斯德哥尔摩商会仲裁院（SCC）规则适用指引 2015-2016年度紧急仲裁员决定

更新时间：2018-01-15 15:31:22  张振安 临时仲裁ADA 编辑：lianluobu  点击次数：1783次

1. 简介

SCC是世界上最早支持紧急仲裁员程序的仲裁机构之一。在2010年，SCC仲裁规则及快速仲裁规则（“SCC规则”）中新增了附录II，允许需要采取紧急性临时措施的当事人在仲裁庭尚未组成的情况下得到紧急仲裁员作出的决定。采用附录II紧急仲裁员规则7年以来，SCC共收到了27份任命紧急仲裁员的申请，仅在2016年这一年就收到了其中的13份申请。本文将概述在2015年和2016年中关于紧急仲裁员的决定，并根据迄今作出的所有决定进行总结。

 

2.紧急仲裁员程序

根据附录II，当事人可在向仲裁庭提交争议之前的任何时间申请任命紧急仲裁员。因此，当事人可以在普通的仲裁程序开始之前提出申请，或者当案件还在等待SCC秘书处或SCC委员会受理时－那么当事人可在提交仲裁请求后，但在仲裁庭正式收到该案件之前提交申请。而根据SCC规则的第37条规定，一旦争议提交到了仲裁庭，仅只有仲裁庭具有准予临时救济的权力。迄今为止，大多数但并非所有紧急仲裁员的任命申请都是在正式的仲裁程序开始之前收到的。

SCC规则第37 (1)-(3)条规定，紧急仲裁员准予临时救济的权力和仲裁庭的权力是一样的。这意味着，紧急仲裁员可“准予任何其认为适当的临时措施”并裁定请求采取临时措施的一方当事人提供适当的担保。

对紧急仲裁员的任命申请必须符合SCC规则附录II的第二条规定。申请书应写明（i）当事人及其代理律师的姓名、地址、电话号码及邮箱地址；（ii）争议的概况；（iii）关于寻求临时救济措施的陈述及理由；（iv）仲裁协议的副本或相关描述或争议解决的条款依据；（v）对紧急程序的仲裁地、适用法律及仲裁语言的意见。申请人也应提供申请费用的支付证明；通常银行的转账凭证可作为申请书的附件。为使SCC可立即向被申请人送达通知并任命紧急仲裁员，请求紧急程序的当事人应确保在提交申请时，其提交的申请应是完整的。

Anja Havedal Ipp是SCC的法律顾问，此前也是纽约JonesDay国际争议解决助理律师。对本次研究工作提供协助的是SCC的实习生Kirsten Teo Delalay，期间其正在攻读斯德哥尔摩大学国际商事仲裁法的硕士项目。SCC规则的快速程序也收录了附录II的内容。迄今为止所有紧急仲裁员的任命申请均被SCC仲裁规则收录，以及本适用指引中所引用的所有规则也被该仲裁规则收录。如需查阅此前SCC紧急仲裁员程序中已作出的决定，可参见由Johan Lundstedt编写的（2010－2013年间的决定书）以及Lotta Knapp编写的（2014年间的决定书）适用指引。可在http://www.sccinstitute.com/about-the-scc/legal-resources/articles网站上获取。

紧急仲裁员的任命申请需发送至SCC的一个专用邮箱地址：emergencyarbitrator@chamber.se。即使是正常办公以外的时间，该收件箱还是会有人监控。在多数案件中，申请人在提交其申请的不久前均会联系SCC秘书处；这样做可使SCC秘书处能确保有充足的仲裁人员，并提醒SCC委员会即将进行的紧急仲裁员任命事项。

当SCC收到紧急仲裁员的任命申请，SCC将会对其进行审查，以确定其不存在明显无管辖权的情况。此后，该申请书会通过申请人提供的地址以邮件或快递的方式发送至被申请人或其代理律师。在多数案件中，被申请人均知悉争议的存在，他们的代理律师早已介入。在被申请人并未聘用代理律师或申请人未知悉被申请人代理律师的情况下，建议申请人在申请书中明确被申请人的联系人。这是为了确保该申请书能够尽快被被申请人收悉并持有，以提供给被申请人充足的机会参与紧急程序。

不能片面地对临时措施的申请予以准予，如未向被申请人适当送达申请书就予以准予。紧急仲裁员有权就适当通知被申请人该紧急程序作出决定。迄今为止，被申请人已参与了绝大多数的SCC紧急程序。

根据附录II第4（1）条规定，SCC寻求在收到申请后的24个小时内任命紧急仲裁员。至今为止，在27个紧急仲裁员任命的案件中仅有1例未在该期限内任命紧急仲裁员，而该案件，申请紧急仲裁员的申请发送至另一个非专用（正常办公时间以外仍有人监察的邮箱）的邮箱中，所以任命程序被耽搁了。

