Chapter 1 General Provisions

Article 1 Purpose

These rules are formulated to resolve civil and commercial disputes between the parties by mediation in a fair, efficient, harmonious and cost-effective manner.

Article 2 Scope of Mediation Cases

Any civil and commercial disputes between natural persons, legal persons and unincorporated organizations as equal parties may be submitted to China International Economic and Trade Arbitration Commission Mediation Center (“Center”) for mediation.

Article 3 Scope of Application

Where the parties have agreed to refer their dispute to the Center for mediation, they shall be deemed to have agreed to mediation in accordance with these Rules.

Where the parties agree to refer their dispute to mediation under these Rules, they shall be deemed to have agreed to have the mediation procedure administered by the Center.

Where the parties have agreed otherwise and with the approval of the Center, the parties’ agreement shall prevail.

Article 4 Voluntary Mediation

Mediation shall follow the principle of voluntary participation by the parties.

Article 5 Fair Mediation

A mediator shall conduct mediation fairly. A mediator shall not represent either party, and shall remain independent and impartial, and treat the parties equally.

A mediator shall cooperate closely and diligently carry out his/her duties as mediator, The mediator shall not be negligent or inefficient.

A Mediator shall actively facilitate the communication and negotiation between the parties, and assist them in reaching a settlement agreement.

Chapter 2 Mediation Proceedings

Article 6 Commencement of Mediation

The parties may unilaterally or jointly apply to the Center for mediation, with or without a mediation agreement previously concluded between the parties.

The mediation proceedings shall commence on the day on which the Center receives a Request for Mediation.

Article 7 Request for Mediation

When applying for mediation under these Rules, any party or parties shall:

(1) submit a Request for Mediation in writing signed and/or sealed by the party or parties, which shall, inter alia, include:

(a) the parties’ names, addresses, telephone, email, or any other means of communications;

(b) a description of the dispute and the mediation requests;

(2) submit parties’ identification documents, and submit a Power of Attorney if the party authorizes agent(s) to participate in the mediation proceedings;

(3) prepay the registration fee for mediation as per the Mediation Fee Schedule attached to these Rules.

The parties’ agreement to refer their dispute for mediation in accordance with these Rules or by this Center (if any) shall be enclosed with the Request for Mediation along with the evidence and other documents upon which the requests are based. The party apply for mediation may declare in writing that part of or all of its evidence and other supporting documents be accessible to the mediator only.

Article 8 Acceptance of a Case

Upon receipt of a Request for Mediation and its attachments, together with the identification documents of the parties, if the Center finds after examination the formalities required for mediation application to be complete, it shall accept the request and send a Notice of Mediation to both parties together with a copy of these Rules and the Panel of Mediators. The Request for Mediation and its attachments submitted by the applying party or parties shall be sent to the other party under the same cover, unless all the parties jointly apply for mediation.

Where after examination the Center finds the formalities required for mediation application to be incomplete, it may request the applying party or parties to complete or amend them within a specified time period.

After the Center accepts a case, it shall designate a case manager to assist with the procedural administration of the mediation.

Article 9 Confirmation to Participate in the Mediation by the Other Party

The other party shall, within 15 days from the date of receipt of the Notice for Mediation, confirm in writing whether it agrees or declines to participate in the mediation proceedings, unless both parties have jointly applied for mediation. Where the other party does have difficulty in giving its reply within the said time period, it may apply for an extension before the deadline.

If the other party expressly declines to participate in the mediation proceedings or fails to give any response within the specified time period, the mediation proceedings shall terminate.

Where the other party confirms in writing its participation in the mediation after the specified deadline, the mediation proceedings may continue with the consent of the party applying for mediation.

Where the other party confirms in writing to participate in the mediation proceedings, all parties may, with the assistance of the Center, reach a consensus on matters such as the method of payment and the allocation of the mediation fee advance between the parties, the number of mediators and the approach of appointment, and the place of mediation.

Where the parties fail to agree on the method and allocation of the advance payment , all parties shall prepay an equal proportion of the mediation fee.

Where a party agrees to participate in the mediation but refuses to prepay its proportion of the mediation fee, the other party or parties may prepay all the mediation fee.

