仲裁员的责任范围 贸仲/亚太法协联合研讨会 系列一

Mr. Wang chengjie has given a speech titled “Arbitrators’ Scope of Duties”, including the following three aspects.

王承杰先生发表了题为“仲裁员的责任范围”的主旨演讲，分以下三个方面。

一、The Important Role of Arbitrators

仲裁员的重要作用

In the context of the operation of the “Belt and Road” initiated by China, the seminar “Duties of Arbitrators” jointly organized by CIETAC and LAWASIA is of great significance. Arbitration plays a substitute role of litigation to a certain extent. As the actual judge of the arbitration case, the arbitrator has a pivotal position in the trial of the case. Arbitration is as good as arbitrators. Arbitrators determine the quality of the arbitration awards and the level of the arbitration cases. The overall quality of the arbitrator team determines the vitality and competitiveness of an arbitration institution. In addition, strengthening the ethics construction of arbitrators is also a requirement of the arbitrator's dual nature, both contractual and judicial. It is the requirement for arbitration to achieve its fairness and economic value.

在中国倡议的“一带一路”正在展开相关工作的背景下，贸仲与亚太法协联合举办的以“仲裁员的职责”为主题的研讨会具有重大意义。仲裁在一定程度上发挥着诉讼的替代作用。仲裁员作为仲裁案件的实际裁判者，在案件审理中具有举足轻重的地位。仲裁的好坏取决于仲裁员。仲裁员决定了仲裁裁决的质量，决定了仲裁的好坏。仲裁员队伍的整体素质决定了仲裁机构的生命力和竞争力。另外，加强仲裁员的职业道德建设也是仲裁员所具备的契约和司法双重性质的要求。是仲裁实现其公平性及经济性等价值的要求。

二、The Development of CIETAC

贸仲的发展情况

In his speech, Mr. Wang Chengjie briefly introduced the establishment and development of CIETAC. Established in 1956, CIETAC is committed to solving domestic and international disputes through arbitration. As an international arbitration institution, in the past 60 years, CIETAC has handled more than 30,000 foreign-related arbitration cases. Taking 2017 as an example, the foreign-related cases handled by CIETAC involve more than 60 countries and regions, and the proportion of foreign-related cases is over 70%. The credibility of CIETAC ruling is also widely recognized internationally. Last week, CIETAC decided to dismiss three arbitrators who violated the arbitrator's professional conduct during their term of office. This includes both domestic and international arbitrators. CIETAC is committed to supervising arbitrators to handle every case fairly and efficiently, and strive to create a fair and just arbitration legal environment.

在演讲中，王承杰先生简要介绍了贸仲的成立和发展情况。贸仲成立于1956年，致力于以仲裁方式解决国内、国际上的纠纷。作为国际仲裁机构，60年来，贸仲已经处理了涉外仲裁案件3万余件。以2017年为例，贸仲处理的涉外案件涉及60多个国家和地区，涉外案件所占比例达70%以上。贸仲仲裁裁决的公信力也在国际上得到广泛认可。上个星期，贸仲决定对违反仲裁员职业操守的三名仲裁员在任期内解聘。这其中包含国内人士，也包含国际人士。贸仲致力于督促仲裁员公正、高效办理每一个案件，努力营造公平公正的仲裁法律环境。

三、Seeking Common Grounds While Reserving Differences

求同存异

The arbitrators’ duties involve three aspects, rights, obligations and duties. All these are centered around the two core points of independence and impartiality. As far as international commercial arbitration is concerned, different practices and legal developments in different countries bring complexity to these issues. The team of this seminar is from different countries in the Asia-Pacific region. Different countries have different ethical understandings of arbitrators. Therefore, we need to seek common grounds while reserving necessary differences.

