News releases May 01, 2020 ICSID and UNCITRAL Release Draft Code of Conduct for Adjudicators

2020年5月1日ICSID和UNCITRAL发布《审裁官行为守则》草案

 

Today the Secretariats of the International Centre for Settlement of Investment Disputes (ICSID) and the United Nations Commission on International Trade Law (UNCITRAL) released a draft Code of Conduct for Adjudicators.

国际投资争端解决中心（ICSID）秘书处和联合国国际贸易法委员会（UNCITRAL）秘书处于2020年5月1日发布了《审裁官行为守则》草案。

 

The draft Code was developed jointly by the ICSID and UNCITRAL Secretariats in the context of the work of UNCITRAL Working Group III (ISDS reform) and the process underway to amend ICSID’s rules of procedure. 

该《守则草案》是由ICSID和UNCITRAL秘书处在联合国国际贸易法委员会第三工作组（ISDS改革）的工作以及正在修订《ICSID程序规则》的背景下共同制定的。

 

The draft provides applicable principles and detailed provisions addressing matters such as independence and impartiality, and the duty to conduct proceedings with integrity, fairness, efficiency and civility. It is based on a comparative review of standards found in codes of conduct in investment treaties, arbitration rules applicable to ISDS, and of international courts. 

该草案给出了可适用的原则和涉及诸如审裁官独立性和公正性以及以正直、公平、高效、和文明审理案件的义务。该草案是基于对投资条约行为守则、适用于ISDS的仲裁规则的行为守则、以及国际性法院的行为守则的比较性审查而作出的。

 

Comments on the draft are welcome and may be sent to the UNCITRAL Secretariat (uncitral@un.org) and ICSID Secretariat (icsidsecretariat@worldbank.org) on or before 30 November 2020. Comments from States, international organizations and other interested stakeholders will be compiled and published jointly by UNCITRAL and ICSID in the form and language in which they are received.

欢迎对该草案发表评论，请将评论于2020年11月30日或之前发送至贸易法委员会秘书处（uncitral@un.org）和ICSID秘书处（icsidsecretariat@worldbank.org）。各国、各国际组织和其他有关利益攸关方的评论将由贸易法委员会和国际投资争端解决中心以其收到的形式和语言而共同编辑和出版。

 

 

Draft Code of Conduct for Adjudicators in Investor-State Dispute Settlement

《投资者与东道国争议解决审裁官行为守则草案》

 

Article 1 Definitions

第1条 定义

 

Forthe purpose of this Code:

就本守则而言：

 

1.“Adjudicators” means arbitrators, members of international ad hoc, annulment or appeal committees, and judges on a permanent mechanism for the settlement of investor-State disputes;

1.“审裁官”是指仲裁员、国际临时、撤销或上诉委员会成员以及负责解决投资者与国家之间争端的常设机制的法官；

 

2.“Assistants” means persons working under the direction and control of the adjudicators, who assist them with case-specific tasks, including research, review of documents, drafting and other relevant assignments as agreed in the proceeding;

2.“助理”是指在审裁官指示和控制下协的工作人员，助理协助审裁官完成具体案件的任务，包括研究、审核文件、起草和其他等商定存在于程序中的有关任务；

 

3.“Candidates” means persons who have been proposed or contacted for selection and potential appointment as adjudicator but have not yet been confirmed in this role;

3.“候选人”是指已被提议或联系已参加选任和可被任命为审裁官但尚未被确认担任该职务的人员；

 

4.“Investor-State dispute settlement” (ISDS) means a mechanism to resolve disputes involving a foreign investor and a State or a Regional Economic Integration Organization (REIO), or any constituent subdivision of the State or an agency of the State or the REIO, whether arising under an investment treaty, domestic law or an agreement by the parties to the dispute.

4.“投资者与国家之间的争端解决”（ISDS）是指解决涉及外国投资者和国家或地区经济一体化组织（REIO）、国家的任何组成部门、或国家或REIO的机构的不论是根据投资条约、国内法还是争端各方的协议而产生的争议的机制。

 

Article 2 Application of the Code

第二条 《守则》的适用

 

1.This Code applies to all persons serving as adjudicators in ISDS proceedings.

