中英双语中国国际经济贸易仲裁委员会证据指引

1、中国国际经济贸易仲裁委员会China International Economic and Trade Arbitration Commission 证据指引Guidelines on Evidence前 言为帮助当事人、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。 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。 本证据指引不是仲裁规则的组成部分。

2、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。 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。PreambleThe China International Economic and Trade Arbitration Commission (“CIETAC”) adopts these Guidelines on Evidence

3、 (“Guidelines”) in accordance with the Arbitration Law of the Peoples Republic of China, the CIETAC Arbitration Rules (“Arbitration Rules”), CIETACs arbitration practice, and with appropriate reference to the IBA Rules on the Taking of Evidence in International Arbitration as well as those of the Ch

4、inese 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.The application of the Guidelines is presumably

5、to be more appropriate in an arbitration the seat of which is in Mainland China and where the Arbitration Law of the Peoples Republic of China is the law applicable to the arbitration procedure.These Guidelines are not an integral part of the Arbitration Rules. The application of the Guidelines is s

6、ubject 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 app

7、ly 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. The parties may agree that the tribunal and the parties will use these Guidelines for ref

8、erence, and not in any binding capacity.目 录第一章 举证责任 第一条 举证责任的承担 第二条 免证事实 第三条 被申请人的缺席 第二章 举证、取证与证据交换 第四条 当事人举证 第五条 举证期限 第六条 书证 第七条 特定披露请求 第八条 事实证人 第九条 专家意见 第十条 查验与鉴定 第十一条 仲裁庭要求披露及收集证据 第十二条 证据保全 第十三条 证据交换方式 第十四条 书证的翻译 第三章 质 证 第十五条 当事人的质证意见 第十六条 对书证的质证 第十七条 对证人、专家、查验人和鉴定人的质询 第四章 证据的认定 第十八条 一般原则 第十九条 不予

9、采纳 第二十条 无原件的书证 第二十一条 未经庭审质证的证人证言 第二十二条 对本方不利的事实陈述 第二十三条 不利推定 第二十四条 证明标准第五章 附 则 第二十五条 指引的解释 第二十六条 指引的施行ContentI. Burden of ProofArticle 1 Assumption of the Burden of ProofArticle 2 Facts not Requiring ProofArticle 3 Default of the RespondentII. Submission, Taking and Exchange of EvidenceArticle 4 Sub

10、mission of Evidence by the PartiesArticle 5 Time Period for the Submission of EvidenceArticle 6 Documentary EvidenceArticle 7 Request to ProduceArticle 8 Witnesses of FactArticle 9 Expert OpinionsArticle 10 Inspection and AppraisalArticle 11 Request to Produce or Collection of Evidence by the Tribun

11、alArticle 12 Preservation of EvidenceArticle 13 Methods of Exchanging EvidenceArticle 14 Translation of DocumentsIII. Examination of EvidenceArticle 15 Parties Opinions on EvidenceArticle 16 Examination of DocumentsArticle 17 Examination of Witnesses, Experts, Inspectors and AppraisersIV. Assessment

12、 of EvidenceArticle 18 General PrincipleArticle 19 InadmissibilityArticle 20 Documents without OriginalsArticle 21 Statement of a Witness Who Fails to Appear for Examination at the HearingArticle 22 Factual Statement Prejudicial to the Party Making the StatementArticle 23 Adverse InferencesArticle 2

13、4 Standard of ProofV. Supplementary ProvisionsArticle 25 InterpretationArticle 26 Coming into Force第一章 举证责任I. Burden of Proof第一条 举证责任的承担 （一）当事人对其主张的事实承担举证责任。 （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。 （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。 （四）请求损害赔偿与其他救济的一方当事人以及

14、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 1 Assumption of the Burden of Proof1.1 Each party shall bear the burden of proving the facts that it alleges. 1.2 Where there is a dispute over the fact of the formation or the coming into force of a contract, the party allegi

