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全球教席“云课堂”—— Thomas J. Stipanowich: 仲裁与调解相结合:仲裁员如何促进国际商事争议解决

全球教席“云课堂”第18讲
 
题目:仲裁与调解相结合:仲裁员如何促进国际商事争议解决 Arb-Med, Med-Arb, and Arbitrators Facilitating Settlement in International Commercial Disputes
 
时间:2020 年 11 月 13 日(周五)10:00-12:00
 
腾讯会议 ID:187 523 479
 
开讲学者:
Thomas J. Stipanowich(美国佩伯代因大学 William H. Webster 讲席教授、施特劳斯争议解决学院教授
 
主持人:
高薇(北京大学法学院副教授
 
开讲学者简介:
   Thomas J. Stipanowich 教授在加入佩伯代因大学之前,曾任位于纽约的冲突预防与解决学院(CPR)的总裁兼首席执行官, 该机构为解决商业争议提供新视野、新方法。在他的领导下, 该机构扩展了在欧盟和中国的业务, 包括与中国贸促会联合成立了中美商事调解中心,召开了首届欧洲商事调解大会。2008 年,他获得了“阿勒姆伯特-瑞文奖”(美国律师协会争议解决部给予该领域做出杰出贡献人士的荣誉)。2016 年,他获得了冲突预防与解决学院的“詹姆斯·亨利奖”(该奖项用于表彰“在解决争议领域做出卓越贡献的个人”)。他的论著超过五十部,包括被美国最高法院和许多其他联邦和州法院援引的五卷本《联邦仲裁法:联邦仲裁法上的协议、裁决和补救措施》。他是跨国仲裁研究所学术顾问组成员和美国法律研究院《美国国际仲裁法重述》顾问组成员,还领导争议解决混合模式国际工作小组,探索仲裁和以解决为导向的调解之间的互动。
 
Thomas J. Stipanowich holds the William H. Webster Chair in Dispute Resolution, he is a Professor of Law at Pepperdine University School of Law and a professor of the Straus Institute for Dispute Resolution, which has been ranked first in thirteen of the last fourteen years in the U.S. News & World Report rankings. Before coming to Pepperdine, he was President and CEO of the International Institute for Conflict Prevention & Resolution (CPR Institute), a New York City-based nonprofit think tank that developed new insights and tools for managing and resolving business disputes. Under his leadership the institute co-sponsored the China/U.S. Business Mediation Center with the China Council for Promotion of International Trade and conducted the first European Business Mediation Congress. Prior to leading CPR he was a practicing litigator with a leading firm specializing in construction law and, later, a chaired professor of law. He is the recipient of the D’Alemberte-Raven Award(2008) for outstanding contributions and CPR’s James F. Henry Award (2016), a member of the Academic Counsel of the Institute for Transnational Arbitration and the Advisory Board of the ALI’s Restatement of American Law of International Arbitration, and the author of more than fifty books and articles, including the prize-winning five-volume Federal Arbitration Law: Agreements, Awards & Remedies Under the Federal Arbitration Act. His work has been cited by the U.S. Supreme Court and many other courts. He also helps lead the International Task Force on Mixed Mode Dispute Resolution, exploring situations in which there is interplay between arbitration and settlement-oriented facilitation.
 
讲座摘要:
   当今,商事争端解决展现出一种前所未有的“混合模式”:商事主体及其律师采用各式各样的手段以维护其在争议解决过程中不尽相同的优先利益。根据情况需要,争端各方从协商模式(如:谈判、调解或和解)转向裁决模式(如:具有约束力的仲裁或诉讼),再从裁决模式转回协商模式。这就像一个驾驶员在前往目的地的过程中,根据情况需要而在多车道的高速公路上不停变道一样。
   然而,要理解和应对此种争端解决“变道”的动态过程,我们还有很长的路要走。而这在当事人约定如下情形时尤甚:调解员可以转而扮演仲裁员的角色,或者仲裁员可以出面进行调解,甚至可以直接参与并促进争端各方展开协商以就实体问题达成协议。这类情况的发生(通常被称为“先调解后仲裁”、“先仲裁后调解”或者“仲裁-调解-仲裁”)可能是由情势变更(如:流行病的爆发)、争端各方的特殊需求或其对具创意性的争端解决方式的需要所引起的。虽然此类争端解决模式在全世界范围内已经被许多地方采用,但鉴于它们带来的特殊挑战,对法律顾问、律师、仲裁员和调解员的有效指引还远远不够。
   考虑到此类模式在适当情形下可能成为有创造性(甚至有挑战性)的争端解决替代性方案之潜力,本次讲座将就 “先调解后仲裁”、“先仲裁后调解”和协商达成协议过程中仲裁员的作用等问题提出一种更为深入和系统性的应对方法。其次,将在第一手资料的基础上,探讨此种“混合模式”的各种适用情况及其潜在的陷阱,还将比较不同实践和立场背后的文化和法律传统,以及比较相关的示范性法律和行业标准。最后,将就如何应对不同的国际实践和政策向商事主体、律师、争端解决专业人士和争端解决服务提供机构提出指引,并就如何应对重大风险和担忧提供方法。
 
Today as never before, commercial dispute processing is “mixed mode,” with business parties and counsel employing a variety of diverse approaches in order to promote their varied priorities in resolving conflict. Just as drivers on a multi-lane highway shift from lane to lane as circumstances require in the course of reaching their destination, disputants move from settlement modes (such as negotiation and mediation or conciliation) to adjudicative modes (binding arbitration or litigation) and back again as circumstances warrant.
However, we still have far to go in understanding and addressing the dynamics of “lane-shifting” in dispute resolution. This is especially true of situations where it is agreed that a mediator will shift to the role of arbitrator, or an arbitrator mediates or engages directly in efforts to help parties reach a negotiated settlement of substantive issues in dispute. Such scenarios (often denoted by terms such as “med-arb,” “arb-med,” or “arb-med-arb”) may [be] triggered by changed circumstances like the onset of a pandemic, by the special needs of disputants, or the desire for creative solutions to complex conflict. However, although such processes have been employed in many parts of the world, effective guidance for legal counselors and advocates, arbitrators, and mediators is woefully inadequate in light of the special challenges they present.
This lecture will talk about a more searching and systematic approach to med-arb, arb-med, and arbitrator roles in negotiated settlement in light of their potential utility as creative, if challenging, alternatives for problem-solving in appropriate situations. Also, this lecture will draw on first-hand accounts to explore the variety of circumstances in which such process options may be employed as well as their potential pitfalls. In addition,this lecture will compare and contrast the cultural and legal traditions underlying divergent practices and perspectives, as well as exemplary laws and practice standards. Lastly, this lecture will conclude with proposed guidance for business parties, counsel, dispute resolution professionals and institutional providers that addresses varying international practices and policies and offer methods for addressing key risks and concerns.
 
 
 
 
 
 
对外事务办公室
2020年11月9日