China: 律师在其任职仲裁员的仲裁机构代理案件的法律评析 ——《律师处罚办法》

Last Updated: 26 April 2019
Article by DeHeng Law Offices
Most Read Contributor in China, July 2019

《仲裁法》第十三条第(二)款规定:"仲裁委员会应当从公道正派的人员中聘任仲裁员。仲裁员应当符合下列条件之一:......(二)从事律师工作满八年......"。据此,从事律师工作满八年的人士具备担任仲裁员的资格。

在实践操作中,自然会出现律师时而作为仲裁案件代理人出庭,时而又作为仲裁员裁决仲裁案件的情况,更为普遍的是,在一些仲裁机构中担任仲裁员的律师,又在该机构代理仲裁案件,这种既做"裁判员"又是"运动员"的角色交叉是否存在利益冲突,进而给仲裁案件的独立公正审理带来挑战,甚至涉及是否违反仲裁法定程序的问题。对此,规范律师参与仲裁活动的主要法律规定《仲裁法》、《律师法》未作明确规定。

但司法部于2010年发布的《律师和律师事务所违法行为处罚办法》(以下称"《处罚办法》")中第7.5款作出了全面禁止律师在其任职仲裁员的仲裁机构代理案件的规定,此条款受到业界的广泛热议。此后,司法部又于2016年发布了《律师执业管理办法》,其中第28.3款亦对律师在其任职仲裁员的仲裁机构代理案件的行为进行了规定。两部办法对同一行为的界定并不相同,这势必会造成在实务操作中的偏差。本文则对两部办法的理解与适用以及冲突解决问题提出观点。

一、关于《处罚办法》(2010)第7.5款

1.具体规定

《律师法》第四十七条第(三)款规定:"律师有下列行为之一的,由设区的市级或者直辖市的区人民政府司法行政部门给予警告,可以处五千元以下的罚款;有违法所得的,没收违法所得;情节严重的,给予停止执业三个月以下的处罚:......(三)在同一案件中为双方当事人担任代理人,或者代理与本人及其近亲属有利益冲突的法律事务的......"。

《处罚办法》第7.5款规定"有下列情形之一的,属于《律师法》第四十七条第三项规定的律师"在同一案件中为双方当事人担任代理人,或者代理与本人及其近亲属有利益冲突的法律事务的"违法行为:......(五)曾经担任仲裁员或者仍在担任仲裁员的律师,以代理人身份承办本人原任职或者现任职的仲裁机构办理的案件的......"。

根据该规定,《处罚办法》全面禁止律师在其任职仲裁员的仲裁机构代理案件。

2.司法实践的不同观点

笔者通过案例研究发现,一旦仲裁案件中出现在仲裁机构担任仲裁员的律师,又在该机构代理该案件的事实,另一方当事人往往以该行为违反了《处罚办法》第7.5款的规定,严重违反仲裁法定程序为由,向人民法院申请撤销仲裁裁决。在司法实践中,人民法院对此规定的理解和适用有着不同的观点。

(1)一方代理人律师在其任职仲裁员的仲裁机构代理案件未违反法律及仲裁规则的规定,程序合法。

参考案例】上海梦之队国际贸易有限公司与NBA体育文化发展(北京)有限责任公司申请撤销仲裁裁决

案情摘要】NBA公司的委托代理人刘郁武现任中国国际经济贸易仲裁委员会(以下称"贸仲")仲裁员,且曾担任贸仲秘书局国内业务部处长和专家咨询委员会委员。

裁判要旨】北京市第二中级人民法院经审理认为,根据贸仲《仲裁规则》第十六条第(二)款对仲裁代理人规定:中国公民和外国公民均可以接受委托,担任仲裁代理人。尽管NBA公司仲裁案件代理人刘郁武律师现任贸仲仲裁员,但刘郁武律师担任NBA公司仲裁案件代理人并未违反《仲裁规则》的上述规定,且梦之队公司并未提供证据证明刘郁武律师的代理行为对仲裁程程序及实体造成影响,因此,梦之队公司以此为由申请撤销仲裁裁决,法院不予支持。

