【调解规则】

上海经贸商事调解中心调解规则(试行)

Mediation Rules of Shanghai Commercial Mediation Center

2012年10月制订,2020年9月修订)

(Published in October 2012, Amended in September 2020)

 

 

第一章 

Chapter I General Principles

 

第一条 (宗旨)

Article 1 (Purpose)

为了使上海经贸商事调解中心(以下简称“调解中心”)的调解活动规范、有序、公正、高效地进行,帮助当事人妥善解决商事争议,维护和促进和谐、稳定的商事关系,特制定本规则。

To ensure that the mediation activities of the Shanghai Commercial Mediation Center (“SCMC”) can proceed in a standardized, orderly, impartial and efficient manner, to help the parties to settle disputes in commercial areas, and to maintain and promote harmonious and stable commercial relationships, these Rules are hereby formulated.

 

第二条 (定义)

Article 2 (Definition)

本规则所称的“调解”是指:经当事人申请或各类机构的委托,并按照当事人的请求指定一名或者多名第三人(“调解员”)协助其设法友好解决商事纠纷的过程。

“Mediation” within these Rules means a process, applied by applicants or entrusted by another agency, whereby parties attempt to reach an amicable settlement of their dispute with the assistance of a third person or persons ( “the mediator”) who facilitates the parties to the dispute to arrive at a mutually acceptable solution .

 

第三条 (适用范围)

Article 3 (Scope of Application)

本规则适用于当事人之间在金融、贸易、航运、知识产权以及其它国内外商事领域的争议调解。

These Rules are applicable to the mediation of disputes between the parties in economy, finance, trade, shipping and other commercial areas.

 

第四条 (调解依据)

Article 4 (Basis for Mediation)

调解应依照法律法规,参照国际惯例、交易习惯,在各方自愿的基础上,根据自愿、公平、合理、保密的原则进行,以促进当事人互谅互让,达成和解。

Mediation shall be conducted according to laws and regulations, with reference to international practices and trade practices, on the basis of voluntariness of the parties, and upon the principles of fairness, reasonableness and confidentiality, to promote mutual understanding and mutual accommodations resulting in a settlement between the parties.

 

第五条 (联合调解)

Article 5 (Joint Mediation)

经当事人同意,调解中心可与其他争议解决机构进行联合调解,也可以接受司法机构、仲裁机构的委派或委托,对争议进行联合或单独调解。

Upon the consent of the parties, SCMC may conduct a joint mediation along with another dispute resolution organization, or accept the appointment or entrustment by a people’s court or an arbitration commission to conduct a joint or sole mediation of the dispute.

 

第六条 (调解规则的选择适用)

Article 6 (Selective Application of Mediation Rules)

凡当事人同意将争议提交调解中心进行调解的,均视为同意按照调解中心现行有效的调解规则进行调解。经协商一致,当事人可以根据需要选用本规则的规定或对本规则中的有关条款约定变更;但上述选用或变更不得违背我国法律、法规中的强制性规定。

Whenever the parties agree to refer a dispute to SCMC for mediation, they shall be deemed to have consented to a mediation according to the then applicable mediation rules of SCMC. Through negotiation, the parties may select the provisions of these Rules or change the relevant clauses of these Rules, provided, however, that such selection or change may not violate the mandatory provisions of the law or regulations of the People’s Republic of China.

对于本规则没有规定的事项,从当事人约定。

Any matter that is not addressed in these Rules shall be subject to the stipulations of the parties.

 

第七条 (本规则不适用于以下争议)

Article 7 (These Rules Do Not Apply to the Following Disputes)

1、为解决其中一方当事人(消费者)为个人、家事的进行交易所产生的争议;

1. Concluded to resolve a dispute arising form transactions engaged in by one of the parties (a consumer) for personal, family or household purposes;

2、涉及人身权利的争议,例如:有关婚姻法、继承法、劳动法等的争议;

2. Disputes concerning personal rights that relate to family, inheritance or employment law;

3、刑事案件的争议。

3. Disputes related to criminal cases.

 

第二章 调解程序

Chapter II Mediation Proceedings

第一节 案件的受理

Section 1 Acceptance of Cases

 

第八条 (申请受理)

Article 8 (Acceptance of Application)

调解中心根据当事人在争议发生之前或者在争议发生之后达成的调解约定,以及一方或多方当事人的申请受理案件。

SCMC will accept a case according to the mediation provisions entered into by the parties before or after the occurrence of the dispute and the application for mediation filed by one party or multiple parties of the dispute.