15、ng 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.1.3 Where there is a dispute over the fact of the performance of

16、 a contract, the party with the obligation of performance shall bear the burden of proof.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

17、 damages as provided for in the contract is lower or higher than the actual loss suffered shall bear the burden of proving its claim.第二条 免证事实 （一）下列事实，无需当事人举证，仲裁庭可依职权予以认定： 1、双方当事人没有争议的事实； 2、自然规律及定理； 3、众所周知的事实或常识； 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。 （二）前款各项，当事人有相反证据足以推翻的除外。Article 2 Facts not Requiring

18、Proof 2.1 The tribunal may find the following facts ex officio without the need for evidence to be adduced by the parties: (1) Facts not disputed by the parties; (2) Laws of nature and theorem; (3) A well-known fact or common knowledge; (4) A fact that can be inferred from a legal provision, a known

19、 fact or generally accepted understanding and practice. 2.2 The facts listed in Article 2.1 shall not be established if a party adduces sufficient evidence which proves the contrary. 第三条 被申请人的缺席 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。Article 3 Def

20、ault of the Respondent 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 o

21、f these Guidelines, and may draw its own conclusions from the fact of the respondents default. 第二章 举证、取证与证据交换II. Submission, Taking and Exchange of Evidence第四条 当事人举证 当事人应向仲裁庭和对方当事人 披露和提交其作为依据的所有证据。Article 4 Submission of Evidence by the Parties A party shall disclose and submit to the tribunal and t

22、o the other party all evidence on which it relies.第五条 举证期限 （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。 （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 5 Tim

23、e Period for the Submission of Evidence 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

24、 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”).5.2 Where a party has any genuine difficulty in submitting evidence within the stipulated time pe

25、riod, 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

26、 shall at the same time consider giving an appropriate extension to the other party for the submission of evidence. 第六条 书证 （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。 （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。 （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 6 Documentary Evi

27、dence 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. 6.2 When submitting documentary evidence, a party may submit a hard copy identical to the ori

28、ginal or a printed copy of the electronic data. A party may at the same time submit an electronic version of the documentary evidence. 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 jurisdi

29、ction outside Mainland China, notarization and certification of that document is not required.第七条 特定披露请求 （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。 （二）仲裁庭可对一方提出特定披露请求的期限以及对方对该请求发表意见的期限加以

30、规定。 （三）经对方当事人要求，仲裁庭可因下述理由之一驳回特定披露请求： 1、要求披露的证据与案件之间缺乏足够的关联性或对裁判结果缺乏重要性； 2、披露可能导致违反法律或执业操守； 3、披露将使披露方承受不合理的负担； 4、要求披露的证据不在披露方占有或控制之下或很可能已经灭失； 5、披露将导致国家秘密、商业秘密或技术秘密的泄露； 6、出于程序经济、公平或当事人平等的原因。Article 7 Request to Produce 7.1 A party may request the tribunal to order the other party to produce a specific

31、 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 th

32、e 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 p

33、roduce. 7.2 The tribunal may fix a time period for a party to submit its request to produce and for the other party to submit its comments on the request to produce. 7.3 At the request of the other party, the tribunal may dismiss a request to produce for any of the following reasons: (1) the documen

34、t(s) requested lacks sufficient relevance to the case or materiality to its outcome; (2) production of the document(s) may result in violation of the applicable laws or professional ethics; (3) production of the document(s) may imposes an unreasonable burden on the producing party; (4) the requested

35、 document(s) is not in the possession, custody or control of the producing party, or is likely to have been lost or destroyed; (5) production of the document(s) may result in the divulgence of state secrets, trade secrets or technological secrets; (6) considerations of procedural economy, fairness o

