Guidelines of China International Economic and Trade Arbitration Commission on Evidence | | 中国国际经济贸易仲裁委员会证据指引 |
| (February 5, 2015) | | （2015年2月5日） |
| Preamble | | 前 言 |
| The China International Economic and Trade Arbitration Commission (“CIETAC”) adopts these Guidelines on Evidence (“Guidelines”) in accordance with the Arbitration Law of the People's Republic of China, the CIETAC Arbitration Rules (“Arbitration Rules”), CIETAC's arbitration practice, and with appropriate reference to the IBA Rules on the Taking of Evidence in International Arbitration as well as those of the Chinese principles of evidence in civil litigation that are suitable for use in arbitration, in order to assist the parties, their counsel and arbitral tribunals (“tribunal”) in dealing with issues of evidence more efficiently in arbitration proceedings. | | 为帮助当事人、律师和仲裁庭在仲裁中更加有效地处理证据问题，依据《中华人民共和国仲裁法》，结合中国国际经济贸易仲裁委员会（“仲裁委员会”）的《仲裁规则》和仲裁实践，适当参考中国民事诉讼中适合于仲裁的证据原则以及国际律师协会制订的《国际商事仲裁取证规则》，制定本《证据指引》。 |
| The application of the Guidelines is presumably to be more appropriate in an arbitration the seat of which is in Mainland China and where the Arbitration Law of the People's Republic of China is the law applicable to the arbitration procedure. | | 在仲裁地位于中国内地、仲裁程序的准据法为《中华人民共和国仲裁法》的仲裁案件中，适用本《证据指引》更为合适。 |
| These Guidelines are not an integral part of the Arbitration Rules. The application of the Guidelines is subject to the consent of the parties in each case. The parties may agree to adopt the Guidelines in whole or in part, or they may agree to vary them. In case of conflict between the Arbitration Rules and the Guidelines which the parties have agreed to adopt in a specific case, the tribunal shall apply the Guidelines. The tribunal shall deal with any matter on which both the Arbitration Rules and the Guidelines are silent and the parties have not agreed otherwise in such manner as it considers appropriate. | | 本《证据指引》不是《仲裁规则》的组成部分。经当事人在具体案件中约定适用后，《证据指引》方可适用。当事人可经协商一致，决定在具体案件中部分地适用《证据指引》，或者变更《证据指引》中的某些规则。《仲裁规则》与当事人约定适用的《证据指引》不一致时，仲裁庭应适用《证据指引》。《仲裁规则》与《证据指引》均无规定、当事人亦无其他约定的事项，仲裁庭可按照其认为适当的方式处理。 |
| The parties may agree that the tribunal and the parties will use these Guidelines for reference, and not in any binding capacity. | | 当事人可以约定，《证据指引》仅作为仲裁庭与当事人的参考，并不具有约束力。 |
| I. Burden of Proof | | 第一章 举证责任 |
| Article 1 Assumption of the Burden of Proof | | 第一条 举证责任的承担 |
| 1.1 Each party shall bear the burden of proving the facts that it alleges. | | （一）当事人对其主张的事实承担举证责任。 |
| 1.2 Where there is a dispute over the fact of the formation or the coming into force of a contract, the party alleging the same shall bear the burden of proof; the party alleging the modification, rescission, termination or cancellation of a contract shall bear the burden of proving the facts giving rise to the change in the contractual relationship. | | （二）对合同成立或生效的事实有争议的，由主张合同成立或生效的一方当事人承担举证责任；主张合同变更、解除、终止、撤销的一方当事人对引起合同关系变动的事实承担举证责任。 |
| 1.3 Where there is a dispute over the fact of the performance of a contract, the party with the obligation of performance shall bear the burden of proof. | | （三）对合同履行事实发生争议的，由负有相关履行义务的当事人承担举证责任。 |
| 1.4 The party claiming for damages or other relief and the party rejecting such claims shall each bear the burden of proving the facts supporting their own claim. The party alleging that the amount of liquidated damages as provided for in the contract is lower or higher than the actual loss suffered shall bear the burden of proving its claim. | | （四）请求损害赔偿与其他救济的一方当事人以及反驳该等请求的对方当事人，应对支持各自主张的事实承担举证责任。主张约定的违约金低于或高于实际损失的，提出该主张的当事人承担举证责任。 |
| Article 2 Facts not Requiring Proof | | 第二条 免证事实 |
| 2.1 The tribunal may find the following facts ex officio without the need for evidence to be adduced by the parties: | | （一）下列事实，无需当事人举证，仲裁庭可依职权予以认定： |
| (1) Facts not disputed by the parties; | | 1、双方当事人没有争议的事实； |
| (2) Laws of nature and theorem; | | 2、自然规律及定理； |
| (3) A well-known fact or common knowledge; | | 3、众所周知的事实或常识； |
| (4) A fact that can be inferred from a legal provision, a known fact or generally accepted understanding and practice. | | 4、根据法律规定、已知事实或日常生活经验法则，能推定出的另一事实。 |