Adjudicators shall take appropriate steps to ensure that their assistants are aware of, and comply with, the relevant provisions of this Code.

1.本《守则》适用于在ISDS程序中担任审裁官的所有人。

审裁官应采取适当措施以确保其助理了解并遵守本《守则》的有关规定。

 

2.Candidates must comply with the relevant provisions of the Code as soon as they are contacted in relation to a possible appointment.

2.候选人就潜在任命与他人进行联系后则必须立即遵守《守则》的有关规定。

 

Article 3 Duties and Responsibilities

第三条 义务和责任

 

At all times, adjudicators shall:

审裁官应始终：

 

(a)Be independent and impartial, and shall avoid any direct or indirect conflicts of interest, impropriety, bias and appearance of bias;

（a）具有独立性和公正性，应避免任何直接或间接的利益冲突、不当行为、偏见和表见偏见；

 

(b)Display the highest standards of integrity, fairness and competence;

（b）表现出最高标准的的廉正、公平和能力标准；

 

(c)Be available and act with diligence, civility and efficiency;

（c）具有备用性，且勤奋、文明和高效地行事；

 

(d)Comply with any confidentiality and non-disclosure obligations.

（d）遵守任何保密和非披露义务。 

 

Article 4 Independence and Impartiality

第4条 独立性与公正性

 

1.Adjudicators shall at all times be independent and impartial.

1.审裁官应始终保持独立性和公正性。

 

2.In particular, adjudicators shall not:

2.审裁官尤其不得：

 

(a)Be influenced by self-interest, outside pressure, political considerations, public clamour, loyalty to a party to the proceedings, or fear of criticism;

（a）受到自身利益、外界压力、政治考虑、公众喧嚣、对程序一方当事人的忠诚、或恐惧遭受批评的影响；

 

(b)Allow any past or ongoing financial, business, professional, family or social relationships to influence their conduct or judgement;

（b）允许任何过去或当下的财务、业务、专业、家庭或社会关系影响其行为或判断；

 

(c)Take action that creates the impression that others are in a position to influence their conduct or judgement;

（c）采取行动制造出他人有能力影响其行为或判断的印象；

 

(d)Use their position to advance any personal or private interests; or

（d）利用其职务追求任何个人或私人利益；或

 

(e)Directly or indirectly, incur an obligation or accept a benefit that would interfere, or appear to interfere, with the performance of their duties.

（e）直接或间接地承担可干涉或表见干涉其其职责履行的义务，或接受可干涉或表见干涉其其职责履行的利益。

 

Article 5 Conflicts of Interest: Disclosure Obligations

第5条 利益冲突：披露义务

 

1.Candidates and adjudicators shall avoid any direct or indirect conflict of interest. They shall disclose any interest, relationship or matter that could reasonably be considered to affect their independence or impartiality. To this end, candidates and adjudicators shall make all reasonable efforts to become aware of such interests, relationships and matters.

1.候选人和审裁官应避免任何直接或间接的利益冲突。他们应披露任何合理地被认为可影响其独立性或公正性的利益、关系或事项。为此，候选人和审裁官应尽一切合理的努力来对利益、关系或事项产生觉知。

 

2.Disclosures made pursuant to paragraph (1) shall include the following:

2.根据第（1）款所作的披露应包括以下内容：

 

(a)Any professional, business and other significant relationships, within the past [five] years with:

（a）在过去[五]年内与以下个人或机构的任何专业、业务和其他重要关系：

 

(i)The parties [and any subsidiaries, parent-companies or agencies related to the parties];

（i）当事人[以及与当事人有关的任何子公司、母公司或代理机构]；

 

(ii)The parties’ counsel;

（ii）当事人的代理律师；

 

(iii)Any present or past adjudicators or experts in the proceeding;

（iii）案件程序中有任何现任或过往的审裁官或专家；

 

