponse(includingallaccompanyingdocuments)havebeenorarebeingdeliveredtoallotherpartiestothearbitrationinaccordancewithArticle4byoneormoremeansofdeliverytobeidentifiedspecificallyinsuchconfirmation,tobesupportedthenorassoonaspossiblethereafterbydocumentaryproofsatisfactorytotheLCIACourtofactualdelivery(includingthedateofdelivery)or,ifactualdeliveryisdemonstratedtobeimpossibletotheLCIACourt’ssatisfaction,sufficientinformationastoanyothereffectiveformofnotification.
2.2如果仲裁申请是一个合并申请,被申请人可以就全部或任何仲裁提供一份合并答辩书,但对每项仲裁的答辩须依照LCIA仲裁院的要求符合第2.1条之规定。特别是,在任何合并答辩中,被申请人必须分别指明争议的预估货币金额或价值、争议交易以及被申请人针对仲裁任何其他当事人提出的答辩、反请求或交叉请求。
2.2WheretheRequestisacompositeRequest,theRespondentmayserveacompositeResponseinrespectofalloranyofthearbitrations,providedthattherequirementsofArticle2.1arecompliedwithtothesatisfactionoftheLCIACourtinrespectofeacharbitrationtowhichtheResponseresponds.Inparticular,inanycompositeResponsetheRespondentmustidentifyseparatelytheestimatedmonetaryamountorvalueindispute,thetransaction(s)atissueandthedefence,counterclaimorcross-claimadvancedbytheRespondentagainstanyotherpartytoeacharbitration.
2.3答辩书(包括所有附件)应按照第4.1条以电子形式提交给书记员。
2.3TheResponse(includingallaccompanyingdocuments)shallbesubmittedtotheRegistrarinelectronicforminaccordancewithArticle4.1.
2.4FailuretonominateorproposeanyarbitratorcandidatewithinthetimefordeliveryofaResponseorsuchothertimeperiodasisagreedbythepartiesshallconstituteanirrevocablewaiverofthatparty'sopportunitytonominateorproposeanyarbitratorcandidate.FailuretodeliveranyoranypartofaResponsewithintimeoratallshallnot(byitself)precludetheRespondentfromdenyinganyclaimorfromadvancinganydefence,counterclaimorcross-claiminthearbitration.
2.5在不违反第2.4条的前提下,在仲裁庭组庭之前的任何时候,LCIA仲裁院可允许被申请人补充、变更或修改其答辩书,以纠正任何计算错误、任何书写或印刷错误、任何歧义或任何类似性质的错误,但要提前给予各方当事人合理机会陈述其观点,并依据LCIA仲裁院可以决定的条件。
2.5SubjecttoArticle2.4,atanytimepriortotheappointmentoftheArbitralTribunaltheLCIACourtmayallowapartytosupplement,modifyoramenditsResponsetocorrectanyerrorincomputation,anyclericalortypographicalerror,anyambiguityoranymistakeofasimilarnature,aftergivingthepartiesareasonableopportunitytostatetheirviewsanduponsuchtermsastheLCIACourtmaydecide.
2.6可以有一名或多名被申请人(无论是否有共同代表);在此种情况下,如适当,“被申请人”一词应根据仲裁协议做如此解释。
2.6TheremaybeoneormoreRespondents(whetherornotjointlyrepresented);andinsuchevent,whereappropriate,theterm“Respondent”shallbesointerpretedundertheArbitrationAgreement.
第3条LCIA仲裁院及书记员
Article3LCIACourtandRegistrar
3.1仲裁协议下的LCIA仲裁院的职能应由LCIA仲裁院主席(或任何副主席、名誉副主席或前副主席)履行,或由LCIA仲裁院主席或任何副主席指定的三名或三名以上的LCIA仲裁院成员组成一个部门履行。
3.1ThefunctionsoftheLCIACourtundertheArbitrationAgreementshallbeperformedinitsnamebythePresidentoftheLCIACourt(oranyofitsVicePresidents,HonoraryVicePresidentsorformerVicePresidents)orbyadivisionofthreeormoremembersoftheLCIACourtappointedbyitsPresidentoranyVicePresident(the“LCIACourt”).
3.2仲裁协议下的书记员的职能应由书记员或任何副书记员在LCIA仲裁院的监督下履行。
3.2ThefunctionsoftheRegistrarundertheArbitrationAgreementshallbeperformedunderthesupervisionoftheLCIACourtbytheRegistraroranydeputyRegistrar.
3.3AllcommunicationsinthearbitrationtotheLCIACourtfromanyparty,authorisedrepresentativeofaparty,arbitrator,tribunalsecretaryorexperttotheArbitralTribunalshallbeaddressedtotheRegistrar.AllsuchcommunicationswiththeRegistrarfromanypartyorauthorisedrepresentativeofapartyshallbecopiedtoallotherparties.
Article4WrittenCommunicationsandPeriodsofTime
4.1申请人根据第1.3条提交的仲裁申请书和被申请人根据第2.3条提交的答辩书均应通过电子邮件或其他电子方式,包括经由通过LCIA运行的任何电子档案系统,以电子形式提交。以任何其他方式提交申请书或答辩书的,应事先得到代表LCIA仲裁院的书记员的书面批准。
4.1TheClaimantshallsubmittheRequestunderArticle1.3andtheRespondenttheResponseunderArticle2.3inelectronicform,eitherbyemailorotherelectronicmeansincludingviaanyelectronicfilingsystemoperatedbytheLCIA.PriorwrittenapprovalshouldbesoughtfromtheRegistrar,actingonbehalfoftheLCIACourt,tosubmittheRequestortheResponsebyanyalternativemethod.
4.2除非得到仲裁庭或仲裁庭组庭前代表LCIA仲裁院的书记员的书面批准或指令,否则与仲裁有关的任何书面材料均应通过电子邮件或任何其他提供传输记录的电子通信方式提交。
4.2SavewiththepriorwrittenapprovalordirectionoftheArbitralTribunal,or,priortotheconstitutionoftheArbitralTribunal,theRegistraractingonbehalfoftheLCIACourt,anywrittencommunicationinrelationtothearbitrationshallbedeliveredbyemailoranyotherelectronicmeansofcommunicationthatprovidesarecordofitstransmission.
4.3以电子邮件或其他电子通讯方式交付的,交付应按照约定或一方当事人的指定,以便接收与仲裁协议有关的任何材料。以电子方式向该当事人送达的任何书面材料(包括申请书及答辩书),应视为该当事人已收到。如果没有上述约定或指定或仲裁庭的命令,但双方当事人在以前的交易中经常使用电子方式进行交付,则任何书面材料(包括申请书及答辩书)均可以通过该电子方式交付给一方当事人,并应视为该当事人已收到,但须向LCIA仲裁院或仲裁庭告知该当事人实际无法收到材料的理由,包括电子交付失败通知。尽管如此,LCIA仲裁院或仲裁庭仍可要求将任何书面材料以其认为合适的任何方式送达至当事人的任何地址。
4.3DeliverybyemailorotherelectronicmeansofcommunicationshallbeasagreedordesignatedbyapartyforthepurposeofreceivinganycommunicationinregardtotheArbitrationAgreement.Anywrittencommunication(includingtheRequestandResponse)deliveredtosuchpartybythatelectronicmeansshallbetreatedashavingbeenreceivedbysuchparty.IntheabsenceofsuchagreementordesignationororderbytheArbitralTribunal,ifdeliverybyelectronicmeanshasbeenregularlyusedintheparties’previousdealings,anywrittencommunication(includingtheRequestandResponse)maybedeliveredtoapartybythatelectronicmeansandshallbetreatedashavingbeenreceivedbysuchparty,subjecttotheLCIACourtortheArbitralTribunalbeinginformedofanyreasonwhythecommunicationwillnotactuallybereceivedbysuchpartyincludingelectronicdeliveryfailurenotification.Notwithstandingtheabove,theLCIACourtortheArbitralTribunalmaydirectthatanywrittencommunicationbedeliveredtoapartyatanyaddressandbyanymeansitconsidersappropriate.
4.4Forthepurposeofdeterminingthecommencementofanytimelimit,unlessotherwiseorderedbytheArbitralTribunalortheRegistraractingonbehalfoftheLCIACourt,awrittencommunicationsentbyelectronicmeansshallbetreatedashavingbeenreceivedbyapartyonthedayitistransmitted(suchtimetobedeterminedbyreferencetotherecipient’stimezone).IfdeliverybyanyothermeansispermittedordirectedunderthisArticle4,awrittencommunicationshallbetreatedashavingbeenreceivedbyapartyonthedayitisdelivered(suchtimetobedeterminedbyreferencetotherecipient’stimezone).
4.5Forthepurposeofdeterminingcompliancewithatimelimit,unlessotherwiseorderedbytheArbitralTribunalortheRegistraractingonbehalfoftheLCIACourt,awrittencommunicationshallbetreatedashavingbeenmadebyapartyiftransmittedordeliveredpriortooronthedateoftheexpirationofthetimelimit(suchtimetobedeterminedbyreferencetothesender’stimezone).
4.6Forthepurposeofcalculatingaperiodoftime,suchperiodshallbegintorunonthedayfollowingthedaywhenawrittencommunicationisreceivedbytheaddressee.Ifthelastdayofsuchperiodisanofficialholidayornon-businessdayattheplaceofthataddressee(ortheplaceofthepartyagainstwhomthecalculationoftimeapplies),theperiodshallbeextendeduntilthefirstbusinessdaywhichfollowsthatlastday.Officialholidaysandnon-businessdaysoccurringduringtherunningoftheperiodoftimeshallbeincludedincalculatingthatperiod.
4.7ApartyshallinformtheRegistrar,theArbitralTribunalandallotherpartiesassoonasreasonablypracticalofanychangestoitsfullnameandcontactdetails(includingemailaddress,postaladdressandtelephonenumber)ortothoseofitsauthorisedrepresentatives.
Article5FormationofArbitralTribunal
5.1当事人之间关于申请书或答辩书是否充分的任何争议不影响LCIA仲裁院组成仲裁庭。申请书不完整或未提供答辩书、迟延提供答辩书或答辩书不完整的,不影响仲裁程序的进行。
5.1TheformationoftheArbitralTribunalbytheLCIACourtshallnotbeimpededbyanycontroversybetweenthepartiesrelatingtothesufficiencyoftheRequestortheResponse.TheLCIACourtmayalsoproceedwiththearbitrationnotwithstandingthattheRequestisincompleteortheResponseismissing,lateorincomplete.
5.2“仲裁庭”一词包括独任仲裁员(如适当,包括紧急仲裁员),或多于一名仲裁员时包括全体仲裁员。
5.2Theexpressionthe“ArbitralTribunal”includesasolearbitrator(including,whereappropriate,anEmergencyArbitrator)orallthearbitratorswheremorethanone.
5.3Allarbitratorsshallbeandremainatalltimesimpartialandindependentoftheparties;andnoneshallactinthearbitrationasadvocatefororauthorisedrepresentativeofanyparty.Noarbitratorshallgiveadvicetoanypartyontheparties’disputeortheconductoroutcomeofthearbitration.
5.4BeforeappointmentbytheLCIACourt,eacharbitratorcandidateshallfurnishtotheRegistrar(uponthelatter’srequest)abriefwrittensummaryofhisorherqualificationsandprofessionalpositions(pastandpresent);thecandidateshallalsoagreeinwritingfeeratesconformingtotheScheduleofCosts;thecandidateshallsignawrittendeclarationstating:
(i)whetherthereareanycircumstancescurrentlyknowntothecandidatewhicharelikelytogiveriseinthemindofanypartytoanyjustifiabledoubtsastohisorherimpartialityorindependenceand,ifso,specifyinginfullsuchcircumstancesinthedeclaration;and
(ii)whetherthecandidateisready,willingandabletodevotesufficienttime,diligenceandindustrytoensuretheexpeditiousandefficientconductofthearbitration.ThecandidateshallpromptlyfurnishsuchagreementanddeclarationtotheRegistrar.
5.5Eacharbitratorshallassumeacontinuingduty,untilthearbitrationisfinallyconcluded,forthwithtodiscloseinwritinganycircumstancesbecomingknowntothatarbitratorafterthedateofhisorherwrittendeclaration(underArticle5.4)whicharelikelytogiveriseinthemindofanypartytoanyjustifiabledoubtsastohisorherimpartialityorindependence,tobedeliveredtotheLCIACourt,anyothermembersoftheArbitralTribunalandallpartiesinthearbitration.
5.6LCIA仲裁院应于书记员收到答辩书之后立即组成仲裁庭,如未收到答辩书的,则在仲裁启动日后28日(或根据第22.5条由LCIA仲裁院确定的其他较短或较长的期限)届满之后,立即组成仲裁庭。
5.6TheLCIACourtshallappointtheArbitralTribunalpromptlyfollowingdeliverytotheRegistraroftheResponseor,ifnoResponseisreceived,promptlyafter28daysfromtheCommencementDate(orsuchotherlesserorgreaterperiodtobedeterminedbytheLCIACourtpursuanttoArticle22.5).
5.7任何一方当事人或第三人无法根据仲裁协议指定仲裁员:只有LCIA仲裁院有权指定仲裁员(尽管考虑了各方当事人的任何书面协议或共同提名,或其他候选人或仲裁员的提名)
5.7NopartyorthirdpersonmayappointanyarbitratorundertheArbitrationAgreement:theLCIACourtaloneisempoweredtoappointarbitrators(albeittakingintoaccountanywrittenagreementorjointnominationbythepartiesornominationbytheothercandidatesorarbitrators).
5.8除非当事人另有书面约定,或者LCIA仲裁院依据案情确定组成三人仲裁庭是合适的(或在例外情况下,超过三人),否则应指定独任仲裁员。
5.8AsolearbitratorshallbeappointedunlessthepartieshaveagreedinwritingotherwiseortheLCIACourtdeterminesthatinthecircumstancesathree-membertribunalisappropriate(or,exceptionally,morethanthree).
5.9LCIA仲裁院在指定仲裁员时,应对当事人书面协议的任何具体选择方法或标准予以适当考虑。LCIA仲裁院还应考虑有关争议交易、争议性质与案情、涉案金额或价值、当事人的地点和语言、当事人的数量,以及其认为与本案有关的所有其他因素。
5.9TheLCIACourtshallappointarbitratorswithdueregardforanyparticularmethodorcriteriaofselectionagreedinwritingbytheparties.TheLCIACourtshallalsotakeintoaccountthetransaction(s)atissue,thenatureandcircumstancesofthedispute,itsmonetaryamountorvalue,thelocationandlanguagesoftheparties,thenumberofpartiesandallotherfactorswhichitmayconsiderrelevantinthecircumstances.
5.10只有各方当事人以书面形式同意提名LCIA仲裁院主席为独任或首席仲裁员时,其才有资格被任命为仲裁员;LCIA仲裁院副主席和LCIA董事会主席(后者依职权是LCIA仲裁院成员)只有在任何一方当事人或各方当事人或其他候选人或仲裁员以书面形式提名的情况下才有资格被任命为仲裁员,但此类被提名人不得参与且此后不得参与LCIA仲裁院或LCIA与此仲裁有关的任何职能。
Article6NationalityofArbitratorsandParties
6.1根据书记员的要求,各方当事人应将其国籍通知书记员和所有其他当事人。如果各方当事人国籍不同,独任仲裁员或首席仲裁员不得与任何一方当事人具有相同国籍,除非与仲裁员候选人国籍不同的各方当事人另有书面约定。
6.1UponrequestoftheRegistrar,thepartiesshalleachinformtheRegistrarandallotherpartiesoftheirnationality.Wherethepartiesareofdifferentnationalities,asolearbitratororthepresidingarbitratorshallnothavethesamenationalityasanypartyunlessthepartieswhoarenotofthesamenationalityasthearbitratorcandidateallagreeinwritingotherwise.
6.2就第6.1条而言,自然人的国籍应按照公民身份认定,无论该身份是通过出生、移民或有关国家的其他要求获得的。法人的国籍应按照其成立并拥有有效管理所在地的司法管辖区认定。在一个司法管辖区注册但在另一个司法管辖区拥有有效管理所在地的法人应视为双重司法管辖区的国民。法人当事人的国籍应理解为包括其控股股东或控股权益人的国籍。
6.2ForthepurposesofArticle6.1,inthecaseofanaturalperson,nationalityshallmeancitizenship,whetheracquiredbybirthornaturalisationorotherrequirementsofthenationconcerned.Inthecaseofalegalperson,nationalityshallmeanthejurisdictioninwhichitisincorporatedandhasitsseatofeffectivemanagement.Alegalpersonthatisincorporatedinonejurisdictionbuthasitsseatofeffectivemanagementinanothershallbetreatedasanationalofbothjurisdictions.Thenationalityofapartythatisalegalpersonshallbetreatedasincludingthenationalitiesofitscontrollingshareholdersorinterests.
