仲裁-调解-仲裁机制能够帮助当事人有效地解决争议

更新时间：2017-11-29 09:22:50  张振安 临时仲裁ADA 编辑：lianluobu  点击次数：2158次

除了诉讼之外，哪种替代争议解决方式最为有效？仲裁机构给当事人提供许多选择：普通仲裁、快速仲裁、调解、多层次争议解决方式如调解与仲裁相结合。

新加坡国际仲裁中心（SIAC）和新加坡国际调解中心（SIMC）给当事人提供了一个全新的选择。2014年11月，SIAC和SIMC推出了名为“Arb-Med-Arb”的混合程序，即：仲裁—调解—仲裁。我们将介绍一下这个新型争议解决方法并讨论AMA模式对当事人有什么好处。我们还要讨论AMA方式的一些统计数据。

什么是AMA？

AMA是仲裁和调解程序相结合的一种混合争议解决机制，实质上包含以下步骤：

•申请人发起仲裁并提交仲裁通知。

•被申请人提交答辩意见。

•仲裁庭已经组成，但立即中止仲裁程序。

•当事人试图通过调解的方式解决争议。

•如果调解成功，仲裁庭会作出合意裁决。

•如果调解不成功，当事人将回到仲裁程序。

SIAC和SIMC是迄今为止唯一提供示范条款，并就如何操作AMA程序制定明确规则的机构。对AMA程序感兴趣的当事人应在其仲裁协议中加上以下措辞：

“双方进一步同意，在仲裁开始之后，他们将根据SIAC-SIMC 届时有效的Arb-Med-Arb规则，在新加坡国际调解中心（SIMC）通过调解解决争议。调解过程中达成的任何和解方案都应交由SIAC指定的仲裁庭，并可以按照和解的条件作出合意裁决。”

AMA规则包含有关这些混合程序的15条规定。除了其他规定之外，该规则还规定，将根据《SIMC调解规则》进行调解。此外，该规则规定调解应在调解开始后的8个星期内完成。

虽然SIAC是唯一提供特定AMA协议的仲裁机构，但这并不意味着根据其他机构规则无法运行arb-med-arb程序。仲裁庭组成当事人可以自愿中止仲裁程序，并通过调解方式解决争议。然而，在实践中，如果仲裁机构没有将程序“制度化”，当事人似乎不会选择这种方式。

AMA的优点

AMA意欲将仲裁与调解的关键优势结合起来：

•成功的调解可以满足当事人的利益并保持当事双方的关系

•成功的调解比仲裁更便宜、更快捷

•SIAC仲裁比法院程序更为灵活和高效

•SIAC仲裁和调解具有保密性

•《纽约公约》150多个成员国都可以执行仲裁裁决

与其他调解—仲裁相结合的程序不同，“AMA规则”规定仲裁员和调解员应是不同的人。如果仲裁员也是调解人，他们之后有可能不能再成为公正和独立的仲裁员。调解员通常会对毫无偏见的信息（这些信息在他们作为仲裁员时需要忽视）知情。如果当事人不能保证调解中披露的信息不会被用来对付他们，他们甚至可能不会在一开始披露这些信息。在这种情况下，调解是没有意义的。

当然，AMA的缺点是，即使从一开始就没有成功的希望，它能使顽固的被申请人将争议的解决延迟8周时间。

统计数据

AMA规则在2014年11月推出。自那时以来，共有9起案件根据“AMA规则”提交仲裁。这些案件的争议金额从925,000欧元到375,000,000欧元不等。不幸的是，不知道有多少案件成功调解并通过合意裁决解决。有人指出，没有更多的案件按照AMA规则处理的原因是因为该争议解决程序尚未得到应有的重视。仲裁律师应该与他们的客户讨论，AMA是否有希望替代许多合同中能够找到的多层次争议解决条款。

Arb-Med-Arb: what is it and how canit help the parties to solve their disputes efficiently?