 

调解约定系指当事人在合同中订立的调解条款,或者以其他方式达成的同意以调解方式解决争议的协议。当事人之间没有调解约定而一方当事人申请调解的,调解中心在征得对方当事人同意后也可以受理。

Mediation Provisions mean the mediation clauses as set forth by the parties in the contract, or an agreement otherwise entered into by the parties for the resolution of a dispute by means of mediation. If there are no Mediation Provisions between the parties and one party applies for mediation, SCMC can also accept the case, subject to the consent of the other party.

 

第九条 (提出申请)

Article 9 (Filing an Application)

当事人向调解中心提出调解申请时,按下列程序和要求办理:

When the parties file an application to SCMC for mediation, they shall act according to the following procedures and requirements:

(一)提交调解申请书,其中应写明及/或提供:

A. To file an application for mediation which shall state and/or provide:

1. 申请人和被申请人的名称(姓名)、住所及通信联系地址、邮政编码、电话号码、传真号码、电子邮件地址等;

1. The names, domicile and mailing addresses, postcodes, telephone numbers, fax numbers, email addresses, etc. of the claimant and the respondent;

2. 双方当事人自愿调解的意愿;

2. The willingness of the parties to mediate voluntarily;

3. 争议事实、证据材料和调解请求;

3. The facts in dispute, evidenciary materials and the request for mediation;

4. 其它应当写明的事项。

4. Other relevant matters.

(二)如聘请代理人参与调解,应提交书面授权委托书。

B. If an attorney is hired to be involved in the mediation, a written power of attorney shall be submitted.

(三)当事人提出调解申请时,须缴纳案件管理费。

C. When one party files an application for mediation, such party shall pay a case registration fee.

(四)受理的确认

D. Confirmation of Mediation

 

调解中心秘书处收到调解申请书,经审查确认受理后,应及时将有关文件送交被申请人。被申请人同意调解的,应在收到上述文件之日起5个工作日内,予以书面确认,并按照本规则第二节规定选定调解员,同时缴纳案件管理费。

After receiving and examining the application for mediation and confirming acceptance of the case, the secretariat of SCMC shall in a timely manner send the relevant documents to the respondents. If the respondents agree to the mediation, they shall, within 5 working days following the receipt of the above documents, confirm in writing whether or not they consent to the mediation and select a mediator pursuant to Section 2 of this Chapter of these Rules. Meanwhile, the respondents shall pay a case registration fee.

 

第十条 (未确认的处理)

Article 10 (Failure to Confirm)

被申请人未在规定的期限内确认同意调解的,视为拒绝调解;在规定期限届满后确认同意调解的,是否受理,由调解中心主任决定。

If the respondents fail to confirm whether or not they consent to the mediation within the specified time limit, they shall be deemed to have refused the mediation. If the respondents consent to the mediation after the specified time limit expires, the director of SCMC will decide whether or not to accept the case.

 

第二节 调解员的选(指)定

Section 2 Selection (or Appointment) of Mediator

 

第十一条 (调解员的选定)

Article 11 (Selection of Mediator)

每个案件原则上由一名调解员进行调解。

In principle, one mediator shall be arranged for each case.

各方当事人可分别从调解中心的调解员名册中自行选择多名调解员,由调解中心确定一名双方都选定的调解员。

Each party may respectively select multiple mediators from the Panel of Mediators of SCMC and SCMC shall determine one mediator from the list that both the parties have selected.

 

若双方所选定的调解员没有重合的,则由调解中心主任根据当事人对调解员的要求及案情的具体情况,指定一名调解员,该项指定应当得到双方当事人的确认。

If the mediators selected by both parties do not overlap, the director of SCMC shall appoint one mediator according to the requirements of the parties for the mediator and the specific conditions of the case, which appointment shall be subject to the confirmation by the parties.

当事人双方也可以共同委托调解中心帮助其选定调解员。

The parties may also jointly entrust SCMC to help them select the mediators.

