香港国际仲裁中心调解规则

（自一九九九年八月一日生效）

规则简介

本规则由香港国际仲裁中心（HKIAC），经与香港调解中心（HKMC）协商后编订出版。本规则与香港特别行政区政府的调解规则类似，两者均由香港国际仲裁中心管理。本规则取代合同普遍引用的香港国际仲裁中心调解规则的之前版本。

香港国际仲裁中心与香港调解中心

香港国际仲裁中心成立于一九八五年，旨在协助涉及争议的当事人通过仲裁、讼外争议处理方案（ADR）及调解等方式解决争议。香港国际仲裁中心是一家非牟利有限担保公司，由香港主要的商业及专业人士建立，拟成为亚洲区的争议解决中心。仲裁中心获香港商界和香港政府的慷慨资助，然而，仲裁中心却是完全独立于商界及政府。仲裁中心可认可具备适当资格的人士为调解员。香港调解中心是香港国际仲裁中心属下的一个处理调解的部门，负责安排调解员的培训及推广调解作为解决争议的方法。

拟议调解条款

「凡因本合同产生或与本合同有关的任何争议或歧见，均应先行提交香港国际仲裁中心，并按其当时所奉行的调解规则调解。如调解员放弃调解或调解后有关争议或歧见仍未解决时，则应将该争议或歧见提交香港国际仲裁中心，并按其本地仲裁规则通过仲裁解决。」

调解规则（简称「规则」）

调解

1.按本规则所进行的调解，是一项保密、自愿、非约束性和私下的解决争议的过程，透过一位中立人士（调解员）协助当事人协商达致解决方案。

规则的适用

2.倘若当事人欲以友好协商方式解决争议并已在其合同条款或通过协议方式同意采用本规则，则本规则适用于当事人之间目前或将来的争议。当事人可在任何时间协议更改本规则。

提请调解

3.（a）如发生争议，一方当事人可以向另一方或各方送达一份提请调解的书面要求，并将副本送交香港国际仲裁中心。该份提请调解要求须包括一份简略解释争议性质的陈述、争议之数额（如有的话）、要求的济助或弥偿及提名一位或多位认为适合之调解员。

（b）争议的各当事人及其代表须互相交换其名称（姓名）、地址、电话和传真号码，并

对提请调解要求的回应

4.争议一方或其他各当事人在收到提请调解要求后的十四天内须通知其他各方当事人及香港国际仲裁中心是否接受任何提名的调解员，争议任何一方未能于十四天内回应者，视为拒绝调解。

委派调解员

5.争议各方如同意提名的调解员，而该调解员亦愿意接受委任，有关各方须通知香港国际仲裁中心，调解便可按照本规则进行。如争议各方未在本规则第四条规定的时限内达成协议，彼等须通知香港国际仲裁中心，由仲裁中心委派一名愿意出任调解、已获认可、以及未有按本规则第六条规定被取消资格的调解员担当调解工作。

调解资格的取消

6.除经争议各方同意外，在任何争议的调解结果中佔有财政或个人利益的人士，不得担任该争议的调解员。拟定的调解员在接受委派前，必须向争议各方当事人披露（如由香港国际仲裁中心按照本规则第五条规定而委派的，则须向香港国际仲裁中心披露）任何可能产生假定偏见或妨碍尽快达成调解的情况。在收到该项资料后，香港国际仲裁中心须立即将资料通知各当事人，并征询其意见。如任何一方当事人在七天内提出反对该拟定的调解员时，香港国际仲裁中心须另行委派一位合适及已获认可的调解员。

调解程序

7.调解员获委派后，须尽快展开调解工作，并须尽最大努力于获委派后四十二天内结束有关调解。除非得到争议的各当事人全体书面同意，其任期不可延续超过三个月。

调解员的任务

8.调解员在考虑案情、各当事人的意愿及迅速解决争议的需要后，可按其认为适当的方法进行调解。

各当事人之责任

9.调解员可与所有当事人或任何一方当事人联络，包括进行非公开会议，各当事人应与调解员合作。当事人可在任何时间要求会见调解员。当事人应全力协助调解，使之能在规定时限内完结。