What is the most efficient alternative, i.e. out of court, way to settle disputes? Arbitral institutions provide many options to the parties: “normal” arbitration, expedited arbitration, mediation, multi-tier dispute resolution providing for both mediation and arbitration …

A relatively recent option was presented by the Singapore International Arbitration Centre (SIAC) and the Singapore International Mediation Centre (SIMC). In November 2014, the SIAC and the SIMC introduced so-called hybrid proceedings called Arb-Med-Arb, i.e. Arbitration-Mediation-Arbitration. In the following, we want to look into this new approach to settling disputes and see what benefits AMA could have for the parties. We moreover want to discuss some of AMA statistics.

What is AMA?

AMA is a hybrid mechanism and combines arbitration and mediation. It contains in essence the following steps:

• The claimant initiates arbitration and files a notice of arbitration.

• The respondent files a response.

• The tribunal is constituted but immediately stays the proceedings.

• The parties attempt to settle their disputes by way of mediation.

• If the mediation is successful, the tribunal enters a consent award.

• If the mediation is not successful, the parties are referred back to arbitration.

SIAC and the SIMC are to date the only institutions which offer a model clause and clear rules on how AMA proceedings shall be conducted. The parties interested in AMA proceedings should add the following language to their arbitration agreement:

“The parties further agree that following the commencement of arbitration, they will attemptin good faith to resolve the Dispute through mediation at the Singapore International Mediation Centre (“SIMC”), in accordance with the SIAC-SIMC Arb-Med-Arb Protocol for the time being in force. Any settlement reached in the course of the mediation shall be referred to the arbitral tribunal appointed by SIAC and may be made a consent award on agreed terms.”

The AMA Protocol contains 15 provisions on these hybrid proceedings. The Protocol provides amongst others that the mediation is conducted in accordance with the SIMC Mediation Rules. Moreover, pursuant to the Protocol, the mediation shall be concluded within 8 weeks from the commencement of the mediation.

What are the benefits of AMA?

AMA intends to combine the crucial advantages of both arbitration and mediation:

• a successful mediation can lead to a result that satisfies both parties’ interests and that preserves the parties’ ongoing relationship

• a successful mediation is much cheaper and faster than arbitration

• SIAC arbitration is flexible and more efficient than many state court proceedings

• both, SIAC arbitration and mediation are confidential

• an arbitral award can be enforced in more than 150 member states to the New York Convention

While SIAC isthe only arbitral institution that provides for a specific AMA Protocol, this does, however, not mean that arb-med-arb proceedings would not be possible under other institutional rules. The parties are always free to ask for a stay of the arbitration after the constitution of the tribunal and attempt settling the dispute by way of arbitration（mediation）. In practice, however, it seems that parties do not go that route if arbitral institutions do not “institutionalize” the proceedings.

Contrary to other hybrid arb-med proceedings, the AMA Protocol provides that the arbitrators and the mediator shall be different individuals. If the arbitrators act also as conciliators / mediators, there is a risk that they can afterwards no longer act as impartial and independent arbitrators. A mediator will, generally, become privy to without prejudice information which they would have to disregards when deciding as arbitrators. If the parties cannot be assured that the information disclosed in the mediation will not be used against them,they might not even disclose such information in the first place. In that event, however, the mediation makes little sense.

The disadvantage of AMA is of course that it enables a recalcitrant respondent to delay the resolution of the dispute by 8 weeks even if from thevery beginning has no prospect of success.

Statistics

The AMA Protocol was introduced in November 2014, i.e. three years ago. Since then, 9 cases were filed under the AMA Protocol. The amount in dispute in these cases ranged from EUR 925,000 – EUR 375,000,000. Unfortunately, it is not known how many cases were successfully settled and resulted in a consent award. It is submitted that the reason why not more cases have been referred to the AMA Protocol is because the proceedings have not yet received the attention they deserve. Arbitration lawyers should discuss with their clients whether AMA would be a promising alternative to the multi-tier dispute resolution clauses that can be found in many contracts.