若遇重大、疑难案件,经双方当事人同意,调解中心可安排多名调解员参与。调解中心主任在多名调解员中指定一名作为首席调解员,由其主持调解。

For large and complicated cases, with the consent of the parties, SCMC may arrange multiple mediators. SCMC shall designate one of the multiple mediators as the chief mediator who shall preside over the mediation.

 

第十二条 (临时调解员)

Article 12 (Temporary Mediator)

当事人可根据需要,推荐调解中心调解员名册以外的人士担任临时调解员,是否适格,由调解中心主任决定。

If necessary, the parties may recommend a person outside the Panel of Mediators of SCMC to serve as a temporary mediator, and the director of SCMC shall decide whether or not such person is eligible.

临时调解员须同意遵守调解中心的规则。

The temporary mediator shall comply with the regulations of SCMC.

 

第十三条 (调解员的回避)

Article 13 (Withdrawal of Mediator)

调解员在接受当事人选定或调解中心指定时,应保证履行职责,并披露可能影响其在该案件中担任调解员的独立性、公正性的情况。

When accepting the selection by the parties or the appointment by SCMC,  mediators shall undertake to perform their duties and disclose any circumstance that is likely to affect their independence and impartiality when they serve as a mediator on the case.

调解员有下列情形之一的,应主动提出回避,当事人亦有权用口头或者书面方式申请他们回避:

Under any of the following circumstances, a mediator shall take initiative to request withdrawal, and the parties are also entitled to apply for the mediator’s withdrawal orally or in writing:

(一)是本案当事人或者当事人、代理人的近亲属;

 A. The mediator is a party to the present case, or is an immediate family member of a party to the present case or its attorney;

(二)与本案有利害关系;

  B. The mediator has an interest in the present case;

(三)与本案当事人有其他关系,可能影响该案件调解的。

  C. The mediator has any other relationship with either party to the present case, that may affect the mediation of the case.

 

第十四条 (调解员的重新确定)

Article 14 (Determination of Mediator)

调解员因申请回避等原因无法履行职责,当事人或调解中心应重新确定调解员。

If a mediator is unable to perform their duties and applies for withdrawal, the parties or SCMC shall determine a new mediator.

重新确定调解员后,已经进行的调解程序是否重新进行,由新任调解员决定。

After determining the new mediator, the new mediator shall decide whether or not the mediation proceedings already conducted shall be re-conducted.

 

第三节 调解程序

Section 3 Mediation Procedure

 

第十五条 (调解工作开始)

Article 15 (Commencement of Mediation)

调解员应当在被选定后10个工作日内正式开始调解工作。

The mediator shall, within 10 working days after being selected, formally start the mediation.

 

第十六条 (调解的期限)

Article 16 (Mediation Period)

调解员应在第一次开庭调解或以其他形式开始调解工作后30天内结案,形成书面报告,调解程序终止。

Within 30 days after the first mediation session or after starting the mediation in any other form, the mediator shall close the case and draft a written report, and the mediation proceedings shall terminate.

对于重大、疑难案件,经调解员申请及调解中心主任同意的,可以顺延。顺延的时间,不得超过30天。

For large and complicated cases, upon the filing of an application by the mediator and the consent of the director of SCMC, the mediation may be extended. The extension shall not exceed 30 days.

 

第十七条 (调解方式)

Article 17 (Mediation Method)

调解员可以采用其认为有利于当事人达成和解的方式进行调解。这种方式包括但不限于:

A mediator may conduct the mediation according to any method that the mediator believes can help the parties settle the dispute, which includes but are not limited to the following:

(一)调解过程中,调解员可以同时会见双方当事人或代理人,也可以单独会见一方当事人或代理人。当事人另有要求的除外。

A. In the course of mediation, the mediator may meet both parties or their attorneys concurrently or one party or its attorney separately, except as otherwise required by the parties;

(二)调解员可以根据具体案情及当事人申请,提请调解中心聘请有关专家提供专业指导意见;

B. The mediator may, according to the specific conditions of the case and as per the application by the parties, request SCMC to engage relevant experts to provide professional opinions ;

(三)经过调解,当事人之间无法自行达成和解的,调解员可以根据已掌握的情况,向当事人提出解决争议的建议或方案。

C. If the mediation fails to result in a settlement between the parties, the mediator may, based on his knowledge of the case, provide suggestions or proposals to the parties regarding the settlement of the dispute.

