The Tribunal’s Power of Attorney to register an arbitral award in Indonesia
仲裁庭在印度尼西亚登记仲裁裁决的授权委托书
Authors:Dimitrios Katsikis,Anthony Cheah Nicholls
[The views and opinions expressed are those of the authors and do not necessarily reflect the official policy or position of BAIAC]
Indonesian law requires that arbitral awards must first be registered with the Indonesian courts before enforcement proceedings can commence. Crucially however, responsibility for registration lies with the arbitral tribunal, not the parties. If the tribunal does not undertake certain steps before it becomes functus officio, a party can find itself with a valid award that cannot be enforced in Indonesia.
印度尼西亚法律规定,在开始执行程序之前,仲裁裁决必须先在印度尼西亚法院登记。但值得注意的是,负登记责任在于仲裁庭,而非当事人。如果仲裁庭在其任期届满之前没有完成某些步骤,当事一方会发现自己得到的有效裁决在印度尼西亚无法执行。
In light of the practical significance of observing the registration requirement under Indonesian law, this article explores the registration requirement and discusses steps that parties cantake to ensure that registration proceeds smoothly.
鉴于印度尼西亚法下的登记要求的现实意义,本文探讨了登记的要求和当事人可采取的步骤流程,以确保登记工作顺利进行。
Articles 59(1) and 67(1) of Indonesia’s Law No. 30 of 1999 (the “Arbitration Law”)[1] require that an arbitral tribunal “or its proxy” must submit an award for registration with the Indonesian courts before the award can be recognized and enforced.[2] Registration is therefore a necessary step towards enforcement in both domestic and international arbitrations i.e. regardless of whether the seat of the arbitrationis in Indonesia or elsewhere.
印度尼西亚1999年第30号法(《仲裁法》)第59(1)条和第67(1)条规定,仲裁庭“或其代理人”必须向印度尼西亚法院提交一份裁决以供登记,该裁决才能得到承认和执行。因此,登记都是印度尼西亚国内和国际仲裁裁决执行前的必要步骤,而无论仲裁地是印度尼西亚还是别处。
Articles 59(1) and 67(1) ofthe Arbitration Law allow the tribunal to undertake the registration process itself. However, it is generally not advisable to leavethe tribunal to adopt this “Do-It-Yourself” option.
《仲裁法》第59(1)条和第67(1)条允许仲裁庭的自行登记。不过,一般不宜让仲裁庭采用此种“自行” (DIY) 的办法。
First, although experienced tribunals may know that they must complete registration for the award to be enforceable in Indonesia, not every tribunal will have this experience. If the arbitral tribunal is unaware of the registration requirement, and if the administering institution (assuming there is one) fails to inform the tribunal, parties risk receiving an award which is impossible to enforce in Indonesia. Once the tribunal becomes functus officio, it will be too late for registration and, at least on the face of Articles 59(1) and 67(1) of the Arbitration Law, an administering institution cannot request the registration of the award.
第一,虽然有经验的仲裁庭可能知晓,必须先完成登记,裁决才能在印度尼西亚执行,但一些没有经验的仲裁庭可能对此并不知晓。若仲裁庭不知道登记要求,且若管理机构(假设有)未能通知仲裁庭,各方当事人就可能会收到在印度尼西亚无法执行的裁决。一旦仲裁庭的任期届满,就无法再进行登记了。至少根据《仲裁法》第59(1)条和第67(1)条,管理机构不能对裁决进行登记。
Second, the registration process involves a certain degree of preparation that should not be underestimated. Many arbitrators may not have the time or energy to devote to the registration process and, even if they do, may commit errors during the process that could affect the enforceability of the award.
