仲裁员的责任范围 | 贸仲/亚太法协联合研讨会·系列二

北京霖理律师事务所

Arbitrators’Scope of Duties

CIETAC  /  LawAsia  Joint Symposium 

Serial II

仲裁员的责任范围

贸仲/亚太法协联合研讨会 

系列二

    This is Serial II sharing of the Joint Symposium organized by CIETAC and LAWASIA on August 29, 2018. In this part, we highlight the gist of the content by using the Socrates dialogue format with questions and answers. 

    The actual content of the PPTs and other materials (such as notes) are available with the authors. If there is any interest in the actual PPTs and other materials, please leave us a message at Linli Legal English. Thank you for your kind attention！

      2018年8月29日，中国国际经济贸易仲裁委员会（下称“贸仲”）和亚洲及太平洋地区法律协会（下称“亚太法协”）在北京联合举办了一场主题为“仲裁员的责任范围”的联合研讨会。本文为霖理法律英语所推出的会议播报的第二部分。

       在这一部分，我们借鉴了苏格拉底问答法，以“提问-回答”的方式向您展示研讨会的主要内容。如果您希望进一步了解会议的详细内容，您可以在“霖理法律英语”公众号的后台留言，我们将为您提供研讨会的PPT及相关材料。 

      关于会议播报的第一部分，您可以回看“霖理法律英语”公众号的相关文章。霖理法律英语，感谢您的关注和支持！回看链接：仲裁员的责任范围 | 贸仲/亚太法协联合研讨会·系列一

Questions and answers are presented in succinct language below. 

以下是以问答形式呈现的会议内容要旨：

Q: Given the IBA Guidelines have set out the standards of arbitrator’s conflicts and disclosure, are these standards detailed and comprehensive enough to address all the situations for disclosure of potential conflicts of interest？ 

问：《国际律师协会关于国际仲裁中利益冲突指南》(2014)对仲裁员的利益冲突和信息披露义务作出了规定。这些标准是否足以应对涉及仲裁员上述领域的一切问题呢？ 

    A: IBA Guidelines on Conflicts of Interest in International Arbitration (2014)  (the “IBA Guidelines”) sets out the guidelines for disclosure by international arbitrators to avoid conflicts of interests in arbitration cases. Caution should be exercised in making appropriate disclosures in accordance with the guidelines for arbitrators. There are a great number of these guidelines formulated by different arbitration institutions but many may have cracks and gray areas for its imperfection nature. The IBA Guidelines is, as its name suggests, good template and guidelines for the practitioners. 

    In order to provide specific guidelines to arbitrators, parties, institutions, and courts as to which situations constitute conflicts of interest, or what relationship, past or current, should or should not be disclosed, the IBA Guidelines has categorized the situations into three application lists, namely the Red List, the Orange List and the Green List. 

    The Red List includes disclosures that can be or cannot be waived, meaning an arbitrator must withdraw from acting as an arbitrator, to avoid justifiable doubts as to his impartiality and independence. Such situations include where an arbitrator is a legal representative or an employee of a party. The Orange List includes specific situations where an arbitrator should make disclosure. Otherwise, doubts will likely be raised as to his impartiality and independence in the future. The Green List includes specific situations where no disclosure may be made from an objective perspective. 

       答：《国际律师协会关于国际仲裁中利益冲突指南》(2014)（下称“《国际律协指南》”）详细规定了国际仲裁员在国际仲裁案件中的披露义务，以规避潜在可能发生的利益冲突。在依据仲裁员守则而作出适当的信息披露时，仲裁员应当非常谨慎。实践中，各种仲裁机构制定了大量的仲裁员守则，但由于不尽完善，其中许多都存在着疏漏和灰色地带。反观《国际律协指南》，正如其名称所示，是对仲裁员更为规范的指引。 

       为了向仲裁员、当事人、仲裁机构和法庭提供指南，以解决何时构成利益冲突及何时需要信息披露的问题，《国际律协指南》将实践中可能发生的各种情形分为红色清单、橙色清单和绿色清单。

       红色清单包括可以放弃的披露和不能放弃的披露，这意味着仲裁员应当回避，以避免对其公正性和独立性的正当质疑。这种情况包括仲裁员是一方当事人的法定代表人或雇员；橙色清单包括仲裁员应该披露的具体情况，否则未来其公正性和独立性易受到质疑；绿色清单包括了一些具体情况，在这些情况下，客观而言，无需进行披露。

Q: What happens in real life? 

