Shenzhen Court of International Arbitration 100 Questions and Answers

This set of Q&A is intended to promote basic understanding of arbitration rather than the official explanation of the arbitration rules.

2. What is the di?erence between arbitration and litigation?

Arbitration requires all parties' consent to such a procedure; litigation does not. Arbitration proceedings are more flexible because the parties can appoint arbitrators to hear their case, and in principle, arbitration is conducted in private.

3. What is the difference between arbitration and mediation?

In arbitration, it is the arbitral tribunal that hears the case and issues the award, which is enforceable by law.

4. What are the key advantages of arbitration?

Arbitration procedure is more flexible and fully respects the parties' autonomy. The parties can appoint arbitrators and arrange the arbitration procedures by agreement to suit their needs. Arbitration is conducted by a neutral tribunal composed of experts in relevant areas, which hears the arguments, issues a ?nal award, and ultimately resolves the dispute more e?ciently and professionally than a court. Furthermore, arbitration is usually con?dential. This con?dentiality can be valuable for parties wishing to pro- tect their business reputation. Lastly, arbit ral awards can be enforced internationally more easily than court judgments.

5. What is "institutional" arbitration?

Institutional arbitration refers to arbitration proceedings administered by a permanent arbitration institution such as the Shenzhen Court of International Arbitration (SCIA) and the South China International Arbitration Center (HK) (SCIAHK) . Founded in 1983, SCIA is also known as the South China Inter- national Economic and Trade Arbitration Commission and, starting from 2020, the Greater Bay Area International Arbit ra- tion Center.

6. What is "ad hoc" arbitration?

Ad hoc arbitration is the opposite of institutional arbitration as its proceedings are administered directly by the parties and an arbitral tribunal formed on an ad hoc basis, which will dissolve automatically when the case conclude. The parties may adopt an international ready-made set of arbitration rules (such as the UNCITRAL Arbitration Rules) or, less frequently, rules drawn up by the parties themselves. Ad hoc arbitrations are conduct- ed without the supervision of an arbitration institution, but an arbitration institution or court may provide assistance on some of the procedural matters based on the needs of the parties or applicable laws.

7. What are the key advantages of institutional arbitration?

Institutional arbitration helps ensure the proceedings are conducted in an e?cient, orderly, and foreseeable manner in accordance with the arbitration rules, reducing the likelihood of a procedural standstill due to a party's non-cooperation. To some extent, the arbitration institution oversees and ensures the performance of arbitrators and the quality of awards.

8. What are the key advantages of ad hoc arbitration?

Ad hoc arbitration may be more ?exible. In principle, the ?exibility of ad hoc arbitration enables parties to design rules and procedures appropriate to their disputes. However, in practice, designing a set of arbitration rules will of course require a greater degree of expertise and cooperation.

9. Why arbitrate at SCIA?

SCIA adopts a corporate governance mechanism in which a statutory, international, and professional SCIA Council exercises decision-making and supervisory powers. In other words, the statute of the Shenzhen Special Economic Zone provides institutional assurance of the independence of arbitration at SCIA. SCIA sticks to the doctrine of parties' autonomy and is committed to providing the parties with world-leading and ever-innovative arbitration rules. SCIA has a panel of arbitrators from 114 countries and regions to ensure neutral, professional, and e?cient dispute resolution services to the parties at home and abroad.SCIA has handled cases involving parties from 140 countries and regions, with extensive experience in resolving commercial disputes. SCIA provides world-class hearing facilities and a smart online arbitration system to facilitate online and in-person arbitration. SCIA is located in the Guangdong-Hong Kong-Macao Greater Bay Area which o?ers a pro-arbitration judicial environment. Moreover, SCIA is among the ?rst arbitration institutions admitted into the "One-Stop" Diversi?ed International Commercial Dispute Resolution Mechanism under the China International Commercial Court (CICC) of the Supreme People's Court of the People's Republic of China, allowing direct docking with CICC i n relation to interim measures, enforcement and judicial review.

10. Which types of cases can be heard by SCIA?

SCIA accepts arbitration cases related to contractual disputes and other disputes over property rights and interests, including international or foreign-related disputes, disputes related to the Hong Kong Special Administrative Region, the Macao Special Administrative Region or Taiwan Region, and Chinese Mainland disputes. SCIA also accepts arbitration cases related to investment disputes between states and nationals of other states.