6.3同时为两个或两个以上国家的公民应视为每一国家的国民;欧洲联盟的公民应被视为其不同成员国的国民,而不应视为具有相同国籍;一国海外领土的公民应视为该领土的国民,而非该国的国民;在一国海外领土注册的法人应视为该领土的国民,而非(仅凭此事实)该国国民或在该国注册的法人。
6.3ApersonwhoisacitizenoftwoormoreStatesshallbetreatedasanationalofeachState;citizensoftheEuropeanUnionshallbetreatedasnationalsofitsdifferentMemberStatesandshallnotbetreatedashavingthesamenationality;acitizenofaState’soverseasterritoryshallbetreatedasanationalofthatterritoryandnotofthatState;andalegalpersonincorporatedinaState’soverseasterritoryshallbetreatedassuchandnot(bysuchfactalone)asanationaloforalegalpersonincorporatedinthatState.
第7条当事人及其它提名
Article7PartyandOtherNominations
7.1如果各方当事人已约定由其中一方或一方以上或由任何第三人指定任何仲裁员(而不是LCIA仲裁院),该协议就所有的目的而言,应视为提名仲裁员的协议。此类被提名人仅可以由LCIA仲裁院在其已符合第5.3-5.5条之规定的前提下指定为仲裁员;如果LCIA仲裁院确定被提名人不符合规定或存在其他不适格的情形,应拒绝指定其为仲裁员。
7.1Ifthepartieshaveagreedhowsoeverthatanyarbitratoristobeappointedbyoneormoreofthemorbyanythirdperson(otherthantheLCIACourt),thatagreementshallbetreatedundertheArbitrationAgreementasanagreementtonominateanarbitratorforallpurposes.SuchnomineemayonlybeappointedbytheLCIACourtasarbitratorsubjecttothatnominee’scompliancewithArticles5.3to5.5;andtheLCIACourtshallrefusetoappointanynomineeifitdeterminesthatthenomineeisnotsocompliantorisotherwiseunsuitable.
7.2如果各方当事人已经以任何方式协议由申请人、被申请人或任何第三人(而不是LCIA仲裁院)提名一名仲裁员,而该提名未在期限内(在申请书中、答辩书中或以其他方式)作出的,LCIA仲裁院可在没有提名的情况下指定仲裁员。LCIA仲裁院可以但没有义务考虑任何延误提名。
7.2WherethepartieshavehowsoeveragreedthattheClaimantortheRespondentoranythirdperson(otherthantheLCIACourt)istonominateanarbitratorandsuchnominationisnotmadewithintime(intheRequest,Responseorotherwise),theLCIACourtmayappointanarbitratornotwithstandingtheabsenceofanomination.TheLCIACourtmay,butshallnotbeobligedto,takeintoconsiderationanylatenomination.
7.3在当事人未达成书面协议的情况下,任何一方当事人不得单方面提名独任仲裁员或首席仲裁员。
7.3IntheabsenceofwrittenagreementbetweentheParties,nopartymayunilaterallynominateasolearbitratororpresidingarbitrator.
第8条三方或三方以上当事人
Article8ThreeorMoreParties
8.1若仲裁协议赋予每一方当事人以任何方式提名一名仲裁员的权利,争议的当事人数量为两方以上且各方并未就争议当事人集体代表组成仲裁庭的两个单独的“当事人”(一方为申请人,另一方为被申请人,每一方提名一位单独的仲裁员)达成书面协议的,LCIA仲裁院应组成仲裁庭,且无需考虑任何一方当事人的权利和提名。
8.1WheretheArbitrationAgreemententitleseachpartyhowsoevertonominateanarbitrator,thepartiestothedisputenumbermorethantwoandsuchpartieshavenotallagreedinwritingthatthedisputantpartiesrepresentcollectivelytwoseparate“sides”fortheformationoftheArbitralTribunal(asClaimantsononesideandRespondentsontheotherside,eachsidenominatingasinglearbitrator),theLCIACourtshallappointtheArbitralTribunalwithoutregardtoanyparty'sentitlementornomination.
8.2在此情况下,就所有目的而言,仲裁协议应被视为当事各方书面同意仲裁庭的提名与委任只能由LCIA仲裁院作出。
8.2Insuchcircumstances,theArbitrationAgreementshallbetreatedforallpurposesasawrittenagreementbythepartiesforthenominationandappointmentoftheArbitralTribunalbytheLCIACourtalone.
第9A条快速组庭
Article9AExpeditedFormationofArbitralTribunal
9.1如遇特别紧急情况,任何一方当事人可以向LCIA仲裁院申请根据第5条快速组成仲裁庭。
9.1Inthecaseofexceptionalurgency,anypartymayapplytotheLCIACourtfortheexpeditedformationoftheArbitralTribunalunderArticle5.
9.2此种申请应以书面方式通过电子形式向书记员提出,并将一份申请书(如由申请人撰写)副本或一份答辩书(如由被申请人撰写)副本一并发送,同时应将此种申请立即交付或通知所有其他仲裁当事人。该申请须阐明因特别紧急情况需要快速组成仲裁庭的具体理由。
9.2SuchanapplicationshallbemadetotheRegistrarinwritingbyelectronicmeans,togetherwithacopyoftheRequest(ifmadebyaClaimant)oracopyoftheResponse(ifmadebyaRespondent),andshallbedeliveredornotifiedforthwithtoallotherpartiestothearbitration.TheapplicationshallsetoutthespecificgroundsforexceptionalurgencyrequiringtheexpeditedformationoftheArbitralTribunal.
9.3LCIA仲裁院应依据情形尽快对申请作出决定。如果申请得到批准,为了组成仲裁庭,LCIA仲裁院可以设定或缩短各方当事人之间的仲裁协议或其他协议中约定的任何时限(根据第22.5条)。
9.3TheLCIACourtshalldeterminetheapplicationasexpeditiouslyaspossibleinthecircumstances.Iftheapplicationisgranted,forthepurposeofformingtheArbitralTribunaltheLCIACourtmaysetorabridgeanyperiodoftimeundertheArbitrationAgreementorotheragreementoftheparties(pursuanttoArticle22.5).
第9B条紧急仲裁员
Article9BEmergencyArbitrator
9.4在始终遵守下文第9.16条的前提下,如果在仲裁庭组庭或快速组庭之前任何时候发生紧急情况(根据第5条或第9A条),任何一方当事人均可向LCIA仲裁院申请立即指定一名临时独任仲裁员在仲裁庭组庭或快速组庭期间进行紧急程序。(即“紧急仲裁员”)。
9.4SubjectalwaystoArticle9.16below,inthecaseofemergencyatanytimepriortotheformationorexpeditedformationoftheArbitralTribunal(underArticles5or9A),anypartymayapplytotheLCIACourtfortheimmediateappointmentofatemporarysolearbitratortoconductemergencyproceedingspendingtheformationorexpeditedformationoftheArbitralTribunal(the“EmergencyArbitrator”).
9.6LCIA仲裁院应依据情形尽快对申请做出决定。如果申请得到批准,在书记员收到申请三日内(或收到申请后尽可能快的)由LCIA仲裁院指定一名紧急仲裁员。第5.1条、第5.7条、第5.9条、第5.10条、第6条、第9C条、第10条及第16.2条(最后一句)应适用于此种指定。紧急仲裁员应遵守第5.3条、第5.4条以及(直到紧急程序最终结束)第5.5条的要求。
9.6TheLCIACourtshalldeterminetheapplicationassoonaspossibleinthecircumstances.Iftheapplicationisgranted,anEmergencyArbitratorshallbeappointedbytheLCIACourtwithinthreedaysoftheRegistrar’sreceiptoftheapplication(orassoonaspossiblethereafter).Articles5.1,5.7,5.9,5.10,6,9C,10and16.2(lastsentence)shallapplytosuchappointment.TheEmergencyArbitratorshallcomplywiththerequirementsofArticles5.3,5.4and(untiltheemergencyproceedingsarefinallyconcluded)Article5.5.
9.7TheEmergencyArbitratormayconducttheemergencyproceedingsinanymannerdeterminedbytheEmergencyArbitratortobeappropriateinthecircumstances,takingaccountofthenatureofsuchemergencyproceedings,theneedtoaffordtoeachparty,ifpossible,anopportunitytobeconsultedontheclaimforemergencyrelief(whetherornotitavailsitselfofsuchopportunity),theclaimandreasonsforemergencyreliefandtheparties’furthersubmissions(ifany).TheEmergencyArbitratorisnotrequiredtoholdanyhearingwiththepartieswhetherinperson,orvirtuallybyconferencecall,videoconferenceorusingothercommunicationstechnologyandmaydecidetheclaimforemergencyreliefonavailabledocumentation.Intheeventofahearing,whichmayconsistofseveralpart-hearings(asdecidedbytheEmergencyArbitrator),Articles16.3,19.2,19.3and19.4shallapply.
9.8紧急仲裁员应尽快对紧急救济请求做出决定,不得晚于指定紧急仲裁员后14日。此期限只能由LCIA仲裁院在特殊情况下(根据第22.5条)或由紧急程序的所有当事人书面同意时方可延长。紧急仲裁员可以作出仲裁庭依据仲裁协议可能作出的任何命令或裁决;此外,紧急仲裁员可以作出任何命令将紧急救济请求的全部或任何部分的审议推迟到仲裁庭(组成后)进行的程序。
9.8TheEmergencyArbitratorshalldecidetheclaimforemergencyreliefassoonaspossible,butnolaterthan14daysfollowingtheEmergencyArbitrator’sappointment.ThisdeadlinemayonlybeextendedbytheLCIACourtinexceptionalcircumstances(pursuanttoArticle22.5)orbythewrittenagreementofallpartiestotheemergencyproceedings.TheEmergencyArbitratormaymakeanyorderorawardwhichtheArbitralTribunalcouldmakeundertheArbitrationAgreement;and,inaddition,maymakeanyorderadjourningtheconsiderationofalloranypartoftheclaimforemergencyrelieftotheproceedingsconductedbytheArbitralTribunal(whenformed).
9.9紧急仲裁员应以书面形式作出命令并说明理由。紧急仲裁员作出的裁决应符合第26.2条的规定,且一经作出,即根据第26.8条作为裁决生效(但须符合第9.11条和第9.12条之规定)。紧急仲裁员应对交付给书记员的任何命令或裁决负责,书记员也应迅速将该命令或裁决以电子形式发送给各方当事人。
9.9AnorderoftheEmergencyArbitratorshallbemadeinwriting,withreasons.AnawardoftheEmergencyArbitratorshallcomplywithArticle26.2and,whenmade,takeeffectasanawardunderArticle26.8(subjecttoArticles9.11and9.12).TheEmergencyArbitratorshallberesponsiblefordeliveringanyorderorawardtotheRegistrar,whoshalltransmitthesamepromptlytothepartiesbyelectronicmeans.
9.10TheSpecialFeepaidshallformapartoftheArbitrationCostsunderArticle28.1,theamountofwhichshallbedeterminedbytheLCIACourt.AnylegalorotherexpensesincurredbyanypartyduringtheemergencyproceedingsshallformapartoftheLegalCostsunderArticle28.3.TheEmergencyArbitratormaydeterminetheamountoftheLegalCostsrelatingtotheemergencyproceedingsandtheproportionsinwhichthepartiesshallbeartheLegalCostsandtheArbitrationCostsoftheemergencyproceedings.Alternatively,theEmergencyArbitratormayleavesuchdeterminationofallorpartofthecostsoftheemergencyproceedingstobedecidedbytheArbitralTribunal.
9.11仲裁庭可以依据任何一方当事人的申请或仲裁庭主动作出命令或裁决全部或部分确认、更改、终止或撤销紧急仲裁员作出的任何命令或裁决(除了将紧急救济请求的任何部分推迟到组成后的仲裁庭的任何命令)。
9.11AnyorderorawardoftheEmergencyArbitrator(apartfromanyorderadjourningtotheArbitralTribunal,whenformed,anypartoftheclaimforemergencyrelief)maybeconfirmed,varied,dischargedorrevoked,inwholeorinpart,byorderorawardmadebytheArbitralTribunaluponapplicationbyanypartyoruponitsowninitiative.
9.12仲裁庭组庭前,紧急仲裁员可以依据任何一方当事人的申请或主动作出下述行为:
9.12PriortotheformationoftheArbitralTribunal,theEmergencyArbitratormay,uponapplicationbyanypartyoruponitsowninitiative:
(i)确认、更改、终止或撤销全部或部分紧急仲裁员作出的任何命令和/或发出一份附加命令;
(i)confirm,vary,dischargeorrevoke,inwholeorinpart,anyorderoftheEmergencyArbitratorand/orissueanadditionalorder;
(ii)更正紧急仲裁员作出的任何裁决中的任何计算错误、书写或印刷错误,任何歧义或类似性质的错误;和/或;
(ii)correctanyerrorincomputation,anyclericalortypographicalerror,anyambiguityoranymistakeofasimilarnatureinanyawardoftheEmergencyArbitrator;and/or
(iii)就在紧急程序中提出但未在紧急仲裁员作出的任何裁决中决定的任何紧急救济请求作出一份附加裁决。
(iii)makeanadditionalawardastoanyclaimforemergencyreliefpresentedintheemergencyproceedingsbutnotdecidedinanyawardoftheEmergencyArbitrator.
9.13虽有第9B条之规定,仲裁庭组庭前,一方当事人可以向有管辖权的国家法院或其他法律机关申请任何临时措施或保全措施;第9B条不应被视为行使该权利的替代办法或替补办法。紧急程序期间,向该法院或法律机关提出的任何申请及其发出的任何命令应立即以书面形式通知紧急仲裁员、书记员及所有其他当事人。
9.13NotwithstandingArticle9B,apartymayapplytoacompetentstatecourtorotherlegalauthorityforanyinterimorconservatorymeasuresbeforetheformationoftheArbitralTribunal;andArticle9Bshallnotbetreatedasanalternativetoorsubstitutefortheexerciseofsuchright.Duringtheemergencyproceedings,anyapplicationtoandanyorderbysuchcourtorauthorityshallbecommunicatedpromptlyinwritingtotheEmergencyArbitrator,theRegistrarandallotherparties.
9.14第3.3条、第4条、第13.1-13.4条、第14.1-14.2条、第14.5条、第14A条、第16条、第17条、第18条、第22.3-22.4条、第23条、第24A条、第25.1条、第25.3条、第28条、第29条、第30条、第30A条、第31条、第32条及附录应适用于紧急程序。除了这些条款和第9B条的明确规定以外,紧急仲裁员和紧急程序中的各方当事人也应遵循仲裁协议中的其他规定,同时认识到若干此类规定不能完全适用或适合于紧急程序。在有关情况下,LCIA仲裁院可以设定或缩短任何此类条款中规定的任何时限(根据第22.5条)。
9.14Articles3.3,4,13.1-13.4,14.1-14.2,14.5,14A,16,17,18,22.3-22.4,23,24A,25.1,25.3,28,29,30,30A,31and32andtheAnnexshallapplytoemergencyproceedings.InadditiontotheprovisionsexpresslysetoutthereandinthisArticle9B,theEmergencyArbitratorandthepartiestotheemergencyproceedingsshallalsobeguidedbyotherprovisionsoftheArbitrationAgreement,whilstrecognisingthatseveralsuchprovisionsmaynotbefullyapplicableorappropriatetoemergencyproceedings.Whereverrelevant,theLCIACourtmaysetorabridgeanyperiodoftimeunderanysuchprovisions(pursuanttoArticle22.5).
9.15LCIA仲裁院有权酌情决定本规则第9B条中未明确规定的有关紧急程序管理的一切事项。
9.15TheLCIACourtshallhavethepowertodecide,atitsdiscretion,allmattersrelatingtotheadministrationoftheemergencyproceedingsnotexpresslyprovidedforinthisArticle9B.
9.16第9B条不适用于以下任一情况:(i)各方当事人已于2014年10月1日前订立仲裁协议且当事各方并未就“选择加入”第9B条达成书面协议;或(ii)各方当事人已在任何时候书面同意“选择退出”第9B条。
9.16Article9Bshallnotapplyifeither:(i)thepartieshaveconcludedtheirarbitrationagreementbefore1October2014andthepartieshavenotagreedinwritingto‘optin’toArticle9B;or(ii)thepartieshaveagreedinwritingatanytimeto‘optout’ofArticle9B.
第9C条快速委任替换仲裁员
Article9CExpeditedAppointmentofReplacementArbitrator
9.17任何一方当事人均可以依据第11条向LCIA仲裁院申请快速委任替换仲裁员。
9.17AnypartymayapplytotheLCIACourttoexpeditetheappointmentofareplacementarbitratorunderArticle11.