仲裁员的职责涉及到权利、义务和责任三个方面。而这一切都围绕独立和公正这两个核心要点展开。就国际商事仲裁而言，不同国家的不同实践，和法律发展的差异，又为这些问题带来复杂性。此次研讨会的团队来自亚太地区的不同国家，不同国家对仲裁员的道德上的认知存在差异。因此，需要求同存异。

The topic of research on duties of arbitrators is a good start. On September 18th, CIETAC will hold the Global Arbitration Conference. One of the most important topics is “Conflict of Interests and Arbitrators' Professional Conduct”, which will be discussed by arbitrators from all over the world.

仲裁员职责的研究的话题是一个好的开始。9月18日贸仲将举办贸仲全球仲裁大会。其中一个很重要的主题就是“利益冲突与仲裁员职业操守”，这一议题将由贸仲来自全球的仲裁员进行研讨。

Mr. Kumar：New Challenges Facing Arbitrators in Asia

Kumar 先生：亚洲仲裁员面临的新挑战

Mr. Kumar talked about new challenges facing Asian arbitrators. He started with a macro social economic view of dispute resolution, recognizing that dispute resolution is a professional service that may be made in such a detailed manner as to make the local economy grow at an arbitration venue. He discussed the process of the dispute resolution from adversary procedure to friendly negotiation and mediation, noting that the arbitrators’ and mediators’ role of independence and impartiality and integrity are essential features. Arbitrators’ ability and capacity to apply procedural laws and substantive laws correctly are essential.  

Kumar先生讨论了亚洲仲裁员面临的新挑战。他从宏观社会经济学的角度对争端解决展开分析。认为争端解决是一项专业服务，服务的具体方式甚至可以促进地方经济在仲裁平台上实现增长。他从对抗程序到友好协商和调解层面对争端解决的过程进行了讨论。指出，仲裁员和调解员的独立和公正的角色特征是至关重要的。仲裁员正确适用实体法和程序法的能力是至关重要的。

As more arbitrations taking place in Asia, Mr. Kumar called that we have to look at the Asian values in which the arbitration takes place. He vividly used the “menu” when one goes to a local restaurant. The two benefits: the parties who are given the contracts to sign and the arbitrators who understand the positions of both parties, are lost when arbitration is carried out at a neutral place but by foreign experts. Therefore, he advised two concepts: one is that given all belt and road jurisdictions do not have sophisticated legal regimes, we need to embrace imperfections of the Asian context, and learn to understand and develop new rules that are tailor-made to the local context and not force adherence to complex rules and methods. Second that while justice is to be seen to be done, we need to apply simplicity in approaching arbitration cases, but not to make the matters more complicated, for the purpose of dispute resolution. A complex contract in simple English language that parties can understand can reduce time and cost of dispute resolution.

随着越来越多的仲裁在亚洲进行，Kumar先生称，我们必须考虑仲裁发生地的亚洲价值观。他生动地运用在当地餐馆就餐时的“菜单”作为比喻。（当地仲裁）有两个优势：签署合同的各方和理解双方立场的仲裁员。但是，当仲裁在一个中立的仲裁地但是由外国专家进行仲裁时，这两个优势就会丧失。因此，他提出了两个概念：一个是由于”一带一路”沿线国家法律制度都尚待成熟，我们需要接受亚洲背景的不完善，并学会理解和发展为当地环境量身定制的新规则，而不是被迫接受复杂的规则和方法。其次，虽然正义需要被看得见地予以伸张，但为了争端解决的目的，我们需要把仲裁案件处理予以简化，而不是使事情变得更加复杂。用当事人能够理解的简明英语书写复杂的合同可以减少争议解决的时间和成本。

Mr. Yin Baohu：Ethical Duties of Arbitrators

尹宝虎先生：仲裁员的道德义务（中文也作“道德操守”）

Mr. Yin Baohu has given a keynote speech titled “Ethical Duties of Arbitrators”. His speech mainly focused on the following three aspects.