11. Which types of cases are not heard by SCIA?

SCIA does not accept cases related to disputes arising from marriage, adoption, guardianship, bringing up of children, inheritance, labor, and disputes that have been stipulated by law to be settled by administrative organs.

12. Must arbitration at SCIA be conducted under the SCIA Arbitration Rules?

The parties are free to choose the UNCITRAL Arbitration Rules or other arbitration rules. They may also amend certain parts of the SCIA Arbitration Rules. In addition to the SCIA Arbitration Rules, SCIA has also established speci?c rules for ?nancial loan disputes, maritime and logistics arbitration, and online arbitration.

13. What if the contract does not state the applicable rules?

If the parties have made no speci?c agreement on applicable arbitration rules, the parties shall be deemed to have agreed to arbitration in accordance with the SCIA Arbitration Rules. For arbitration cases related to disputes over bank loans and their security contracts governed by the laws of the People's Republic of China, SCIA shall administer the case in accordance with the SCIA Arbitration Rules for Financial Loan Disputes. For cases related to investment disputes, the SCIA shall administer the case in accordance with the UNCITRAL Arbitration Rules and the "SCIA Guidelines for the Administration of Arbitration under the 'UNCITRAL Arbitration Rules'".

14. Will the SCIA Arbitration Rules for Financial Loan Disputes expedite the procedure?

Compared with SCIA's traditional procedure and expedited procedure, the SCIA Arbitration Rules for Financial Loan Disputes have further shortened the arbitration timeline with respect to defence and counterclaim, formation of arbitral tribunal, notice of hearing and the time-limit for the award. By default, a sole arbitrator will hear the case and decide whether to conduct the arbitration solely on the basis of written materials. These innovative rules bring greater e?ciency to the arbitration. Therefore, the parties may choose the SCIA Arbitration Rules for Financial Loan Disputes to e?ciently resolve disputes related to interbank lending, inter-company lending, private lending, small loan contracts, non-performing ?nancial loan transfer contracts, non-performing ?nancial loan recovery or other contracts.

15. If a contract provides for arbitration at SCIA, must it also be governed by the laws of the People's Republic of China?

No. For international or foreign-related cases, the governing law of the contract is not necessarily subject to the place of the arbitration institution, nor does it have to be determined according to the seat of arbitration. If the parties did not provide for the governing law of the contract, the arbitral tribunal will usually select the law of the country or region with the greatest relevance to the contract as the governing law.

16. Will SCIA assist in the administration of ad hoc arbitration cases?

Yes. For international or foreign-related cases in which the parties agree to submit the dispute to SCIA under the UNCITRAL Arbitration Rules, SCIA shall administer the following: ?nancial management, appointment of arbitrators, and the decision on the challenge of arbitrators. Moreover, it may also provide the following services at the request of the parties or the tribunal: assisting the communication between the arbitral tribunal and the parties as well as between the parties, assisting to forward the application of interim measure, and providing services for oral hearings, among others.

17. Is it necessary to have an arbitration agreement?

Yes. Arbitration is a form of dispute resolution based on the agreement of the parties. The arbitral tribunal has no jurisdiction to determine a dispute unless the parties have reached an arbitration agreement. The parties may reach a consensus on the application for arbitration before a dispute arises (usually by an arbitration clause in a contract), or after a dispute has arisen (such as by a separate arbitration agreement). The consensus may also be reached based on the other party's participation or commitment in the arbitration process after the arbitration application has been submitted to SCIA.

18. How should the parties draft a valid arbitration agreement?

If the seat of arbitration is Chinese Mainland, the arbitration agreement must contain the consensus on the application for arbitration, matter of arbitration, and the choice of arbitration institution.

19. Which matters can be prescribed in an arbitration agreement?

The parties may agree on such matters as the seat of arbitration, place of hearing, language of arbitration, formation of arbitral tribunal, governing law, and the allocation of arbitration cost.

20. What is the signi?cance of the seat of arbitration?

For international or foreign-related cases, the seat of arbitration is of great signi?cance. First, it determines the governing law of the arbitration procedure, i.e., the law of which country or region shall apply. Second, it determines the governing law of the arbitration agreement in the absence of the parties' speci?c agreement. Third, it determines the nationality of the arbitral award for the international enforcement of the award, i.e., where the award is made. Fourth, it determines which country or region's court may exercise the power to set aside an award or supervise the arbitration.