第二,登记过程涉及一些不应被低估的必要准备。许多仲裁员可能没有时间或精力投入到登记过程中,即便有,也可能在登记过程中犯错误,从而影响裁决的可执行性。
Third, precisely due to the various steps involved, the process is time-consuming. For domestic arbitrations, Article 59(1) of the Arbitration Law provides clearly that registration must be commenced within 30 days of an award’s issuance. There is therefore a risk that the tribunal fails to meet the prescribed deadline, leading to an unenforceable award, although some institutions in Indonesia such as BANI are familiar with the requirement of Indonesian law, and will apply for registration on behalf of the tribunal. Whilst the risk of failing to meet the deadline does not arise in the context of international arbitrations since there is no time limit for registration, there is value in completing the registration process quickly: a party that has prevailed in the arbitration and wishes to proceed to enforcement is unlikely to want to spend additional time waiting for the arbitral tribunal to complete all of the afore-mentioned steps.
第三,正是由于涉及各种步骤,登记过程才相当耗时。《仲裁法》第59(1)条明确规定,国内仲裁必须在裁决签发后30天内开始登记。因此,尽管印度尼西亚国家仲裁委员会 (BANI) 等一些熟悉印度尼西亚法律要求的机构会代表仲裁庭申请登记,但仍可能出现仲裁庭未能在规定的期限内完成登记,继而导致裁决无法执行的情况。虽然针对国际仲裁中未设登记期限,因此不存在逾期风险,但最好尽快完成登记:因为仲裁中获胜的一方希望尽快执行,可能并不愿意再多花时间等待仲裁庭完成上述所有步骤。
For these reasons, instead of this DIY approach, where the tribunal registers the award itself, a better approach may be to ask the tribunal during proceedings to grant a Power-of-Attorney (“POA”) to counsel, so that counsel can carry out the registration on behalf of the tribunal. This is permitted by Articles 59(1) and 67(1), both of which expressly envisage that registration may be done by the arbitrators or by “his/her/its proxy”.
因此,在仲裁过程中要求仲裁庭向律师授予授权委托书 (“POA”),委托律师代表仲裁庭进行登记,可能比由仲裁庭自行登记裁决 (“DIY”) 更好。第59(1)条和第67(1)条都明确规定,登记可由仲裁员或“其代理人”进行。
2. Key aspects of the POA
授权委托书的主要内容
a) Who grants the POA?
授权委托书的委托方是谁?
The tribunal as a collective grants the POA, though individual tribunal members can sign on separate copies.This can be useful if not all the tribunal members are in the same country. There is no requirement for tribunal members to sign the POA at the arbitration’s seat although tribunal members do so as a matter of practice.
仲裁庭作为一个集体签发授权委托书,但仲裁成员可以在各自的副本上签名。当仲裁成员不在同一个国家时,前述规定会提供便利。虽然根据惯例,仲裁庭成员会在仲裁地签署仲裁协议,但对此并没有强制规定。
Tribunal members must sign before a notary at the place of signature. If the place of signature is not Indonesia, then the signed and notarised POA must also be legalised. Legalisation can be done by the embassy of the Republic of Indonesia in the country (or countries) where the POA is signed.
仲裁庭成员必须在签字地的公证人面前签字。如果签字地点不在印度尼西亚,那么经签署和公证的授权委托书也必须通过认证,在签署授权书的国家(一个或多个国家)的印度尼西亚共和国驻当地大使馆可认证授权书。
Drafting tips The POA should state the names of the tribunal members, list their professional addresses and refer to them collectively as the “Grantors”. The POA should also mention the parties, the arbitral seat, the type of arbitration that gave rise to the award (e.g., ICC, BANI, ad hoc, etc.), the arbitration’s institutional registration number (if applicable) and the date of the award. It is also prudent for the tribunal members to attach their letter of appointment from the administering arbitral institution (if applicable).
起草注意事项授权委托书中应写明仲裁庭成员的姓名,列出他们的办公地址,并将他们统称为“委托人” (Grantors)。授权委托书中还应提及当事人、仲裁地、裁决的仲裁类型 (如国际商会仲裁、BANI仲裁、临时仲裁等)、仲裁机构注册号码(如适用)和裁决日期。谨慎起见,仲裁庭成员会附上仲裁管理机构的任命书(如适用)。
b) To whom is the POA granted?