问：在实践中会发生什么情况？ 

    A: In real life, there can be many complicated situations. For example, the IBA Guidelines stipulates that if an arbitrator is appointed more than 3 times in 3 years by a counsel, that is a situation that the arbitrator should disclose it. What if an arbitrator has been appointed three times by a counsel and then in a new case, this arbitrator is supposed to be a candidate for the chair arbitrator, and the parties give approval to the designated chair, does the proposed chair arbitrator need to disclose this situation? 

      Not only so, there are also many other gray areas. Suppose that, both you and I are on the same DR committee of LAWASIA, and I want to appoint you as the chair. Is this something that needs to be disclosed? 

    Another example is about the substantive neutrality of an arbitrator. If a lawyer expressed his opinion about a case in a newspaper, and then he is appointed as arbitrator to handle a case similar to the reported case. Then he might be challenged on the ground of lack of substantive neutrality.  

      答：实践中存在着各种复杂的情形:例如，根据《国际律协指南》，如果一名仲裁员在三年内被一名律师任命三次以上，则该仲裁员应披露这一情况。那么，实践中，如果一名仲裁员被同一律师任命了三次，且在新的案件中，该仲裁员又作为首席仲裁员的潜在人选并最终为双方当事人同意成为首席仲裁员。那么该首席仲裁员是否需要披露这种情况? 

       不仅如此，还有许多其他灰色地带。假如，您和我都在亚太法协的同一争端解决委员会，而我想指定您为主席，这是需要披露的吗? 

      另一个例子是关于仲裁员的实质性中立。如果某位律师在报纸上发表了其对一个案件的意见，而这位律师又被指定为与该案件相似的另一案件的仲裁员。那么这位律师就有可能因为缺乏实质性中立而被质疑。

Q: Given the gray areas and complicated real situations, how do arbitrators practice in the process of conflict disclosure? 

问：考虑到实践中的灰色地带和复杂的情形，仲裁员在面对利益冲突和披露义务时会怎么做？ 

     A: Some prominent arbitrators go so far as to disclose every single thing and every connection they may have with the parties, no matter how strong the relationship is. That may be a little too much. To follow the IBA Guidelines can be a much safer and smarter choice. 

       答：有些知名的仲裁员会披露每个细小的问题以及同当事人之间可能存在的一切联系，而不论相关关系是否紧密。这样披露的内容未免太多了。选择遵循《国际律协指南》会更安全、更明智。 

Q: What are the rules and codes for arbitrators in Indonesia? 

问：印度尼西亚仲裁员的规则和准则是什么？ 

     A: Indonesia is a developing country with developing legal system. In Indonesia, the rules and codes that regulate arbitration and arbitrators are seen in the Arbitration Law, the BANI Rules, and the BANI Code, which contains the complete contents of ethics and conduct for arbitrators. 

       答：作为一个发展中国家，印度尼西亚（下称“印尼”）的法律体系正在不断发展完善。其中，印尼《仲裁法》、“BANI规则”和“BANI准则”是关于仲裁和仲裁员的规定，也包含了仲裁员伦理和行为的相关准则。

Q: Are there any qualification rules under Indonesian Law? 

问：在印尼的法律中，是否有关于仲裁员资格的相关规定？ 

     A: Yes. Article 12 of the Arbitration Law has provided qualifications that an arbitrator should meet. These qualifications include capacity to perform legal acts; at least 35 years old; no familial relationship, whether by blood or marriage, to the second degree, with either disputing party; no financial or other interest in the arbitral award to be rendered; active expertise in his field for at least 15 years; and not serving as a judge, prosecutor, clerk, or other judicial official. 

       答：是的。印尼《仲裁法》第十二条规定了担任仲裁员应当具备的条件。这些资格包括从事法律行为的能力；至少35岁；与任何争议方均无第二等级的血缘或婚姻家庭关系；在作出的仲裁裁决中没有经济利益或其他利益；在该专业领域活跃了至少15年；不得同时担任法官、检察官、书记员或其他司法官员。

Q: How does the Arbitration Law in Indonesia view the relationship between an arbitrator and the parties? 

