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    Please use this identifier to cite or link to this item: https://nccur.lib.nccu.edu.tw/handle/140.119/119922


    Title: 仲裁協議及仲裁人迴避於國際仲裁的實踐與比較
    The Practice and Comparison of Arbitration Agreement and Arbitrator Challenge in International Arbitration
    Authors: 林翊婷
    Lin, Yi-Ting
    Contributors: 黃立
    顏玉明
    Hwang, Li
    Yen, Yu-Ming
    林翊婷
    Lin Yi-Ting
    Keywords: 仲裁協議
    仲裁人迴避
    仲裁地
    公正性及獨立性
    仲裁人揭露
    模範法
    Arbitration agreement
    Arbitration seat
    Challenge of arbitrator
    Disclosure of arbitrator
    Impartiality and independent
    UNCITRAL
    Date: 2018
    Issue Date: 2018-09-03 15:54:16 (UTC+8)
    Abstract: 發展隨著國際商務的發展，國際商務紛爭的解決方式亦隨之越發蓬勃。在諸多國際商務紛爭解決之方式中，仲裁為其中最受歡迎之方式。國際仲裁程序中之二大重要要素─仲裁協議及仲裁人之公正性及獨立性。仲裁協議乃仲裁庭解決雙方當事人間紛爭之重要依據，如欠缺仲裁協議，仲裁判斷將因欠缺合法依據而無效；另一方面，仲裁人之品質則為仲裁制度是否成功的關鍵要素，如仲裁人欠缺公正性，則當事人難以信賴仲裁制度，紛爭一次解決之目的必然落空。
    然而仲裁協議涉及之相關爭議相當繁複，故針對仲裁協議的探討上，本文僅就仲裁地之約定、仲裁協議形式要件、仲裁協議當事人之繼受、以及仲裁協議另外約定事項等為探討，以比較法方式點出國內與國際實踐差異之處；在仲裁人公正性及獨立性之探討上，本文擬對於仲裁人之公正性、獨立性、仲裁人之揭露義務、迴避程序為探討，並就我國及國際實務上曾遇到的迴避程序議題，以及各國法院對於仲裁人迴避之認定標準、以及實務上常見之迴避成功與不成功之理由為討論，期望本文之檢討及整理，得作為我國進行國際仲裁業務時之參考。
    With the growth of the international commerce, associated dispute resolutions are studied. Among them, the international arbitration is one of the most popular mechanisms. The “effect of arbitration agreement” and the “impartiality and independence of the arbitrators” are two important issues. The arbitration agreement is the important basis for resolving disputes through arbitration procedures. Without a valid arbitration agreement, the arbitration award would be set aside due to lack of legitimacy. Besides, the quality of an arbitrator is the key factor to the arbitration mechanism. The parties will lose confidence in arbitration if the arbitrator is biased. It is hard to resolve dispute in one time.
    However, the issues of “effect of arbitration agreement” and the “impartiality and independence of the arbitrators” are very extensive and complicated. Therefore, for the part of arbitration agreement, this thesis narrows the scope to specific issues such as arbitration seat, and the form requirement of arbitration agreement, and tries to point out the differences in practice between domestic arbitration and international arbitration through the comparative method. In the topic of impartiality and independence of the arbitrators, this thesis first states the definition of impartiality and independence, the disclosure of arbitrator, and the challenge procedure. Secondly, the existed issues and the standard of the domestic courts are discussed. Finally, this thesis concludes the common successful and unsuccessful cases of challenging an arbitrator. This thesis could be a reference for the international arbitration practitioners.
    Reference: 一、 國外書籍
    1. Alan Redfern, Martin Hunter, LAW AND PRACTICE OF INTERNATIONAL COMMERCIAL ARBITRATION, (1991, 2nd).
    2. Alan Scott Rau, Edward F. Sherman, Scott R. Peter, ATBITRATION, (2006, 3rd).
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    二、 國外文章
    1. Abraham Vergis, International Arbitration in Practice，新加坡仲裁制度與發展座談(2017).
    2. Abraham Vergis, Niki Chen, Recent Developments in International Arbitration in Singapore, 2017 Taipei International Conference in Arbitration and Mediation,(2017).
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    4. Alan Redfern, Martin Hunter, Redfern and Hunter in International Arbitration, Oxford University Press,(2009).
    5. Allen Philip, The Duties of An Arbitrator, in THE LEEADING ARBITRATORS’ GUIDE TO INTERNATIONAL ARBITRATION, ( Lawrence W. Newman Richard D. Hill ed,2008,2 d).
    6. AM Whitesell, Independence in ICC of Arbitration: ICC Court Practice concerning the Appointment, Confirmation, Challenge and Replacement of Arbitrators, in ICC International Court of Arbitration Bulletin 7, special Supplement, (2007).