21. What language should be chosen to conduct the arbitration proceedings?

The parties are free to agree to conduct the arbitration in any language. In practice, the parties should consider languages used by the parties, or might be used in the contracts and evidence, the extent to which the choice of language may a?ect the choice of arbitrators, and the impact of two or multiple languages on the cost of dispute resolution.

22. How to agree to commence arbitration at SCIA?

The parties may agree as follows "Any dispute arising from or in connection with this Contract will be submitted to SCIA for arbitration." SCIA has di?erent recommended model arbitration clauses for the various circumstances. Please refer to SCIA's o?cial website (www.scia.com.cn). The inclusion of such clause may ensure the jurisdiction of the arbitral tribunal.

23. What happens if the parties agree to submit a dispute to an SCIA branch for arbitration?

The case will be accepted by SCIA if the parties agree in their arbitration agreement to submit the dispute to the China (Shenzhen) Securities Arbitration Center, China (Shenzhen) Intellectual Property Arbitration Center, SCIA Maritime Arbit ration Center, SCIA Kashi Center or SCIA Jiangmen International Arbitration Center.

24. What are the di?erences between the designation of SCIA Jiangmen International Arbitration Center and the Jiangmen Arbitration Commission in the Arbitration Agreement?

The SCIA Jiangmen International Arbitration Center is a subsidiary of SCIA, and SCIA is appointed by the Jiangmen Municipal Government to administer the Jiangmen Arbitration Commission. Disputes submitted to the SCIA Jiangmen International Arbitration Centre are governed by SCIA's arbitration rules and arbitrators can be selected from the panel of SCIA. Disputes submitted to Jiangmen Arbitration Commission are governed by the Arbitration Rules of the Jiangmen Arbitration Commission, and arbitrators can be selected from the SCIA's panel or the Jiangmen Arbitration Commission's panel.

25. Can the arbitration agreement simultaneously cover the contractual and tort disputes?

Yes. The arbitration agreement usually covers disputes "arising from or in connection with" a certain contract, and such agreement is broad enough to cover transaction-related torts, giving the arbitral tribunal the jurisdiction to simultaneously resolve contractual and tort disputes.

26. Can the parties initiate arbitration based on the arbitration clause of a void contract?

Yes. The arbitration clause exists independently from the contract that contains arbitration clause. Hence, the validity of the arbitration agreement is not contingent upon the establishment, ine?ectiveness, invalidity, expiration, revocation, change, rescission, suspension, termination, assignment or non-performance of the contract.

27. How to challenge the tribunal's jurisdiction?

A party may challenge the tribunal's jurisdiction before the date of the ?rst hearing (exclusive). Where a case is to be decided on the basis of documents only, such challenge shall be raised in writing before the expiry of the time-limit for the submission of the ?rst defence or within 10 days from the date of receipt of the notice for a document-based hearing.

28. Can the tribunal's decision on jurisdiction be appealed?

If the seat of arbitration is Chinese Mainland, the decision on jurisdiction made by the SCIA or the arbitral tribunal cannot be appealed. However, after the case is closed, the party may request a court for the revocation or non-enforcement of the arbitral award on the ground of lack of jurisdiction. If the seat of arbitration is outside Chinese Mainland, the party may lodge an appeal against the decision which con?rms jurisdiction to a competent court in accordance with relevant regulations of the governing law of arbitration procedure.

29. What happens when the parties have reached an arbitration agreement but a party brings a lawsuit to the court?

If the parties have already reached an arbitration agreement over a certain dispute, but one party still ?les a lawsuit with the court, such a lawsuit would usually be dismissed by the court unless the arbitration agreement is void.

30. If an pre-arbitration procedure is agreed upon in the arbitration agreement, does it mean that an arbitration cannot be commenced before completing the pre-arbitration procedure?

If the arbitration agreement stipulates that where a dispute arises, the parties should try to resolve the dispute through negotiation and mediation prior to arbitration, the parties may try to resolve the dispute through negotiation and mediation. However, the claimant may also commence arbitration without prior negotiation and mediation.