(iv)[Any third party with a direct or indirect financial interest in the outcome of the proceeding];

（iv）[在程序结果有直接或间接经济利益的任何第三方]；

 

(b)Any direct or indirect financial interest in:

（b）在以下方面的任何直接或间接财务利益：

 

(i)The proceeding or in its outcome; and

（i）程序或其结果；和

 

(ii)An administrative proceeding, a domestic court proceeding or another panel or committee proceeding that involves questions that may be decided in the ISDS proceeding;

（ii）涉及本案ISDS程序待决问题的行政程序、国内法院程序或其他专家组或委员会程序；

 

(c)All ISDS [and other [international] arbitration] cases in which the candidate or adjudicator has been or is currently involved as counsel, arbitrator, annulment committee member, expert, [conciliator and mediator]; and

（c）候选人或审裁官曾经或正在作为代理律师、审裁官、撤裁委员会成员、专家、[斡旋人和调解人]参与的所有ISDS[和其他[国际]仲裁]案件；和

 

(d)A list of all publications by the adjudicator or candidate [and their relevant public speeches].

（d）审裁官或候选人的所有出版物清单[及其有关的公开演说]。

 

3.Adjudicators shall have a continuing duty to promptly make disclosures pursuant to this article.

3.审裁官应承担根据本条及时进行披露的持续性责任。

 

4.Candidates and adjudicators should err in favour of disclosure if they have any doubt as to whether a disclosure should be made. Candidates and adjudicators are not required to disclose interests, relationships or matters whose bearing on their role in the proceedings would be trivial.

4.如果候选人和审裁官对是否应进行披露存在怀疑，则应进行披露。候选人和审裁官无需披露与他们在程序中的角色无关紧要的利益、关系或事项。

  

Article 6 Limit on Multiple Roles

第6条 多重角色限制

 

Adjudicators shall [refrain from acting]/[disclose that they act] as counsel, expert witness, judge, agent or in any other relevant role at the same time as they are [within X years of] acting on matters that involve the same parties, [the same facts] [and/ or] [the same treaty].

审裁官应对其在[X年内]针对其处理的涉及相同当事人、[相同事实][和/或][相同条约]而[避免担任]/ [披露其作为]代理律师、专家证人、法官、代理人或任何其他相关角色的情形。

 

Article 7 Integrity, Fairness and Competence

第7条 诚信、公平与能力

 

1.Adjudicators shall have the highest standards of integrity and fairness. They shall ensure that parties are treated with equality and that each party is given a reasonable opportunity of presenting its case.

1.审裁官应具有最高水平的正直性和公平性。审裁官应确保各方当事人受到平等对待，并确保每一方当事人都有合理的机会陈述其主张。

 

2.An adjudicator shall not engage in ex parte contacts concerning the proceeding.

2.审裁官不得就仲裁本案程序进行单方面接触。

 

3.Adjudicators shall act with competence and shall take reasonable steps to maintain and enhance the knowledge, skills and qualities necessary to fulfil their duties. Candidates should only accept appointments for which they are competent.

3.审裁官应胜任其职位，并应采取合理步骤以维持和提高履行职责所必需的知识、技能和素质。候选人只应接受其能胜任的任命。

 

4.Adjudicators shall not delegate their decision-making function to any other person.

4.审裁官不得将其决策职能委托给任何其他人。

 

Article 8 Availability, Diligence, Civility and Efficiency

第8条 可用性、勤勉、文明和效率

 

1.Before accepting any appointment, adjudicators shall ensure their availability to hear the case and render all decisions in a timely manner. Upon selection, adjudicators shall be available to perform and shall perform their duties diligently and expeditiously throughout the proceeding. Adjudicators shall ensure that they dedicate the necessary time and effort to the proceeding and refuse competing obligations. They shall conduct the proceedings so as to avoid unnecessary delays.

