Rules
仲裁法規

To ensure that arbitrators and parties act with integrity and professionalism when conducting arbitrations, the CAA International Arbitration Centre (“CAAI”) has established CAAI Code of Ethics For Arbitrators and Parties (“the Code”) pursuant to Article 2.5 of CAAI Arbitration Rules (“the Rules”).

1. Integrity and Fairness
1.1 An arbitrator shall act with integrity and fairness at all stages of the arbitration, and shall promptly withdraw or take other appropriate measures if this is no longer possible.
1.2 An arbitrator shall give all parties reasonable opportunity to present their case.

2. Impartiality and Independence
2.1 Both before and throughout the arbitration, an arbitrator shall disclose any circumstances that may give rise to justifiable doubts as to his or her impartiality or independence in accordance with IBA Guidelines on Conflicts of Interest in International Arbitration.
2.2 An arbitrator shall not act as advocate for any party. An arbitrator shall not engage in unilateral communication with any party except in the following circumstances: (a) pre-appointment communication in accordance with Article 15.1 of the Rules; or (b) the arbitrator has agreed to act as the mediator pursuant to the parties’ agreement and engages in unilateral communication only during the period when the arbitrator is acting as the mediator.
2.3 Throughout the arbitration, an arbitrator shall avoid any communication or conduct that may give rise to justifiable doubts as to his or her impartiality or independence.
2.4 An arbitrator shall not actively solicit appointment as arbitrator.
2.5 An arbitrator shall safeguard the credibility and integrity of arbitration. He or she shall not accept any lobbying from the parties, demand or receive improper benefits, or engage in other illegal or improper conduct. An arbitrator shall also avoid any conduct that may raise the appearance of bias.

3. Availability and Diligence
3.1 An arbitrator shall devote the time sufficient and necessary to conduct the arbitration within the time limits specified in the Rules, and in accordance with CAAI Guidelines on Case Management Conference.
3.2 An arbitrator shall have the requisite qualifications as agreed by the parties, as well as the ability to carry out his or her mandate.
3.3 An arbitrator shall not resign after accepting an appointment, except for applicable withdrawal circumstances or other justifiable reasons.
3.4 An arbitrator shall neither delegate its fundamental decision-making functions to anyone nor rely on anyone to perform his or her essential duties. An arbitrator shall be responsible for any Tribunal secretary’s conduct in connection with the arbitration at all times. 

4. Confidentiality
An arbitrator shall abide by the relationship of trust inherent in the arbitration and uphold confidentiality in accordance with Article 39 of the Rules.

5. Contravention of Part I by Arbitrator and Complaint to CAAI
5.1 A party affected by an arbitrator’s contravention of any provision in Part I of the Code (“the complainant”) may lodge a written complaint with CAAI. CAAI may also investigate any contravention on its own initiative.
5.2 CAAI shall give both complainant and complainee reasonable opportunity to present their case. It may conduct investigations and hold hearings that it considers necessary for decision-making.
5.3 Pending CAAI’s decision, the Tribunal, including the complainee, may continue the arbitration, unless CAAI orders a suspension of the arbitration.
5.4 CAAI shall make a written decision and take any the following measures if it finds contravention by the complainee:
(a) give warning;
(b) deduct payment of fees and expenses for the period of contravention (and order the refund of any fees and expenses already paid);
(c) terminate or revoke appointment as arbitrator in this case;
(d) suspend appointment as arbitrator for a specified period;
(e) remove from CAAI List of Arbitrators.
5.5 The complainant or the complainee who is dissatisfied with CAAI’s decision may, within seven days of receiving such decision, apply to CAAI for review of its decision, with written submissions based on new facts or new evidence that were not previously provided for reasons not attributable to the applicant.
5.6 If CAAI finds such application for review to be without merit, it may dismiss such application without any hearing. If it finds such application to have merits, it shall revoke or revise its original decision. The review decision shall be final and made once only.

6. A party shall ensure that all of its representatives agree to comply with Part II of the Code as a condition of their representation. Any contravention by a party’s representative shall be deemed to be contravention by that party. For the purposes of Part II of the Code, any reference to “party” includes that party’s representatives.

7. A party shall not engage in unilateral communication with any arbitrator except in the following circumstances: (a) pre-appointment communication in accordance with Article 15.1 of the Rules; or (b) the arbitrator has agreed to act as the mediator pursuant to the parties’ agreement and engages in unilateral communication only during the period when the arbitrator is acting as the mediator.

8. A party shall not engage in activities intended to obstruct the arbitration or jeopardise the award, including unfounded or repeated challenges to arbitrators or to the Tribunal’s jurisdiction.

9. A party shall not knowingly deceive or mislead the Tribunal or CAAI, including:
(a) procuring or presenting false evidence;
(b) procuring or presenting incorrect translation;
(c) making false submissions of fact;
(d) making false submissions of law;
(e) concealing or destroying evidence without justifiable reasons, or otherwise contravening the Tribunal’s order for document production;
(f) persuading or assisting witness to give false evidence.

10. Unless the parties agree otherwise, a party shall comply with the confidentiality provisions in Article 39 of the Rules.

11. Contravention of Part II by Party and Complaint to Tribunal
11.1 In the event of a complaint by one party against another party (or of such complaint by the Tribunal upon CAAI’s request or its own initiative), the Tribunal may, after giving that party a reasonable opportunity to respond to the complaint, decide whether or not that party has contravened any provision in Part II of the Code.
11.2 If the Tribunal finds such contravention, the Tribunal may take any　of the following measures:
(a) give warning;
(b) make appropriate inferences when assessing evidence and making decisions;
(c) make appropriate order for costs or sanctions;
(d) suspend the relevant party representative(s) from the arbitration.