| 2.2 The facts listed in Article 2.1 shall not be established if a party adduces sufficient evidence which proves the contrary. | | （二）前款各项，当事人有相反证据足以推翻的除外。 |
| Article 3 Default of the Respondent | | 第三条 被申请人的缺席 |
| The claimant has the burden of proving its case even if the respondent defaults in the arbitration proceedings without good cause. However, the tribunal may make determination as to the facts based on the evidence adduced by the claimant and in accordance with the provisions of these Guidelines, and may draw its own conclusions from the fact of the respondent's default. | | 被申请人无正当理由在仲裁程序中缺席，并不免除申请人对其事实主张的举证责任，但仲裁庭可依申请人提交的证据以及《证据指引》的其他规则对事实作出认定，并可就被申请人无故缺席的事实得出自己的结论。 |
| II. Submission, Taking and Exchange of Evidence | | 第二章 举证、取证与证据交换 |
| Article 4 Submission of Evidence by the Parties | | 第四条 当事人举证 |
| A party shall disclose and submit to the tribunal and to the other party[1] all evidence on which it relies. | | 当事人应向仲裁庭和对方当事人[1]披露和提交其作为依据的所有证据。 |
| Article 5 Time Period for the Submission of Evidence | | 第五条 举证期限 |
| 5.1 The tribunal may fix a reasonable time for the parties to submit evidence, or schedule the submission of evidence into separate phases. The parties shall submit evidence within the time period fixed by the tribunal. The tribunal shall be entitled to refuse to admit evidence submitted after the expiry of the stipulated time period. The submission and exchange of evidence shall in principle be completed before the oral hearing on the merits (the “hearing”). | | （一）仲裁庭可对当事人提交证据规定合理的期限，或对分次提交证据做出期限安排。当事人应在仲裁庭规定的期限内完成举证。对逾期提交的证据，仲裁庭有权不予接受。原则上，举证和证据交换应在仲裁庭就争议实体问题举行开庭审理（“庭审”）之前完成。 |
| 5.2 Where a party has any genuine difficulty in submitting evidence within the stipulated time period, such party may apply to the tribunal for an extension before the expiry of the time period by filing a written submission setting out the reasons. The tribunal shall decide whether or not to grant an extension based on the sufficiency of the reasons. Where an extension is granted, the tribunal shall at the same time consider giving an appropriate extension to the other party for the submission of evidence. | | （二）当事人在举证期限内提交证据确有困难的，可在期限届满前书面阐明理由，向仲裁庭申请延长举证期限。仲裁庭应根据当事人申请延期理由的充分程度，决定是否准予延期。允许一方延期举证的，仲裁庭亦应同时考虑适当延长另一方的举证期限。 |
| Article 6 Documentary Evidence | | 第六条 书证 |
| 6.1 In addition to documents in printed and hand-written form, documentary evidence includes electronic data (e.g. electronic documents, e-mails) and any other readable evidence in an electronic form. | | （一）除纸质文件外，书证包括数据电文（如电子文件、电子邮件）等具有可读性的电子版证据。 |
| 6.2 When submitting documentary evidence, a party may submit a hard copy identical to the original or a printed copy of the electronic data. A party may at the same time submit an electronic version of the documentary evidence. | | （二）当事人提交书证的，可提交与原件相同的纸质复印件或数据电文的打印件。当事人亦可同时提交书证的电子版。 |
| 6.3 Unless otherwise agreed by the parties or determined by the tribunal after consultation with the parties, when submitting a document that originates in a jurisdiction outside Mainland China, notarization and certification of that document is not required. | | （三）除当事人另有约定或仲裁庭经征求当事人意见后另有决定外，提交在中国内地以外形成的书证，无需经过公证与认证。 |
| Article 7 Request to Produce | | |
7.1 A party may request the tribunal to order the other party to produce a specific document or a narrow and specific category of documents (“request to produce”). The requesting party shall state the reasons for its request, identify in sufficient detail the requested document(s), and explain the relevance and materiality of the requested document(s). The tribunal shall invite the other party to comment on the request to produce. Where the other party does not object to the request to produce, the relevant document(s) shall be produced in accordance with the request to produce. Where the other party objects, the tribunal shall decide whether or not to grant the request to produce.
．．．．．． | | （一）一方当事人可请求仲裁庭指令对方当事人披露某一特定书证或某一类范围有限且具体的书证（“特定披露请求”）。请求方需阐明请求理由，详细界定该有关书证，以及说明该书证的关联性和重要性。仲裁庭应安排对方当事人对特定披露请求发表意见。对方不反对该请求的，应按照请求披露相关文件。对方反对的，由仲裁庭决定是否准许该请求。
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