一旦收到申请，SCC秘书处便开始列出可能担任紧急仲裁员的名单。在此方面，SCC考虑的因素和任命仲裁庭首席仲裁员的因素相同：争议的性质及情况、可适用的程序法和实体法、仲裁的语言及双方的国籍。考虑到紧急程序的紧急性，SCC也会考虑实际情况，如时区及进行快速冲突审查的可能性。在编制候选人名单时，秘书处通常会与几名SCC委员会的成员保持联络。

一旦委员会审批了这份名单，秘书处即会通过电话或电子邮件联系可能被任命的仲裁员。只有在仲裁员确认了其可以被任命为紧急仲裁员时，当事人及争议相关的信息才会提供该该仲裁员以进行利益冲突审查。秘书处通常会同时联系几个候选人，以最大可能地实现及时任命。利益冲突审查的时间要求，尤其当候选人是国际大所的执业律师时，便成为了需要在24小时时限内任命紧急仲裁员的最大挑战。

作出任命并在仲裁员签署公正及独立性确认书后，SCC将立即向紧急仲裁员转交申请资料。根据附录II第7条规定，该仲裁员可根据其认为适当的方式进行紧急仲裁程序，“考虑到此类程序所固有的紧迫性”，通常，紧急仲裁员选定后，紧急仲裁员将立即邀请当事人参与电话会议并为该程序制作时间表。此后被申请人通常会提交其关于该程序申请的意见。此后，双方都会被给予提交第二次简单答辩意见的机会。通常会有第二次电话会议，有时在该会议结束后并在紧急仲裁员作出决定或裁决前，当事人会提交最后的陈述意见。

截止至2017年1月，紧急程序的费用已上升至20 000英镑。2016年12月31日前的费用为15 000英镑。

根据附录II第8条规定，关于紧急措施的决定不应迟于该申请被提交到紧急仲裁员之日起的5日内作出。在紧急仲裁员提出合理的请求后或必要时，SCC可延长该期限。在迄今为止的27个紧急仲裁的决定中，很多都是在5日的截止期限内作出的，绝大多数都在8日内作出。紧急仲裁员可以以命令或裁决的形式作出紧急决定。

SCC2010版本规则适用所有相关的紧急程序，紧急程序的费用由申请人承担，但可以在最后裁决中进行裁定。SCC规则的2017版本修订了附录II的第8条规定，现在紧急仲裁员可同样适用普通仲裁程序中的规则一样在双方之间分配紧急程序的费用。

【未完，待续】

SCC PRACTICE NOTE

Emergency Arbitrator Decisions Rendered 2015-2016

STOCKHOLM,June 2017

AnjaHavedal Ipp

 

1. Introduction

SCC was one of the first arbitration institutions in the world to provide for emergency arbitrator proceedings. In 2010, the new Appendix II was added to the SCC Arbitration Rules and the Rules for Expedited Arbitrations (“SCC Rules”), allowing a party in need of prompt interim relief to receive a decision from an emergency arbitrator if no tribunal had yet been constitute. In the seven years that have passed since the introduction of Appendix II, the SCC has seen a total of 27 applications for the appointment of an emergency arbitrator, with 13 of those received in 2016 alone. This article will summarize the decisions rendered in 2015 and 2016, and draw some conclusions based on all decisions rendered to date.

2. The Emergency Arbitrator Procedure

Under Appendix II, a party may apply for the appointment of an emergency arbitrator at any point before the dispute has been referred to an arbitral tribunal. The application may thus be made either before the initiation of regular arbitral proceedings, or while the case is pending before the SCC Secretariat or the SCC Board – that is, after a request for arbitration has been submitted but before the tribunal has formally received the case. Once a dispute has been referred to the tribunal, the mandate to grant interim relief resides exclusively with the tribunal, in accordance with Article 37 of the SCC Rules. To date, most but not all applications for the appointment of an emergency arbitrator have been received before the initiation of regular arbitral proceedings.

The powers of an emergency arbitrator to grant interim relief are the same as those of the arbitral tribunal, as set out in Article 37 (1)-(3). This means that the emergency arbitrator may “grant any interim measures it deems appropriate” and order the party requesting the interim measure to provide appropriate security.

An application for the appointment of an emergency arbitrator must conform to Article 2 of Appendix II of the SCC Rules.It should include (i) the names, addresses, telephone numbers and e-mail addresses of the parties and their counsel; (ii) a summary of the dispute;(iii) a statement of the interim relief sought and the reasons there for; (iv) acopy or description of the arbitration agreement or clause under which the dispute is to be settled; (v) comments on the seat of the emergency proceedings, the applicable law(s) and the language(s) of the proceedings. The applicant should also include proof of payment of the application fee; usually, evidence of a bank transfer is attached to the application. In order for the SCC to immediately serve the respondent and appoint an emergency arbitrator,the party requesting emergency proceedings should ensure that its application is complete at the time of submission.