Article 10 Reply

The other party shall, within 20 days from the date of giving its written confirmation to participate in the mediation proceedings, submit its reply (if any) in writing to the Request for Mediation as well as the facts and reasons. It may declare in writing that part of or all of its evidence and other supporting documents be accessible to the mediator only.

Article 11 Copies of Documents

The parties shall make their submissions in triplicate. Where there are more than two parties or more than one mediator, additional copies shall be provided accordingly.

Article 12 Appointment of Mediator

The parties may agree on the number of mediators and the approach of mediator appointment. Unless otherwise agreed by the parties, the mediation proceedings shall be conducted by a sole mediator.

The parties may jointly nominate a mediator, either from the Center’s Panel of Mediators or from outside the Panel. In the latter case, the mediator nominated from outside the Panel of Mediators is subject to the confirmation by the Center.

Within 10 days from the date of the other party’s confirmation to participate in the mediation, or within 10 days from the date of receipt of the Notice for Mediation in the case of joint application by all the parties, the parties shall notify the Center of their joint nomination of the mediator in writing, or entrust the Center to appoint a mediator for them.

Where the parties fail to jointly nominate or jointly entrust the Center to appoint a mediator, or fail to nominate a mediator in accordance with their agreed approach within their agreed time period, the Center shall appoint the mediator for the parties.

If either party, within 10 days upon receipt of the Notice of the Mediator Appointment, raises any written objection to the Center-appointed mediator with reasons stated, the Center may appoint another mediator.

Article 13 Mediator’s Acceptance of the Nomination or Appointment

The mediator shall confirm whether to accept the nomination or appointment within 10 days upon receipt of the Notice of Nomination or Appointment from the Center.

If the mediator declines the nomination or appointment, or fails to reply within the above time period, a new mediator shall be nominated or appointed according to the same procedure that applied to the nomination or appointment of the previous mediator.

Article 14 Disclosure and Conflict of Interest

Within 10 days upon acceptance of the nomination or appointment, the mediator shall sign a Declaration of Independence and Impartiality, and shall disclose in writing if there exist any circumstances likely to give rise to justifiable doubts as to his/her impartiality or independence. If circumstances that need to be disclosed arise during the mediation proceedings, the mediator shall disclose such circumstances to the parties without undue delay. After the disclosure, with the approval of all parties, the mediator may continue to carry out his/her duties to mediate.

Even after the mediation proceedings are over, the mediator shall still be obligated to prevent conflict of interest or circumstances that may lead to conflict of interest.

The mediator shall not act as arbitrator, judge, or one party’s’ representative, consultant or witness in arbitration, litigation or any other proceedings for the same or relevant dispute, unless otherwise agreed by the parties.

Article 15 Replacement of the Mediator

If it is unfeasible or inappropriate for a mediator to continue to fulfil his/her duties as mediator, a new mediator shall be determined according to Article 12 of these Rules, unless the parties have agreed otherwise.

Article 16 Confidentiality

Unless otherwise agreed by the parties, mediation shall be conducted in camera with no written record of the mediation process.

Unless otherwise agreed by the parties or stipulated in the relevant law or administrative regulations, the mediator(s), the parties and their authorized representatives, other participants to the mediation proceedings, and the staff members of the Center shall not disclose to any outsider any substantive or procedural matters relating to the case.

Article 17 Conduct of Mediation

Unless otherwise agreed by the parties, a mediator may conduct the mediation in any way he or she deems appropriate, including but not limited to:

(1) meeting with the parties or their authorized representatives separately or concurrently, and if necessary, after soliciting the opinions of the parties, the mediator may decide to meet with the parties without the presence of their agents;

(2) requesting the parties to provide supplement materials or relevant opinions;

(3) requesting the parties to put forward their oral or written settlement proposals;

(4) hearing witness statement(s);

(5) conducting on-site examination, or engage relevant experts to provide consulting advice or an appraisal opinion with respect to professional or technical issues, with the approval of all parties;

(6) providing suggestions and proposals to settle the dispute.

Article 18 Place of Mediation

Where the parties have agreed on the place of mediation, the parties’ agreement shall prevail.