问：印尼的《仲裁法》如何看待仲裁员与当事人之间的关系？ 

    A: Article 17 of the Arbitration Law stipulates that upon an arbitrator’s acceptance of the appointment to certain arbitration proceedings, a contract is manifested between the disputing parties and the arbitrator. This contract obliges the arbitrator to issue an arbitral award honestly, fairly, and in accordance with the applicable law. But the Arbitration Law does not stipulate the content of any such contract. 

       答：印尼《仲裁法》第十七条规定，仲裁员一经接受某一仲裁程序的委任，就表明争议双方与该仲裁员之间形成了合同关系。该合同要求仲裁员根据可适用的法律，诚实、公正地作出仲裁裁决。但是，印尼《仲裁法》并没有规定任何此类合同的内容。

Q: What are the ethical obligations of an arbitrator in Indonesia? 

问：在印尼，仲裁员的道德义务是怎么样的？

     A: Subject to the Arbitration Law of Indonesia, no sanctions are imposed on arbitrators violating their ethics-related obligations under the Arbitration Law. However, pursuant to Article 9 of the BANI Code, BANI arbitrators who violate the BANI Code are possibly subject to four types of sanctions including reprimand, temporary or permanent dismissal from his/her position as arbitrator of BANI; ban from being appointed as an arbitrator for arbitration proceedings governed by the BANI Rules. 

     Despite these provisions, there is only one recent case in its history where an arbitrator was dismissed from her position as a BANI arbitrator for ethical misconduct. In that case, the arbitrator was alleged to be acting as the legal counsel of one of the disputing parties despite having heard the case from the counter party. But neither the BANI Rules nor the BANI Code provides violation of code of conduct/ethics as a ground for arbitral award nullification.

       答：根据印尼《仲裁法》，对违反《仲裁法》所规定的道德义务的仲裁员不予制裁。但是，根据“BANI准则”第9条，违反“BANI准则”的BANI仲裁员可能会受到四种类型的制裁，包括谴责；暂时或永久解雇他/她作为BANI仲裁员的职位；禁止被指定为受BANI规则管辖的仲裁程序的仲裁员。 

       尽管存在上述规定，但历史上该条只被适用于近期一个案例中：一名BANI仲裁员因道德不端行为被解雇。在案件中，仲裁员被指在听取一方对于案件的陈述后，又担任另一方的法律顾问。但是，BANI规则和BANI准则都没有规定，违反行为准则/道德规范会成为导致仲裁裁决无效的理由。

Q: What impacts do cultural differences have on international arbitration? 

问：文化差异对国际仲裁有何影响？

    A: Cultural differences play a very important role in international arbitration. Different cultures may lead to various self-reference criterion. International arbitration is a platform for multicultural expression. Trust and understanding need to be built in and between multiple cultures. 

       答：文化差异在国际仲裁中发挥着非常重要的作用。不同的文化会孕育出不同的自我参照的标准。国际仲裁是多文化交流的平台，信任和理解需要在各种文化中及文化之间培育。

Q: Will the arbitrators severely violating the ethics and conduct rules face criminal penalty in Mainland China? 

问：在中国大陆地区，严重违背道德和行为守则的仲裁员会面临刑事处罚吗？

    A: Under the circumstances mentioned above, not only will the arbitral awards be annulled or non-enforced by the local courts in China, but also those arbitrators who violate ethical rules will even face criminal penalties. If they violate the criminal law, they will likely be imposed up to 7 years of imprisonment, especially for severe cases of intentionally twisting the law and the facts in awards in accordance with Art. 399(1) of the P.R.C. Criminal Law. 

       答：在上述情形下，不仅中国法院将撤销或不执行仲裁裁决，而且严重违反伦理规则的仲裁员甚至会面临刑事处罚。依照《中华人民共和国刑法》第三百九十九条之一的规定，依法承担仲裁职责的人员，在仲裁活动中故意违背事实和法律作枉法裁决，情节特别严重的，最高面临七年有期徒刑。

Q: Since CIETAC has both Chinese and foreign arbitrators on its panel list, do they need to meet the same qualification requirements? 

问：贸仲的仲裁员名册上有中国和外国的仲裁员。中外仲裁员是否需要满足同样的资格要求呢？ 

     A: Besides satisfying the requirements listed in the Arbitration Law, for being CIETAC arbitrators, Mainland Chinese candidates generally also need to have deep love for the arbitration career, master a foreign language and can use it as working language (with a few exceptions); guarantee enough time for hearing cases, etc.