1.审裁官在接受任何任命之前，应确保其具有充分的可用性以审理案件并及时作出所有决定。一经选定，审裁官应可随时履行其职责，并应在整个仲裁案件程序中勤勉迅速地履行职责。审裁官应确保其为仲裁案件程序投入必要的时间和精力，并拒绝承担与之相冲突的其他义务。审裁官应以避免不必要的延误的方式审理案件。

 

2.[Adjudicators shall refrain from serving in more than [X] pending ISDS proceedings at the same time so as to issue timely decisions.]

2.[审裁员应避免在同时在[X]个ISDS仲裁案件中提供服务，以便及时做出决定。]

 

3.Adjudicators shall be punctual in the exercise of their functions.

3.审裁官应准时履行职责。

 

4.Adjudicators shall act with civility, respect and collegiality towards the parties and one another, and shall consider the best interests of the parties.

4.审裁官对各方当事人以及彼此之间应采取文明、尊重和合作的态度，并应考虑各方当事人的最大利益。

 

Article 9 Confidentiality

第9条 保密性

 

1.Adjudicators shall not:

1.审裁官不得：

 

(a)Disclose or use any non-public information concerning, or acquired from, a proceedingexcept for the purposes of that proceeding;

（a）在为本案程序的目的之外，披露或使用与该程序有关的，或从该程序中获取的非公开信息；

 

(b)Disclose or use any such information to gain personal advantage or advantagefor others or to adversely affect the interests of others; and

（b）披露或使用任何此类信息以获取个人利益，或为他人获取利益，或对他人利益产生不利影响；和

 

(c)Disclose deliberations of an ISDS tribunal, or any view expressed by anadjudicator during the deliberations.

（c）披露ISDS仲裁庭/法庭的合议情况，或任何审裁官在合议过程中表达的任何观点。

 

2.Adjudicators shall not disclose any decision, ruling or award to the partiesprior to delivering it to them. They shall not publicly disclose any decision,ruling or award until it is in the public domain [and they shall not comment onany decision, ruling or award in which they participated].

2.审裁官在将裁决，裁定或裁定付诸当事方之前，不得向当事方进行披露。审裁官不得在决定、裁定或裁决进入公共领域之前对其进行公开披露 [并且不得对其参与的任何决定、裁定或裁决发表评论]。

 

Article 10 Pre-appointment Interviews

第10条 任命前访谈

1.Any pre-appointment interview shall be limited to discussion concerningavailability of the adjudicator and absence of conflict. Candidates shall notdiscuss any issues pertaining to jurisdictional, procedural or substantivematters potentially arising in the proceedings.

1.任何审裁官任命访谈的内容都应仅限于关于审裁官的可用性和是否存在利益冲突的讨论。候选人不得讨论案件程序中可能产生的管辖权、程序性或实质性事项有关的任何问题。

 

2.[If any pre-appointment interview occurs, it shall be fully disclosed to allparties upon appointment of the candidate.]

2.[如果发生任何任命前访谈，则其应在任命候选人后向所有各方当事人进行充分披露。]

 

Article 11 Fees and Expenses

第11条 费用及开支

 

1.Any discussion pertaining to fees shall be concluded immediately upon constitution of the adjudicatory body and, when possible, shall be communicated to the parties through the entity administering the proceeding.

1.任何关于费用的任何讨论应在审裁机构组成后立即结束，并在可能的情况下应通过程序管理机构通知各方当事人。

 

2.Adjudicators shall keep an accurate and documented record of the time devoted to the procedure and of their expenses as well as the time and expenses of their assistant.

2.审裁官对于其在该案程序上投入的时间、其开支、及其助理开支应保持准确且存档在案的记录。

  

Article 12 Enforcement of the Code of Conduct

第12条 《行为守则》的执行

 

1.Every adjudicator and candidate has an obligation to comply with the applicable provisions of this code.

1.每位审裁官和候选人都有义务遵守本《守则》的适用规则。

 

2.The disqualification and removal procedures in the applicable rules shall continue to apply.

2.适用规则中的取消审裁官资格和罢免程序应继续适用。

 

3.[Other options based on means of implementation of the code]

3.[基于实施本《守则》的方式的其他选项]