31. Is there a statute of limitations for arbitration?

If there is no special requirement on the statute of limitations under the law of the seat of arbitration, the general rule on the statute of limitations for litigation may generally apply to arbitration.

32. Which materials need to be submitted upon the request for arbitration?

Upon the request for arbitration, a claimant needs to submit a Request for Arbitration, documents of appointment representatives, and evidentiary materials in support of the claim and for the identi?cation of the party.

33. Is it necessary to apply for arbitration in person?

No. The party may apply for arbitration by email or via SCIA online arbitration system.

34. Is it necessary for the overseas party to have its evidentiary materials for the identi?cation of the party and documents of appointment representatives notarized?

No. Relevant documents obtained overseas may not require the submission of notarial certi?cation, but if the tribunal requires it during the proceeding, the party shall comply. If the party concerned needs to apply for arbitration preservation to the court in Chinese Mainland, it shall be conducted in accordance with the requirements of the relevant court.

35. Is there any limit on the number of arbitration representatives?

There is no such a limit, and a party may appoint one or several representatives.

36. Is it necessary that the arbitration representatives must be attorneys?

No. The arbitration representatives can be attorneys, company employees or other personnel authorized by the parties.

37. Is it necessary for the parties to engage an attorney from Chinese Mainland ?

No. The parties are free to appoint attorneys from Chinese Mainland, Hong Kong, Macao, the Taiwan region or foreign attorneys to represent them in an arbitration case.

38. Can the party submit a counterclaim?

Yes. The party's counterclaim, if any, shall be submited in writ- ing within 30 days (10 days in the case applying expedited procedure) from the date of receiving the Notice of Arbitration. Overdue submissions may not be accepted by the tribunal.

39. Can the party amend its arbitration claims?

The party may apply to amend its claims or counterclaims. The tribunal will decide whether or not to grant such appli - cation, taking into account the circumstances of the case. The tribunal may reject such amendment if it could exces - sively delay the arbitration proceedings or is manifestly injustice to the other party.

40. Can the party apply for a single arbitration for disputes arising from multiple contracts?

Yes. The party may jointly apply for a single arbitration for disputes arising from multiple contracts, a principal contract and its subcontracts, or a contract and its related contracts as long as the relevant disputes arise from the same transaction or the same series of transactions while the matters agreed upon under the arbitration agreements are not contradictory.

41. Can a party apply for preservation before the commencement of or during the arbitration proceedings?

Yes. The party may apply for preservation before the commencement of or during the arbitration proceedings. If the party applies for the preservation of property, evidence or conduct before the commencement of the arbitration proceedings, it may directly submit an application to a court with jurisdiction; if the preservation of property, evidence or conduct is applied for during the arbitration proceedings, the SCIA will promptly transfer its application to a court with jurisdiction.

42. Can a party apply to a Hong Kong court for preservation or interim measures?

Yes. If the property being preserved is in Hong Kong, the party may apply to the Hong Kong High Court for an injunction or other interim measures following the Arrangement Concerning Mutual Assistance in Court-ordered Interim Measures in Aid of Arbit ral Proceedings by the Courts of the Mainland and of the Hong Kong Special Administrative Region in accordance with the Hong Kong Arbitration Ordinance (Chapter 609) and Hong Kong High Court Ordinance (Chapter 4) .

43. Can a party apply to the tribunal for interim measures?

The parties may request the tribunal to take interim measures provided that the laws of the seat of arbitration permit.

44. Is it necessary for a party applying for preservation or interim measures to provide security?

A court usually would require the party applying for preservation to provide security. When a party applies to a tribunal for an interim measure, the tribunal may require that party to provide security.

45. Can a party apply to an emergency arbitrator to issue interim measures?

Where it is permissible under the applicable laws to the arbitration proceedings, a party who needs to apply for interim measures due to any emergency may, prior to the formation of the arbit ral tribunal, apply to the SCIA for the appointment of an emergency arbitrator.

46. Which documents need to be submitted to apply for the appointment of an emergency arbitrator?

The party needs to submit an application for the appointment of an emergency arbitrator, including information and contact of the party and its representatives, the interim measures being sought and the grounds of the application, and opinions on the place, language, and applicable laws on the emergency arbitration proceedings.