    The qualifications under the Arbitration Law of PRC may not fully bind upon foreign or international arbitrators. Different criteria will apply to foreign or international arbitrators (including arbitrators from Hong Kong, Macau and Taiwan). In order to be CIETAC arbitrators, foreign candidates should have deep love for the arbitration career; should be fair and honest, and adhere to an independent and impartial obligations of arbitrators. International arbitrators should have expertise and experience in law, economy and trade, etc.; abide by the CIETAC Articles of Association, Arbitrational Rules, Code of Conduct for Arbitrators and other relevant regulations; and have a certain knowledge of Chinese (with a few exceptions) and other conditions specified by CIETAC. 

       答：除了符合《中华人民共和国仲裁法》（下称“我国《仲裁法》”）规定的条件外，中国大陆申请人作为贸仲的仲裁员，通常还需要热爱仲裁事业，掌握一门外语，并能将其作为工作语言(少数例外)；保证有足够的时间审理案件等。 

       我国《仲裁法》规定的资格不是全部对外国或国际仲裁员具有约束力。外国或国际仲裁员(包括港澳台地区 的仲裁员)适用不同的标准。要成为贸仲仲裁员，国际申请人必须热爱仲裁事业；应当公正、诚实，坚持仲裁员独立、公正的义务。国际仲裁员应当具有法律、经济、贸易等方面的专门知识和经验；遵守贸仲的章程、仲裁规则、仲裁员行为准则等有关规定；具备一定的中文(除少数情况外)和贸仲规定的其他条件。

Q: As to the inadequacy of the law, what should the arbitrators pay more attention to? 

问：鉴于法律的不完备，仲裁员在仲裁中应当如何应注重什么？ 

     A: Traditionally, the basic requirements for arbitrators are specialty and proficiency in law, so they focus on the legal training and legal expertise, which absolutely plays an indispensable and fundamental role in arbitration. Meanwhile, the capacity of making an ethical judgement should also be high on the agendas of arbitrators. What’s more, based on the equity law or ethical rules, arbitrators are supposed to have the courage to make a judgement even if it goes against policies or comes under criticism especially when facing moral or ethical plights. 

       答：传统上，对于仲裁员基本的要求是对法律的专业和娴熟，因此他们过去关注于法律的专业和训练，这当然是在仲裁领域发挥着基础性和不可替代的作用的。与此同时，仲裁员也应当关注作出道德判断的能力。另外，基于衡平法及其他道德规则，仲裁员在面临道德或伦理困境时，应当有勇气去作出哪怕是违反政策甚至是容易引发批评的裁决。

Q: How do we interpret impartiality and independence from a moral perspective? 

问：从道德的视角，我们应当如何解读仲裁中的公正和独立？ 

      A: Arbitrators play a very important role in applying the legal rules. Impartiality and independence request that arbitrators should draw a conclusion of a case without partiality or favoritism, which helps to bridge a compromise at a balance. Although the IBA Guidelines and relevant laws have provided certain rules governing the impartiality and independence of arbitrators, they are anyway far from adequate in practice and not complete by a listing methodology. So what new thoughts are being proposed is about radical and civilizational change. It is the idea of virtue ethics and virtue trained judicial settlement of commercial disputes. This conforms with the texture of traditional Chinese culture that "harmony" is of most value.

       答：仲裁员在适用法律规则时发挥着重要的作用。公正和独立的目标，要求仲裁员应在对案件作出裁决时避免偏袒或不公，这有助于在利益平衡中达至妥协。尽管《国际律协指南》和相关法律已经为保证仲裁员的公正和独立作出了相关的规定，但是这在实践中并不足以涵盖各种情形，且通过列举式的技术不能达到完全和彻底。对此，所提出的新想法是关于重大的和文明的变革。这种新的想法就是，要考虑道德伦理，要经过考量道德再作出商事争议的和解。这符合以“和”为贵的传统中国文化特质。

北京霖理律师事务所是北京市司法局批准设立的律师事务所，主要业务覆盖国际仲裁、知识产权和商事投资合同争议解决。

想获取关于本次贸仲/亚太法协联合研讨会的PPT和相关材料？

--------请在下方留言，小编将及时为您传递您所需要的材料！