9.18此种申请应以书面方式通过电子形式向书记员提出,并立即交付或通知所有其他仲裁当事人;并且申请中应说明请求快速委任替换仲裁员的具体理由。
9.18SuchanapplicationshallbemadeinwritingtotheRegistrarbyelectronicmeans,deliveredornotifiedforthwithtoallotherpartiestothearbitration;anditshallsetoutthespecificgroundsrequiringtheexpeditedappointmentofthereplacementarbitrator.
9.19LCIA仲裁院应依据情形尽快对申请作出决定。如果申请得到批准,为了快速委任替换仲裁员,LCIA仲裁院可以设定或缩短各方当事人之间的仲裁协议或任何其他协议中约定的任何时限(根据第22.5条)。
9.19TheLCIACourtshalldeterminetheapplicationasexpeditiouslyaspossibleinthecircumstances.Iftheapplicationisgranted,forthepurposeofexpeditingtheappointmentofthereplacementarbitratortheLCIACourtmaysetorabridgeanyperiodoftimeintheArbitrationAgreementoranyotheragreementoftheparties(pursuanttoArticle22.5).
第10条撤销及异议
Article10RevocationandChallenges
10.1如果(i)任何仲裁员向LCIA仲裁院发出书面通知拟辞去仲裁员一职,且将副本抄送所有当事人及所有其他仲裁庭成员(如有的话);(ii)任何仲裁员严重染
病、拒绝或不能或不适合担任仲裁员一职;或(iii)存在导致对任何仲裁员的公正性或独立性产生合理怀疑的情形,LCIA仲裁院可以根据仲裁庭所有其他成员的书面请求或任何一方当事人的书面异议,主动撤销该仲裁员的委任。
10.1TheLCIACourtmayrevokeanyarbitrator’sappointmentuponitsowninitiative,atthewrittenrequestofallothermembersoftheArbitralTribunaloruponawrittenchallengebyanypartyif:(i)thatarbitratorgiveswrittennoticetotheLCIACourtofhisorherintenttoresignasarbitrator,tobecopiedtoallpartiesandallothermembersoftheArbitralTribunal(ifany);(ii)thatarbitratorfallsseriouslyill,refusesorbecomesunableorunfittoact;or(iii)circumstancesexistthatgiverisetojustifiabledoubtsastothatarbitrator’simpartialityorindependence.
10.2如果任何仲裁员(i)故意违反仲裁协议;(ii)未能在各方当事人之间处事公平公正;或(iii)未能合理高效、尽职尽责地进行仲裁或参与仲裁,LCIA仲裁院可以根据第10.1条决定该仲裁员不能胜任仲裁员一职。
10.2TheLCIACourtmaydeterminethatanarbitratorisunfittoactunderArticle10.1ifthatarbitrator:(i)actsindeliberateviolationoftheArbitrationAgreement;(ii)doesnotactfairlyorimpartiallyasbetweentheparties;or(iii)doesnotconductorparticipateinthearbitrationwithreasonableefficiency,diligenceandindustry.
10.3一方当事人依据第10.1条对仲裁员提出异议,应于仲裁庭组庭后14天内或(如在其后)在得知第10.1条或第10.2条所述的任何理由后14天内,向LCIA仲裁院、仲裁庭及所有其他当事人以书面形式陈述其异议理由。一方当事人只能以LCIA仲裁院委任仲裁员后其才得知的异议理由为由对其提名或参与指定的仲裁员提出异议。
10.3ApartychallenginganarbitratorunderArticle10.1shall,within14daysoftheformationoftheArbitralTribunalor(iflater)within14daysofbecomingawareofanygroundsdescribedinArticle10.1or10.2,deliverawrittenstatementofthereasonsforitschallengetotheLCIACourt,theArbitralTribunalandallotherparties.Apartymaychallengeanarbitratorwhomithasnominated,orinwhoseappointmentithasparticipated,onlyforreasonsofwhichitbecomesawareaftertheappointmenthasbeenmadebytheLCIACourt.
10.4所有其他当事人收到书面异议书14天内书面同意该异议的,LCIA仲裁院应(无理由)撤销对该仲裁员的委任。
10.4Ifallotherpartiesagreeinwritingtothechallengewithin14daysofreceiptofthewrittenstatement,theLCIACourtshallrevokethatarbitrator’sappointment(withoutreasons).
10.5Unlessthepartiessoagreeorthechallengedarbitratorresignsinwritingwithin14daysofreceiptofthewrittenstatement,theLCIACourtshalldecidethechallenge.TheLCIACourtmayconductthechallengeproceedingsinanymanneritconsiderstobeappropriateinthecircumstancesbutshallinanyeventprovidetheotherpartiesandthechallengedarbitratorareasonableopportunitytocommentonthechallengingparty’swrittenstatement.TheLCIACourtmayrequireatanytimefurtherinformationandmaterialsfromthechallengingparty,thechallengedarbitrator,otherparties,anyauthorisedrepresentativeofaparty,othermembersoftheArbitralTribunalandthetribunalsecretary(ifany).
10.6LCIA仲裁院的决定应以书面形式作出,并附具理由;书记员应将副本传送至各方当事人、受异议的仲裁员及其他仲裁庭成员(如有的话)。若该异议通过,LCIA仲裁院应撤销对该仲裁员的委任。受异议的仲裁员在LCIA仲裁院作出决定之前以书面形式辞职的,不应视为其承认书面异议书的任何部分。
10.6TheLCIACourt’sdecisionshallbemadeinwriting,withreasons;andacopyshallbetransmittedbytheRegistrartotheparties,thechallengedarbitratorandothermembersoftheArbitralTribunal(ifany).Ifthechallengeisupheld,theLCIACourtshallrevokethatarbitrator’sappointment.AchallengedarbitratorwhoresignsinwritingpriortotheLCIACourt’sdecisionshallnotbeconsideredashavingadmittedanypartofthewrittenstatement.
10.7LCIA仲裁院应在其认为合适的情况下,决定就该前仲裁员提供的服务所应支付的费用和开支金额(如有的话)。LCIA仲裁院同样也可以决定任何一方是否应承担异议产生的全部或任何部分费用、支付的金额及支付对象;LCIA仲裁院也可以根据第28条将该费用的全部或任何部分留待仲裁庭和/或LCIA仲裁院日后作出决定。
10.7TheLCIACourtshalldeterminetheamountoffeesandexpenses(ifany)tobepaidfortheformerarbitrator'sservices,asitmayconsiderappropriateinthecircumstances.TheLCIACourtmayalsodeterminewhether,inwhatamountandtowhomanypartyshouldpayalloranypartofthecostsofthechallenge;andtheLCIACourtmayalsoreferalloranypartofsuchcoststothelaterdecisionoftheArbitralTribunaland/ortheLCIACourtunderArticle28.
第11条提名及替换
Article11NominationandReplacement
11.1如果LCIA仲裁院对任何仲裁员候选人的适合性、独立性或公正性存在合理怀疑,或如果提名仲裁员拒绝担任该职,或如果某仲裁员因任何原因被替换,LCIA仲裁院可以决定对于该仲裁委任是否继续遵循初始提名程序。
11.1IntheeventthattheLCIACourtdeterminesthatjustifiabledoubtsexistastoanyarbitratorcandidate’ssuitability,independenceorimpartiality,orifanomineedeclinesappointmentasarbitrator,orifanarbitratoristobereplacedforanyreason,theLCIACourtmaydeterminewhetherornottofollowtheoriginalnominatingprocessforsucharbitralappointment.
11.2若一方当事人未在14天内(或LCIA仲裁院可决定更短或更长的时限内)行使其重新提名的任何机会(根据仲裁协议或其他协议),LCIA仲裁院可以决定该方已放弃该机会,其后应由LCIA仲裁院委任替换仲裁员,无须此种重新提名。
11.2TheLCIACourtmaydeterminethatanyopportunitygiventoapartytomakeanyre-nomination(undertheArbitrationAgreementorotherwise)shallbewaivedifnotexercisedwithin14days(orsuchlesserorgreatertimeastheLCIACourtmaydetermine),afterwhichtheLCIACourtshallappointthereplacementarbitratorwithoutsuchre-nomination.
11.3除作出的任何裁决,仲裁庭(重组后)应决定是否且在多大程度上之前的仲裁
程序有效。
11.3Saveforanyawardrendered,theArbitralTribunal(whenreconstituted)shalldeterminewhether,andifsotowhatextent,thepreviousproceedingsinthearbitrationshallstand.
第12条继续审议的多数权
Article12MajorityPowertoContinueDeliberations
12.1若某位仲裁员无合理理由拒绝参加或持续不参加仲裁庭审议,则其余仲裁员可以就该拒绝或未参加审议共同向LCIA仲裁院、各方当事人及该缺席仲裁员发送书面通知。如遇特殊情况,即使该仲裁员缺席,其余仲裁员仍可以决定继续进行仲裁(包括作出任何裁决),但须经LCIA仲裁院书面批准。
12.2在决定是否继续进行仲裁的过程中,其余仲裁员应考虑仲裁所处阶段、由该缺席仲裁员或其代表人就其拒绝或未参加审议所作的任何解释、对仲裁地作出的任何裁决的法律承认或执行可能产生的影响、以及其余仲裁员认为在当时情况下适当的其他事项。在缺席仲裁员未参与的情况下,其余仲裁员作出的任何裁决书均应说明作出该决定的理由。
12.2Indecidingwhethertocontinuethearbitration,theremainingarbitratorsshalltakeintoaccountthestageofthearbitration,anyexplanationmadebyoronbehalfoftheabsentarbitratorforhisorherrefusalorfailuretoparticipate,thelikelyeffectuponthelegalrecognitionorenforceabilityofanyawardattheseatofthearbitrationandsuchothermattersastheyconsiderappropriateinthecircumstances.Thereasonsforsuchdecisionshallbestatedinanyawardmadebytheremainingarbitratorswithouttheparticipationoftheabsentarbitrator.
12.3如果其余仲裁员就此种拒绝或未参加审议发送书面通知后,在缺席仲裁员不参与的情况下随时决定不继续进行仲裁的,其余仲裁员应将该决定书面通知各方当事人及LCIA仲裁院;在此情况下,其余仲裁员或任何一方当事人均可以根据第10条和第11条之规定将该事宜提交LCIA仲裁院,请求撤销对该缺席仲裁员的委任并委任一位替换仲裁员。
第13条当事人与仲裁庭之间的通讯
Article13CommunicationsbetweenPartiesandArbitralTribunal
13.1仲裁庭组庭后,所有通讯应直接在各方当事人与仲裁庭之间进行(同时抄送书记员),除非仲裁庭决定应该继续通过书记员进行通讯。
13.1FollowingtheformationoftheArbitralTribunal,allcommunicationsshalltakeplacedirectlybetweentheArbitralTribunalandtheparties(tobecopiedtotheRegistrar),unlesstheArbitralTribunaldecidesthatcommunicationsshouldcontinuetobemadethroughtheRegistrar.
13.2如果书记员代表仲裁庭或LCIA仲裁院向一方当事人发送任何书面通讯,书记员应向其他当事人各发送一份副本。
13.2WheretheRegistrarsendsanywrittencommunicationtoonepartyonbehalfoftheArbitralTribunalortheLCIACourt,heorsheshallsendacopytoeachoftheotherparties.
13.3如果任何一方当事人向仲裁庭发送任何通讯(包括第15条列明的书面陈述和文件),其应向每位仲裁员、所有其他当事人及书记员各发送一份副本;且应向仲裁庭书面确认其已经或正在发送该等副本。
13.3WhereanypartydeliverstotheArbitralTribunalanycommunication(includingstatementsanddocumentsunderArticle15)itshalldeliveracopytoeacharbitrator,allotherpartiesandtheRegistrar;anditshallconfirmtotheArbitralTribunalinwritingthatithasdoneorisdoingso.
13.4Duringthearbitrationproceedings,nopartyshalldeliberatelyinitiateorattempttoinitiateanyunilateralcontactrelatingtothearbitrationortheparties’disputewithanymemberoftheLCIACourtexercisinganyfunctioninregardtothearbitrationor,fromtheArbitralTribunal’sformationonwards,anymemberoftheArbitralTribunalorthetribunalsecretary(ifany),whichhasnotbeendisclosedinwritingpriortoorshortlyafterthetimeofsuchcontacttoallotherparties,allmembersoftheArbitralTribunalandtheRegistrar.NotwithstandingArticle3.3,apartymay,however,haveunilateralcontactwiththeRegistrarregardingadministrativematters.
13.5仲裁庭组庭前,除非各方当事人另有书面同意,被要求参与竞选首席仲裁员的任何仲裁员、仲裁员候选人或提名仲裁员可以咨询任何一方当事人,以获得该方当事人对于任何仲裁员候选人或提名仲裁员作为首席仲裁员是否合适的看法,但条件是该仲裁员、仲裁员候选人或提名仲裁员立即将此种咨询通知参与竞选程序的任何其他仲裁员、仲裁员候选人或提名仲裁员以及书记员。
13.5PriortotheArbitralTribunal’sformation,unlessthepartiesagreeotherwiseinwriting,anyarbitrator,candidateornomineewhoisrequiredtoparticipateintheselectionofapresidingarbitratormayconsultanypartyinordertoobtaintheviewsofthatpartyastothesuitabilityofanycandidateornomineeaspresidingarbitrator,providedthatsucharbitrator,candidateornomineepromptlyinformsanyotherarbitrator,candidateornomineeinvolvedintheselectionprocessandtheRegistrarofsuchconsultation.
第14条仲裁程序的进行
Article14ConductofProceedings
14.1根据仲裁协议,仲裁庭在仲裁期间的基本职责应包括:
14.1UndertheArbitrationAgreement,theArbitralTribunal’sgeneraldutiesatalltimesduringthearbitrationshallinclude:
(i)在各方当事人之间公平公正处事,给予各方当事人合理机会陈述其案情并回应对方(一个或多个)陈述;及
(i)adutytoactfairlyandimpartiallyasbetweenallparties,givingeachareasonableopportunityofputtingitscaseanddealingwiththatofitsopponent(s);and
(ii)采用适合仲裁情形的程序,避免不必要的延误及开支,提供公正、高效、快速的方法最终解决当事人之间的争议。
(ii)adutytoadoptproceduressuitabletothecircumstancesofthearbitration,avoidingunnecessarydelayandexpense,soastoprovideafair,efficientandexpeditiousmeansforthefinalresolutionoftheparties'dispute.
14.2仲裁庭应具有最大裁量权履行上述基本职责,但不得违反任何适用法或任何仲裁庭可以决定适用的法律规则的强制性规定;各方当事人应始终本着诚信善意原则采取一切必要行动以便公正、高效、快速地进行仲裁,包括仲裁庭履行其基本职责。
14.2TheArbitralTribunalshallhavethewidestdiscretiontodischargethesegeneralduties,subjecttothemandatoryprovisionsofanyapplicablelaworanyrulesoflawtheArbitralTribunalmaydecidetobeapplicable;andatalltimesthepartiesshalldoeverythingnecessaryingoodfaithforthefair,efficientandexpeditiousconductofthearbitration,includingtheArbitralTribunal’sdischargeofitsgeneralduty.
14.3ThepartiesandtheArbitralTribunalshallmakecontact(whetherbyahearinginpersonorvirtuallybyconferencecall,videoconferenceorusingothercommunicationstechnologyorexchangeofcorrespondence)assoonaspracticablebutnolaterthan21daysfromreceiptoftheRegistrar’swrittennotificationoftheformationoftheArbitralTribunal.
14.4各方当事人可以就进行仲裁的共同提议达成协议,交由仲裁庭审议。
14.4ThepartiesmayagreeonjointproposalsfortheconductoftheirarbitrationforconsiderationbytheArbitralTribunal.
14.5在不损害仲裁庭一般性自由裁量权的情况下,给予各方当事人合理机会陈述其观点后,仲裁庭可以根据LCIA规则就公正、高效、快速进行仲裁作出其认为适当的任何程序命令。
14.5WithoutprejudicetothegeneralityoftheArbitralTribunal’sdiscretion,aftergivingthepartiesareasonableopportunitytostatetheirviews,theArbitralTribunalmay,subjecttotheLCIARules,makeanyproceduralorderitconsidersappropriatewithregardtothefair,efficientandexpeditiousconductofthearbitration.