47. How long does it take to appoint an emergency arbitrator?

The SCIA will appoint an emergency arbitrator within two days after receipt of both the application and the payment of fees required for the emergency arbitrator.

48. How long does it take for an emergency arbitrator to decide on an application for interim measures?

The emergency arbitrator will make the decisions with the grounds within fourteen days from the date of appointment.

49. Can the decisions of an emergency arbitrator be modi?ed, suspended or revoked?

Yes. If the party puts forward a request and explains the reasons, the emergency arbitrator or the tribunal constituted thereafter may modify, suspend or revoke the previous decisions on the interim measures.

50. How many arbitrators does an arbitral tribunal usually consist of?

An arbitral tribunal usually consists of one or three arbitrators. Unless otherwise agreed by the parties, a case that applies the expedited procedure shall be heard by an arbitral tribunal of a sole arbitrator and a case that applies the general procedure shall be heard by an arbitral tribunal of three arbitrators by default.

51. How does a party appoint an arbitrator?

When appointing an arbitrator, the party needs to consider the circumstances of the dispute, the specialty, region and nationality of the arbitrator to be appointed, whether there is an obvious con?ict of interest, whether the arbitrator has su?cient time for this case, among other factors, and complete the appointment within the time-limit prescribed by the SCIA Arbitration Rules.

52. Can parties appoint arbitrators who are not on the SCIA's Panel of Arbitrators?

Generally, parties shall appoint arbitrators from the SCIA's Panel of Arbitrators. However, in cases applying the UNCITRAL rules or the SCIA Rules of Maritime and Logistics Arbitration, parties may appoint arbitrators outside the SCIA's Panel of Arbitrators.

53. Should the arbitrator appointed by one party be inde- pendent of that party?

Yes, an arbitrator does not represent any party, must remain independent of all parties, and must treat every party equally.

54. How is the presiding arbitrator appointed?

The presiding arbitrator may be jointly appointed by the parties, or appointed by the SCIA at the joint entrustment of the parties, or jointly appointed by the two appointed arbitrators. If the parties cannot reach a consensus, the SCIA will o?er a recommendation list with at least three candidates to the parties for ranking, choosing, or removing, and then appoint the presiding arbitrator in accordance with the result of ranking, choosing or removing by the parties. This mechanism ensures the parties' autonomy and the rights of appointing arbitrators in a full extent.

55. Do arbitrators have a disclosure obligation?

Yes. The SCIA requires arbitrators, whether appointed by the parties or the SCIA, to promptly disclose any facts or circumstances that are likely to give rise to reasonable doubts as to their impartiality or independence.

56. Can a party challenge an arbitrator?

A party which has justi?able doubts as to the impartiality, independence of an arbitrator or believes the arbitrator is unquali?ed may challenge that arbitrator. Any challenge along with the reasons must be forwarded within 10 days after receiving the arbitrator's written disclosure.

57. Will arbitration proceedings be restarted following the replacement of arbitrators?

After an arbitrator is replaced, the arbitral tribunal will consider whether to restart all or part of the proceedings having been conducted from the perspective of balancing fairness and e?ciency, unless otherwise agreed by the parties.

58. What are the general duties of an arbitrator?

(1) to maintain neutrality and independence and to ful?l disclosure obligations on an ongoing basis; (2) to act fairly and impartially between the parties; (3) to give the parties a reasonable opportunity to present and argue their cases; and (4) to diligently and e?ciently handle cases to ensure a fair and e?cient resolution of dispute and avoid unnecessary delay and expense.

59. What case management techniques may the tribunal employ?

To e?ciently manage cases, an arbitral tribunal may issue procedural orders, send out question lists, hold pre-hearing conferences, determine the terms of reference, require pre-hearing exchange of evidence or discovery of documents by the parties, request the parties to submit an agreed list of issues, and exercise the power of interpretation.

60. What issues are generally discussed at a pre-hearing conference?

For a more e?cient hearing process, an arbitral tribunal may call the parties to a pre-hearing conference to discuss and determine the procedural matters related to the case or the hearing. This includes, but is not limited to, agreeing on the manner and timeline for document submissions and the format and time of the hearing. Pre-hearing conferences are typically held by teleconference or videoconference.