Absent of such agreement, the mediation shall be conducted in Beijing at the domicile of the Center. If necessary, with the approval of the Center, the mediation may be conducted in other places as well.

Article 19 Good Faith Cooperation

The parties shall cooperate with the mediator(s) in good faith with utmost sincerity, including but not limited to:

(1) providing relevant documents, information, and explanation as requested by the mediator(s);

(2) making best efforts to meet the requirement of the mediator(s) to hear from witnesses or experts;

(3) facilitating the on-site examination by the meditator(s);

The Parties shall comply with any time limit agreed by themselves or decided by the mediator(s).

Article 20 Settlement Agreement

The parties may reach a settlement agreement by themselves or with the assistance of the mediator(s) at any stage of the mediation proceedings. The settlement agreement shall, inter alia, include:

(1) the names and addresses of the parties;

(2) the mediator(s);

(3) the mediation requests and the matters for mediation;

(4) the settlement result agreed by the parties;

(5) the time and place of the conclusion of the settlement agreement.

After all the parties and the mediator(s) have signed and/or stamped on the settlement agreement, the Center shall affix its seal on such agreement. The settlement agreement is binding upon all the parties. The parties shall comply with and carry out the settlement agreement in good faith.

The parties may reach a settlement agreement on part of the mediation requests.

Article 21 Termination of the Mediation Proceedings

The mediation proceedings shall be terminated if any of the following circumstances arises:

(1) in the case of unilateral application, the other party expressly declines to participate in the mediation proceedings or fails to give any response within the specified time period after receipt of the Notice for Mediation;

(2) any party notifies in writing that the mediation proceedings shall be terminated;

(3) at any stage of the mediation proceedings, if in the view of the mediator(s) the parties are unlikely to reach a settlement agreement, after soliciting the opinions of the parties, the mediator(s) may notify the parties in writing to terminate the mediation proceedings;

(4) the parties have reached a settlement agreement;

(5) the parties fail to pay the full amount of the mediation fee;

(6) other circumstances that require the termination of the mediation proceedings.

Chapter 3 Supplementary Provisions

Article 22 Mediation Fee and Actual Expenses

The parties shall pay the mediation fee according to the relevant provisions of these Rules and the Fee Schedule. The Fee Schedule shall form a part of these Rules.

The mediation fee is composed of the registration fee, the administrative fee and the mediator’s fee. The Center may also charge the parties for other additional and reasonable actual expenses, including but not limited to the travel and accommodation expenses of the mediator(s) and the case manager incurred in conducting the mediation at a place other than the domicile of the Center or for on-site examination, as well as the costs and expenses of the expert or appraiser appointed by the mediator(s).

Unless otherwise stipulated in these Rules or agreed by the parties, the aforesaid fees shall be borne by the parties on an equal basis.

Where the parties and the mediator(s) have reached special agreement on the mediator’s fee, their agreement shall prevail.

Article 23 Other Issues

Neither party may invoke any statement, view, opinion or proposal by the other party or by the mediator(s) in the process of mediation as grounds for any claim, defense or counterclaim in any arbitral proceedings, judicial proceedings, or any other proceedings for the same or relevant dispute.

Article 24 Coordination of Mediation and Arbitration Mechanisms

Either party may, based on the arbitration clause contained in the settlement agreement or concluded between the parties separately, request the China International Economic and Trade Arbitration Commission (“CIETAC”) to render an arbitral award in accordance with the terms of the settlement agreement pursuant to the relevant provisions of its Arbitration Rules.

Where the parties, pursuant to the relevant provision of the CIETAC Arbitration Rules, request an independent mediation to be conducted by a mediator different from the members of the arbitral tribunal during the arbitral proceedings of a CIETAC case, the Center shall provide corresponding mediation service. 

Article 25 Coordination of Mediation and Litigation Mechanisms

The Center may provide corresponding mediation service with the entrustment or appointment by a court of law.

Article 26 Other Supportive Services

The Center may provide corresponding services upon a request to appoint a mediator and/or to provide other supportive services.

Article 27 Interpretation

These Rules shall be interpreted by the Center.

Article 28 Coming into Force

These Rules shall be effective as of October 1, 2018. 