授权委托书的被委托方是谁?
It is advisable for the POA to be granted to Indonesian counsel. Notably, there is no restriction against granting the POA to Indonesian counsel that has represented one of the parties during the arbitration. This can prove useful as the registration process will be carried out by counsel that is familiar with the case.
建议将授权委托书授予印度尼西亚律师。值得注意的是,法律并不限制向在仲裁期间代表一方当事人的印度尼西亚律师授予授权委托书。不过这样做是有用的,可以保证登记过程由熟悉案件的律师进行。
Whilst Articles 59(1) and 67(1) do not expressly prevent the tribunal from granting a POA to international counsel, appointing Indonesian counsel is preferable. Enforcement proceedings must ultimately be undertaken by local counsel and there is a risk that the District Court might not accept the registration of an award submitted by international counsel.
虽然第59(1)条和第67(1)条没有明确禁止仲裁庭向国际律师授予授权书,但任命印度尼西亚律师更可取。强制执行程序最终必须由当地律师承办,且地区法院可能不会对国际律师提交的裁决进行登记。
Drafting tipsThe POA should state the names, professional address and organisation of the specific individuals to whom the POA is granted. These individuals should be collectively referred to as the “Attorney(s)”. It is prudent to provide that the “Attorney(s)” have the power to appoint another person to carry out any acts that may be necessary for the registration of the award in case they become unable to do so themselves. This point is discussed in greater detail below.
起草注意事项授权委托书中应写明被授权人的姓名,办公地址和所属机构。这些人应统称为“代理人” (“Attorney(s)”)。谨慎起见,会规定“代理人”有权任命另一个人,以防在代理人无法登记裁决时,代为执行登记裁决可能需要的任何行动。这一点将在下面详细讨论。
c) What actions should the POA empower the Attorneys to perform?
授权委托书应授权代理人采取哪些行动?
The objective of a POA is to empower the Attorneys to register the award with the Registrar of the District Court. It is therefore useful to frame the actions that the Attorneys are authorised to perform in broad terms, so as to capture all the steps necessary to carry out registration. The POA should ensure that the Attorneys are authorised to approach the Registrar of the District Court, and to prepare, execute and submit all necessary documents required for the registration of the arbitral award.
授权委托书的目的是授权代理人向地区法院登记员登记裁决。因此,为了囊括登记所需的所有步骤,有必要从广义上界定代理人有权采取的行动。授权委托书中应确保代理人有权与地区法院的登记员进行联系,有权准备、签署并提交登记仲裁裁决所必须的所有文件。
In addition to all-inclusive language, the party drafting the POA may wish to set out a non-exhaustive list in order to remove any doubt about whether the Attorneys have authority to carry out a particular action on behalf of the tribunal.
除了包含所有内容的言语外,起草授权委托书的一方可能希望列出一份非详尽清单,以消除对被授权人是否有权代表仲裁庭执行特定行动的任何疑问。
Drafting tipsIn addition to considering carefully what actions the POA should authorize the Attorneys to do, parties should consider whether the POA will beof a “general” or “specific” nature. The distinction stems from Article 1795 of the Indonesian Civil Code, which explains that a general POA enables the grantee to act with respect to all of the grantor’s interests, whereas a specific POA allows the grantee to only act with respect to one or more of the interests specified in the POA. Articles 59(1) and 67(1) of the Arbitration Law do not expressly state whether a tribunal issued POA must be general or specific. However, given that Indonesian counsel’s only mandate from the tribunal is to register the award – a specific task – the POA should indicate that it is specific.