14.6根据第14.5条之规定,仲裁庭的权力包括通过下述方式作出任何程序性命令以加快仲裁中采用的程序进程:
14.6TheArbitralTribunal’spowerunderArticle14.5includesthemakingofanyproceduralorderwithaviewtoexpeditingtheproceduretobeadoptedinthearbitrationby:
(i)限制根据第15条提交的任何书面陈述的篇幅和内容,或不要求提交;
(i)limitingthelengthorcontentof,ordispensingwith,anywrittenstatementtobedeliveredunderArticle15;
(ii)根据第20.4条,限制任何证人的书面或口头证词;
(ii)limitingthewrittenandoraltestimonyofanywitnessinaccordancewithArticle20.4;
(iii)运用技术提高仲裁(包括任何开庭审理)程序的效率与速度;
(iii)employingtechnologytoenhancetheefficiencyandexpeditiousconductofthearbitration(includinganyhearing);
(iv)根据下文第22.1(vii)条,决定仲裁中任何问题(一个或多个)予以确定的阶段,以及应按照何种顺序;
(iv)decidingthestageofthearbitrationatwhichanyissueorissuesshallbedetermined,andinwhatorder,inaccordancewithArticle22.1(vii)below;
(v)通常在不违反第19条的情况下取消开庭审理;
(v)dispensingwithahearing,subjectalwaystoArticle19;
(vi)根据第22.1(viii)条,行使初期决定的权力;
(vi)exercisingitspowersofEarlyDeterminationunderArticle22.1(viii);
(vii)为任何仲裁阶段或实施步骤设定一个合理的时限,包括任何开庭审理;
(vii)settinganappropriateperiodoftimeforanystageof,orsteptobetakenin,thearbitrationincludingwithregardtotheconductofanyhearing;
(viii)根据第22.1(ii)条,缩短任何时限;及
(viii)abridginganyperiodoftimeinaccordancewithArticle22.1(ii);and
(ix)作出仲裁庭认为适合仲裁情形的任何其他命令。
(ix)makinganyotherorderthattheArbitralTribunalconsidersappropriateinthecircumstancesofthearbitration.
14.7当仲裁庭为非独任仲裁员时,经其他仲裁庭成员及所有各方当事人事先同意,首席仲裁员可以单独作出程序性决定。
14.7InthecaseofanArbitralTribunalotherthanasolearbitrator,thepresidingarbitrator,withtheprioragreementofitsothermembersandallparties,maymakeproceduraldecisionsalone.
第14A条仲裁庭秘书
Article14ATribunalSecretary
14.8SubjecttoArticles14.9to14.15,andtoanyapplicablelaw,anArbitralTribunalmayobtainassistancefromatribunalsecretaryinrelationtoanarbitration.UndernocircumstancesmayanArbitralTribunaldelegateitsdecision-makingfunctiontoatribunalsecretary.Alltaskscarriedoutbyatribunalsecretaryshallbecarriedoutonbehalfof,andunderthesupervisionof,theArbitralTribunalwhichshallretainitsresponsibilitytoensurethatalltasksareperformedtothestandardrequiredbytheLCIARules.
14.9BeforeassistinganArbitralTribunal,eachtribunalsecretarycandidateshallsignawrittendeclarationstating:(i)whetherthereareanycircumstancescurrentlyknowntothecandidatewhicharelikelytogiveriseinthemindofanypartytoanyjustifiabledoubtsastohisorherimpartialityorindependenceand,ifso,specifyinginfullsuchcircumstancesinthedeclaration;and(ii)whetherthecandidateisready,willingandabletodevotesufficienttime,diligenceandindustrytoensuretheexpeditiousandefficientconductofthetaskstobeperformedbythetribunalsecretary.ThecandidateshallfurnishpromptlysuchwrittendeclarationtotheArbitralTribunalandtotheRegistrar.
14.10仲裁庭只有在仲裁庭秘书得到所有各方当事人批准后才能获得其协助。仲裁庭秘书的批准条件为:
14.10AnArbitralTribunalmayonlyobtainassistancefromatribunalsecretaryoncethetribunalsecretaryhasbeenapprovedbyallparties.Atribunalsecretaryisapprovedonce:
(i)各方当事人已商定可由该仲裁庭秘书执行的任务;
(i)thepartieshaveagreedthetasksthatmaybecarriedoutbythetribunalsecretary;
(ii)若按小时收费,且仲裁庭秘书有权报销开支,则已就计时收费及报销权利征得各方当事人同意;
(ii)ifanhourlyrateistobechargedandthetribunalsecretaryistobeentitledtohaveexpensesreimbursed,thepartieshaveagreedtothishourlyrateandentitlementtoreimbursement;
(iii)thewrittendeclarationreferredtoinArticle14.9hasbeenprovidedtotheparties;and
(iv)各方当事人已同意由特定人员担任仲裁庭秘书一职。
(iv)thepartieshaveagreedtotheparticularpersonfillingtheroleoftribunalsecretary.
14.11如果仲裁庭秘书需承担第14.10(i)条所商定的附加任务,或仲裁庭秘书的小时费用需增加的,仲裁庭必须事先获得所有各方当事人的同意。
14.11IfadditionaltaskstothoseagreedunderArticle14.10(i)aretobeundertakenbythetribunalsecretary,orthehourlyratetobechargedbythetribunalsecretaryistoincrease,theArbitralTribunalmustobtainprioragreementfromallparties.
14.12如果一方当事人未在仲裁庭规定的合理时限内提出异议,则该当事人将被视为同意第14.10条及第14.11条所列事项。
14.12ApartywillbedeemedtohaveagreedtothematterssetoutinArticles14.10and14.11ifthatpartyhasnotobjectedwithinsuchreasonabletimeasissetbytheArbitralTribunal.
14.13仲裁庭秘书收取的任何费用或需为其报销的任何花费应构成根据第28.1条LCIA仲裁院确定的仲裁费用(就仲裁费用金额而言)的一部分。
14.13Anyfeeschargedby,orexpensesreimbursedto,atribunalsecretaryshallformapartoftheArbitrationCostsdeterminedbytheLCIACourt(astotheamountofArbitrationCosts)underArticle28.1.
14.14Atribunalsecretaryshallassumeacontinuingduty,untilthearbitrationisfinallyconcluded,forthwithtodiscloseinwritinganycircumstancesbecomingknowntothattribunalsecretaryafterthedateofhisorherwrittendeclaration(underArticle14.9)whicharelikelytogiveriseinthemindofanypartytoanyjustifiabledoubtsastohisorherimpartialityorindependence,tobedeliveredtotheLCIACourt,theArbitralTribunalandallpartiesinthearbitration.
14.15仲裁庭对仲裁庭秘书的免职有自由裁量权。上文第10条经必要修改后,亦适用于任何仲裁庭秘书。
14.15AtribunalsecretarymayberemovedbytheArbitralTribunalatitsdiscretion.Article10aboveshallalsoapply,withnecessarychanges,toanytribunalsecretary.
第15条仲裁的书面阶段
Article15WrittenStageoftheArbitration
15.1UnlessthepartieshaveagreedorjointlyproposedinwritingotherwiseortheArbitralTribunalshoulddecidedifferently,thewrittenstageofthearbitrationanditsproceduraltimetableshallbeassetoutinthisArticle15.
15.2Within28daysofreceiptoftheRegistrar’swrittennotificationoftheArbitralTribunal’sformation,theClaimantshalldelivertotheArbitralTribunalandallotherpartieseither:(i)itswrittenelectiontohaveitsRequesttreatedasitsStatementofCasecomplyingwiththisArticle15.2;or(ii)itswrittenStatementofCasesettingoutinsufficientdetailtherelevantfactsandlegalsubmissionsonwhichitrelies,togetherwiththereliefclaimedagainstallotherparties,andalldocumentsreliedupon.
15.3Within28daysofreceiptoftheClaimant’sStatementofCaseortheClaimant’selectiontotreattheRequestasitsStatementofCase,theRespondentshalldelivertotheArbitralTribunalandallotherpartieseither:(i)itswrittenelectiontohaveitsResponsetreatedasitsStatementofDefenceand(ifapplicable)CounterclaimcomplyingwiththisArticle15.3;or(ii)itswrittenStatementofDefenceand(ifapplicable)StatementofCounterclaimsettingoutinsufficientdetailtherelevantfactsandlegalsubmissionsonwhichitrelies,togetherwiththereliefclaimedagainstallotherparties,andalldocumentsreliedupon.
15.4在收到被申请人的答辩书和(如适用)反请求书或被申请人选择将其回复书视为答辩书和(如适用)反请求的通知后28天之内,申请人应向仲裁庭和其他各方当事人提交一份书面答复书以及其所依赖的所有文件,如果有任何反请求,答复书中还应包括一份反请求答辩书,其方式应与答辩书所要求的方式相同。
15.4Within28daysofreceiptoftheRespondent’sStatementofDefenceand(ifapplicable)StatementofCounterclaimortheRespondent’selectiontotreattheResponseasitsStatementofDefenceand(ifapplicable)Counterclaim,theClaimantshalldelivertotheArbitralTribunalandallotherpartiesawrittenStatementofReplywhich,wherethereisanycounterclaim,shallalsoincludeaStatementofDefencetoCounterclaiminthesamemannerrequiredforaStatementofDefence,togetherwithalldocumentsreliedupon.
15.5如果答复书载有反请求答辩书,则被申请人应在收到答复书后的28天之内向仲裁庭和其他各方当事人提交一份针对该反请求答辩书的书面答复书,以及其所依赖的所有文件。
15.5IftheStatementofReplycontainsaStatementofDefencetoCounterclaim,within28daysofitsreceipttheRespondentshalldelivertotheArbitralTribunalandallotherpartiesitswrittenStatementofReplytotheDefencetoCounterclaim,togetherwithalldocumentsreliedupon.
15.6除非仲裁庭另有命令,任何一方不得在提交前述最后一份陈述之后再提交任何书面陈述。
15.6NopartymaysubmitanyfurtherwrittenstatementfollowingthelastoftheseStatements,unlessotherwiseorderedbytheArbitralTribunal.
15.7仲裁庭可就仲裁书面阶段的任何部分作出补充或替代指示,包括但不限于以下指示:
15.7TheArbitralTribunalmayprovideadditionaloralternativedirectionsastoanypartofthewrittenstageofthearbitration,includingbutnotlimitedtodirectionsfor:
(i)进一步提交书面材料;
(i)furtherwrittensubmissions;
(ii)关于任何一方交叉请求的书面陈述;
(ii)writtenstatementswithrespecttoanyparty’scross-claims;
(iii)提供任何事实或专家证人的书面证据;
(iii)theserviceofwrittenevidencefromanyfactorexpertwitness;
(iv)提供任何其他形式的书面证据;以及
(iv)theserviceofanyotherformofwrittenevidence;and
(v)thesequence,timingandcompositionofthewrittenstageofthearbitration.
15.8IftheRespondentfailstosubmitaStatementofDefenceortheClaimantaStatementofDefencetoCounterclaim,orifatanytimeanypartyfailstoavailitselfoftheopportunitytopresentitswrittencaseinthemannerrequiredunderthisArticle15orasotherwiseorderedbytheArbitralTribunal,theArbitralTribunalmayneverthelessproceedwiththearbitration(withorwithoutahearing)andmakeoneormoreawards.
15.9Assoonaspracticablefollowingthewrittenstageofthearbitration,theArbitralTribunalshallproceedinsuchmannerashasbeenagreedinwritingbythepartiesorpursuanttoitsauthorityundertheArbitrationAgreement.
15.10Inanyevent,theArbitralTribunalshallseektomakeitsfinalawardassoonasreasonablypossibleandshallendeavourtodosonolaterthanthreemonthsfollowingthelastsubmissionfromtheparties(whethermadeorallyorinwriting),inaccordancewithatimetablenotifiedtothepartiesandtheRegistrarassoonaspracticable(ifnecessary,asrevisedandre-notifiedfromtimetotime).WhentheArbitralTribunal(notbeingasolearbitrator)establishesatimeforwhatitcontemplatesshallbethelastsubmissionfromtheparties(whetherwrittenororal),itshallsetasideadequatetimefordeliberations(whetherinpersonorotherwise)assoonaspossibleafterthatlastsubmissionandnotifythepartiesofthetimeithassetaside.
第16条仲裁地、审理地点和适用法律
Article16SeatofArbitration,Place(s)ofHearingandApplicableLaw
16.1仲裁庭组庭前的任何时候,各方当事人可以书面约定仲裁地(或法律地点);但仲裁庭组庭后,需经仲裁庭事先书面同意,各方当事人方可以书面约定仲裁地(或法律地点)。
16.1Thepartiesmayagreeinwritingtheseat(orlegalplace)oftheirarbitrationatanytimebeforetheformationoftheArbitralTribunaland,aftersuchformation,withthepriorwrittenconsentoftheArbitralTribunal.
16.2Indefaultofanysuchagreement,theseatofthearbitrationshallbeLondon(England),unlessanduntiltheArbitralTribunalorders,inviewofthecircumstancesandafterhavinggiventhepartiesareasonableopportunitytomakewrittencommentstotheArbitralTribunal,thatanotherarbitralseatismoreappropriate.SuchdefaultseatshallnotbeconsideredasarelevantcircumstancebytheLCIACourtinappointinganyarbitratororEmergencyArbitratorunderArticles5,9A,9B,9Cand11.
16.3如果要当面举行庭审,仲裁庭经与当事人协商,可以在任何地理位置便利的地点举行庭审。如果仲裁庭要亲自会面进行审议,可以自行选择任何地理地点进行。如果在仲裁地以外的其他地点进行庭审或审议,或者如果庭审或审议并非现场进行(全部或部分),则该仲裁在任何情况下仍应被视为在仲裁地进行的仲裁,同时仲裁庭作出的任何命令或裁决亦应被视为在该仲裁地作出。
16.3Ifanyhearingistobeheldinperson,theArbitralTribunalmayholdsuchhearingatanyconvenientgeographicalplaceinconsultationwiththeparties.IftheArbitralTribunalistomeetinpersontoholditsdeliberations,itmaydosoatanygeographicalplaceofitsownchoice.Ifsuchplace(s)shouldbeelsewherethantheseatofthearbitration,orifanyhearingordeliberationtakesplaceotherwisethaninperson(inwholeorinpart),thearbitrationshallnonethelessbetreatedforallpurposesasanarbitrationconductedatthearbitralseatandanyorderorawardashavingbeenmadeatthatseat.
16.4除以下第16.5条另有规定外,仲裁协议和仲裁的准据法应为仲裁地适用的法律,除非双方已就适用其他法律或法律规则达成书面协议,且该协议不为仲裁地适用的法律所禁止。
16.4SubjecttoArticle16.5below,thelawapplicabletotheArbitrationAgreementandthearbitrationshallbethelawapplicableattheseatofthearbitration,unlessandtotheextentthatthepartieshaveagreedinwritingontheapplicationofotherlawsorrulesoflawandsuchagreementisnotprohibitedbythelawapplicableatthearbitralseat.
16.5尽管有第16.4条之规定,LCIA规则仍应根据英国法律进行解释。
16.5NotwithstandingArticle16.4,theLCIARulesshallbeinterpretedinaccordancewiththelawsofEngland.
第17条仲裁语言
Article17Language(s)ofArbitration
17.1仲裁的初始语言(仲裁庭组庭前)应为仲裁协议的语言或通行语言,但当事人另有书面约定者除外。
17.1Theinitiallanguageofthearbitration(untiltheformationoftheArbitralTribunal)shallbethelanguageorprevailinglanguageoftheArbitrationAgreement,unlessthepartieshaveagreedinwritingotherwise.
17.2如果仲裁协议使用一种以上具有同等地位的语言写成,那么,除非仲裁协议规定仲裁程序从一开始就应使用一种以上的语言进行,否则LCIA仲裁院可以决定其中何种语言应作为仲裁的初始语言。
17.2IntheeventthattheArbitrationAgreementiswritteninmorethanonelanguageofequalstanding,theLCIACourtmay,unlesstheArbitrationAgreementprovidesthatthearbitrationproceedingsshallbeconductedfromtheoutsetinmorethanonelanguage,determinewhichofthoselanguagesshallbetheinitiallanguageofthearbitration.
17.3如果与LCIA仲裁院和书记员之间的往来函件均以仲裁或仲裁地的初始语言(一种或多种)进行,则非参加方或违约方无申诉理由。
17.3Anon-participatingordefaultingpartyshallhavenocauseforcomplaintifcommunicationstoandfromtheLCIACourtandRegistrarareconductedintheinitiallanguage(s)ofthearbitrationorofthearbitralseat.
17.4仲裁庭组庭后,除非当事人已就仲裁使用一种或多种语言达成了协议,仲裁庭应在给予各方当事人发表书面意见的合理机会并对仲裁初始语言以及其认为在所有情况下适当的任何其他事项进行考虑之后,确定仲裁使用的语言(一种或多种)。
17.4FollowingtheformationoftheArbitralTribunal,unlessthepartieshaveagreeduponthelanguageorlanguagesofthearbitration,theArbitralTribunalshalldecideuponthelanguage(s)ofthearbitrationaftergivingthepartiesareasonableopportunitytomakewrittencommentsandtakingintoaccounttheinitiallanguage(s)ofthearbitrationandanyothermatteritmayconsiderappropriateinthecircumstances.