 

第十八条 (不公开调解)

Article 18 (Private Mediation)

调解原则上不公开进行,当事人另有约定的除外。

Except as otherwise agreed upon by the parties, the mediation shall, in principle, be conducted privately.

 

第十九条 (调解地点)

Article 19 (Mediation Location)

调解原则上在调解中心所在地或委托调解的机构所在地进行。经当事人同意,亦可在其它地点进行或在线调解。

In principle, the mediation will be conducted at the premises where SCMC is located. If the parties stipulate or consent otherwise, the mediation can also be conducted at another location or online.

 

第二十条 (调解程序的终止)

Article 20 (Termination of Mediation Proceedings)

出现以下情形,调解程序终止:

The mediation proceeding shall terminate under any of the following circumstances:

(一)当事人之间达成和解协议,并经调解中心确认;

A. The parties reach a settlement agreement which is confirmed by SCMC;

(二)调解期限已满,调解员认为调解已无成功的可能,并出具书面结案报告;

B. The mediation period has expired, and the mediator believes that the mediation cannot succeed and issues a written final report;

(三)任何一方当事人向调解员书面声明退出调解;

C. Any party makes a written statement to the mediator informing the mediator of such party’s exit from the mediation; and

(四)其他导致调解程序终止的情形。

D. Any other circumstance resulting in the termination of the mediation proceedings.

 

第二十一条 (调解程序的恢复)

Article 21 (Resumption of Mediation Proceedings)

调解程序终止后,各方当事人希望继续进行调解的,可以重新恢复调解程序。

After the mediation proceedings terminated, if the parties wish to continue the mediation, the mediation proceedings may be resumed.

 

第三章 调解费用

Chapter III Mediation Expenses

第二十二条 (调解费用的范围)

Article 22 (Scope of Mediation Expenses)

调解费用包括案件管理费和调解费。调解费用的具体规定详见调解中心的《收费办法》。

Mediation Expenses include case management fees and mediation fees. For details regarding the mediation expenses, reference should be made to the Fees & Terms separately formulated by SCMC.

 

第二十三条 (承担比例)

Article 23 (Payment Proportion)

调解费原则由当事人各方共同承担,另有约定的除外。

In principle, the mediation fees is to be borne proportionally by each party; if the parties otherwise agree otherwise to the proportion of the mediation fees to be borne by each party, such agreement shall be respected.

 

第二十四条 (其他费用)

Article 24 (Other Expenses)

各方当事人参与调解活动产生的其他各项开支应由各方自行负责。

Each party shall themselves bear all other expenses for attending the mediation.

因开庭、调查等办案需要产生其它费用的,在征得当事人同意后,相关费用由各方当事人共同承担,另有约定的除外。

Other expenses include but are not limited to costs related to attending the hearing, or the investigation, shall be borne collectively by both parties subject to the parties‘ agreement; if the parties agree otherwise regarding the proportion of the expenses to be borne by each party, such agreement shall prevail.

 

第四章 调解的效力

Chapter IV Effectiveness of Mediation

 

第二十五条 (调解结果的作出)

Article 25 (Making the Mediation Decision)

经过调解,当事人达成调解协议的,由调解员及各方当事人签字并加盖调解中心的印章。除非为执行或履行的目的,调解协议不得公开。

If the parties reach a settlement agreement through mediation, the settlement agreement shall be signed by the mediator and the parties and shall be affixed with the seal of SCMC. The settlement agreement may not be publicly disclosed except for the purpose of enforcement or performance.

 

第二十六条 (调解的效力)

Article 26 (Effectiveness of Mediation)

生效的调解协议具有民事合同性质,当事人应当履行。当事人也可以申请有管辖权的人民法院确认其效力。

An effective settlement agreement is a civil contract by nature, so the parties are obliged to perform such agreement. The parties may also file an application to the people’s court of competent jurisdiction for confirmation of such agreement’s effectiveness.

调解中心接受司法机构或仲裁机构的委派或委托对案件进行调解。当事人可将调解协议申请司法或仲裁机构出具法律文书,该法律文书具有相应的法律效力。

SCMC may accept the appointment or entrustment by a people’s court or an arbitration commission to mediate a case prior to or during a litigation or arbitration. The appointing or entrusting party may issue a legal document based on the settlement agreement as per parties’ request , which shall have corresponding legal effect.