起草注意事项除了应仔细考虑授权委托书中应授予代理人的各项权利外,双方当事人还应考虑授权委托书的性质是“一般授权”还是“特别授权”。《印度尼西亚民法典》第1795条规定,一般授权委托书中,被委托人 (grantee) 有权为了委托人的所有利益而展开行动,而特别授权委托书仅允许被委托人执行一项或多项在授权委托书中特别规定的事项。《仲裁法》第59(1)条和第67(1)条没有明确规定仲裁庭发布的授权委托书必须是一般性授权还是特别授权。但鉴于仲裁庭仅委托印度尼西亚律师进行裁决登记这一特定任务,因此,授权委托书应表明其为特别授权。
d) The rights of retention and substitution
留置权和替代权
A common feature of POAs inIndonesia are the rights of retention and substitution.
印度尼西亚的授权委托书的一个共同特点是留置权和替代权。
The right of retention stems from Article 1812 of the Indonesian Civil Code. Pursuant to the right of retention, Attorneys authorised by the POA may with hold certain objects (such as original documents) which belong to the grantor of the POA if the grantor does not compensate the Attorneys. In this case, the grantor of the POA will be the arbitral tribunal. In practice, however, if the tribunal grants a POA in favour of a party’s Indonesian counsel, it is that party which will shoulder the cost of registration. It is therefore unlikely that the Attorneys will withhold documents, since they will be compensated by the enforcing party. The right of retention is therefore unlikely to be of much practical use. Nonetheless, Indonesian counsel will typically request that the right of retention be expressly mentioned in the POA to emphasise their ability to retain documents if the enforcing party does not compensate them. The grantor of the POA (here, the arbitral tribunal) can decide to opt out of granting the Attorneys aright of retention under the POA, by stating so expressly in the POA.
留置权源于《印度尼西亚民法典》第1812条。根据留置权,如果委托人未向代理人支付费用,代理人可以扣留属于委托人的某些物品(如原始文件)。在这种情况下,行动方案的委托人将是仲裁庭。但是,在实践中,如果法庭批准了有利于一方印度尼西亚律师的授权委托书,则由该方承担登记费用。因此,代理人不太可能扣留文件,因为他们将得到执行方的补偿。因此,留置权不太可能有什么实际用途。尽管如此,印度尼西亚律师通常会要求在授权书中明确提及留置权,以强调如果执行方不给予补偿,他们保留文件的权利。授权委托书的委托人(此处为仲裁庭)可以在授权委托书中明确声明,决定不在授权委托书中授予代理人留置权。
The right of substitution arises from Article 1803 of the Indonesian Civil Code. It allows Attorneys to delegate powers granted in the POA to others so that the actions under the POA can be carried out even if the Attorneys listed therein are unable to do so. Unless the POA provides for the right of substitution, an argument could be made that the Attorneys listed in the POA cannot delegate their mandate to another person, on the basis of Article 1797 of the Indonesian Civil Code, which provides that “A mandatary is not to do anything which is outside the scope of his authority”. To avoid this potential argument, it is helpful to expressly provide for the right of substitution in the POA. As with the right of retention, the grantor can decide to opt out of the right of substitution, by stating so expressly in the POA.
替代权源于《印度尼西亚民法典》第1803条。替代权允许代理人将授权委托书授予其的权利转让给其他人,以便在代理人均无法操作时,确保授权委托书中的程序正常推进。《印度尼西亚民法典》第1797条规定“委托人不得做出超出其权限范围的行为。”因此,有理由认为,在授权委托书未规定替代权的情况下,委托书中的代理人不得将其权利授权给他人的争议。为避免此种潜在争议,有必要在授权委托书中明确规定替代权。与留置权一样,委托人可以在授权委托书中明确表明,决定不授予代理人以替代权。
Drafting tipsThe POA should state expressly that it is granted to the Attorneys with the right of substitution. The POA can also state that it is granted with the right of retention.