36、r equality of the parties.第八条 事实证人 （一）当事人安排证人作证的，应事先向仲裁庭确定证人身份及其证明事项。任何能够证明案件事实的人，包括当事人的雇员、代表人和代理人，均可作为证人。 （二）证人应在庭审前提交其书面证言。书面证言应包括证人的姓名、地址、与各当事人间的关系以及个人背景介绍，对有关争议事实的详细说明及其信息来源，以及出具证言的日期和证人本人的签名。Article 8 Witnesses of Fact 8.1 Where a witness is presented by a party, such party shall identify the w

37、itness and the subject matter of his/her testimony to the tribunal in advance. Any person capable of proving the relevant facts of the case may appear as a witness, including a partys employee, representative or agent. 8.2 A witness shall submit a written statement prior to the hearing. The witness

38、statement shall contain the name and address of the witness, his/her relationship with the parties, his/her background, a detailed description of the facts related to the dispute, the sources of the witness information, the date of the witness statement and the signature of the witness.第九条 专家意见 （一）当

39、事人可就特定问题提交专家意见以支持己方的主张。 专家意见应包括： 1、专家的姓名、地址、与各当事人间的关系以及个人专业背景介绍； 2、为出具专家意见而了解的事实、阅读的文件及其他信息来源； 3、专家个人的意见和结论，包括形成意见和得出结论所使用的方法和依据； 4、出具意见的日期及专家本人的签名。 （二）仲裁庭可自行指定一名或多名专家。双方当事人应对仲裁庭指定的专家予以协助，提供其要求的文件和信息。专家应出具专家意见，交由双方当事人评论。 （三）当事人或仲裁庭选定某专业机构出具专家意见的，实际代表该机构出具意见的专家个人视为本条意义上的专家。Article 9 Expert Opinions 9

40、.1 A party may submit an expert opinion on specific issues to support its claims. An expert opinion shall contain: (1) the name and address of the expert, a statement regarding his/her relationships with the parties, and his/her professional background; (2) the facts, documents and other sources of

41、information on which the experts opinion is based; (3) the experts personal opinions and conclusions, including the methods employed and grounds relied upon in forming the opinions and arriving at the conclusions; and (4) the date of the expert opinion and the signature of the expert. 9.2 The tribun

42、al may appoint one or more experts on its own initiative. The parties shall assist the tribunal-appointed expert, and provide any documents and information that the expert requests. The expert shall issue his/her opinion which shall be forwarded to the parties for comments. 9.3 Where a party or the

43、tribunal appoints a professional institution to provide an expert opinion, the expert who actually gives the opinion on behalf of the institution shall be considered as the expert for the purpose of this Article.第十条 查验与鉴定 （一）仲裁庭可依当事人的请求或自行决定，由仲裁庭或其指定的查验人对现场、货物、文件或其他有关证据进行查验，或由仲裁庭指定的鉴定人对某个专业或技术问题进行鉴定

44、。当事人应事先得到查验的通知并有权到场。查验人、鉴定人完成查验或鉴定后，应出具报告，交由双方当事人评论。 （二）第九条的规定适用于仲裁庭指定的查验人、鉴定人及其所出具的报告。Article 10 Inspection and Appraisal 10.1 The tribunal may, at the request of a party or on its own initiative, inspect or arrange the inspection by a tribunal-appointed inspector, of sites, goods, documents or oth

45、er relevant evidence, or arrange the appraisal by a tribunal-appointed appraiser of certain professional or technical issues. The parties shall be notified prior to the inspection and shall have the right to be present. Following the completion of the inspection or the appraisal, the inspector or th

46、e appraiser shall issue a report which shall be forwarded to the parties for comments. 10.2 Article 9 shall be applicable mutatis mutandis to the tribunal-appointed inspectors and appraisers, and to the reports issued by them.第十一条 仲裁庭要求披露及收集证据 （一）在仲裁过程中，仲裁庭可以主动要求一方当事人提交仲裁庭认为必要的任何证据。仲裁庭应确保另一方当事人有机会对这

