Arbitration Rules
CAA Code of Ethics for Arbitrators
In force of from 6 November 2000.
Approved by CAA General Assembly, 6 November 2000.
Articles 7, 9, 11, 17, 18, 27 were amended by CAA General Assembly, 26 December 2001.
The full text was amended by CAA General Assembly, 30 December 2009.
Articles 17, 19, 24, 26 were amended by CAA General Assembly, 27 December 2016.
CAA Code of Ethics for Arbitrators
Article 1
- In order to ensure the impartiality, objectiveness and independence of arbitrators, as well as to maintain the credibility and integrity of the arbitration system, the Chinese Arbitration Association, Taipei (“CAA”) hereby enacts CAA Code of Ethics for Arbitrators (hereafter “the Code”) pursuant to Article 22 of the Rules on Arbitration Institutions, Mediation Procedures and Fees.
Article 2
- Any arbitrator registered or affiliated with CAA shall comply with this Code and other relevant laws and regulations.
Article 3
- An arbitrator shall not solicit appointment as arbitrator.
Article 4
- An arbitrator shall handle arbitration case with impartiality, objectiveness, independence and accountability.
Article 5
- An arbitrator shall handle arbitration case in accordance with applicable laws and regulations, and apply his/her professional knowledge exercising duty of care.
Article 6
- An arbitrator shall treat all arbitration cases handled by him/her as confidential.
Article 7
- An arbitrator shall safeguard the credibility and integrity of arbitration. He/She shall not accept any lobbying from the parties, demand or receive improper benefits, or engage in other illegal or improper conduct. He/She shall avoid any conduct that may raise the appearance of bias.
Article 8
- An arbitrator, whether appointed by the parties or otherwise, shall avoid any conduct that may raise doubts whether the arbitrator acting as a party’s advocate or representative.
Article 9
- An arbitrator shall disclose without misrepresentation or concealment any information to the parties in accordance with paragraph 2, Article 15 of the Arbitration Law of Taiwan.
Article 10
- An arbitrator shall perform his/her duties with impartiality, objectiveness and independence, unaffected by any family, social or other relationships.
Article 11
- An arbitrator shall maintain neutrality, and shall not engage in improper social contact with any party, party representative, witness, expert and other interested person.
Article 12
- An arbitrator shall comply with the provisions regarding withdrawal in the Arbitration Law of Taiwan.
- In the event of having any applicable circumstances of withdrawal stipulated in the Arbitration Law of Taiwan or any possibility of reasonable doubts as to his/her impartiality as arbitrator, an arbitrator shall either decline to accept appointment or withdraw if discovered after appointment.
Article 13
- An arbitrator shall perform his/her duties personally without delegating to others.
Article 14
- An arbitrator shall not resign after accepting appointment, except for applicable withdrawal circumstances or other justifiable reasons
Article 15
- An arbitrator shall conduct the arbitration with diligence, and render arbitral award within statutory time limits
Article 16
- An arbitrator shall not have any ex parte discussion in private relating to the arbitration case in question with any party, party representative or other interested persons.
Article 17
- The CAA Arbitrator Ethics Committee (“Ethics Committee”) consists of 13 to 17 members. All members need to have a reputation of integrity and impartiality and be familiar with the arbitration system, and shall be appointed by the CAA Board of Directors. The presiding member shall be elected among its members. All members serve for a term of three years and may be reappointed for another term. The Ethics Committee’s duties are as follows.
- 1.To do research on Code of Ethics for Arbitrators.
- 2.To promote ethical training and education for arbitrators.
- 3.To decide on cases whether an arbitrator is in contravention of this Code.
- 4.To study and dispose of other matters relating to arbitrator ethics.
Article 18
- A member of the Ethics Committee, when considering his/her withdrawal appropriate, shall withdraw from deciding case(s) concerning arbitrator’s contravention of the Code.
- The Ethics Committee’s decision on such member’s request for withdrawal is final and unobjectionable.
Article 19
- A party or its representative may submit a complaint in writing describing any act of contravention of this Code on the part of an arbitrator to the Ethics Committee. The CAA Board of Directors may also refer any arbitrator’s misconduct case to the Ethics Committee for disposal.
- Before the Ethics Committee makes its final decision, the complainant or its representative may withdraw the complaint specified in the preceding paragraph, and may not make the same complaint again after such withdrawal.
Article 20
- The Ethics Committee shall avoid causing undue damage to the reputation or legitimate interests of the complainee or other related persons when determining the case.
Article 21
- Proceedings of the Ethics Committee are not open to the public.
Article 22
- The Ethics Committee shall give the complainant and the complainee full opportunity of presenting their case when handling the case. If necessary, it should investigate evidence and hold hearings for both parties to question witnesses for the purpose of fact-finding and decision-making.
Article 23
- The claiming party and the claimed arbitrator may attend with or by their representatives. The Ethics Committee may nevertheless require attendance in person if it considers necessary.
Article 24
- In the Committee's meeting, a minimum number of seven shall constitute a quorum, and a majority of more than half of the attending members is required for deciding on the alleged ethics case.
- The complainant or the complainee who is dissatisfied with the Ethics Committee’s decision may, within seven days after receiving the decision, apply to the Ethics Committee for review of its decision, with written arguments based on new facts or new evidence that were not previously submitted for reasons not attributable to the applicant .
- If the Ethics Committee finds such application for review to be without merit, it may dismiss such application without hearing. If it finds such application to have merits, it shall revoke or revise its original decision.
- The review decision is final and conclusive, and can be made once only.
- Such review of decision shall be conducted in accordance with paragraph 1 of this article.
Article 25
- The Ethics Committee shall make a written decision containing the following items signed by the attending members to be delivered to the complainant and the complainee.
- 1.The arbitrator’s name and address;
- 2.The holding of the decision on the contravention;
- 3.Facts and reasons for the decision;
- 4.Date of the decision.
Article 26
- If the Ethics Committee finds that the complainee is in contravention of this Code, it may take one of the following measures depending on how serious the case is:
- 1.To give advice of warning;
- 2.To suspend him/her from acting as arbitrator in CAA-administered cases for a period from six months up to three years;
- 3.To prohibit him/her from acting as arbitrator in CAA-administered cases, and cancel his/her name from CAA panel of arbitrators if he/she so registered.
- If an arbitrator is subject to the second or/and third measures specified in the preceding paragraph, his/her arbitration case pending in CAA shall be governed by Article 13 of the Arbitration Law of Taiwan from the publication/announcement date of the Ethics Committee’s decision.
Article 27
- CAA may publish the written decision specified in the preceding paragraph in full or in part in its publication as it considers necessary.
Article 28
- This Code and any subsequent amendments shall come into force after approval by the CAA General Assembly and report to the relevant authorities for reference.