CHINA: An Introduction to Dispute Resolution: Arbitration (PRC Firms)

2023 Overview of Arbitration in China: Rules’ Innovations, Environmental Optimisation and Judicial Support

2023年中国仲裁概览：规则创新、环境优化与司法保障

In 2023, China witnessed remarkable advancements in arbitration, aligning itself with international standards and achieving significant breakthroughs in judicial supervision and collaboration.

2023年，中国仲裁不仅加速了与国际接轨，在仲裁司法监督与协作方面也取得了重要突破。

I. Rules' Innovations: Incorporating International Arbitration Practice into China

一、规则创新：把国际仲裁实践引入中国

The China International Economic and Trade Arbitration Commission ("CIETAC") and the Shanghai International Economic and Trade Arbitration Commission/Shanghai International Arbitration Center ("SHIAC") unveiled new arbitration rules on September 5, 2023 and November 7, 2023 respectively, effective since January 1, 2024.

中国国际贸易仲裁委员会（“中国贸仲”）与上海国际经济贸易仲裁委员会（上海仲裁中心）（“上海国仲”）分别于2023年9月5日及2023年11月7日公布了新版仲裁规则，并于2024年1月1日起施行。

In the new rules, both CIETAC and SHIAC expanded the circumstances under which disputes arising out of or in connection with multiple contracts could be initiated in a single arbitration and two or more arbitrations pending could be consolidated into a single arbitration. Factors such as the existence of principal-ancillary contract relationships, identical or compatible parties and legal relationships, and multiple contracts originating from the same transaction or series of transactions are now included. Additionally, both commissions continue to encourage and support electronic and intelligent arbitration, explicitly adding electronic service as an accepted means of service and allowing electronic case filing. These measures will significantly enhance the efficiency of arbitration.

在新版仲裁规则中，中国贸仲以及上海国仲都进一步扩大了可以适用多个合同合并申请仲裁及多个案件合并审理的情形：多个合同之间存在主从合同关系、多个合同所涉当事人及法律关系相同、多个合同源于同一交易或同一系列交易等事由都被囊括其中。同时，两家机构继续鼓励支持电子化、智能化仲裁，明确将电子送达增加为送达方式，并接受当事人采用电子方式立案。这些举措都将大大提高仲裁效率。

In addition, CIETAC introduced provisions for "interim awards" and an "early dismissal procedure" in its new rules. These concepts are maturely applied in international arbitration to improve arbitration efficiency, to assist parties in resolving disputes at an early stage. CIETAC also clarified in its new rules that the arbitral tribunal's authority to decide whether to apply the CIETAC Guidelines on Evidence (“Guidelines”) in whole or in part, which is a set of rules referencing the IBA Rules on Taking Evidence in International Arbitration. The "request to produce documents" outlined in the Guidelines grants parties the right to request a specific document or a narrow and specific category of documents, reducing the difficulty of proof for the parties.

中国贸仲还在新版仲裁规则中引入了“中间裁决”以及“早期驳回程序”的规定，这两项在国际仲裁中运用成熟的制度同样可以提高仲裁效率，帮助当事人尽早定争止纷。同时，中国贸仲明确了仲裁庭有权决定是否适用或全部适用《中国国际经济贸易仲裁委员会证据指引》（《证据指引》），《证据指引》系参考《IBA国际商事仲裁取证规则》所制定，其中规定的“书证出示请求”赋予了当事人要求对方出示某一特定书证或某一类范围有限且具体的书证的权利，该制度将降低当事人的举证难度。

Furthermore, both commissions specified the provision of administration and supporting services for ad hoc arbitration based on the parties' agreement and request, following the China Maritime Arbitration Commission ("CMAC") Ad Hoc Arbitration Service Rules in 2022. Hainan International Arbitration Court and Shanghai Arbitration Commission also announced their ability to provide supporting services for ad hoc arbitration in 2023. The first ad hoc arbitration case in mainland China, assisted by CMAC's management services, was concluded on June 30, 2023.

