论我国仲裁员选聘的几个问题

【作者】 刘茂亮；

【导师】 沈四宝；

【作者基本信息】 对外经济贸易大学 ， 法律， 2003， 硕士

【摘要】 在仲裁活动中，仲裁员是仲裁活动的主体，仲裁员在具体案件的仲裁过程中，居于主持人和裁决者的地位，对于仲裁的进程和裁决结果起着决定性的作用。可见，仲裁员素质是仲裁裁决的决定性因素，关系到仲裁制度的生命。我国实行机构仲裁制度，仲裁机构对仲裁案件质量负有责任，仲裁的信誉取决于仲裁裁决的公正和及时，仲裁机构能否长期存在，仲裁事业能否兴旺发达，取决于当事人是否选择，取决于仲裁机构的社会公信度。所有这些，归根到底都取决于我们是否能在市场经济的各行业的专家中选出能够迅速处理各类民商事纠纷的人士担任仲裁员。本文主要就仲裁员的选聘这个仲裁员队伍建设中的重要问题，即仲裁员的性质、仲裁员应当具备的资格条件，仲裁员在履行仲裁职权时的自律性规范、仲裁员的考核以及优胜劣汰等问题作了分析研究。我国仲裁法自1995年实施以来，为确保仲裁质量，许多仲裁机构根据实际，积极总结仲裁实践经验，探索仲裁发展规律，依法制定了仲裁规则、仲裁员聘用管理办法、仲裁员守则或者仲裁员仲裁行为基本准则、仲裁员办案规范等内部制度措施，对选聘出高素质的仲裁员，规范仲裁员履行仲裁职权，促进公正办案、廉洁自律起到了积极作用，为仲裁事业的快速健康发展打下了良好的基础。但是，由于仲裁法律制度是一项崭新的法律制度，仲裁机构尚处于创业和初级发展阶段，作为仲裁机构自律组织的中国仲裁协会尚未成立，相应的监督管理制度尽管逐步建立进来，但是还不够完善。因此，结合我国实际，研究仲裁员履行仲裁职权的监督制约机制特别是仲裁员的选聘机制，具有重要的现实意义。本文首先根据目前我国仲裁员的现状，从选聘优秀专业人士担任仲裁员的必要性展开论述。笔者认为，仲裁机构选聘一支公道正派和具有娴熟的处理专业事务能力的仲裁队伍，对于公正、及时地仲裁民商事纠纷至关重要。为了准确地认识仲裁员的性质，本文就中外仲裁法律中关于仲裁员资格的规定作了制度比较，并从法理上对民商事诉讼主体即法官与仲裁员的主要区别作了比较分析，从而针对仲裁员的非职业性的特点和几年来仲裁工作的实践，就仲裁员应当具备什么样的资格条件作了探讨。关于仲裁员的标准，我国仲裁法已经作了明确规定，但是符合该规定条件的人并不都适宜担任仲裁员，笔者提出，仲裁员应当公道正派、具备一定的专业知识(在某一领域有较深造诣，具有深厚扎实的专业知识，较好的法学理论基础)、具有某一方面丰富的社会实践经验、较强的处理专业事务的能力等具体标准，还提出仲裁员应当认真勤勉、谦虚谨慎。除此之外，笔者认为，仲裁机构要根据我国市场经济发展的实际需要，注重优化仲裁员专业结构，调整充实适应新形势需要的专业人士作仲裁员。另外，为了形成仲裁的骨干力量，减少当事人或仲裁机构选定或者指定仲裁员的随意性，还提出了建立相对稳定的首席仲裁员队伍的建议，并就仲裁员的培训和考核(考核的内容、考核方式、考核标准)、取消专职仲裁员进行了探讨。仲裁员作为一个社会性角色，其在依法履行仲裁职权过程中，受到一些外来干预是难免的，但是外来干预必然使仲裁机构形象受损，制约其发展，甚至使仲裁机构走向“绝地”。为此，在对仲裁员履行仲裁职权的监督方面，本文提出保障仲裁员独立履行仲裁职权、正确处理仲裁员(庭)与仲裁机构的关系、仲裁机构专家委员会与仲裁员(庭)的关系。仲裁是由市场主体自愿选择的纠纷解决方式，其权威不是强制而生，所以仲裁过程中一旦发生违法违纪行为，必然造成坏的影响，其消极作用短期内难以消除。本文在分析了仲裁员在履行仲裁职权时应当遵循的自律性规范、防范不当行为的情况后，对仲裁员的仲裁法律责任作了分析，进一步提出了确立仲裁员优胜劣汰机制。笔者认为，仲裁员的数量一方面要保持基本稳定，另一方面也要考虑实际需要，既要与时俱进，予以增补，又要解聘、淘汰不适应仲裁活动的人。由于仲裁员的非职业性，所以对仲裁员而言，不允许其有第二次违法违纪的机会，被仲裁机构除名的仲裁员，以后也不能再担任仲裁员。关于仲裁员的考核，本文提出对仲裁员的考核应是动态的考核，最终形成“流水的仲裁员、铁打的仲裁机构”。关于考核的标准，笔者认为，目前仲裁机构之所以受理案件数量不多，仲裁法律制度的作用发挥得不充分，社会影响不大，除了市场主体的仲裁意识落后于仲裁制度外，一个重要原因就是仲裁的特色不够突出，优势不明显，因此应当制定仲裁员个案目标量化考核标准，提出把仲裁案件的快速结案率、自愿和解调解率和裁决自动履行率作为考核仲裁员的标准，以突出仲裁制度的特色。 本文在结论部分提出，我国的仲裁事业正处于初级发展时期，建设一支高素质的专家型的仲裁员队伍，对于形成中国特色的仲裁事业具有决定性的意义。仲裁员一般都有较高的社会地位和声望、个人资信度，被聘为仲裁员是仲裁机构对其业务水平、专业素质的肯定性评价。仲裁员作为一种具有较高资格准认的非?更多还原