尹宝虎先生做了题为“仲裁员的道德义务”的主题演讲。他的演讲主要围绕下述三个方面进行。

一、Ethical Duties of Arbitrators And The Relationship Among Duties

仲裁员的道德义务以及各义务之间的关系

The ethical duties can be summarized into four aspects: First, the duty of independence (disclosure and avoidance); second, the duty of impartiality; third, the duty of efficiency (diligence, competence); fourth, the duty of prudence (elegance, confidentiality). The duty of independence and impartiality are actually two sides of one object, causing each other and promoting each other. The efficiency obligation requires the arbitrator to perform the arbitration function efficiently, and not to delay the arbitration for a long time. The obligation of efficiency is based on the concept that late justice is injustice. The obligation of efficiency includes the obligation of diligence and competency.

道德义务可以概括为四个方面： 一是独立义务（披露义务、回避义务）；二是公平公正义务；三是效率义务（勤勉义务、胜任义务）；四是审慎义务（言行得体义务、保密义务）。独立义务和公平公正义务实际上是一体两面，互为因果，相互促进。效率义务要求仲裁员高效率履行仲裁职能，不得久拖不决。效率义务建基于迟来的正义为非正义观念。效率义务包括勤勉义务和胜任义务。

二、Classification of Ethics And Accurate Positioning of Arbitrators' Ethical  Duties

道德的分类以及仲裁员道德义务的准确定位

There are two kinds of ethical norms in society, one is basic ethical norms, and the other is noble ethical norms. Basic ethics constitute the basic legal principle. Noble ethics, such as selflessness, devotion, caring, and loyalty is encouraged by society, but it will not cause legal sanctions. There is also an ethic called professional ethics. That is, for some special industries in society, we need to base our noble ethics. This type of ethics is necessary to maintain a certain type of occupation. The ethical requirements of the arbitrator are also the arbitrators’ obligations to the parties and the society. If the arbitrator does not bear the moral obligation, the arbitration system cannot exist and operate normally.

社会上存在两种道德规范，一种是基础的道德规范，一种是高尚的道德规范。基础道德构成了基本的法律原则。高尚的道德，诸如无私、奉献、友爱、忠贞是社会鼓励实现的，但实现不了并不会引起法律制裁。还有一种道德被称为职业伦理道德。即针对社会上的一些特殊行业，需要把高尚的道德基础化。这类道德是维持某类职业所必须的。对于仲裁员的道德要求，也是仲裁员需要对当事人和社会所承担的义务。如果仲裁员不承担道德义务，仲裁制度就无法存在和正常运行。

三、The Role of Arbitrator

仲裁员的角色

There are three schools of thought about the role of arbitrator. They are judges; quasi-judges; and folk judges. The three arguments are aimed at different situations and have certain truths, but they are not completely accurate and one cannot be partial. What’s particularly important is that the arbitrator is a folk judge. Since the arbitral award is final, the ethical duties of an arbitrator should be especially emphasized. China is a secular society and the demand of ethical standards of arbitrators is more necessary. The credibility of arbitration and judicial authority comes not only from their judicial capability, but also from their high ethical duties.

关于仲裁员的角色，有三种说法。分别是司法官；准司法官；和民间司法官。三种说法针对的是不同情形，都有一定道理，但都不完全准确，不能以偏概全。特别重要的是，仲裁员是民间司法官。因为仲裁裁决是终局的，因此更应当特别强调仲裁员的道德义务。中国是一个世俗社会，更应当要求仲裁员的道德标准。仲裁的权威，和司法的权威，之所以值得信赖，不仅仅是因为裁判的能力，更因为他们具有较高的道德义务。

In the long run and globally, what is ethical is also economic and most affordable. The arbitrator's ethics system is the basis and cornerstone for the maintenance of the entire arbitration system.

从长远和全球来说，符合道德的，也是最经济实惠的。仲裁员的道德制度是整个仲裁制度得以维持的基础和基石。

1. Edited by Jerry Zhang/Stephanie Yang, Linli Law Office.