47、些证据发表意见。 （二）应一方当事人请求并在必要和实际可行的情况下，仲裁庭可自行搜集与争议事实有关的证据。仲裁庭搜集的证据应转交双方当事人，并听取其意见。Article 11 Request to Produce or Collection of Evidence by the Tribunal 11.1 During the arbitration proceedings, the tribunal may, on its own initiative, require a party to produce any evidence that the tribunal considers n

48、ecessary. The tribunal shall ensure that the other party has an opportunity to comment on the evidence produced. 11.2 At the request of a party and where it is necessary and feasible, the tribunal may itself collect evidence related to the dispute. The evidence collected by the tribunal shall be for

49、warded to the parties for their comments.第十二条 证据保全 （一）当事人可依法请求法院进行证据保全。 （二）如所适用的法律允许，仲裁庭亦可发出保全证据的指令。Article 12 Preservation of Evidence 12.1 A party may apply to a court of law for the preservation of evidence in accordance with the applicable law. 12.2 The tribunal may order the preservation of evi

50、dence if the applicable law so permits.第十三条 证据交换方式 双方当事人提交的证据通常应由贸仲委仲裁院转递。但仲裁庭经与当事人协商后，可决定采用其他的证据交换方式。Article 13 Methods of Exchanging Evidence Evidence submitted by the parties should usually be exchanged through the Arbitration Court of CIETAC; however, the tribunal may, after consultation with th

51、e parties, decide that the evidence be exchanged using other methods.第十四条 书证的翻译 （一）其他文字的书证是否需要按照仲裁语言翻译，可由仲裁庭在与当事人协商后决定。在决定是否需要翻译，或者是否需要全部或部分翻译时，仲裁庭应考虑双方当事人及其律师的语言能力，以及费用的节省。 （二）仲裁庭与当事人协商后决定书证需要翻译的，译文应与原文同时提交，以便对方当事人对译文的准确性进行核对。 （三）译文与原文有出入的，仲裁庭应以能够正确反映书证原意的译文为准。Article 14 Translation of Documents 14

52、.1 The tribunal, in consultation with the parties, may determine whether documents in other languages should be translated into the language of the arbitration. In determining whether or not a translation is necessary, or whether the translation shall be made in whole or in part, the tribunal shall

53、take into account the linguistic capabilities of the parties, their counsel and the need to minimize costs. 14.2 Where the tribunal, after consultation with the parties, determines that translation of documents is necessary, the translated version shall be submitted together with the original, in or

54、der for the other party to check the accuracy of the translation. 14.3 Where there are discrepancies between the translated version and the original, the tribunal shall adopt a translation that correctly reflects the meaning of the document.第三章 质 证III. Examination of Evidence第十五条 当事人的质证意见 仲裁庭应确保一方当事

55、人有机会就对方当事人提交的所有证据发表质证意见。质证意见可以采用口头或书面形式。Article 15 Parties Opinions on Evidence The tribunal shall ensure that each party has an opportunity to express its opinions on the evidence submitted by the other party. The opinions on evidence can be made orally or in writing.第十六条 对书证的质证 （一）开庭审理的案件，书证应在庭审过程

56、中出示，由当事人口头质证。为避免不必要的拖延，当事人应仅针对有争议的书证发表意见，并集中说明哪些书证不应被仲裁庭采纳为证据。 （二）对复印件与原件可能不一致的书证，当事人及仲裁庭可要求核对原件。 （三）对视听资料和物证，准用本条第一款对书证进行质证的原则。视听资料是否在庭审过程中播放、或全部或部分播放，由仲裁庭在与当事人协商后决定。Article 16 Examination of Documents 16.1 Where a case is heard by way of a hearing, all documentary evidence submitted shall be exhib

57、ited at the hearing and be subject to oral examination by the parties. In order to avoid unnecessary delays, the parties shall present their opinions only on disputed evidence, and identify which document(s) they believe should not be admitted as evidence by the tribunal. 16.2 For written documents in respect of which discrepancies are likely to exist between the original and photocopies of the original, a party a