代表

10.当事人可自行选择他人代表或协助其进行调解，并须事先将该人士的姓名及职责知会调解员和对方当事人。各方当事人均应具有和解的一切权力或由具有上述权力的人士陪同

协助下进行和解。

调解的终结

11.调解程序在下列情况时，即告终结：

（a）双方当事人签立和解协议；或

（b）调解员经与双方当事人协商后以书面知会当事人，表示已无充份理由继续进行调解；或

（c）任何一方当事人在任何期间以书面方式通知调解员及对方当事人调解已终止。

保密

12.（i）调解是一项非公开及保密之程序。任何一方当事人为调解的目的或因与调解有关的原因而披露、制作或呈交的一切文件、通讯或资料，均是在受保密权涵盖及无损权益的基础上披露，而作出上述披露并不表示放弃任何保密权特权通讯或保密要求。除因履行或执行和解协议所需，和解协议亦同样受保密要求的规范。

（ii）任何一方概无意被调解过程中披露的任何事宜影响，而该等披露亦不会影响争议的当事人在任何后继的仲裁、审裁或诉讼中的权益或当事人在其中的地位。

费用

13.（i）除另有约定外，不论调解结果或其后任何仲裁或司法程序之结果如何，各方当事人须各自承担其本身的费用。一切其他费用及支出须由双方当事人平均分担，双方当事人并须就此承担共同及各别责任，向调解员支付该等费用，包括：

（a）调解员的费用及开支；

（b）在双方当事人同意的情况下由调解员要求的任何证人、专家谘询及意见的费用；及

（c）任何其他支援调解程序之行政费用，包括香港国际仲裁中心的费用。

（ii）调解员可以在调解过程中的任何时间，要求当事人提交保証金以支付任何额外预期费用及开支，并可中断调解直至该保証金已获缴纳为止。

（iii）任何预缴款项的余额，应在调解终结时退还给当事人。

调解员在后继程序中的角色

14.当事人承诺不得委任调解员作为任何后继的审裁、仲裁或司法程序中任何一方当事人的审裁员、仲裁员或代表、大律师或专家证人，不论该等程序是否因是次调解或因同一合同中其他争议而引起者亦然。任何一方当事人均无权传召调解员作为任何因同一合同而引起之后继审裁、仲裁或司法程序中的证人。

豁免责任

15.各方当事人共同及各别地免除、撤销及弥偿调解员以及香港国际仲裁中心就与任何按本调解规则进行的调解有关或由此引起或有任何关连的任何（不论涉及疏忽与否的）作为或不作为而引起的所有责任，任何欺诈或不诚实所产生的后果除外。

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【英文全文】

Hong Kong International Arbitration Centre Mediation Rules (1999)

Effective from 1 August 1999

Mediation Rules (the “Rules”)

Mediation

1. Mediation under these Rules is a confidential, voluntary, non-binding and private dispute resolution process in which a neutral person (the mediator) helps the parties to reach a negotiated settlement.

Application of Rules

2. These Rules apply to the mediation of present or future disputes where the parties seek amicable settlement of such disputes and where, either by stipulation in their contract or by agreement, they have agreed that these Rules shall apply. The parties may agree to vary these Rules at any time.

Initiation of the Mediation Process

3. (a) If a dispute arises, a party may request the initiation of mediation by delivering a written request for mediation to the other party or parties with copies to HKIAC. Such request for mediation shall contain a brief self-explanatory statement of the nature of the dispute, the quantum in dispute (if any), the relief or remedy sought and nominating a mediator or mediators thought suitable.

(b) The names, addresses, phone and fax numbers of all parties to the dispute, and those who will represent them, should be exchanged between the parties and also furnished to the HKIAC.

Response to Request for Mediation

4. A party or parties who receive a request for mediation shall notify any other party and HKIAC within 14 days after receipt of the request whether any mediator nominated is acceptable. Failure by any party to reply within 14 days shall be treated as a refusal to mediate.

Appointment of the Mediator

5. Where the parties agree on a mediator and the proposed mediator is willing to serve, they will notify HKIAC. The mediation shall then proceed in accordance with these Rules. If the parties fail

to agree within the time stipulated in Rule 4 they will notify HKIAC who shall appoint a single accredited mediator who is prepared to serve and is not disqualified under Rule 6.