(2)一方代理人律师在其任职仲裁员的仲裁机构代理案件违反《处罚办法》第7.5款的规定,仲裁程序违法,撤销仲裁裁决。

参考案例】六盘水市红果经济开发区龙祥房地产开发有限公司与舒鸿燕申请撤销仲裁裁决

案情摘要】本案在仲裁时申请人的委托代理人敖某某律师系六盘水仲裁委员会的兼职仲裁员,本案其作为代理人参与自己所在仲裁委员会审理的案件。

裁判要旨】贵州省六盘水市中级人民法院经审理认为,《律师法》第四十七条第(三)款规定"律师有下列行为之一的,由设区的市级或者直辖市的区人民政府司法行政部门给予警告,可以处五千元以下的罚款;有违法所得的,没收违法所得;情节严重的,给予停止执业三个月以下的处罚:(三)在同一案件中为双方当事人担任代理人,或者代理与本人及其近亲属有利益冲突的法律事务的",另外,司法部于2010年4月8日发布的《律师和律师事务所违法行为处罚办法》第7.5款规定"有下列情形之一的,属于《律师法》第四十七条第三项规定的律师"在同一案件中为双方当事人担任代理人,或者代理与本人及其近亲属有利益冲突的法律事务的"违法行为:(五)曾经担任仲裁员或者仍在担任仲裁员的律师,以代理人身份承办本人原任职或者现任职的仲裁机构办理的案件的"。根据上述规定,本案申请人的委托代理人敖某作为时任六盘水仲裁委员会的兼职仲裁员,其不得作为代理人代理由六盘水仲裁委员会仲裁的案件,而六盘水仲裁委员会在敖某不得作为代理人代理由六盘水仲裁委员会仲裁的案件的情况下,仍然准许敖某作为某公司的代理人代理该仲裁案件,应属于仲裁的程序违反法定程序。根据《中华人民共和国仲裁法》第五十八条的规定,人民法院应当裁定撤销该裁决。

参考上述两例案件的观点,结合其他类似案件的审理结果,笔者发现,就适用《处罚办法》第7.5款的规定来认定律师在其任职仲裁员的仲裁机构代理案件属于违反仲裁法定程序的问题,法院的倾向性意见为否定观点,往往认为律师在仲裁机构任职仲裁员并非专职工作,且并未违反《仲裁法》、《律师法》等法律、法规的强制性规定及仲裁规则,因此,代理人律师即使在其任职仲裁员的仲裁机构代理案件不会对仲裁案件公正独立的审理产生实质性影响,该行为符合法定程序;而少数法院则认为根据《处罚办法》第7.5款的规定,该行为已违反仲裁法定程序。法院根据《仲裁法》第五十八条的规定,应予以撤销仲裁裁决。

二、关于《律师执业管理办法》(2016)第28.3款

1.具体规定

《律师执业管理办法》第28.3款规定:"律师不得担任所在律师事务所其他律师担任仲裁员的案件的代理人。曾经或者仍在担任仲裁员的律师,不得承办与本人担任仲裁员办理过的案件有利益冲突的法律事务"。

该条款规定了两种禁止情形:(1)在同一仲裁案件中,仲裁员与代理人不得为同一律师事务所的律师;(2)具有仲裁员身份的律师代理的案件,不能是其担任仲裁员时审理过的案件。也就是说,出现上述两种情形才视为存在利益冲突,可能影响案件的公正裁决。而非全面禁止律师在其任职仲裁员的仲裁机构代理案件。