另外，两家机构也明确了可以根据当事人约定和请求为临时仲裁提供管理和辅助服务。这是继中国海事仲裁委员会（“中国海仲”）于2022年发布《中国海事仲裁委员会临时仲裁服务规则》后，临时仲裁再次在境内仲裁机构的相关规则中获得明确规定。海南国际仲裁院及上海仲裁委员会也都在2023年明确可为临时仲裁提供协助服务。由中国海仲提供必要管理服务的中国内地临时仲裁第一案也已于2023年6月30日审结。

II. Optimisation of the environment: Supporting the Development of International Commercial Arbitration Institutions in Beijing and Shanghai

二、环境优化：支持国际商事仲裁机构在京、沪发展

On November 18, 2023 and November 22, 2023, the State Council of the People's Republic of China and the Standing Committee of the Sixteenth Shanghai Municipal People's Congress successively issued the Action Plan to Support Beijing in Deepening the Construction of the National Service Industry and Expanding Opening-up Comprehensive Demonstration Zone and the Regulations in Shanghai on Promoting the Construction of the International Commercial Arbitration Center (“Regulations”), promoting Beijing and Shanghai as international commercial arbitration centres and supporting the development of international commercial arbitration institutions in Beijing and Shanghai.

2023年11月18日及2023年11月22日，中华人民共和国国务院以及上海市十六届人大常委会相继发布《支持北京深化国家服务业扩大开放综合示范区建设工作方案》以及《上海市推进国际商事仲裁中心建设条例》（《条例》），鼓励将北京和上海打造成面向全球的国际商事仲裁中心，并支持国际商事仲裁机构在北京和上海发展。

On December 1, 2023, the Korean Commercial Arbitration Board Shanghai Center was approved to register and establish in Shanghai. Upon registration with the Ministry of Justice of the People's Republic of China, it can conduct foreign-related arbitration business in mainland China in fields such as international commerce, maritime, and investment affairs. This marks the first commercial arbitration institution established by a foreign arbitration institution in mainland China after the promulgation of the Regulations.

2023年12月1日，韩国大韩商事仲裁院上海中心获准在上海登记设立，在经中华人民共和国司法部备案后，便可就国际商事、海事、投资等领域发生的民商事纠纷在中国内地开展涉外仲裁业务，这是外国仲裁机构在《条例》颁布之后在中国内地设立的首家商事仲裁业务机构。

III. Judicial Support: Close Cooperation between Judiciary and Arbitration

三、司法保障：司法与仲裁紧密协作

1. Facilitating Arbitration Evidence Gathering with Court-Issued Investigation Orders

1. 法院开具调���令便利仲裁取证

In the past, due to the independence of arbitral tribunals, when an arbitral tribunal needed to investigate and gather evidence, it could only issue letters of assistance to collect evidence, which lacked judicial enforcement power.

受限于仲裁庭独立性的特点，以往需要由仲裁庭调查取证时，仲裁庭往往仅能通过开具协助调查函用以搜集证据，但该等协助调查函并无司法强制力。

On November 7, 2023, the Xiamen International Commercial Court issued the first investigation order for an arbitration case in China based on the application of the Xiamen Arbitration Commission. Subsequently, the Xiamen Intermediate People's Court formulated the Interim Provisions on Assisting Arbitration Institutions in Issuing Investigation Orders. In Article 22 of the Regulations in Shanghai dated November 22, 2023, provisions are made for the court's assistance to arbitration institutions in investigating and gathering evidence as well. Based on this, on December 1, 2023, Minhang District People's Court in Shanghai assisted the Shanghai Arbitration Commission in issuing investigation orders, successfully helping parties and the arbitral tribunal collect relevant evidence.

2023年11月7日，厦门国际商事法庭根据厦门仲裁委员会的申请发出了全国首份仲裁案件调查令，厦门市中级人民法院也随即制订了《关于仲裁机构申请开具调查令的暂行规定》。在前文上海市2023年11月22日发布的《条例》第22条中，对于法院协助仲裁机构调查取证亦有规定。据此，2023年12月1日上海市闵行区人民法院协助上海仲裁委员会开具调查令，并成功帮助当事人和仲裁庭收集了相关证据。

2. First Confirmation of the Status of "Soft Law" in Judicial Review of International Arbitration

2. 首次确认国际仲裁中“软法”在司法审查中的地位

On June 29, 2023, the Fourth Intermediate People's Court of Beijing issued a civil ruling recognising the validity of an arbitration clause stating "ICC Arbitration Court in Beijing". It further confirmed that decisions made based on "foreign arbitration institutions conducting arbitration in mainland China" fall under the jurisdiction of Chinese law regarding foreign-related arbitration awards. This ruling represents the first time in judicial practice that the status of "soft law" in the field of international commercial arbitration, referring to rules established by some international organizations and arbitration institutions to fill procedural legal gaps in international commercial arbitration (such as the IBA Rules on Taking Evidence in International Arbitration and IBA Guidelines on Conflicts of Interest in International Arbitration, etc.), has been acknowledged in the judicial review process. It has certain guiding significance in the judicial review process of arbitration.

2023年6月29日，北京市第四中级人民法院作出民事裁定书，认可了“ICC仲裁院在北京仲裁”的仲裁条款效力，并再次确认了根据“外国仲裁机构在中国内地仲裁”作出的裁决属于中国法下的涉外仲裁裁决。同时该裁定也是司法实践中首次确认国际商事仲裁领域的“软法”（实践中通过当事人的约定或仲裁庭的选择予以适用的由一些国际组织和仲裁机构针对国际商事仲裁中的程序法律空白所制定的规则，如《IBA国际商事仲裁取证规则》《IBA国际仲裁利益冲突指引》等）在仲裁司法审查过程中具有一定指导意义。

3. Clarifying Review Standards to Support Healthy Development of Arbitration

3. 明晰审查标准，支持仲裁健康发展

In June 2023, the Supreme People's Court compiled and published the Understanding and Application of the Minutes of the Symposium on Foreign-Related Commercial and Maritime Trial Work of National Courts, providing detailed explanations on the standards and application of judicial reviews for the effectiveness of arbitration agreements, setting aside arbitration awards, and recognition and enforcement of arbitration awards. On July 25, 2023, the Fourth Intermediate People's Court of Beijing reported ten typical cases covering the establishment, effectiveness, and judicial review of arbitration agreements and arbitral awards. On September 27, 2023, the Supreme People's Court released the fourth batch of typical cases related to the construction of the One Belt One Road, providing valuable reference experience for courts in recognising and enforcing foreign arbitral awards and mutually enforcing arbitral awards between mainland China and Hong Kong. On October 25, 2023, the Beijing Financial Court published ten typical cases of judicial review of financial arbitration, further clarifying the status and standards of financial arbitration in court review and establishing a clearer legal framework for financial arbitration.

2023年6月，最高人民法院民四庭编著并出版了《〈全国法院涉外商事海事审判工作座谈会会议纪要〉理解与适用》，其中对仲裁协议效力、撤销仲裁裁决、承认与执行仲裁裁决的司法审查标准及其适用进行了详解，为涉外商事仲裁案件的司法审查提供了指导；北京市第四中级人民法院于2023年7月25日通报了十大典型案例，案例涵盖了仲裁协议的成立、生效以及司法审查的认定标准；最高人民法院于2023年9月27日发布了第四批涉“一带一路”建设典型案例，为法院在承认与执行外国仲裁裁决及内地与香港互相执行仲裁裁决方面提供了宝贵的参考经验；北京金融法院于2023年10月25日发布了十起涉金融仲裁司法审查典型案例，进一步明确了金融领域仲裁在法院审查中的地位与标准，为金融仲裁制定了更为清晰的法律框架。