61. What is the Procedural Order No.1?

In a complex arbitration case, the tribunal may issue a series of procedural orders to the parties to achieve greater e?ciency and enable both itself and the parties to gain a full picture of the case procedures in advance. Procedural Order No.1 is the ?rst such order issued after the tribunal's formation. It typically contains the following: the full name and address of each party and the names and contact details of its representatives; a summary of the dispute as well as the contracts or agreements involved; the formation process of the arbitral tribunal; applicable arbitration rules; document submission requirements and methods and the number of copies to be submitted; the procedure timetable or schedule; evidence and legal literature; witnesses and their state- ments; expert witnesses; the place and language of arbitration; and the name and contact details of the tribunal secretary.

62. How is evidence exchanged before a hearing?

To achieve greater e?cie ncy and ensure the hearing process can focus on the disputed evidence or facts, the arbitral tribunal usually organizes an evidence exchange, veri?cation, and cross-examination procedure before the hearing for the complex cases with a lot of evidence . This exchange may be overseen by all tribunal members or, under the authority of the tribunal, by some of them or the tribunal secretary.

63. Can a party require discovery from the other party?

Yes. A party may request document disclosure from the other or ask the tribunal to mandate such disclosure. When it deems such disclosure to be necessary, the tribunal will usually order pertinent disclosures to speci?c issues or based on a speci?c list, rather than a wide-ranging discovery. If so ordered, the parties will be required to disclose all relevant documents regardless of whether they assist or harm their own case.

64. When might the tribunal deny a discovery request?

The tribunal may deny a discovery request if (1) legal barriers exist; (2) disclosure may bring unreasonable burdens; (3) the requested documents have been lost or destroyed; (4) the requested documents constitute trade or technical secrets; or (5) the requested documents have particular political or organizational sensitivity.

65. What are the consequences for failing to comply with the tribunal's discovery order?

Failure to comply with the tribunal's discovery order without valid reasons is grounds for the tribunal to construe the undisclosed documents against the non-compliant party. Furthermore, the tribunal may impose some punishments such as ordering it to pay for the fees and costs or make compensations.

66. Do parties have to submit the Request for Arbitration, Statement of Defence, evidentiary materials, and attorney's statement by mail or in-person?

No. SCIA embraces technology used in arbitration proceedings and encourages online submissions through platforms like the SCIA online arbitration system. Materials uploaded to this system are automatically sent to arbitrators, the tribunal secretary, and the other parties for e?cient document and information exchange.

67. Are oral hearings necessary in arbitration?

No. The parties may agree to determine the arbitration proceed as a documents-only procedure without convening an oral hearing. Additionally, for expedited procedure cases, the tribunal may decide to handle them on an oral or documents-only basis based on the particular circumstances.

68. Must arbitration cases be heard at the arbitration institution's location?

No. The parties are free to agree on any location for the hearing, separate from where the arbitration institution is located. The tribunal may also consider the speci?cs of a case and choose an external location to facilitate fact-?nding or for the parties' convenience.

69. Is in-person hearing required?

No. Parties, representatives, and witnesses may request to join hearings online through video conference.

70. Can non-parties attend hearings?

Due to the requirements of con?dentiality of arbitration, non-parties cannot attend hearings unless all involved parties agree explicitly.

71. What if a party fails to attend the hearing?

If the claimant fails to attend the hearing without valid reasons after being noti?ed, it will be deemed as a withdrawal of the request for arbitration. In this case, if the respondent has raised a counterclaim, the claimant's absence will not hinder the tribunal from proceeding with the counterclaim. If the respondent fails to attend the hearing without valid reasons, the tribunal may continue the proceedings, conducting a default hearing and making an award. If the respondent has raised a counterclaim, such counterclaim will be deemed withdrawn, and will not be heard.

72. Do the rules of evidence applicable in arbitration proceedings?

An arbitral tribunal is not bound by the strict rules of evidence that apply in litigation proceedings. The tribunal can decide which evidence is permissible and to assess its evidentiary power.

73. How to request the appearance of a witness?

To request the appearance of a factual witness, a party shall submit a written application, specifying the witness' identi?cation, testimony, and the language used. If an expert witness is required, the party may hire the expert to provide written opinions or testify on legal or other specialized issues.