    7. Andrea Carlevaris, Rocio Digon, Arbitrator Challenges under the ICC Rules and Practices, ICC Dispute Resolution Bulletin 2016, No.1,(2016).
    8. Berlinguer, Impartiality and Independence of Arbitrators in International Practices, 6 American Review of International Arbitration 339, (1995).
    9. Catherine A. Rogers, The Ethics of International Arbitrators, in THE LEEADING ARBITRATORS’ GUIDE TO INTERNATIONAL ARBITRATION, ( Lawrence W. Newman Richard D. Hill ed, 2008,2 d).
    10. Chan Leng Sun, Arbitrators’ Conflicts of Interest: Bias by any Nmae, in 19 Singapore Academy of Law Journal, (2007)
    11. Charles F. Forer, Esq., Attacking the Arbitrator for Bias, (2016), at https://uponfurtherreview.philadelphiabar.org/page/Article?articleID=18b61c90-7dcf-4680-9aae-63dba4bbdc0b, latest visit: 2018/5/14.
    12. Dominique Hascher, ICC Practice on relation to the Appointment, Confirmation, Challenge and Replacement of Arbitrators, 6(2) ICC International Court of Arbitration Bulletin 4,(1995).
    13. Dominique Hascher, Independence and Impartiality of Arbitrators: 3 Issues, 27(4) American University International Law Review, (2012).
    14. E Gaillard and J Savage (eds), Fouchard, Gaillard, Goldman on International Commercial Arbitration, Kluwer, (1999).
    15. Elina Mereminskaya, Results of the Survey on the Use of Soft Law Instruments in International Arbitration, Kluwer Arbitration Blog (2014), at: http://arbitrationblog.kluwerarbitration.com/2014/06/06/results-of-the-survey-on-the-use-of-soft-law-instruments-in-international-arbitration/?_ga=2.243999493.1247928214.1513755877-348944285.1513325455, latest visit: 2018/5/15.
    16. Ellen E. Deason, Combination of Mediation and Arbitration with the Same Neutral : A Framework for Judicial Review, 5 Y.B. Arb. & Mediation 219 (2013).
    17. Fenwick Elliott Solicitors, Conflict of interest - apparent bias of arbitrators, (2016), at https://www.fenwickelliott.com//research-insight/annual-review/2016/conflict-interest-bias-arbitrators, latest visit：2018/5/14.
    18. FS Nariman, Standards of Behavior of Arbitrtors, 4(4) Arbitration Interantional 311, (1988).
    19. Gustav Flecke-Giammarco,The ICC Scrutiny Process and Enhanced Enforceability of Arbitral, 24 Journal of Arbitration Studies, (2014).
    20. Hans Smit, Annulment and enforcement of international Arbitral Awards : A practical Perspective, in THE LEEADING ARBITRATORS’ GUIDE TO INTERNATIONAL ARBITRATION,( 2008,2 d).
    21. Hasher, ICC Practice in Relation to the Appointment, Confirmation, Challenge and Replacement of Arbitrators, 6(2) ICC International Court of Arbitration Bulletin,(1995).
    22. Huang Yiwen, Scrutiny in ICC Arbitration, 2017 Taipei International Conference on Arbitration and Mediation,(2017).
    23. ICC International Court of Arbitration, Independence of Arbitrator, International Court of Arbitration Bulletin, Special Supplement, (2007).
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    25. J Fry, S Greenberg, The Arbitral Tribunal: Applications of Articles 7-12 of the ICC Rules in Recent Cases, 20(2) ICC International Court of Arbitration Bulletin 12,(2009).
    26. Jennifer Kirby, With Arbitrators, Less Can Be More: Why the Convention Wisdom on the Benefits of Having Three Arbitrators May Be Overrated, J. Int’l Arb., p.340-355, (2009).
    27. June (Junghye) Yeum, Prakash Pillai, Sapna Jhangiani, Gerald Leong and Debby Ratnasari, Update: 7 key points on the new SIAC Rules 2016, (2016) at：https://www.clydeco.com/insight/article/update-7-key-points-on-the-new-siac-rules-2016, latest visit：2018/5/14.
    28. Kristen M. Blankley, Keeping a Secret From Yourself : Confidentiality When the Same Neutral Both as Mediator and as Arbitrator in the Same Case, 63 BAYLOR L. REV. 317, (2011).
    29. LEO, Lionel and CHEN, Siyuan. Reasonable Suspicion or Real Likelihood: A Question of Semantics? Re Shankar Alan s/o Anant Kulkarni.(2008), Singapore Journal of Legal Studies. 2008, (2), Research Collection School of Law.