 

第二十七条 (选择管辖)

Article 27 (Selection of Jurisdiction)

当事人可以在调解协议中选择当事人住所地、调解协议履行地、调解协议签订地、标的物所在地基层人民法院管辖,但不得违反专属管辖的规定。

The parties may, in the settlement agreement, select the primary people’s court of competent jurisdiction based on either the place of domicile of either party, the place where the settlement agreement is performed, the place where the settlement agreement is signed or the place where the subject matter is located. However, the above selection must not violate any regulations and laws concerning exclusive jurisdiction.

当事人没有约定选择管辖法院的,由当事人住所地或者调解协议履行地的基层人民法院管辖。经人民法院委派或委托本调解中心调解达成的调解协议的申请确认案件,由委派或委托的人民法院管辖。

If the parties do not stipulate the selection of the court of competent jurisdiction, the primary people’s court at the location of domicile of either party or the location where the settlement agreement is performed shall have jurisdiction. If a settlement agreement is reached through mediation by SCMC as appointed or entrusted by a people’s court, the appointing or entrusting people’s court shall have jurisdiction.

人民法院确认调解协议效力后,一方当事人拒绝履行的,另一方当事人可以依法申请人民法院执行。

After the people’s court confirms the effectiveness of the settlement agreement, if either party refuses to perform the settlement agreement, the other party may file, according to law, an application to the people’s court for enforcement.

 

第二十八条 (申请公证)

Article 28 (Application for Notarization)

有给付义务的调解协议,当事人可以根据《中华人民共和国公证法》的规定申请公证机关依法赋予强制执行效力。债务人不履行或者不适当履行具有强制力的公证文书的,债权人可以依法向有管辖权的人民法院申请强制执行。

The parties may, in accordance with the Notarization Law of the People’s Republic of China, file an application to a notary office for granting enforceability to a settlement agreement with an obligation of payment. If the obligor fails to perform or improperly perform an enforceable notarization document, the obligee may file an application to the people’s court of competent jurisdiction for enforcement.

 

第二十九条 (申请仲裁)

Article 29 (Application for Arbitration)

双方当事人可以在调解协议中约定仲裁条款并选定具体的仲裁委员会裁决确认调解协议的效力。

Both parties may stipulate arbitration clauses in the settlement agreement and a specific arbitration commission may be selected for rendering an award to confirm the effectiveness of the settlement agreement.

 

第五章   

Chapter V Supplemental Provisions

第三十条 (当事人的后续义务)

Article 30 (Subsequent Obligations of the Parties)

各方当事人均不得在其后就同一争议进行的仲裁程序、诉讼程序或其他程序中,引用调解员和他方当事人在调解程序中提出过的或表示过愿意接受的任何以达成和解为目的的方案和建议,作为其申诉或答辩的依据。

No party may, in any subsequent arbitration, litigation or any other proceedings regarding the same dispute, refer to any proposal or suggestion, which is put forward or readily accepted by the mediator or the other party for the purpose of reaching a settlement during the course of the mediation, as the basis for an appeal or defense.

 

第三十一条 (调解员的后续义务)

Article 31 (Subsequent Obligations of Mediator)

若调解不成,调解员不得在其后就同一争议进行的仲裁程序或诉讼程序中担任仲裁员、代理人,但当事人同意者除外。

If the mediation is unsuccessful, the mediator may not serve as an arbitrator or attorney in any subsequent arbitration or litigation proceedings regarding the same dispute, unless consented by the parties.

当事人不得在仲裁、诉讼或其他争议解决程序中要求调解员充当证人,但法律另有规定的除外。

No party may require the mediator to act as a witness for any arbitration, litigation or other dispute resolution proceedings except as otherwise provided by law.

 

第三十二条 (解释权)

Article 32 (Right to Interpret)

本规则由调解中心制定,并由调解中心理事会负责解释。

These Rules are formulated by the SCMC, and the Council of the SCMC shall be responsible for interpreting these Rules.

 

第三十三条 (施行日期)

Article 33 (Effective Date)

本规则自发布之日起施行。

These Rules shall become effective as from the date of printing and issuance.

 

上海经贸商事调解中心

   Shanghai Commercial Mediation Center

 

二〇二〇年九月

                       September 2020