【Abstract】 Arbitrators are in the position of decider in arbitration proceedings and, therefore, play a decisive role in terms of the development of arbitration proceedings and the outcome of a specific case. Currently, most countries exercise the system under which the arbitral award should be final. In this case, the reputation of arbitration system depends, to a very great extent, on the impartiality and timeliness of arbitral awards and on the competence of arbitrators. As a result, the competence of arbitrators is the decisive factor of arbitral awards, which has a significant bearing on the arbitration system. China also exercises the arbitration system, and the arbitration institutions assume the responsibility of ensuring the quality of arbitral awards. The development of arbitration undertakings depends on whether the parties concerned are willing to bring their case to arbitration, on the credibility of arbitration institutions, and, in the final analysis, on whether we can select and appoint arbitrators from all trades and industries who are able to deal with a variety of civil and commercial disputes.Since the implementation of the Arbitration Law in 1995, arbitration institutions in China have improved their measures for the supervision and administration of arbitrators and their staff members in fulfilling the arbitration responsibility according to law. Arbitration activities have been regulated and standardized step by step. All these measures have played an active role in ensuring that cases are settled impartially and arbitrators are clean, honesty and self-disciplined, which has made a good pavement for the development of arbitration undertakings in China. However, the arbitration system in China has not well developed since it is still at its beginning stage of development, and a series of supervision and administration systems have not been established. Taking the selection and appointment of arbitrators as the main focus, this dissertation has analyzed the importance of the supervisory and interacting mechanisms with respect to the fulfillment of responsibility by arbitrators.Beginning with the current situations of arbitrators in China, this dissertation has first analyzed the necessity of selecting and appointing competent professionals to act as arbitrators. The writer holds that it is vital to select and appoint honesty, fair and experiencedarbitrators for the impartial and prompt settlement of civil and commercial disputes. In order to get a better understanding of the nature of arbitrators, this dissertation has then made a comparison in respect of the provisions on the qualification of arbitrations at home and abroad. Targeting on the blind transplantation of judicial proceedings into arbitral proceedings by some arbitration institutions after the implementation of the Arbitration Law, this dissertation has compared and studied the difference between judges and arbitrators. As a matter of fact, the Arbitration Law explicitly stipulates the qualification requirements for selecting and appointing arbitrators. However, not all those who meet these requirements are qualified to be an arbitrator. In light of the non-professional nature and the practice during the past decade, the writer has exploited the specific requirements for selecting and appointing arbitrators. On the other hand, the writer emphasized that arbitration institutions should, in the light of the actual demands arising from the development of market economy, attach great importance to the optimization of arbitrators’ profession structure, and to the selection and appointment of professionals as arbitrators who meet the needs of new situations. Moreover, the writer has also discussed the establishment of chief arbitrators system, the training of arbitrators and other relevant issues.It is unavoidable that arbitrators are influenced, or even interfered, by various external factors during their fulfillment of responsibility. However, external influence or interference is likely to damage the impartiality of arbitrators更多还原