Disqualification of Mediator

6. No person shall act as mediator in any dispute in which that person has any financial or personal interest in the result of the mediation except by consent of the parties. Before accepting an appointment, the proposed mediator shall disclose to the parties (and to the HKIAC if the HKIAC has made the appointment under Rule 5) any circumstances likely to create a presumption of bias or prevent a prompt resolution of the dispute. Upon receipt of the information HKIAC shall immediately communicate the information to the parties for their comments. If any party takes objection to the proposed mediator within 7 days he shall not be appointed.In such case the HKIAC shall nominate another suitable accredited mediator.

The Mediation Process

7. The mediator shall commence the mediation as soon as possible after his appointment and shall use his best endeavours to conclude the mediation within 42 days of his appointment. His appointment shall not extend beyond a period of three months without the written consent of all parties.

Role of the Mediator

8. The mediator may conduct the mediation in such manner, as he considers appropriate, taking into account the circumstances of the case, the wishes of the parties and the need for a speedy settlement of the dispute.

Role of the Parties

9. The mediator may communicate with the parties together or with any party separately, including private meetings and each party shall cooperate with the mediator. A party may request a private meeting with the mediator at any time. The parties shall give full assistance to enable the mediation to proceed and be concluded within the time stipulated.

Representation

10. The parties may be represented or assisted by persons of their choice. Each party shall notify in advance the names and the role of such persons to the mediator and the other party. Each party shall have full authority to settle or he accompanied by a person with such authority.

Termination of the Mediation

11. The mediation process shall come to end:-

(a) Upon the signing of a settlement agreement by the parties or;

(b) Upon the written advice of the mediator after consultation with the parties that in his opinion further attempts at mediation are no longer justified or;

(c) Upon written notification by any party at any time to the mediator and the other parties that the mediation is terminated.

Confidentiality

12. (i) Mediation is a private and confidential process. Every document, communication or information disclosed, made or produced by any party for the purpose of or related to the mediation process shall be disclosed on a privileged and without prejudice basis and no privilege or confidentiality shall be waived by such disclosure. Confidentiality also extends to the settlement agreement except where its disclosure is necessary for implementation or enforcement.

(ii) Nothing that transpires during the course of the mediation is intended to or shall in any way affect the rights or prejudice the position of the parties to the dispute in any subsequent arbitration, adjudication or litigation.

Costs

13. (i) Unless otherwise agreed, each party shall bear its own costs regardless of the outcome of the mediation or of any subsequent arbitral or judicial proceedings. All other costs and expenses shall be borne equally by the parties and the parties shall be jointly and severally liable to pay to the mediator such costs, including:-

(a) the mediator’s fees and expenses;

(b) expenses for any witness or expert advice or opinion requested by the mediator with the consent of the parties; and

(c) any administrative costs in support of the mediation including HKIAC’s costs.

(ii) The sum designated in HKIAC’s Schedule of Initial Deposits shall be deposited by each of the parties with HKIAC before the mediator enters upon the mediation, as a contribution to the cost and proper expenses of the mediation including the mediator’s fees and expenses.

(iii) The mediator may at any time during the mediation require the parties to make further deposits to cover any additional anticipated fees and expenses and suspend the process until such deposit is made.

(iv) Any surplus funds deposited shall be returned to the parties at the conclusion of the mediation.

Mediator’s Role in Subsequent Proceedings

14. The parties undertake that the mediator shall not be appointed as adjudicator, arbitrator or representative, counsel or expert witness of any party in any subsequent adjudication, arbitration or judicial proceedings whether arising out of the mediation or any other dispute in connection with the same contract. No party shall be entitled to call the mediator as a witness in any subsequent adjudication, arbitration or judicial proceedings arising out of the same contract.

Exclusion of Liability

15. The parties jointly and severally release, discharge and indemnify the mediator and the HKIAC in respect of all liability whatsoever, whether involving negligence or not, from any act or omission in connection with or arising out of or relating in any way to any mediation conducted under these Rules, save for the consequences of fraud or dishonesty.