17.5倘若任何文件以仲裁语言(一种或多种)以外的语言书写,但依赖该文件的一方当事人未提交该文件的译文,则仲裁庭可以命令或(如仲裁庭尚未组庭)书记员可以要求该当事人以仲裁或仲裁地的任何语言(一种或多种)提交该文件全部或任何部分的译文。
17.5Ifanydocumentisexpressedinalanguageotherthanthelanguage(s)ofthearbitrationandnotranslationofsuchdocumentissubmittedbythepartyrelyinguponthedocument,theArbitralTribunalmayorderor(iftheArbitralTribunalhasnotbeenformed)theRegistrarmayrequestthatpartytosubmitatranslationofalloranypartofthatdocumentinanylanguage(s)ofthearbitrationorofthearbitralseat.
Article18AuthorisedRepresentativesofaParty
18.1AnypartymayberepresentedinthearbitrationbyoneormoreauthorisedrepresentativesappearingbynamebeforetheArbitralTribunal.
18.2UntiltheArbitralTribunal’sformation,theRegistrarmayrequestfromanyparty:(i)writtenproofoftheauthoritygrantedbythatpartytoanyauthorisedrepresentativedesignatedinitsRequestorResponse;and(ii)writtenconfirmationofthenames,emailandpostaladdressesofallsuchparty’sauthorisedrepresentativesinthearbitration.Afteritsformation,atanytime,theArbitralTribunalmayorderanypartytoprovidesimilarprooforconfirmationinanyformitconsidersappropriate.
18.3FollowingtheArbitralTribunal’sformation,anyintendedchangeoradditionbyapartytoitsauthorisedrepresentativesshallbenotifiedpromptlyinwritingtoallotherparties,theArbitralTribunal,thetribunalsecretary(ifany)andtheRegistrar;andanysuchintendedchangeoradditionshallonlytakeeffectinthearbitrationsubjecttotheapprovaloftheArbitralTribunal.
18.4TheArbitralTribunalmaywithholdapprovalofanyintendedchangeoradditiontoaparty’sauthorisedrepresentativeswheresuchchangeoradditioncouldcompromisethecompositionoftheArbitralTribunalorthefinalityofanyaward(onthegroundsofpossibleconflictofinterestorotherlikeimpediment).Indecidingwhethertograntorwithholdsuchapproval,theArbitralTribunalshallhaveregardtothecircumstances,including:thegeneralprinciplethatapartymayberepresentedbyanauthorisedrepresentativechosenbythatparty,thestagewhichthearbitrationhasreached,theefficiencyresultingfrommaintainingthecompositionoftheArbitralTribunal(asconstitutedthroughoutthearbitration)andanylikelywastedcostsorlossoftimeresultingfromsuchchangeoraddition.
18.5EachpartyshallensurethatallitsauthorisedrepresentativesappearingbynamebeforetheArbitralTribunalhaveagreedtocomplywiththegeneralguidelinescontainedintheAnnextotheLCIARules,asaconditionofsuchrepresentation.Inpermittinganyauthorisedrepresentativesotoappear,apartyshalltherebyrepresentthattheauthorisedrepresentativehasagreedtosuchcompliance.
18.6Intheeventofacomplaintbyonepartyagainstanotherparty’sauthorisedrepresentativeappearingbynamebeforetheArbitralTribunal(orofsuchcomplaintbytheArbitralTribunaluponitsowninitiative),theArbitralTribunalmaydecide,afterconsultingthepartiesandgrantingthatauthorisedrepresentativeareasonableopportunitytoanswerthecomplaint,whetherornottheauthorisedrepresentativehasviolatedthegeneralguidelines.IfsuchviolationisfoundbytheArbitralTribunal,theArbitralTribunalmayorderanyorallofthefollowingsanctionsagainsttheauthorisedrepresentative:(i)awrittenreprimand;(ii)awrittencautionastofutureconductinthearbitration;and(iii)anyothermeasurenecessarytofulfilwithinthearbitrationthegeneraldutiesrequiredoftheArbitralTribunalunderArticles14.1(i)and(ii).
第19条开庭审理
Article19Hearing(s)
19.1在仲裁庭就其管辖权和权力(根据第23条)作出任何裁决前,或者就案件是非曲直作出任何裁决前,任何一方当事人均有权在仲裁庭参加庭审。仲裁庭可自行决定在任何阶段举行庭审,除非各方当事人已书面同意只进行文件仲裁。为此,庭审可以由几部分庭审组成(由仲裁庭决定)。
19.1AnypartyhastherighttoahearingbeforetheArbitralTribunalpriortoanyrulingoftheArbitralTribunalonitsjurisdictionandauthority(pursuanttoArticle23)oranyawardonthemerits.TheArbitralTribunalmayitselfdecidethatahearingshouldbeheldatanystage,unlessthepartieshaveagreedinwritinguponadocuments-onlyarbitration.Forthesepurposes,ahearingmayconsistofseveralpart-hearings(asdecidedbytheArbitralTribunal).
19.2TheArbitralTribunalshallorganisetheconductofanyhearinginadvance,inconsultationwiththeparties.TheArbitralTribunalshallhavethefullestauthorityundertheArbitrationAgreementtoestablishtheconductofahearing,includingitsdate,duration,form,content,procedure,time-limitsandgeographicalplace(ifapplicable).Astoform,ahearingmaytakeplaceinperson,orvirtuallybyconferencecall,videoconferenceorusingothercommunicationstechnologywithparticipantsinoneormoregeographicalplaces(orinacombinedform).Astocontent,theArbitralTribunalmayrequirethepartiestoaddressspecificquestionsorissuesarisingfromtheparties’dispute.TheArbitralTribunalmayalsolimittheextenttowhichquestionsorissuesaretobeaddressed.
19.3仲裁庭应以书面形式合理通知各方当事人任何庭审。
19.3TheArbitralTribunalshallgivetothepartiesreasonablenoticeinwritingofanyhearing.
19.4所有庭审均应不公开进行,除非各方当事人另有书面约定。
19.4Allhearingsshallbeheldinprivate,unlessthepartiesagreeotherwiseinwriting.
第20条证人
Article20Witnesses
20.1本规则第20条之规定适用于当事人所依赖的任何事实或专家证人。
20.1TheprovisionsofthisArticle20shallapplytoanyfactorexpertwitnessonwhoseevidenceapartyrelies.
20.2在任何庭审之前,仲裁庭均可以命令任何一方当事人书面告知其拟传唤的各位证人(包括反证证人)的身份,以及该证人证言的主题、内容及其与仲裁争点的关联性。
20.2Beforeanyhearing,theArbitralTribunalmayorderanypartytogivewrittennoticeoftheidentityofeachwitnessthatpartywishestocall(includingrebuttalwitnesses),aswellasthesubjectmatterofthatwitness'stestimony,itscontentanditsrelevancetotheissuesinthearbitration.
20.3SubjecttoanyorderotherwisebytheArbitralTribunal,thetestimonyofawitnessmaybepresentedbyapartyinwrittenform,eitherasasignedstatementorlikedocument.
20.4TheArbitralTribunalmaydecidethetime,mannerandforminwhichthesewrittenmaterialsshallbeexchangedbetweenthepartiesandpresentedtotheArbitralTribunal;anditmayallow,refuseorlimitthewrittenandoraltestimonyofwitnesses.
20.5仲裁庭和任何一方当事人均可以要求另一方当事人以其书面证词为依据的证人在仲裁庭举行的庭审中接受口头询问。仲裁庭命令另一方当事人确保该证人出庭,而该证人无正当理由拒绝出庭或未出庭的,仲裁庭可以根据案件的情况,给予该书面证词其认为恰当的权重,或者将其全部或部分排除。
20.5TheArbitralTribunalandanypartymayrequestthatawitness,onwhosewrittentestimonyanotherpartyrelies,shouldattendfororalquestioningatahearingbeforetheArbitralTribunal.IftheArbitralTribunalordersthatotherpartytosecuretheattendanceofthatwitnessandthewitnessrefusesorfailstoattendthehearingwithoutgoodcause,theArbitralTribunalmayplacesuchweightonthewrittentestimonyorexcludealloranypartthereofaltogetherasitconsidersappropriateinthecircumstances.
20.6Subjecttothemandatoryprovisionsofanyapplicablelaw,rulesoflawandanyorderoftheArbitralTribunalotherwise,itshallnotbeimproperforanypartyoritsauthorisedrepresentativestointerviewanypotentialwitnessforthepurposeofpresentinghisorhertestimonyinwrittenformtotheArbitralTribunalorproducingsuchpersonasanoralwitnessatanyhearing.
20.7除非仲裁庭另有命令,任何拟向仲裁庭作证的个人均可被视为证人,无论该人士是仲裁的一方当事人,或曾经、仍然或已经成为任何一方当事人的高级职员、雇员、所有者或股东,或以其他方式与任何一方当事人产生关联。
20.7SubjecttoanyorderbytheArbitralTribunalotherwise,anyindividualintendingtotestifytotheArbitralTribunalmaybetreatedasawitnessnotwithstandingthattheindividualisapartytothearbitrationorwas,remainsorhasbecomeanofficer,employee,ownerorshareholderofanypartyorisotherwiseidentifiedwithanyparty.
20.8在任何证人口头作证之前,仲裁庭有权(但不是必须)在任何庭审中让该证人进行任何恰当的宣誓或确认,但不得违反任何适用法律的强制性规定。
20.8Subjecttothemandatoryprovisionsofanyapplicablelaw,theArbitralTribunalshallbeentitled(butnotrequired)toadministeranyappropriateoathoraffirmationtoanywitnessatanyhearing,priortotheoraltestimonyofthatwitness.
20.9在仲裁庭庭审中进行口头作证的任何证人,都可以在仲裁庭控制下由任何一方当事人询问。仲裁庭可以在证人提供证词的任何阶段提出问题。
20.9AnywitnesswhogivesoraltestimonyatahearingbeforetheArbitralTribunalmaybequestionedbyeachofthepartiesunderthecontroloftheArbitralTribunal.TheArbitralTribunalmayputquestionsatanystageofsuchtestimony.
第21条仲裁庭专家
Article21ExperttoArbitralTribunal
21.1仲裁庭经与当事各方协商后,可指定一名或多名专家以书面形式向仲裁庭和当事各方就仲裁庭指出的仲裁中的具体问题进行汇报。
21.1TheArbitralTribunal,afterconsultationwiththeparties,mayappointoneormoreexpertstoreportinwritingtotheArbitralTribunalandthepartiesonspecificissuesinthearbitration,asidentifiedbytheArbitralTribunal.
21.2Anysuchexpertshallbeandremainimpartialandindependentoftheparties;andheorsheshallsignawrittendeclarationtosucheffect,deliveredtotheArbitralTribunalandcopiedtoallparties.
21.3TheArbitralTribunalmayrequireanypartyatanytimetogivetosuchexpertanyrelevantinformationortoprovideaccesstoanyrelevantdocuments,goods,samples,property,siteorthingforinspectionunderthatparty’scontrolonsuchtermsastheArbitralTribunalthinksappropriateinthecircumstances.
21.4IfanypartysorequestsortheArbitralTribunalconsidersitnecessary,theArbitralTribunalmayordertheexpert,afterdeliveryoftheexpert’swrittenreport,toattendahearingatwhichthepartiesshallhaveareasonableopportunitytoquestiontheexpertonthereportandtopresentwitnessesinordertotestifyonrelevantissuesarisingfromthereport.Articles20.8and20.9oftheLCIARulesshallapply,withnecessarychanges,toanyexperttotheArbitralTribunal.
21.5仲裁庭依照本规则第21条指定的任何专家的费用和开支可从当事人按照第24条应缴的费用预付款中支付,并应构成第28.1条规定的仲裁费用的一部分。
21.5ThefeesandexpensesofanyexpertappointedbytheArbitralTribunalunderthisArticle21maybepaidoutoftheAdvancePaymentforCostspayablebythepartiesunderArticle24andshallformpartoftheArbitrationCostsunderArticle28.1.
第22条附加权力
Article22AdditionalPowers
22.1仲裁庭有权应任何一方当事人的申请从事下述行为,或者有权(除下文第(x)段外)主动从事下述行为,但在任何一种情形下,都必须事先给予各方当事人合理机会陈述其观点,也必须遵守仲裁庭可以决定的(关于费用和其他方面的)条件:
22.1TheArbitralTribunalshallhavethepower,upontheapplicationofanypartyor(saveforsub-paragraph(x)below)uponitsowninitiative,butineithercaseonlyaftergivingthepartiesareasonableopportunitytostatetheirviewsanduponsuchterms(astocostsandotherwise)astheArbitralTribunalmaydecide:
(i)允许当事人补充、修改或修正任何请求、答辩、反请求、交叉请求、反请求答辩、交叉请求答辩和答复,包括该当事人提交的申请书、回复书以及任何其他书面陈述。
(i)toallowapartytosupplement,modifyoramendanyclaim,defence,counterclaim,cross-claim,defencetocounterclaim,defencetocross-claimandreply,includingaRequest,Responseandanyotherwrittenstatement,submittedbysuchparty;
(ii)缩短或延长仲裁协议、当事各方的任何其他协议或仲裁庭作出的任何命令中规定的任何期限(即使时限已过);
(ii)toabridgeorextend(evenwheretheperiodoftimehasexpired)anyperiodoftimeprescribedundertheArbitrationAgreement,anyotheragreementofthepartiesoranyordermadebytheArbitralTribunal;
(iii)toconductsuchenquiriesasmayappeartotheArbitralTribunaltobenecessaryorexpedient,includingwhetherandtowhatextenttheArbitralTribunalshoulditselftaketheinitiativeinidentifyingrelevantissuesandascertainingrelevantfactsandthelaw(s)orrulesoflawapplicabletotheArbitrationAgreement,thearbitrationandthemeritsoftheparties'dispute;
(iv)命令任何一方当事人将其控制下的任何文件、货物、样品、财产、场所或物品提供给仲裁庭、任何其他当事人、该当事人的任何专家以及仲裁庭的任何专家进行查验;
(iv)toorderanypartytomakeanydocuments,goods,samples,property,siteorthingunderitscontrolavailableforinspectionbytheArbitralTribunal,anyotherparty,anyexperttosuchpartyandanyexperttotheTribunal;
(v)命令任何一方当事人向仲裁庭和其他当事人出具仲裁庭认为有关的,并在其占有、保管或权力范围之内的文件或文件副本。
(v)toorderanypartytoproducetotheArbitralTribunalandtootherpartiesdocumentsorcopiesofdocumentsintheirpossession,custodyorpowerwhichtheArbitralTribunaldecidestoberelevant;
(vi)todecidewhetherornottoapplyanystrictrulesofevidence(oranyotherrules)astotheadmissibility,relevanceorweightofanymaterialtenderedbyapartyonanyissueoffactorexpertopinion;andtodecidethetime,mannerandforminwhichsuchmaterialshouldbeexchangedbetweenthepartiesandpresentedtotheArbitralTribunal;
(vii)决定仲裁中任何问题(一个或多个)予以确定的阶段,以何种顺序,以及根据上文第14条在每个阶段应该采取的程序;
(vii)todecidethestageofthearbitrationatwhichanyissueorissuesshallbedetermined,inwhatorder,andtheproceduretobeadoptedateachstageinaccordancewithArticle14above;
(viii)确定任何请求、答辩、反请求、交叉请求、反请求答辩或交叉请求答辩明显超出仲裁庭的管辖权范围,或仲裁庭不应受理或明显缺乏依据;并在适当时就此发出命令或裁决(“初期决定”);
(viii)todeterminethatanyclaim,defence,counterclaim,cross-claim,defencetocounterclaimordefencetocross-claimismanifestlyoutsidethejurisdictionoftheArbitralTribunal,orisinadmissibleormanifestlywithoutmerit;andwhereappropriatetoissueanorderorawardtothateffect(an“EarlyDetermination”);
(ix)命令遵守任何法律义务,或命令因违反任何法律义务或未具体履行任何协议支付赔偿金(包括任何仲裁协议或任何与土地有关的合同);
(ix)toordercompliancewithanylegalobligationorpaymentofcompensationforbreachofanylegalobligationorspecificperformanceofanyagreement(includinganyarbitrationagreementoranycontractrelatingtoland);
(x)允许一名或多名第三人作为一方加入仲裁,但条件是,任何此种第三人和申请方在仲裁启动日后以书面形式明确同意这种合并,或者(如果更早)在仲裁协议中明确同意这种合并;此后,就仲裁所涉各方作出一份单一的最终裁决或作出独立的裁决;以及
(x)toallowoneormorethirdpersonstobejoinedinthearbitrationasapartyprovidedanysuchthirdpersonandtheapplicantpartyhaveconsentedexpresslytosuchjoinderinwritingfollowingtheCommencementDateor(ifearlier)intheArbitrationAgreement;andthereaftertomakeasinglefinalaward,orseparateawards,inrespectofallpartiessoimplicatedinthearbitration;and
(xi)如果仲裁庭认为当事各方已放弃仲裁,或已撤回所有索赔请求以及任何反请求或交叉请求,则在给予各方当事人合理机会陈述其观点之后,可以命令停止仲裁。
(xi)toorderthediscontinuanceofthearbitrationifitappearstotheArbitralTribunalthatthearbitrationhasbeenabandonedbythepartiesorallclaimsandanycounterclaimsorcross-claimshavebeenwithdrawnbytheparties,aftergivingthepartiesareasonableopportunitytostatetheirviews.