74. How is the burden of proof established in arbitration?

Typically, a party bears the burden of proof for its own claims. However, the tribunal has the authority to set the burden of proof. A party failing to bear its burden of proof within the set timeframe, or providing insu?cient evidence for its claims, will face the respective consequences.

75. Will evidence submitted out of deadline be accepted?

A party shall submit all evidence within the timeframe set by the tribunal. Evidence submitted out of deadline is at risk of being inadmissible. The tribunal considers factors such as when the evidence was obtained, the validity of the lateness, and the aim of the evidence when deciding on late submissions.

76. Can a party request the tribunal to investigate the facts?

Yes. A party has the right to request the tribunal to investigate the facts. However, the tribunal can decide whether to agree the request or not. Tribunals typically approach such requests cautiously, agreeing only if deemed essential after thorough consideration of the speci?c case circumstances.

77. Can the tribunal investigate the facts on its own initiative?

Yes. An arbitral tribunal has the power to investigate the facts on its own initiative. Any evidence obtained by a tribunal should be timely disclosed the parties to allow them an opportunity for review and comment on the evidence.

78. Is appraisal procedure used in arbitration?

To clarify facts, a tribunal may, if deemed necessary or upon a party's request approved by it, decide to appoint experts for appraisal to assess technical or professional facts relevant to the case and provide expert reports.

79. Can parties access or obtain the record of hearing?

Yes. On the request of any party, the record of hearing can be provided to it for review.

80. Can arbitrations be consolidated?

Yes. With the consent of all involved parties, SCIA may consolidate two or more related cases already in arbitration into a single case. This allows for a uni?ed fact-?nding and e?cient dispute resolution process by the same tribunal.

81. Can arbitration hearings be consolidated?

Yes. If multiple cases involve identical, similar or related legal or factual issues, to enhance hearing e?ciency, the tribunal may propose hearing consolidation to the parties involved. Upon the agreement of all the parties, the hearings of these cases can be consolidated.

82. Can a party request the joinder of additional parties during arbitration?

In arbitration, a party may request the joinder of a non-party to the proceedings. However, SCIA or the tribunal will only approve such joinder if there exists a same arbitration agreement between the parties and the non-party to be included.

83. Can a non-party apply to join the arbitration?

A non-party may apply in writing to join the arbitration proceedings, but such participation requires the agreement of all involved parties and the approval by the tribunal or, prior to the tribunal's formation, by SCIA.

84. Can an arbitrator in a dispute also act as mediator?

An arbitrator can only act as mediator in the same case if all the involved parties agree that the arbitrator conduct the mediation can continue to serve on the arbitral tribunal in the subsequent arbitration proceedings, unless otherwise agreed by the parties or provided by the applicable law.

85. Can a party apply for extrajudicial mediation?

Yes. A party may apply to any specialized entity or platform either established by or recognized by SCIA for mediation or negotiation facilitation.

86. What is the time limit for making an SCIA award?

For international or foreign-related cases, as well as Hong Kong, Macao and the Taiwan region-related cases that apply the general procedure, an award should be made within six months from the formation of the tribunal; for Chinese Mainland cases that apply the general procedure, within four months; for cases that apply the expedited procedure, within two months; and for cases that apply the SCIA Arbitration Rules for Financial Loan Disputes, within one month. These time-limits are speci?ed by the SCIA Arbitration Rules. Extensions can be granted in special circumstances by SCIA upon the tribunal's request.

87. Must an award be unanimous among three arbitrators?

No. An award can be made unanimously or by a majority of arbitrators. If a majority decision cannot be reached, be rendered in accordance with the presiding arbitrator's opinion.

88. Can parties who have settled their dispute obtain an award?

Yes. After reaching a settlement, the parties can also request the tribunal to, based on their settlement or mediation agreement, issue a mediation statement or arbit ral award, which does not need to detail the facts of the dispute or the reasons for the decision. Furthermore, in Chinese Mainland, a mediation agreement has the same legal e?ect as an arbit ral award and can be applied for enforcement to a law court.

89. Can a tribunal make a partial award?

Yes. A tribunal can make a partial award if deemed necessary or upon party request approved by it. The partial award is ?nal and can be enforced through the court. In arbitration, when a party presents multiple claims, other than claims with clear fact pattern and uncomplicated disputes but involving substantial amounts, claims with more complicated facts and liabilities may be presented before the tribunal together with uncomplicated ones. In this case, the party may seek a partial award from the tribunal to protect its rights e?ectively and reduce potential losses.