起草注意事项授权委托书中应明确表明授予代理人替代权。授权委托书也可表明授予代理人留置权。
3. Are there any signingformalities?
签署有形式要求吗?
Signing by the tribunal: Tribunal members must sign the POA before a notary. If signing takes place in Indonesia before an Indonesian notary, no other steps are necessary. If the POA is signed overseas however, the POA must be notarised by a notary and then be legalised at the Indonesian embassy in the country where the POA is signed.
仲裁庭签字:仲裁庭成员必须在公证人面前签署授权委托书。若签字是在印度尼西亚,且在公证人面前完成的,则无需其他程序。若签字是在海外完成的,则授权委托书必须由公证人进行公证,然后在签署国的印度尼西亚大使馆进行认证。
In practice, different Indonesian embassies have different requirements for legalising a POA. For example, some embassies will require that the POA be notarised by a notary who is formally registered with the embassy, before they legalise the POA. Counsel should therefore check with the relevant Indonesian embassy in advance and notify the tribunal of the embassy’s requirements.
实际上,不同地域的印度尼西亚大使馆认证授权委托书的要求不同。例如,有些大使馆会要求在其对授权委托书认证之前,必须由在大使馆正式注册的公证人对授权委托书进行公证。因此,律师们应提前向相关印度尼西亚使馆核实,并将使馆的要求告知仲裁庭。
Signing by the Attorneys: The Attorneys authorised to register the award through the POA do not need to sign the POA on the same occasion as the arbitral tribunal. They can sign at any time before the POA is submitted to the Registrar of the District Court. There is no need for the Attorneys’ signatures to be notarised.
代理人签署:被授权通过委托书登记裁决的代理人无需在与仲裁庭相同的场合签署授权委托书。在授权委托书送交地区法院的登记员之前,代理人可以随时签署。代理人签署无需公证。
Language of the POA: If one or more of the parties involved in the granting of the POA are Indonesian companies or individuals, which will be the case if the POA is granted to Indonesian (as opposed to international) counsel, then the POA must be in Bahasa Indonesia.[3]
授权委托书的语言:若涉及授予授权委托书的一方或多方为印度尼西亚公司或个人,则在这种情况下,授权委托书授予印度尼西亚律师(而非国际律师),则授权委托书应使用印度尼西亚巴哈萨语。
4. Conclusion
结语
Registration of the arbitral award is a necessary step, but not necessarily a simple one. Parties should be alert that it is the arbitral tribunal, or its proxy, that must submit an award for registration. To meet this requirement, Parties should consider alleviating the tribunal of the responsibility, and considerable burden, that the registration process entails. We hope that the present contribution offers parties a reasonably clear map of how they can do so, allowing them to take control of the necessary first step in the process of enforcing their award in Indonesia.
授权委托书的登记是必要步骤,但该流程不一定简单。双方当事人应警惕,提交登记裁决的必须是仲裁庭或其代理人。为满足这一要求,双方当事人应考虑减轻仲裁庭的责任和登记过程带来的繁重负担。我们希望我们的努力能够为当事人提供一个明晰合理的导图,让当事人理解如何操作,帮助他们在印度尼西亚执行裁决的过程中处理好必要的第一步。
[1] An English translation is available at the following website: http://bphn.go.id/data/documents/arbitrationindonesia.pdf)
英文翻译可在以下网站获得:
http://bphn.go.id/data/documents/arbitrationindonesia.pdf)
[2] Article 59(1) requires that domestic awards be issued within 30 days of issuance. Article 67(1) does not put any time limits for international awards.
第59(1)条要求国内裁决自发布之日起30日内发布。第67(1)条并未规定国际裁决的期限。
[3] See Article 31 of Indonesian Law No 24 of 2009 Concerning the National Flag, Language, Emblem, and Anthem.
见印度尼西亚2009年第24号法第31条关于国旗、语言、国徽和国歌的规定。
作者简介 About the authors
Anthony Cheah Nicholls