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    32. Markham Ball, Probity Deconstructed: How Helpful, Really, Are the New International Bar Association Guildline on Conflicts of Interest in International Arbitration?, 21 ARB. INT’L 323 (2005).
    33. Michael Erdle, Accessing an Arbitrator’s “Predilection for Bias” , (2014), at http://www.slaw.ca/2014/02/06/assessing-an-arbitrators-predilection-for-bias/, latest visit：2018/5/14.
    34. Ms Donahey, The Independence and Neutrality of Arbitrators, 9 Jouneral of International Aribtration 31, (1992).
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    38. Rick Gal, Arbitrator bias : financial dependence and inapporiate conduct, (2016), at http://www.allenovery.com/publications/en-gb/Pages/Arbitrator-bias-financial-dependence-and-inappropriate-conduct.aspx, latest visit：2018/5/14.
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    41. Simon Chapman, Briana Young, Hong Kong court dismisses claim against HKIAC, (2014), at http://hsfnotes.com/arbitration/2014/05/22/hong-kong-court-dismisses-claim-against-hkiac/, latest visit：2018/5/14.
    42. Stephan Bond, The Experience of the ICC in the Confirmation / Appointment Stage of an Arbitration, in THE ARBITRAL PROCESS AND THE INDEPENDENCE OF ARBITRATORS 9 (ICC Pub. No. 472, 1991).
    43. Stephan Wilske, Crisis - What Crisis - The Development of International Arbitration in Tougher Times, 2 Contemp. Asia Arb. J. 187,(2009).
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    45. Tsai-yu Lin, Standard if review for setting aside arbitral award : convergence or divergence? A comparison between the 3 Model Law jurisdiction in Asia, with reference to the English Arbitration Act 1996, 2017 Taipei International Conference in Arbitration and Mediation,(2017).
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    49. Yong Tong Ang, SIAC: Arbitration in the New Millennium (n1).

    三、 國外學位論文
    1. Afzalian Iman, The scrutiny of the award by the ICC Court of Arbitration, Kingston University Dissertation,( 2009).
    2. Helena Jung, The Standard of Independence and Impartiality for arbitrators in International Arbitration, Faculty of Law Uppsala University Master Thesis ,(2008).
    3. Tania Steenkamp, Independence and impartiality of arbitrators, North-West University Potchefstroom Campus, (2007).

    四、 中文書籍
    1. 中華民國仲裁協會，撤銷仲裁判斷之司法實踐評析，中華民國仲裁協會，2013年10月。
    2. 中華經濟研究院，103年度國際經貿政策研究中心計畫（WTO 暨RTA 中心計畫）：英國、美國、瑞士、新加坡、紐西蘭與我國仲裁法制之比較研究，頁22，2014年10月。
    3. 尹章華、黃達元，仲裁法概要，文笙書局股份有限公司，2001年10月。
    4. 吳光明，仲裁法理論與判決研究，台灣財經法暨經濟法研究協會，2004年11月。
    5. 吳光明，商事爭議之仲裁，五南出版社，1999年9月。
    6. 吳光明，商事爭議之仲裁，五南出版社，2014年8月2版。
    7. 吳從周、沈冠伶、林仁光、張文貞，轉型中的東亞法院：基本形貌、紛爭解決與行政治理，國立台灣大學出版中心，2014年9月。
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    9. 李貴英、王震宇等，仲裁法外國修正趨勢研究與修法建議，2012年12月。