90. Can an award be corrected?

Yes. If an award contains clerical, typographical, or com puta- tional errors, or other similar mistakes, it may be corrected upon party request or on the initiative of the tribunal.

91. How are SCIA awards enforced in Chinese Mainland?

A claimant may apply to a competent court with jurisdiction over the respondent's domicile or property location for the enforcement of SCIA's award.

92. How are SCIA awards enforced abroad?

Parties may apply for the enforcement of SCIA awards in Hong Kong in accordance with the Arrangement Concerning Mutual Enforcement of Arbitral Awards between the Mainland and the HKSAR, and the Supplemental Arrangement Concerning Mutual Enforcement of Arbitral Awards between the Mainland and the HKSAR, issued by the Supreme People's Court. For enforcement in Macao, the Arrangement on the Mutual Recognition and Enforcement of Arbitral Awards between the Mainland and Macao Special Administrative Region issued by the Supreme People's Court applies. In Taiwan region, enforcement can be sought under the Act Governing Relations between the People of the Taiwan Area and the Mainland Area. Globally, parties may enforce SCIA awards in the 172 member states of Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the New York Convention).

93. Can arbitral awards be appealed?

Arbitral awards are ordinarily non-appealable, and the court will not consider the merits of the dispute or the correctness of the award. In Chinese Mainland, no awards can be appealed. In Hong Kong, and other jurisdictions where it is so allowed, however, the parties may opt into an agreement to appeal such award on a question of law or to challenge such award on the ground of serious irregularity a?ecting the tribunal, or the arbitral proceedings or the award.

94. How may an arbitral award be challenged?

An award may be set aside or refused enforcement for reasons such as the tribunal's lack of jurisdiction, serious irregularity a?ecting the formation of the tribunal, or violation of statutory procedural requirements by the arbitration rules or law. Parties may apply to a competent court for setting aside or non-enforcement of an award. An application for setting aside a SCIA award s hall be made within six months from receipt of the award. Non-parties objecting to an award may seek Mainland court's intervention to non-enforcement.

95. How are arbitration fees calculated?

Arbitration fees are typically calculated as a percentage of the disputed amount and are expected to be paid in advance by the claimant. In international or foreign-related cases, an hourly rate or other arrangement for arbitrator's remuneration may be agreed upon by the parties. For a quick calculation of arbitration fees, parties may visit SCIA's o?cial website (www.scia.com.cn). The exact prepaid amount will be determined upon case ?ling.

96. Can arbitration fees be reduced or waived?

In support of amicable and e?cient dispute resolution, SCIA may reduce or waive fees for cases resolved through settlement or mediation, and those qualify for other preferential policies. Fee concession information is available on SCIA's o?cial website (www.scia.com.cn).

97. Can payment of the arbitration fees be postponed?

Parties may request to pay arbitration fees in instalments if the amounts in dispute is considerably large or in other payment arrangement under other special circumstances where SCIA considers appropriate. If instalment payment is so approved by SCIA, a third of the arbitration fees shall be paid at the time of ?ling of a request for arbitration, half before tribunal formation, and the full amount before the ?rst hearing meeting.

98. What are the consequences of failing to pay arbitration fees on time?

During the arbitration process, if a party fails to pay at required amount, SCIA will inform the other party of the payment. Failure to comply may result in the suspension of proceedings or the arbitration claims or counterclaims being considered withdrawn.

99. What constitutes arbitration fees and costs?

Arbitration fees and costs include arbitration fees paid to the arbitration institution and the tribunal, remuneration for lawyers and other professionals, and various expenses incurred during arbitration such as the preservation costs, preservation insurance premium, travel expenses, notary fees and translation fees, etc.

100. Who bears arbitration fees and costs?

The tribunal determines whether and to what extent one party should bear the arbitration fees and costs of the other. Generally, the losing party is expected to bear the arbitration fees and costs, but the tribunal may allocate these fees and costs to the parties based on the decisions on merits and complexity of the case, disputed amount, and whether the parties and their representatives' conducts are in good faith.