22.2当事人同意根据仲裁协议进行仲裁,应被视为双方同意不向任何国家法院或其他法律机关申请根据第22.1条可从仲裁庭(如果已经组庭)处获得的任何命令,但各方当事人书面协议者除外。
22.2ByagreeingtoarbitrationundertheArbitrationAgreement,thepartiesshallbetreatedashavingagreednottoapplytoanystatecourtorotherlegalauthorityforanyorderavailablefromtheArbitralTribunal(ifformed)underArticle22.1,exceptwiththeagreementinwritingofallparties.
22.3仲裁庭应根据当事各方选择的适用于各方之间争议是非曲直的法律或法律规则来解决争议。倘若仲裁庭认定当事各方并未作出此种选择,仲裁庭应适用其认为适当的法律或法律规则。
22.3TheArbitralTribunalshalldecidetheparties'disputeinaccordancewiththelaw(s)orrulesoflawchosenbythepartiesasapplicabletothemeritsoftheirdispute.IfandtotheextentthattheArbitralTribunaldecidesthatthepartieshavemadenosuchchoice,theArbitralTribunalshallapplythelaw(s)orrulesoflawwhichitconsidersappropriate.
22.4只有在当事人已经书面作出约定时,仲裁庭才应只适用源自“公允善良”、“友好调停”或“诚实约定”的原则来解决争议的是非曲直。
22.4TheArbitralTribunalshallonlyapplytothemeritsofthedisputeprinciplesderivingfrom"exaequoetbono","amiablecomposition"or"honourableengagement"wherethepartieshavesoagreedinwriting.
22.5在不违反仲裁庭根据第22.1(ii)条作出的任何命令的情况下,LCIA仲裁院还可以根据仲裁协议或各方当事人之间的其他协议设定、缩短或延长任何期限(即使时限已过)。
22.5SubjecttoanyorderoftheArbitralTribunalunderArticle22.1(ii),theLCIACourtmayalsoset,abridgeorextendanyperiodoftimeundertheArbitrationAgreementorotheragreementoftheparties(evenwheretheperiodoftimehasexpired).
22.6在不影响第22.1(xi)条的情况下,如果LCIA仲裁院认为当事各方已放弃仲裁,或已撤回所有索赔请求以及任何反请求或交叉请求,则在给予各方当事人合理机会陈述其观点之后可以决定停止仲裁。
22.6WithoutprejudicetoArticle22.1(xi),theLCIACourtmaydetermine,aftergivingthepartiesareasonableopportunitytostatetheirviews,thatthearbitrationshallbediscontinuedifitappearstotheLCIACourtthatthearbitrationhasbeenabandonedbythepartiesorallclaimsandanycounterclaimsorcross-claimshavebeenwithdrawnbytheparties.
第22A条命令合并/并行仲裁的权力
Article22APowertoOrderConsolidation/ConcurrentConductofArbitrations
22.7应任何一方当事人申请,经LCIA仲裁院批准,在给予所有受影响之当事人合理机会陈述其观点后,并依据仲裁庭可以决定的(关于费用和其他方面的)条件,仲裁庭有权作出下述命令:
22.7TheArbitralTribunalshallhavethepowertoorderwiththeapprovaloftheLCIACourt,upontheapplicationofanyparty,aftergivingallaffectedpartiesareasonableopportunitytostatetheirviewsanduponsuchterms(astocostsandotherwise)astheArbitralTribunalmaydecide:
(i)将仲裁与一个或多个其他仲裁合并为一个单一仲裁,但须遵守LCIA规则,即所有要合并的仲裁的当事人要书面同意合并;
(i)theconsolidationofthearbitrationwithoneormoreotherarbitrationsintoasinglearbitrationsubjecttotheLCIARuleswhereallthepartiestothearbitrationstobeconsolidatedsoagreeinwriting;
(ii)theconsolidationofthearbitrationwithoneormoreotherarbitrationssubjecttotheLCIARulesandcommencedunderthesamearbitrationagreementoranycompatiblearbitrationagreement(s)andeitherbetweenthesamedisputingpartiesorarisingoutofthesametransactionorseriesofrelatedtransactions,providedthatnoarbitraltribunalhasyetbeenformedbytheLCIACourtforsuchotherarbitration(s)or,ifalreadyformed,thatsucharbitraltribunal(s)is(are)composedofthesamearbitrators;and
(iii)thattwoormorearbitrations,subjecttotheLCIARulesandcommencedunderthesamearbitrationagreementoranycompatiblearbitrationagreement(s)andeitherbetweenthesamedisputingpartiesorarisingoutofthesametransactionorseriesofrelatedtransactions,shallbeconductedconcurrentlywherethesamearbitraltribunalisconstitutedinrespectofeacharbitration.
22.8在不影响第22.7条的一般性规定的情形下,
22.8WithoutprejudicetothegeneralityofArticle22.7,theLCIACourtmay:
(i)LCIA仲裁院可以将一项仲裁与一项或多项其他仲裁合并为一项单一的仲裁,但须符合LCIA规则,即所有要合并的仲裁的当事人要书面同意合并;以及
(i)consolidateanarbitrationwithoneormoreotherarbitrationsintoasinglearbitrationsubjecttotheLCIARuleswhereallthepartiestothearbitrationstobeconsolidatedsoagreeinwriting;and
(ii)determine,aftergivingthepartiesareasonableopportunitytostatetheirviews,thattwoormorearbitrations,subjecttotheLCIARulesandcommencedunderthesamearbitrationagreementoranycompatiblearbitrationagreement(s)andeitherbetweenthesamedisputingpartiesorarisingoutofthesametransactionorseriesofrelatedtransactions,shallbeconsolidatedtoformonesinglearbitrationsubjecttotheLCIARules,providedthatnoarbitraltribunalhasyetbeenformedbytheLCIACourtforanyofthearbitrationstobeconsolidated.
第23条管辖权及权限
Article23JurisdictionandAuthority
23.1仲裁庭有权对其自身的管辖权及权限作出决定,包括对仲裁协议初始或持续存在、有效性、效力及范围提出的任何异议作出决定。
23.1TheArbitralTribunalshallhavethepowertoruleuponitsownjurisdictionandauthority,includinganyobjectiontotheinitialorcontinuingexistence,validity,effectivenessorscopeoftheArbitrationAgreement.
23.2就此目的而言,构成或拟构成另一协议一部分的一项仲裁条款,应视为独立于该另一协议的一个仲裁协议。仲裁庭裁定该另一协议不存在、无效或不具有效力不应(自动)导致该仲裁条款不存在、无效或不具有效力。
23.2Forthatpurpose,anarbitrationclausewhichformsorwasintendedtoformpartofanotheragreementshallbetreatedasanarbitrationagreementindependentofthatotheragreement.AdecisionbytheArbitralTribunalthatsuchotheragreementisnon-existent,invalidorineffectiveshallnotentail(ofitself)thenon-existence,invalidityorineffectivenessofthearbitrationclause.
23.3被申请人就仲裁庭无管辖权有异议的,应在提交答辩书之前尽快提出;任何一方当事人对反请求或交叉请求有同类异议的,应在提交反请求或交叉请求答辩书之前尽快提出。对仲裁庭越权的异议,应在仲裁庭已经表明将处理当事人声称仲裁庭越权的事项后尽快提出。但是,如果仲裁庭认为在某种情形下延期是有正当理由的,则可以接受延期提出的管辖权或权限异议。
23.3AnobjectionbyaRespondentthattheArbitralTribunaldoesnothavejurisdictionshallberaisedassoonaspossiblebutnotlaterthanthetimeforitsStatementofDefence;andalikeobjectionbyanypartyrespondingtoacounterclaimorcross-claimshallberaisedassoonaspossiblebutnotlaterthanthetimeforitsStatementofDefencetoCounterclaimorCross-Claim.AnobjectionthattheArbitralTribunalisexceedingthescopeofitsauthorityshallberaisedpromptlyaftertheArbitralTribunalhasindicateditsintentiontoactuponthematterallegedtoliebeyonditsauthority.TheArbitralTribunalmayneverthelessadmitanuntimelyobjectionastoitsjurisdictionorauthorityifitconsidersthedelayjustifiedinthecircumstances.
23.4仲裁庭在其认为合适的情形下,可以在关于管辖权或权限的裁决中,或以后在关于实体问题的裁决中,对其管辖权或权限异议作出裁定。
23.4TheArbitralTribunalmaydecidetheobjectiontoitsjurisdictionorauthorityinanawardastojurisdictionorauthorityorlaterinanawardonthemerits,asitconsidersappropriateinthecircumstances.
23.5ByagreeingtoarbitrationundertheArbitrationAgreement,aftertheformationoftheArbitralTribunalthepartiesshallbetreatedashavingagreednottoapplytoanystatecourtorotherlegalauthorityforanyreliefregardingtheArbitralTribunal'sjurisdictionorauthority,except(i)withtheprioragreementinwritingofallpartiestothearbitration,or(ii)thepriorauthorisationoftheArbitralTribunal,or(iii)followingthelatter'sawardontheobjectiontoitsjurisdictionorauthority.
第24条仲裁费预付
Article24AdvancePaymentforCosts
24.1LCIA仲裁院可以按其认为适当的比例及适当的次数命令各方当事人就仲裁费用向LCIA进行一次或多次付款(下称“仲裁费预付”),以确保支付第28.1条所规定的仲裁费用。各方当事人进行的付款可以由LCIA根据LCIA规则用于支付此仲裁费用中的任何项目(包括LCIA自己的费用和支出)。
24.1TheLCIACourtmaydirecttheparties,insuchproportionsandatsuchtimesasitthinksappropriate,tomakeoneormorepaymentstotheLCIA(the"AdvancePaymentforCosts")inordertosecurepaymentoftheArbitrationCostsunderArticle28.1.SuchpaymentsbythepartiesmaybeappliedbytheLCIAtopayanyitemofsuchArbitrationCosts(includingtheLCIA’sownfeesandexpenses)inaccordancewiththeLCIARules.
24.2仲裁费预付款应作为LCIA的财产,由LCIA根据LCIA规则进行支出或以其他方式使用,并应根据LCIA的利益进行投资。各方当事人同意LCIA不应担任受托人,并且就仲裁费预付款而言,LCIA对当事人所承担的唯一责任是应按照LCIA规则行事。
24.2TheAdvancePaymentforCostsshallbethepropertyoftheLCIA,tobedisbursedorotherwiseappliedbytheLCIAinaccordancewiththeLCIARulesandinvestedhavingregardtotheinterestsoftheLCIA.ThepartiesagreethattheLCIAshallnotactastrusteeanditssoledutytothepartiesinrespectoftheAdvancePaymentforCostsshallbetoactpursuanttotheseLCIARules.
24.3如果在仲裁结束时,仲裁费预付款超过了根据第28.1条规定的仲裁费用总额,则LCIA应按照各方当事人可以书面约定的比例将超出的金额转还给各方当事人。若当事人未能达成约定,则应根据仲裁庭作出的任何命令,按当事人向LCIA支付的仲裁费预付款的比例,以相同比例返还给相同当事人。
24.3Intheeventthat,attheconclusionofthearbitration,theAdvancePaymentforCostsexceedsthetotalamountoftheArbitrationCostsunderArticle28.1,theexcessamountshallbetransferredbytheLCIAtothepartiesinsuchproportionsasthepartiesmayagreeinwritingor,failingsuchagreement,inthesameproportionsandtothesamepartiesastheAdvancePaymentforCostswaspaidtotheLCIA,subjecttoanyorderoftheArbitralTribunal.
24.4LCIA将利用仲裁程序中当事人向LCIA提供的具体联系方式,通过合理尝试联系各方当事人以安排返还超出金额。通过此种联系方式,若一方当事人在30天内未答复,LCIA将向该当事人发出书面通知,告知其仲裁庭拟保留超出金额。若在发出该通知后60天内仍未收到答复,则视为该当事人不可撤销地放弃了其请求及/或接收超出金额的权利。
24.4TheLCIAwillmakereasonableattemptstocontactthepartiesinordertoarrangeforthetransferoftheexcessamount,usingthecontactdetailsprovidedtotheLCIAduringtheproceedings.Ifaresponseisnotreceivedfromapartysocontactedwithin30days,theLCIAwillprovidethatpartywithwrittennoticeofitsintentiontoretaintheexcessamount.Ifnoresponseisreceivedwithinafurther60days,thepartywillbedeemedirrevocablytohavewaivedanyrighttoclaimand/orreceivetheexcessamount.
24.5除特殊情况外,就未缴付即将发生的仲裁费用,在未得到书记员确定LCIA是否已收到所需资金或将收到所需资金之前,仲裁庭不应进行仲裁。
24.5Saveforexceptionalcircumstances,theArbitralTribunalshouldnotproceedwiththearbitrationwithouthavingascertainedfromtheRegistrarthattheLCIAisorwillbeinrequisitefundsasregardsoutstandingandfutureArbitrationCosts.
24.6如果一方当事人未能或拒绝按照LCIA仲裁院的命令缴纳任何仲裁费用,(在不违反任何关于仲裁费用的命令或裁决的情况下)LCIA仲裁院可以指示另一方当事人或其他多方当事人以同等金额进一步缴纳仲裁费预付款,以使仲裁得以进行。
24.6IntheeventthatapartyfailsorrefusestomakeanypaymentonaccountoftheArbitrationCostsasdirectedbytheLCIACourt,theLCIACourtmaydirecttheotherpartyorpartiestoeffectafurtherAdvancePaymentforCostsinanequivalentamounttoallowthearbitrationtoproceed(subjecttoanyorderorawardonArbitrationCosts).
24.7在此种情形下,进一步缴纳仲裁费预付款的一方当事人可以请求仲裁庭作出命令或裁决,将缴纳金额作为实时到期且应付给该当事人的债款,连同利息由未缴付方偿还。
24.7Insuchcircumstances,thepartyeffectingthefurtherAdvancePaymentforCostsmayrequesttheArbitralTribunaltomakeanorderorawardinordertorecoverthatamountasadebtimmediatelydueandpayabletothatpartybythedefaultingparty,togetherwithanyinterest.
24.8如果提出请求、反请求或交叉请求的一方当事人未能及时全额缴纳所需金额,LCIA仲裁院或仲裁庭将视为撤回请求、反请求或交叉请求,据此根据仲裁协议从仲裁庭管辖权范围内删除该请求、反请求或交叉请求(视情况而定),但不能违反提出请求、反请求或交叉请求的一方当事人后续缴纳后,LCIA仲裁院或仲裁庭就恢复该请求、反请求或交叉请求所决定的任何条款。该撤回不应影响请求、反请求或交叉请求方作为被申请人对其他任何请求、反请求或交叉请求方进行答辩。
24.8Failurebyaclaiming,counterclaimingorcross-claimingpartytomakepromptlyandinfullanyrequiredpaymentmaybetreatedbytheLCIACourtortheArbitralTribunalasawithdrawalfromthearbitrationoftheclaim,counterclaimorcross-claimrespectively,therebyremovingsuchclaim,counterclaimorcross-claim(asthecasemaybe)fromthescopeoftheArbitralTribunal’sjurisdictionundertheArbitrationAgreement,subjecttoanytermsdecidedbytheLCIACourtortheArbitralTribunalastothereinstatementoftheclaim,counterclaimorcross-claimintheeventofsubsequentpaymentbytheclaiming,counterclaimingorcross-claimingparty.Suchawithdrawalshallnotprecludetheclaiming,counterclaimingorcross-claimingpartyfromdefendingasarespondentanyclaim,counterclaimorcross-claimmadebyanotherparty.