    10. 沈冠伶、陳瑋佑、邱于真，104 年度國際經貿政策研究中心計畫（WTO 暨RTA 中心計畫）：德國、奧地利、日本及聯合國模範法等與我國仲裁法制之比較研究，2015年11月。
    11. 林俊益，大陸與香港仲裁判斷在台灣之認可裁判輯，中華民國仲裁協會，2008年10月。
    12. 林俊益，仲裁法之實用權益，永然出版社，2001年4月。
    13. 林俊益，法院在商務仲裁之角色，永然文化出版股份有限公司，1996年12月。
    14. 邱錦添、邱慈惠，仲裁制度在華人社會實踐之比較，元照出版社，2011年4月。
    15. 姜世民，民事訴訟法(上冊)，新學林出版社，二版， 2013年10月。
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    17. 陳煥文，仲裁人手冊(一)仲裁人倫理規範，崗華傳播事業有限公司，2002年6月
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    21. 薛西全，兩案仲裁法理論與實務，弘揚圖書有限公司，2011年5月。

    五、 中文期刊論文
    1. 「法官與仲裁人仲裁實務研討會」主題：法院對仲裁程序之協助與監督，仲裁季刊，第102期，頁2-79，2015年12月。
    2. 伍偉華，仲裁人偏頗之撤銷仲裁判斷事由，106年仲裁實務研討會─司法與仲裁的再對話，頁67-78，2017年11月。
    3. 伍偉華，仲裁程序中的程序濫用，仲裁，第103期，頁25-58，2016年6月。
    4. 吳光明，論仲裁人之選任與迴避，仲裁季刊，第94期，頁81-106，2011年12月
    5. 吳從周，撤銷仲裁判斷之訴之法律性質，仲裁季刊，第102期，頁151-195，2015年12月。
    6. 吳從周，請求仲裁人迴避之處理及其效力，仲裁季刊，第95期，頁71-93，2012年6月。
    7. 杜煥芳、陳娜，論多方當事人合併仲裁的合意與技術，西北大學學報(哲學社會科學版)，第43卷第6期，頁126-132，2013年11月。
    8. 林俊益，外國仲裁判斷在我國承認與執行─最近十年之回顧與展望，法學叢刊，第39卷3期，頁117-131，1994年7月。
    9. 法務部，司法改革國是會議第四分組第三次會議：議題4-2-2「強化訴訟外紛爭解決機制，建立多元化爭議解決管道，以疏減訟源，提升司法品質」，2017年3月。
    10. 陳希佳，大陸關於認定仲裁協議效力的規定與實務見解，仲裁季刊，第91期，頁95-126，2010年9月。
    11. 陳希佳，兩岸仲裁法比較研究(上)，仲裁季刊，第96期，頁73-103，2012年12月。
    12. 陳希佳，兩岸仲裁法比較研究(下)，仲裁季刊，第97期，頁30-63，2013年5月。
    13. 陳重陽，民事訴訟法上有關法院職員之迴避，月旦法學雜誌，第138期，頁64-72，2014年3月。
    14. 陳煥文，新加坡仲裁法與我國仲裁法制之比較-兼論我國仲裁法草案，仲裁季刊，第44 期，頁61-82，1996 年12 月。
    15. 楊帆，〈中華仲裁協會國際仲裁中心仲裁規則〉確定(1)仲裁語言和(2)適用法律的規定，IDRA-CAA Joint Seminar 「Conducting Arbitration under CAAI Rules」，2018年4月。
    16. 楊帆、黃錫義、馬若梅，Mock CMC，IDRA-CAA Joint Seminar 「Conducting Arbitration under CAAI Rules」，2018年4月。
    17. 黃正宗，我國仲裁法評論，仲裁專論，第86期，頁24-54，2008年8月。
    18. 趙秀文，中海公司案評析，月旦民商法，第44期，頁109-125，2014年6月。
    19. 趙梅君，國際仲裁機構的選擇，工商時報，2012年7月。
    20. 劉明生，國際仲裁之仲裁地約款與仲裁人之選任程序，月旦民商法，第44期，頁125-142，2014年6月。
    21. 蔡步青，亞太地區主要仲裁機構及其仲裁規則介紹(ICC, CITEC,HKIAC,SIAC),載：訴訟外紛爭解決機制，三民書局股份有限公司，頁284-321，2012年10月。
    22. 蕭文生，自行迴避與申請迴避之區分─最高行政法院一○二年第判字第五六○號評析，月但裁判時報，第27期，頁5-15頁，2014年6月。
    23. 藍瀛芳，多邊當事人與多數契約爭議的仲裁—試探討「複雜仲裁」的相關問題，仲裁季刊，第96期，頁2-46，2012年12月。
    24. 藍瀛芳，法院對仲裁公信之建立責無旁貸─談仲裁人違反公開義務之拒卻，商務仲裁，第37期，頁40-44，1994年8月。
    25. 藍瀛芳，維護仲裁人公正與獨立的機制(上)，仲裁季刊，第84期，頁2-31，2007年12月。

    六、 學位論文
    1. 王昌鑫，我國與PRC仲裁法官於國際商事仲裁法律適用問題之研究，2003年1月。
    2. 何志揚，論仲裁協議之效力─兼論最高法院93年度台上字第2398號民事判決，2007年6月。
    3. 林律瑩，緊急仲裁制度之探討，2017年1月。
    4. 林涵天，爭端解決機制之比較研究─以公共工程仲裁為核心，2014年6月。
    5. 陳希佳，現代仲裁人之比較研究─以機構仲裁為中心，1998年1月。
    6. 陳照先，我國勞資爭議仲裁制度相關問題之研究-兼論與我國商務仲裁制度之異同，2016年7月。
    Description: 碩士
    國立政治大學
    法律科際整合研究所
    101652017
    Source URI: http://thesis.lib.nccu.edu.tw/record/#G1016520172
    Data Type: thesis
    DOI: 10.6814/THE.NCCU.LAWID.008.2018.F10
    Appears in Collections:[Graduate Institute of Law and Interdisciplinary Studies] Theses

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