Anja Havedal Ipp is legal counsel at the SCC, and was previously an associate in the global disputes practice at JonesDay in New York. Research assistance was provided by Kirsten Teo Delalay, who was an intern at the SCC while pursuing Stockholm University’s Master’s programin International Commercial Arbitration Law. Appendix II is also included in the SCC Rules for Expedited Arbitration. All applications for the appointment of an emergency arbitrator to date has been under the SCC Arbitration Rules,and all references to the Rules in this practice note are to the Arbitration Rules. To review decisions rendered in earlier SCC emergency arbitrator proceedings, see the practice notes authored by Johan Lundstedt (decisionsrendered 2010-2013) and Lotta Knapp (decisions rendered 2014). Available athttp://www.sccinstitute.com/about-the-scc/legal-resources/articles.

The SCC maintains a dedicated email address, emergencyarbitrator@chamber.se,  to which applications for the appointment of an emergency arbitrator are sent. The inbox is monitored also outside of normal office hours. In most cases, the applicant contacts the SCC Secretariat shortly before submitting its application; this courtesy allows the SCC Secretariat to ensure adequate staffing and to alert the SCC Board of the imminent emergency appointment.

When an application for the appointment of an emergency arbitrator is received, the SCC reviews it to ascertain that it does not manifestly lack jurisdiction over the dispute. Thereafter, the application is sent to the respondent or its counsel by email and express courier at the addresses provided by the applicant. In most cases, the disputeis known to the respondent, and counsel has already been engaged. Where the respondent does not have counsel, or if respondent’s counsel is unknown to the applicant, it is advisable for the claimant to include the name of a contact person for the respondent in the application. This is to ensure that the application is promptly received and processed by respondent, giving the respondent an adequate opportunity to participate in the emergency proceedings.

An application for interim measures cannot be granted ex parte, i.e. without the respondent being properly served. It is within the emergency arbitrator’s mandate to determine whether the responden thas been duly notified of the emergency proceedings. The respondent has participated in the vast majority of the SCC emergency proceedings to date.

In accordance with Article 4(1) of Appendix II, the SCC seeks to appoint an emergency arbitrator within 24 hours of receiving the application. To date, the deadline has been met in all but one of the 27 emergency arbitrator appointments. In the case where the appointment was delayed, the application had been sent to an email address other than the dedicated emergency arbitrator address, outside of regular office hours.

As soon as an application is received, the SCC Secretariat starts compiling a list of possible emergency arbitrators. Indoing so, the SCC considers the same factors as in the appointment of tribunal chairpersons: the nature and circumstances of the dispute, the applicable procedural and substantive law, the language of the proceedings, and the nationality of the parties. In light of the urgency of the emergency proceedings, the SCC also takes practical circumstances into consideration,such as time zones and the possibility to conduct a quick conflict check. In compiling the list of candidates, the Secretariat typically liaises with several members of the SCC Board.

Once the Board has approved the list, the Secretariat contacts the potential arbitrators by telephone and e-mail. Only after an arbitrator has confirmed availability for an emergency appointment is information regarding the parties and the dispute provided for the purpose of a conflict check. Several candidates are typically contacted simultaneously, to maximize the chances of a timely appointment. The time required for conflict checks, especially where candidates practice at large global law firms, has been one of the foremost challenges in appointing emergency arbitrators within  the 24-hour deadline.

When an appointment has been made, and thearbitrator has signed a confirmation of impartiality and independence, the SCC promptly refers the application to the emergency arbitrator. Under Article 7 of Appendix II, the arbitrator may conduct the emergency arbitration as he or she considers appropriate, “taking into account the urgency inherent in such proceedings.” Typically, immediately upon referral, the emergency arbitrator invites the parties to participate in a telephone conference and to establish a timetable for the proceeding. The next step is usually for the respondent to file its comments on the application. Thereafter, the parties are often given an opportunity to file brief rejoinders. A second telephone conference is frequently held, sometimes followed by final comments from the parties, beforethe emergency arbitrator renders a decision or an award.

As of January 2017, the fee for the emergency proceedings amounts to EUR 20 000. Until 31 December 2016, the fee was EUR 15 000.

In accordance with Article 8(1) of AppendixII, the decision on interim measures shall be made no later than 5 days from the date when the application was referred to the emergency arbitrator. The SCC may extend this time limit upon a reasoned request from the emergency arbitrator, or if otherwise deemed necessary. Of the 27 emergency decisions renderedto date, many have met the 5-day deadline, and the vast majority have been rendered within 8 days. The emergency arbitrator may render the emergency  decision in the form of an order or an award.

In the 2010 version of the SCC Rules,applicable in all emergency proceedings summarized herein, the costs of the emergency proceeding were borne by the applicant, but could be allocated in the final award. The 2017 revision of the SCC rules amended Article 8 of Appendix II, so that the emergency arbitrator may now apportion the costs of the emergency proceedings between the parties, applying the same principles as inordinary arbitral proceedings.