2.实务案例

参考案例】山东省司法厅向山东省枣庄市司法局作出的关于"律师代理仲裁有关问题"的答复

简要事实】2017年,山东省枣庄市司法局和律师协会收到有关律师事务所的书面申请,反映最近法院审理撤销仲裁裁决案件中,已经裁定撤销和可能裁定撤销仲裁裁决书的理由均涉及律师的仲裁员身份和在律师协会担任职务的情形,且对律师执业潜在很大的风险。据此问题,山东省枣庄市司法局向山东省司法厅的请示中提到:就律师能否在其担任仲裁员的仲裁委员会代理案件的问题,应适用《律师执业管理办法》第28.3款规定。理由是:(1)《律师执业管理办法》与《处罚办法》相比属于新规定,《处罚办法》虽尚未废止,但对相同内容的规制,应适用新原则;(2)《处罚办法》第7.5项规定的内容过于宽泛,缺少法律依据,且有碍律师依据《律师法》正常执业和依据《仲裁法》规定担任仲裁员。

答复结果】山东省司法厅就此问题的答复为:"在制定《律师执业管理办法》时,考虑到《处罚办法》中有关律师担任仲裁员的规定执业限制过于严格,专门就有关条款作了修改,律师担任仲裁员执业限制问题应以《律师执业管理办法》的相关规定为准"。

由上述案例可以看出,自《律师执业管理办法》发布后,在司法实践中仍存在适用《处罚办法》第7.5款认定律师在其任职仲裁员的仲裁机构代理案件的问题,而行政机关的理解则不同,认为对该行为的认定应适用《律师执业管理办法》第28.3款的规定。因此,在《律师执业管理办法》与《处罚办法》究竟应该如何理解与适用的问题上,不同部门之间已经存在分歧,这势必会给律师的执业带来一定的阻碍和困惑。

三、《处罚办法》(2010)第7.5款与《律师执业管理办法》(2016)第28.3款的理解与适用

基于司法部于2016年发布的《律师执业管理办法》第28.3款中的规定与《处罚办法》第7.5款的规定,同是认定律师在其任职仲裁员的仲裁机构代理案件的问题,且在内容上存在冲突,笔者认为,对此,应适用《律师执业管理办法》第28.3款的规定。理由如下:

01.依照新法优于旧法的原则,应适用《律师执业管理办法》28.3款的规定。

同属司法部发布的《律师执业管理办法》与《处罚办法》就律师在其任职仲裁员的仲裁机构代理案件的行为认定上并不相同。《律师执业管理办法》仅就两种情形进行了限制,即(1)在同一仲裁案件中,仲裁员与代理人不得为同一律师事务所的律师;(2)具有仲裁员身份的律师代理的案件,不能是其担任仲裁员时审理过的案件。而同样现行有效的《处罚办法》则全面禁止律师在任职的仲裁机构代理案件。

显然,2016年施行的《律师执业管理办法》第28.3款与2010年施行的《处罚办法》第7.5款的规定不一致。

根据《立法法》第九十二条规定:"同一机关制定的法律、行政法规、地方性法规、自治条例和单行条例、规章,特别规定与一般规定不一致的,适用特别规定;新的规定与旧的规定不一致的,适用新的规定"。

因此,在同属司法部发布的《律师执业管理办法》与《处罚办法》的规定不一致时,应适用2016年施行的《律师执业管理办法》第28.3款的规定。

02.《律师法》是规范律师执业的法律依据,《律师执业管理办法》28.3款较《处罚办法》7.5款更加符合《律师法》的立法本意。

对于律师代理案件的利益冲突问题,我国《律师法》第四十七条第(三)款仅进行了笼统规定,即律师不得在同一案件中为双方当事人担任代理人,或者代理与本人及其近亲属有利益冲突的法律事务。司法部发布的《律师执业管理办法》与《处罚办法》均以此为法律依据。

笔者认为,依据《律师法》第四十七条第(三)款的规定,其本身有两条限制条件,即在"同一案件中"且"存在利益冲突"的情形下,律师为双方当事人担任代理人,或代理与本人及其近亲属的法律事务,才视为违反该规定。而既然将《律师法》第四十七条第(三)款的规定作为《律师执业管理办法》第28.3款及《处罚办法》第7.5款的法律依据,那么就应首先受限于"同一案件中"且"存在利益冲突"两个前提条件再作出认定。