 

Appendix I

Mediation Fee Schedule

When applying to China International Economic and Trade Arbitration Commission Mediation Center (“Center”) for mediation, the party or parties shall prepay the mediation fee according to the Mediation Rules and this Fee Schedule.

The mediation fee is composed of the registration fee, the administrative fee and the mediator’s fee.

1. Registration Fee

The party or parties filing a Request for Mediation shall pay a registration fee of RMB 1,000, which will cover the expenses for examining the application for mediation, initiating the mediation proceedings, and managing the archives. The registration fee is non-refundable and shall be credited into the prepayment of the party or parties filing the Request.

2. Administrative Fee

(1) The administrative fee includes the pay for the case manager, postal service cost, communication cost, costs for using the rooms for mediation and office facilities, as well as other costs incurred by the institution to administer the mediation proceedings.

(2) Administrative Fee Table  

3. Mediator’s Fee

(1) Mediator’s Fee Table  

(2) Where the parties and the mediator(s) have reached special agreement on the mediator’s fee, their agreement shall prevail, subject to the Center’s approval.

4. Fee Schedule for the Coordination of Mediation and Arbitration Mechanisms

(1) For cases where the parties have reached a settlement agreement through mediation by the Center, the party or parties may, based on the relevant provisions of the CIETAC Arbitration Rules and the arbitration clause, request CIETAC to render an arbitral award in accordance with the terms of the settlement agreement.

The arbitration fee payable by the parties may be reduced on the following conditions:

a. Where the mediation requests involve a specific amount in dispute, the arbitration fee actually payable will be proportionately discounted on the original arbitration fee calculated under the applicable CIETAC Arbitration Fee Schedule (“Original Arbitration Fee”) as per the standards below:

 

b. Where the mediation requests do not involve a specific or ascertained amount in dispute, the Center may determine the amount of the actual arbitration fee after taking into consideration of factors such as the rights and interests involved, the complexity of the case and the relevance with other requests (if any), with reference to the standards and proportions listed in the above chart.

(2) Where the parties have agreed in a multi-layer dispute resolution clause or agreement that provides for arbitration following mediation by CIETAC, and after successful mediation, request CIETAC to form an arbitral tribunal to render an arbitral award in accordance with the terms of the settlement agreement, the actual arbitration fee payable by the parties may be determined by referring to the above Article 4.1.

(3) Where the parties, pursuant to the relevant provision of the CIETAC Arbitration Rules, request an independent mediation to be conducted by a mediator different from the members of the arbitral tribunal during the arbitral proceedings of a CIETAC case, and the arbitration fee prepaid has exceeded RMB 200,000, no mediation fee will be charged for this service. However, if the arbitration fee prepaid has not exceeded RMB 200,000, the mediation fee for such service shall still be charged according to this Fee Schedule.

5. Fees for Other Supportive Services

Any request for the Center to appoint a mediator under Article 26 of the Mediation Rules shall be accompanied by an appointing fee of RMB 1,000 per mediator, and the fee is non-refundable.

Any request for the Center to provide other supportive services shall be accompanied by an amount of fee determined by the Center according to the specific service requested.

6. Other Issues

(1) The amount in dispute referred to in the Administration Fee Table and the Mediator’s Fee Table shall be based on the sum of money involved in the mediation requests. If that amount is different from the actual amount in dispute, the latter shall be the basis for calculation. Where the amount in dispute is not ascertained at the time of applying for mediation, or where special circumstances exist, the amount of the mediation fee shall be determined by the Center in consideration of the specific nature and conditions of the dispute.

(2) Apart from the mediation fee specified in this Fee Schedule, the Center may also charge the parties for other additional and reasonable actual expenses according to the relevant provisions of the Mediation Rules.

(3) Where the arbitration fee is to be charged in a currency other than RMB, the amount of the foreign currency shall be equivalent to the corresponding amount in RMB as specified in this Schedule.

(4) Where a mediation only proceeds for a relatively short time and finally fails, and the amount of the administrative fee prepaid has exceeded RMB 8,000 and the amount of the mediator’s fee prepaid has exceeded RMB 11,500, the Center may decide to refund part of the prepayment but no more than 50% of the total exceeding amount.