第24A条合规
Article24ACompliance
24.9一方当事人与LCIA之间的任何往来均不应违反适用于该方当事人或LCIA的有关贿赂、腐败、资助恐怖主义、欺诈、逃税、洗钱和/或经济或贸易制裁(“禁止性活动”)的任何要求,并且,LCIA将在理解其遵守所有此类要求的前提下与任何一方当事人往来。
24.9AnydealingsbetweenapartyandtheLCIAwillbesubjecttoanyrequirementsapplicabletothatpartyortheLCIArelatingtobribery,corruption,terroristfinancing,fraud,taxevasion,moneylaunderingand/oreconomicortradesanctions("ProhibitedActivity"),andtheLCIAwilldealwithanypartyontheunderstandingthatitiscomplyingwithallsuchrequirements.
24.10如果LCIA认为(酌情考量而无需陈述任何理由),按任何指令行事且/或接受或进行任何支付可能涉及禁止性活动、或违反任何法律法规、或其他适用于LCIA的法律义务,或认为这样做可能会使LCIA以其他方式面临任何监管机构或执法机构的执行之诉或谴责,则LCIA可以拒绝按该指令行事且/或拒绝接受或进行任何支付。
24.10TheLCIAmayrefusetoactonanyinstructionand/oracceptormakeanypaymentiftheLCIAdetermines(initssolediscretionandwithouttheneedtostateanyreasons)thatdoingsomayinvolveProhibitedActivity,orbreachanylaw,regulation,orotherlegaldutywhichappliestoit,orthatdoingsomightotherwiseexposetheLCIAtoenforcementactionorcensurefromanyregulatororlawenforcementagency.
24.11ThepartiesagreetoprovidetheLCIAwithanyinformationand/ordocumentsreasonablyrequestedbytheLCIAforthepurposeofcompliancewithlawsrelatingtoProhibitedActivity.TheLCIAmaytakeanyactionitconsidersappropriatetocomplywithanyapplicableobligationsrelatingtoProhibitedActivity,includingdisclosureofanyinformationanddocumentstocourts,lawenforcementagenciesorregulatoryauthorities.
第25条临时措施和保全措施
Article25InterimandConservatoryMeasures
25.1应任何一方当事人申请,仲裁庭依据一定情形下其认为恰当的条件有权从事下列行为,但应事先给予所有其他各方当事人合理机会对该申请作出回应。
25.1TheArbitralTribunalshallhavethepowerupontheapplicationofanyparty,aftergivingallotherpartiesareasonableopportunitytorespondtosuchapplicationanduponsuchtermsastheArbitralTribunalconsidersappropriateinthecircumstances:
(i)命令任何请求、反请求或交叉请求的被申请人一方以定金或银行保证或其他任何方式为全部或部分争议金额提供担保;
(i)toorderanyrespondentpartytoaclaim,counterclaimorcross-claimtoprovidesecurityforallorpartoftheamountindispute,bywayofdepositorbankguaranteeorinanyothermanner;
(ii)toorderthepreservation,storage,saleorotherdisposalofanymonies,documents,goods,samples,property,siteorthingunderthecontrolofanypartyandrelatingtothesubjectmatterofthearbitration;and
(iii)在不违反裁决书中最终裁定的情况下,命令仲裁庭作出其有权在裁决书中准许的任何临时救济,包括在任何当事人之间支付金钱或处置财产。
此种条件可以包括由申请人一方提供的对在履行仲裁庭命令过程中被申请人一方所遭受的任何费用或损失的交叉赔偿,该交叉赔偿应以仲裁庭认为适当的方式进行担保。此种交叉赔偿下应付的任何金额以及随之产生的任何救济可由仲裁庭在仲裁中通过一项或多项裁决决定。
(iii)toorderonaprovisionalbasis,subjecttoafinaldecisioninanaward,anyreliefwhichtheArbitralTribunalwouldhavepowertograntinanaward,includingthepaymentofmoneyorthedispositionofpropertyasbetweenanyparties.
Suchtermsmayincludetheprovisionbytheapplicantpartyofacross-indemnity,securedinsuchmannerastheArbitralTribunalconsidersappropriate,foranycostsorlossesincurredbytherespondentpartyincomplyingwiththeArbitralTribunal’sorder.Anyamountpayableundersuchcross-indemnityandanyconsequentialreliefmaybedecidedbytheArbitralTribunalbyoneormoreawardsinthearbitration.
25.2仲裁庭有权应一方当事人的申请,在给予所有其他各方当事人合理机会对该申请作出答复后,命令任何请求、反请求或交叉请求方以定金、银行保证或其他任何方式,并依据仲裁庭认为适合当下情况的条件,为法律费用及仲裁费用提供担保。此种条件可以包括申请人一方对该请求方、反请求方或交叉请求方在遵守仲裁庭命令时遭受的任何费用或损失所提供的交叉赔偿,该交叉赔偿应以仲裁庭认为适当的方式进行担保。此种交叉赔偿下应付的任何金额以及随之产生的任何救济可由仲裁庭在仲裁中通过一项或多项裁决决定。如果请求方、反请求方或交叉请求方不遵守提供担保的命令,仲裁庭可以中止或在裁决中驳回该方当事人的请求、反请求或交叉请求。
25.2TheArbitralTribunalshallhavethepowerupontheapplicationofaparty,aftergivingallotherpartiesareasonableopportunitytorespondtosuchapplication,toorderanyclaiming,counterclaimingorcross-claimingpartytoprovideorprocuresecurityforLegalCostsandArbitrationCostsbywayofdepositorbankguaranteeorinanyothermanneranduponsuchtermsastheArbitralTribunalconsidersappropriateinthecircumstances.Suchtermsmayincludetheprovisionbytheapplicantofacross-indemnity,itselfsecuredinsuchmannerastheArbitralTribunalconsidersappropriate,foranycostsandlossesincurredbysuchclaimant,counterclaimantorcross-claimantincomplyingwiththeArbitralTribunal’sorder.Anyamountpayableundersuchcross-indemnityandanyconsequentialreliefmaybedecidedbytheArbitralTribunalbyoneormoreawardsinthearbitration.Intheeventthataclaiming,counterclaimingorcross-claimingpartydoesnotcomplywithanyordertoprovidesecurity,theArbitralTribunalmaystaythatparty'sclaims,counterclaimsorcross-claimsordismissthembyanaward.
25.3ApartymayapplytoacompetentstatecourtorotherlegalauthorityforinterimorconservatorymeasuresthattheArbitralTribunalwouldhavepowertoorderunderArticle25.1:(i)beforetheformationoftheArbitralTribunal;and(ii)aftertheformationoftheArbitralTribunal,inexceptionalcasesandwiththeArbitralTribunal’sauthorisation,untilthefinalaward.AftertheCommencementDate,anyapplicationandanyorderforsuchmeasuresbeforetheformationoftheArbitralTribunalshallbecommunicatedpromptlyinwritingbytheapplicantpartytotheRegistrar;afteritsformation,alsototheArbitralTribunal;andinbothcasesalsotoallotherparties.
25.4各方当事人约定根据仲裁协议进行仲裁的,应被视为已经同意不向任何国家法院或其他法律机关申请对法律费用或仲裁费用提供担保作出命令。
25.4ByagreeingtoarbitrationundertheArbitrationAgreement,thepartiesshallbetakentohaveagreednottoapplytoanystatecourtorotherlegalauthorityforanyorderforsecurityforLegalCostsorArbitrationCosts.
第26条仲裁裁决
Article26Award(s)
26.1TheArbitralTribunalmaymakeseparateawardsondifferentissuesatdifferenttimes,includinginterimpaymentsonaccountofanyclaim,counterclaimorcross-claim(includingLegalandArbitrationCostsunderArticle28).SuchawardsshallhavethesamestatusasanyotherawardmadebytheArbitralTribunal.
26.2仲裁庭应当以书面方式作出裁决,并且,除非所有当事人另有书面约定,仲裁庭应当说明其裁决所依据的理由。裁决书同时应载明作出裁决的日期以及仲裁地;裁决书应当由仲裁庭或同意该裁决的仲裁庭成员签名。除非各方当事人另有约定,或仲裁庭或LCIA仲裁院另有指示,裁决可以电子方式签署,及/或以其他类似方式签署,并汇总为一份单独的法律文书。
26.2TheArbitralTribunalshallmakeanyawardinwritingand,unlessallpartiesagreeinwritingotherwise,shallstatethereasonsuponwhichsuchawardisbased.Theawardshallalsostatethedatewhentheawardismadeandtheseatofthearbitration;anditshallbesignedbytheArbitralTribunalorthoseofitsmembersassentingtoit.Unlessthepartiesagreeotherwise,ortheArbitralTribunalorLCIACourtdirectsotherwise,anyawardmaybesignedelectronicallyand/orincounterpartsandassembledintoasingleinstrument.
26.3裁决可以用任何货币作为计算单位,但各方当事人另有约定的除外。
26.3Anawardmaybeexpressedinanycurrency,unlessthepartieshaveagreedotherwise.
26.4除非各方当事人另有约定,仲裁庭可以命令任何一方当事人就仲裁庭认为适当的但不迟于裁决执行完毕之日的任何期限,以仲裁庭认为适当的利率(不受任何国家法院或法律机关实行的利率的限制)支付裁决金额的单利或复利。
26.4Unlessthepartieshaveagreedotherwise,theArbitralTribunalmayorderthatsimpleorcompoundinterestshallbepaidbyanypartyonanysumawardedatsuchratesastheArbitralTribunaldecidestobeappropriate(withoutbeingboundbyratesofinterestpractisedbyanystatecourtorotherlegalauthority)inrespectofanyperiodwhichtheArbitralTribunaldecidestobeappropriateendingnotlaterthanthedateuponwhichtheawardiscompliedwith.
26.5如果仲裁员人数不止一名而仲裁庭未能就任何问题达成一致,仲裁员应当以多数意见作出决定。未能对任何问题形成多数意见的,应当由首席仲裁员作出决定。
26.5WherethereismorethanonearbitratorandtheArbitralTribunalfailstoagreeonanyissue,thearbitratorsshalldecidethatissuebyamajority.Failingamajoritydecisiononanyissue,thepresidingarbitratorshalldecidethatissue.
26.6如果任何仲裁员拒绝或未能在裁决书中签名,有多数仲裁员或(未能形成多数意见时)首席仲裁员的签字即足够,但多数仲裁员或首席仲裁员应在裁决书中说明其他仲裁员未签名的原因。
26.6Ifanyarbitratorrefusesorfailstosignanaward,thesignaturesofthemajorityor(failingamajority)ofthepresidingarbitratorshallbesufficient,providedthatthereasonforanyomittedsignatureisstatedintheawardbythemajorityorbythepresidingarbitrator.
26.7独任仲裁员或首席仲裁员应负责将裁决书送达LCIA仲裁院,LCIA仲裁院在该裁决书由书记员认证为LCIA裁决书之后传送给各方当事人,但前提是所有仲裁费用已按照第24条和第28条之规定全部缴纳给了LCIA。此种传送可以以电子方式,及(若任何一方当事人要求或无法向一方当事人以电子方式传送的)以纸质形式传送。若电子形式与纸质形式之间存在差异,应以电子形式为准。
26.7ThesoleorpresidingarbitratorshallberesponsiblefordeliveringtheawardtotheLCIACourt,whichshalltransmittothepartiestheawardauthenticatedbytheRegistrarasanLCIAaward,providedthatallArbitrationCostshavebeenpaidinfulltotheLCIAinaccordancewithArticles24and28.Suchtransmissionmaybemadebyanyelectronicmeans,and(ifsorequestedbyanypartyoriftransmissionbyelectronicmeanstoapartyisnotpossible)inpaperform.Intheeventofanydisparitybetweenelectronicandpaperforms,theelectronicformshallprevail.
26.8所有裁决(包括作出裁决的原因)均为终局,并对各方当事人具有约束力。各方当事人承诺立即且毫不拖延地执行任何裁决(只受第27条的规限);并且,各方当事人也不可撤销地放弃了其向任何国家法院或其他法律机关以任何形式提起上诉、请求再审或追索的权利,只要这种权利放弃不受任何适用法的禁止。
26.8Everyaward(includingreasonsforsuchaward)shallbefinalandbindingontheparties.Thepartiesundertaketocarryoutanyawardimmediatelyandwithoutanydelay(subjectonlytoArticle27);andthepartiesalsowaiveirrevocablytheirrighttoanyformofappeal,revieworrecoursetoanystatecourtorotherlegalauthority,insofarassuchwaivershallnotbeprohibitedunderanyapplicablelaw.
26.9Intheeventofanyfinalsettlementoftheparties'dispute,theArbitralTribunalmaydecidetomakeanawardrecordingthesettlementifthepartiesjointlysorequestinwriting(a"ConsentAward"),providedalwaysthatsuchConsentAwardshallcontainanexpressstatementonitsfacethatitisanawardmadeattheparties'jointrequestandwiththeirconsent.AConsentAwardneednotcontainreasonsoradeterminationinrelationtotheArbitrationCostsorLegalCosts.IfthepartiesdonotjointlyrequestaConsentAward,onwrittenconfirmationbythepartiestotheLCIACourtthatafinalsettlementhasbeenreached,theArbitralTribunalshallbedischargedandthearbitrationproceedingsconcludedbytheLCIACourt,subjecttopaymentbythepartiesofanyoutstandingArbitrationCostsinaccordancewithArticles24and28.
第27条补正裁决及附加裁决
Article27CorrectionofAward(s)andAdditionalAward(s)
27.1在收到任何裁决书的28天内,一方当事人可以以书面方式通知书记员(并抄送给所有其他各方当事人),请求仲裁庭补正裁决书中的任何计算错误、笔误或印刷错误,任何歧义或任何类似性质的错误。如果仲裁庭经与各方当事人协商后认为该请求合理,应在收到该请求后28天内将其补正记录在裁决书的附录中。如果仲裁庭经与各方当事人协商后认为该请求不合理,仍可以就该请求作出一份裁决附录,包括与此有关的任何仲裁费用和法律费用。
27.1Within28daysofreceiptofanyaward,apartymaybywrittennoticetotheRegistrar(copiedtoallotherparties)requesttheArbitralTribunaltocorrectintheawardanyerrorincomputation,anyclericalortypographicalerror,anyambiguityoranymistakeofasimilarnature.If,afterconsultingtheparties,theArbitralTribunalconsiderstherequesttobejustified,itshallmakethecorrectionbyrecordingitinanaddendumtotheawardwithin28daysofreceiptoftherequest.If,afterconsultingtheparties,theArbitralTribunaldoesnotconsidertherequesttobejustifieditmayneverthelessissueanaddendumtotheawarddealingwiththerequest,includinganyArbitrationCostsandLegalCostsrelatedthereto.
27.2仲裁庭也可以在裁决作出后的28天内,经与各方当事人协商后,主动以裁决书附录的形式补正任何错误(包括任何计算错误、笔误或印刷错误,任何歧义或任何类似性质的错误)。
27.2TheArbitralTribunalmayalsocorrectanyerror(includinganyerrorincomputation,anyclericalortypographicalerror,anyambiguityoranymistakeofasimilarnature)uponitsowninitiativeintheformofanaddendumtotheawardwithin28daysofthedateoftheaward,afterconsultingtheparties.
27.3一方当事人可以在收到终局裁决后的28天内,以书面方式通知书记员(并抄送所有其他当事人),请求仲裁庭就任何在仲裁中提出但未在任何裁决书中决定的请求、反请求或交叉请求作出附加裁决。如果仲裁庭经与各方当事人协商后认为该请求合理,应在收到该请求后56天内作出附加裁决。如果仲裁庭经与各方当事人协商后认为该请求不合理,仍可以就该请求作出一份裁决附录,包括与此有关的任何仲裁费用和法律费用。
27.3Within28daysofreceiptofthefinalaward,apartymaybywrittennoticetotheRegistrar(copiedtoallotherparties),requesttheArbitralTribunaltomakeanadditionalawardastoanyclaim,counterclaimorcross-claimpresentedinthearbitrationbutnotdecidedinanyaward.If,afterconsultingtheparties,theArbitralTribunalconsiderstherequesttobejustified,itshallmaketheadditionalawardwithin56daysofreceiptoftherequest.If,afterconsultingtheparties,theArbitralTribunaldoesnotconsidertherequesttobejustifieditmayneverthelessissueanaddendumtotheawarddealingwiththerequest,includinganyArbitrationCostsandLegalCostsrelatedthereto.
27.4对于在仲裁中提出但未在任何裁决书中决定的任何请求,反请求或交叉请求,仲裁庭也可以在裁决作出后的28天内,经与各方当事人协商后主动作出附加裁决。
27.4Astoanyclaim,counterclaimorcross-claimpresentedinthearbitrationbutnotdecidedinanyaward,theArbitralTribunalmayalsomakeanadditionalawarduponitsowninitiativewithin28daysofthedateoftheaward,afterconsultingtheparties.
27.5第26.2-26.7条之规定应适用于根据本规则作出的任何裁决书附录或附加裁决书。裁决书附录应被视为裁决书的一部分。
27.5TheprovisionsofArticle26.2to26.7shallapplytoanyaddendumtoanawardoradditionalawardmadehereunder.Anaddendumtoanawardshallbetreatedaspartoftheaward.
第28条仲裁费用和法律费用
Article28ArbitrationCostsandLegalCosts
28.1仲裁费用(非各方当事人各自产生的法律费用或其他费用)应由LCIA仲裁院根据仲裁费用表厘定。各方当事人就此仲裁费用向LCIA和仲裁庭承担连带责任。
28.1Thecostsofthearbitrationotherthanthelegalorotherexpensesincurredbythepartiesthemselves(the“ArbitrationCosts”)shallbedeterminedbytheLCIACourtinaccordancewiththeScheduleofCosts.ThepartiesshallbejointlyandseverallyliabletotheLCIAandtheArbitralTribunalforsuchArbitrationCosts.
28.2仲裁庭应以命令或裁决的形式列明LCIA仲裁院所确定的仲裁费用总额。在各方当事人关于该等费用责任的争议未得到最终解决的情况下,应由仲裁庭决定当事人须承担的仲裁费用比例。如果仲裁庭决定一方当事人应承担全部或部分的仲裁费用,而另一方当事人根据第24条之规定已向LCIA支付了上述仲裁费用,则后者有权向前者追偿相应的仲裁费用。
28.2TheArbitralTribunalshallspecifybyanorderorawardtheamountoftheArbitrationCostsdeterminedbytheLCIACourt.TheArbitralTribunalshalldecidetheproportionsinwhichthepartiesshallbearsuchArbitrationCosts(intheabsenceofafinalsettlementoftheparties’disputeregardingliabilityforsuchcosts).IftheArbitralTribunalhasdecidedthatalloranypartoftheArbitrationCostsshallbebornebyapartyotherthanapartywhichhasalreadycoveredsuchcostsbywayofapaymenttotheLCIAunderArticle24,thelatterpartyshallhavetherighttorecovertheappropriateamountofArbitrationCostsfromtheformerparty.
28.3仲裁庭亦有权命令或裁定一方当事人产生的全部或部分法律或其他费用(下称“法律费用”)由另一方当事人承担。仲裁庭应在其认为适当合理的基础上厘定此等法律费用的金额。不得要求仲裁庭适用任何国家法院或其他法律机关为评估此等法律费用所采用的费率和程序。
28.3TheArbitralTribunalshallalsohavethepowertodecidebyanorderorawardthatallorpartofthelegalorotherexpensesincurredbyaparty(the“LegalCosts”)bepaidbyanotherparty.TheArbitralTribunalshalldecidetheamountofsuchLegalCostsonsuchreasonablebasisasitthinksappropriate.TheArbitralTribunalshallnotberequiredtoapplytheratesorproceduresforassessingsuchcostspractisedbyanystatecourtorotherlegalauthority.
28.4TheArbitralTribunalshallmakeitsdecisionsonbothArbitrationCostsandLegalCostsonthegeneralprinciplethatcostsshouldreflecttheparties'relativesuccessandfailureintheawardorarbitrationorunderdifferentissues,exceptwhereitappearstotheArbitralTribunalthatinthecircumstancestheapplicationofsuchageneralprinciplewouldbeinappropriateundertheArbitrationAgreementorotherwise.TheArbitralTribunalmayalsotakeintoaccounttheconductofthepartiesandthatoftheirauthorisedrepresentativesinthearbitration,includinganycooperationinfacilitatingtheproceedingsastotimeandcostandanynon-cooperationresultinginunduedelayandunnecessaryexpense.AnydecisiononcostsbytheArbitralTribunalshallbemadewithreasonsintheorderorawardcontainingsuchdecision(unlessitisaConsentAward).
28.5如果当事人在争议发生前已达成约定,无论任何争议、仲裁或裁决的结果如何,一方或多方当事人应支付全部或部分仲裁费用或法律费用,那么该约定应在仲裁启动日后由各方当事人以书面形式确认,以确保其效力。
28.5IntheeventthatthepartieshavehowsoeveragreedbeforetheirdisputethatoneormorepartiesshallpaythewholeoranypartoftheArbitrationCostsorLegalCostswhatevertheresultofanydispute,arbitrationoraward,suchagreement(inordertobeeffective)shallbeconfirmedbythepartiesinwritingaftertheCommencementDate.
28.6在最终裁决作出之前,如果各方当事人根据协议或以其他方式放弃、中止、撤回或终结仲裁,那么仍应就LCIA仲裁院所决定的仲裁费用向LCIA和仲裁庭承担连带责任。
28.6Ifthearbitrationisabandoned,suspended,withdrawnorconcluded,byagreementorotherwise,beforethefinalawardismade,thepartiesshallremainjointlyandseverallyliabletopaytotheLCIAandtheArbitralTribunaltheArbitrationCostsdeterminedbytheLCIACourt.
第29条LCIA仲裁院的决定
Article29DeterminationsandDecisionsbyLCIACourt
29.1除LCIA仲裁院另有指示,LCIA仲裁院就仲裁有关的一切事项所作出的决定具有终局性,对各方当事人和仲裁庭具有约束力。除根据第10条就仲裁异议作出的说理决定外,此类决定在性质上应被视为具有行政性;LCIA仲裁院无需就任何此类决定说明理由。
29.1ThedeterminationsoftheLCIACourtwithrespecttoallmattersrelatingtothearbitrationshallbeconclusiveandbindinguponthepartiesandtheArbitralTribunal,unlessotherwisedirectedbytheLCIACourt.SaveforreasoneddecisionsonarbitralchallengesunderArticle10,suchdeterminationsaretobetreatedasadministrativeinnature;andtheLCIACourtshallnotberequiredtogivereasonsforanysuchdetermination.
29.2在任何适用法律许可的范围内,就LCIA仲裁院作出的任何决定,各方当事人应被视为已放弃向任何国家法院或其他法律机关上诉或申请再审的权利。如果因任何适用法律的强制性规定或其他规定而导致了此类上诉或再审,即使已出现此类上诉或再审,LCIA仲裁院仍可决定仲裁程序是否继续进行。
29.2Totheextentpermittedbyanyapplicablelaw,thepartiesshallbetakentohavewaivedanyrightofappealorreviewinrespectofanydeterminationanddecisionoftheLCIACourttoanystatecourtorotherlegalauthority.Ifsuchappealorreviewtakesplaceduetomandatoryprovisionsofanyapplicablelaworotherwise,theLCIACourtmaydeterminewhetherornotthearbitrationshouldcontinue,notwithstandingsuchappealorreview.
第30条保密
Article30Confidentiality
30.1Thepartiesundertakeasageneralprincipletokeepconfidentialallawardsinthearbitration,togetherwithallmaterialsinthearbitrationcreatedforthepurposeofthearbitrationandallotherdocumentsproducedbyanotherpartyintheproceedingsnototherwiseinthepublicdomain,saveandtotheextentthatdisclosuremayberequiredofapartybylegalduty,toprotectorpursuealegalright,ortoenforceorchallengeanawardinlegalproceedingsbeforeastatecourtorotherlegalauthority.Thepartiesshallseekthesameundertakingofconfidentialityfromallthosethatitinvolvesinthearbitration,includingbutnotlimitedtoanyauthorisedrepresentative,witnessoffact,expertorserviceprovider.
30.2经必要修改,LCIA规则的第30.1条同样适用于仲裁庭、仲裁庭秘书以及仲裁庭的专家。不论LCIA规则是否另有规定,仲裁庭成员以及仲裁庭秘书(在适当情形下)应对仲裁庭的审议过程保密,但任何适用法律另有规定的除外,以及根据第10条、第12条、第26.6条和第27.5条之规定,要求其他仲裁庭成员披露某位仲裁员拒绝参与仲裁程序之事宜的除外。
30.2Article30.1oftheLCIARulesshallalsoapply,withnecessarychanges,totheArbitralTribunal,anytribunalsecretaryandanyexperttotheArbitralTribunal.NotwithstandinganyotherprovisionoftheLCIARules,thedeliberationsoftheArbitralTribunalshallremainconfidentialtoitsmembersandifappropriateanytribunalsecretary,saveasrequiredbyanyapplicablelawandtotheextentthatdisclosureofanarbitrator'srefusaltoparticipateinthearbitrationisrequiredoftheothermembersoftheArbitralTribunalunderArticles10,12,26.6and27.5.
30.3未经各方当事人和仲裁庭事先书面同意,LCIA不得公布任何裁决或裁决的任何部分。
30.3TheLCIAdoesnotpublishanyawardoranypartofanawardwithoutthepriorwrittenconsentofallpartiesandtheArbitralTribunal.
第30A条数据保护
Article30ADataProtection
30.4LCIA对个人数据的任何处理都应符合适用的数据保护立法的规定,LCIA官方网站已发布LCIA的数据保护通知。
30.4AnyprocessingofpersonaldatabytheLCIAissubjecttoapplicabledataprotectionlegislation,andtheLCIA’sdataprotectionnoticecanbefoundontheLCIAwebsite.
30.5根据第14.1条规定的职责,仲裁庭在仲裁程序初期应与各方当事人协商,并酌情与LCIA沟通,考虑是否适合采取:
30.5InaccordancewithitsdutiesunderArticle14.1,atanearlystageofthearbitrationtheArbitralTribunalshall,inconsultationwiththepartiesandwhereappropriatetheLCIA,considerwhetheritisappropriatetoadopt:
(i)任何具体的信息安全措施以保护仲裁中共享的物理与电子信息;
(i)anyspecificinformationsecuritymeasurestoprotectthephysicalandelectronicinformationsharedinthearbitration;and
(ii)依照适用的数据保护立法或同等立法来处理仲裁中产生或交换的个人数据的任何方法。
(ii)anymeanstoaddresstheprocessingofpersonaldataproducedorexchangedinthearbitrationinlightofapplicabledataprotectionorequivalentlegislation.
30.6在不违反任何适用法律或法律规则的强制性规定的情况下,LCIA和仲裁庭可以就信息安全或数据保护作出指令,该指令对各方当事人具有约束力;如果指令由LCIA作出,对仲裁庭成员也具有约束力。
30.6TheLCIAandtheArbitralTribunalmayissuedirectionsaddressinginformationsecurityordataprotection,whichshallbebindingontheparties,andinthecaseofthoseissuedbytheLCIA,alsoonthemembersoftheArbitralTribunal,subjecttothemandatoryprovisionsofanyapplicablelaworrulesoflaw.
第31条责任和管辖权限制条款
Article31LimitationofLiabilityandJurisdictionClause
31.1LCIA(包括其高级职员、成员和雇员)、LCIA仲裁院(包括其主席、副主席、名誉副主席、前副主席和各个成员)、LCIA董事会(包括任何董事会成员)、书记员(包括任何副书记员)、任何仲裁员、任何紧急仲裁员、任何仲裁庭秘书和任何仲裁庭的专家不应就与仲裁有关的任何作为或不作为而向任何一方当事人承担责任,除非(i)一方当事人证明该作为或不作为是对该方负有责任的机构或个人有意识的和故意进行的不法行为;或者(ii)本条款的任何部分为任何适用法律所禁止。
31.1NoneoftheLCIA(includingitsofficers,membersandemployees),theLCIACourt(includingitsPresident,VicePresidents,HonoraryVicePresidents,formerVicePresidentsandmembers),theLCIABoard(includinganyboardmember),theRegistrar(includinganydeputyRegistrar),anyarbitrator,anyEmergencyArbitrator,anytribunalsecretaryandanyexperttotheArbitralTribunalshallbeliabletoanypartyhowsoeverforanyactoromissioninconnectionwithanyarbitration,save:(i)wheretheactoromissionisshownbythatpartytoconstituteconsciousanddeliberatewrongdoingcommittedbythebodyorpersonallegedtobeliabletothatparty;or(ii)totheextentthatanypartofthisprovisionisshowntobeprohibitedbyanyapplicablelaw.
31.2AftertheawardhasbeenmadeandallpossibilitiesofanyaddendumtotheawardoradditionalawardunderArticle27havelapsedorbeenexhausted,noneoftheLCIA(includingitsofficers,membersandemployees),theLCIACourt(includingitsPresident,VicePresidents,HonoraryVicePresidents,formerVicePresidentsandmembers),theLCIABoard(includinganyboardmember),theRegistrar(includinganydeputyRegistrar),anyarbitrator,anyEmergencyArbitrator,anytribunalsecretaryandanyexperttotheArbitralTribunalshallbeunderanylegalobligationtomakeanystatementtoanypersonaboutanymatterconcerningthearbitration;norshallanypartyseektomakeanyofthesebodiesorpersonsawitnessinanylegalorotherproceedingsarisingoutofthearbitration.
31.3同意按照或依据LCIA规则进行仲裁的任何一方当事人不可撤销地同意英格兰和威尔士法院有权受理该方当事人与LCIA(包括其高级职员、成员和雇员)、LCIA仲裁院(包括其主席、副主席、名誉副主席、前副主席和各个成员)、LCIA董事会(包括任何董事会成员)、书记员(包括任何副书记员)、任何仲裁员、任何紧急仲裁员、任何仲裁庭秘书和/或任何仲裁庭的专家之间的由该仲裁引起的或与该仲裁有关的任何普通法诉讼、衡平法诉讼或法律程序;为此,各方当事人不可撤销地服从英格兰和威尔士法院的管辖。
31.3AnypartyagreeingtoarbitrationunderorinaccordancewiththeLCIARulesirrevocablyagreesthatthecourtsofEnglandandWalesshallhaveexclusivejurisdictiontohearanddecideanyaction,suitorproceedingsbetweenthatpartyandtheLCIA(includingitsofficers,membersandemployees),theLCIACourt(includingitsPresident,VicePresidents,HonoraryVicePresidents,formerVicePresidentsandmembers),theLCIABoard(includinganyboardmember),theRegistrar(includinganydeputyRegistrar)anyarbitrator,anyEmergencyArbitrator,anytribunalsecretaryand/oranyexperttotheArbitralTribunalwhichmayariseoutoforinconnectionwithanysucharbitrationand,forthesepurposes,eachpartyirrevocablysubmitstothejurisdictionofthecourtsofEnglandandWales.
第32条一般规则
Article32GeneralRules
32.1如果一方当事人明知仲裁协议的任何规定未得到遵守,却未立即就该未遵守事宜向书记员(仲裁庭组庭前)或仲裁庭(仲裁庭组庭后)提出异议而继续进行仲裁的,应被视为已不可撤销地放弃了其为所有目的提出异议的权利。
32.1ApartywhoknowsthatanyprovisionoftheArbitrationAgreementhasnotbeencompliedwithandyetproceedswiththearbitrationwithoutpromptlystatingitsobjectionastosuchnoncompliancetotheRegistrar(beforetheformationoftheArbitralTribunal)ortheArbitralTribunal(afteritsformation),shallbetreatedashavingirrevocablywaiveditsrighttoobjectforallpurposes.
32.2就仲裁协议中未明确约定的一切事项,LCIA、LCIA仲裁院、书记员、仲裁庭、任何仲裁庭秘书和各方当事人应始终秉持诚实信用原则,尊重仲裁协议的精神,并应尽一切合理努力确保任何裁决在仲裁地得到法律上的承认与执行。
32.2ForallmattersnotexpresslyprovidedintheArbitrationAgreement,theLCIA,theLCIACourt,theRegistrar,theArbitralTribunal,anytribunalsecretaryandeachofthepartiesshallactatalltimesingoodfaith,respectingthespiritoftheArbitrationAgreement,andshallmakeeveryreasonableefforttoensurethatanyawardislegallyrecognisedandenforceableatthearbitralseat.
32.3如果仲裁庭、紧急仲裁员,或有管辖权的法院或其他法律机关认定仲裁协议的任何部分无效、失效或不可强制执行,则此种决定本身不得对仲裁庭或紧急仲裁员作出的任何命令或裁决,或仲裁协议的其他任何部分造成不利影响,仲裁协议的其他任何部分仍应具有完全效力,除非受到任何适用法律的禁止。
32.3IfandtotheextentthatanypartoftheArbitrationAgreementisdecidedbytheArbitralTribunal,theEmergencyArbitrator,oranycourtorotherlegalauthorityofcompetentjurisdictiontobeinvalid,ineffectiveorunenforceable,suchdecisionshallnot,ofitself,adverselyaffectanyorderorawardbytheArbitralTribunalortheEmergencyArbitratororanyotherpartoftheArbitrationAgreementwhichshallremaininfullforceandeffect,unlessprohibitedbyanyapplicablelaw.