围绕上述两个前提条件看《律师执业管理办法》第28.3款的规定,恰恰完全契合。其规定的第一种禁止情形为"在同一仲裁案件中,仲裁员与代理人不得为同一律师事务所的律师"恰恰体现了"同一案件"的前提条件;第二种禁止情形:"具有仲裁员身份的律师代理的案件,不能是其担任仲裁员时审理过的案件"又体现了"存在利益冲突"的前提条件。

因此,《律师执业管理办法》第28.3款规定的两种禁止情形较《处罚办法》第7.5款全面禁止的规定而言,更加符合《律师法》的立法本意。

03.《律师执业管理办法》28.3款符合国际仲裁制度精神。

我国的仲裁制度仍处于发展阶段,国际仲裁中的成熟做法应被我国仲裁制度所学习、借鉴。对于仲裁员的利益冲突问题,在国际仲裁中,《国际律师协会关于国际仲裁中利益冲突问题指南》(以下称"《IBA冲突指南》")就仲裁员、当事人、仲裁机构在何种情形下构成利益冲突问题作出了明确规定。《IBA冲突指南》将国际仲裁中的利益冲突分为三类目录,其中,红色目录由两部分组成,"不可弃权红色目录"和"可弃权红色目录",上述两个目录非穷尽地列举了对仲裁员公正性和独立性产生合理怀疑的具体情形;橙色目录为仲裁员有义务披露的情形;绿色目录为仲裁员不需要披露的情形。

根据《IBA冲突指南》,并未禁止律师在任职仲裁员的仲裁机构代理案件。此外,英国伦敦国际仲裁中心、国际商会仲裁院、香港国际仲裁中心等机构的仲裁规则亦未规定仲裁员不能在本机构代理案件。

因此,《处罚办法》第7.5款全面禁止律师在其任职仲裁员的仲裁机构代理案件的行为与国际仲裁制度相脱节,《律师执业管理办法》仅作出两条禁止性规定更加符合国际仲裁制度精神。

04.适用《律师执业管理办法》第28.3款,有助于提高律师担任仲裁员的积极性。

根据《仲裁法》第十三条的规定,仲裁员的职业背景多种多样,从事仲裁工作、律师工作、曾任法官、从事法律研究,教学工作的人士均具有申请仲裁员的资格。这就意味着,接受聘任的仲裁员都有自己的本职工作。在工作之余,仲裁员还要为当事人提供仲裁法律服务,履行仲裁员职责,虽然仲裁员因此会获取一定的工作报酬,但国内的仲裁员报酬较国际标准相比差距很大,这本身就不利于提高仲裁员办案的积极性。

过于严格的限制律师执业,将严重阻碍律师的执业发展,势必更加削减律师担任仲裁员的积极性,进而将影响我国仲裁员队伍积极、稳定的发展。

综上所述,应根据《律师执业管理办法》第28.3款的规定,认定律师在其任职仲裁员的仲裁机构代理案件的问题,即"(1)在同一仲裁案件中,仲裁员与代理人不得为同一律师事务所的律师;(2)具有仲裁员身份的律师代理的案件,不能是其担任仲裁员时审理过的案件"。

四、结语

实际上,我国仲裁制度较国际仲裁标准还有很大差距,在初期发展阶段,应积极推进我国仲裁制度,一方面,营造公正、独立裁决的仲裁环境,另一方面,鼓励热爱仲裁事业、业界精英人士加入到仲裁队伍中,为仲裁发展奠定坚实的基础。具体到仲裁员利益冲突问题,应统一司法实践中的裁判标准,同时充分维护仲裁制度的公正、独立性,切实推动我国仲裁事业的发展。

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Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

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Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

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Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions