China: 如何选择仲裁机构覧不同仲裁机构的规则分析(快速程序篇)

Last Updated: 12 December 2017
Article by Allbright Law Office

中国法下,对于涉外经济贸易、运输和海事中发生的纠纷,当事人可提交我国涉外仲裁机构或者其他仲裁机构仲裁,也即意味着该类案件,当事人对于仲裁机构的选择扩展到了全球范围。

根据伦敦大学玛丽皇后学院(Queen Marry, University of London)对国际仲裁所做的调查问卷 1显示,伦敦、巴黎、香港、新加坡及日内瓦位列最受当事人欢迎的仲裁地前五位。而当事人选择最多的五大仲裁机构分别为国际商会国际仲裁院(ICC)、伦敦国际仲裁院(LCIA)、香港国际仲裁中心(HKIAC)、新加坡国际仲裁中心(SIAC)以及斯德哥尔摩商会仲裁院(SCC)。

在选择仲裁机构时,需要考虑的因素包括但不仅限于机构的国际声誉、收费情况、案件类型、当事方国籍、可获得的配套法律支持性服务(比如临时保全措施、司法执行情况)、仲裁规则等。仲裁规则不仅决定案件审理的效率,也会对案件的结果产生重要影响。横向来看,各仲裁机构的仲裁规则都存在一定的相似性,同时也有一些独具特色的规则。

本系列文章着重解析各大仲裁机构的仲裁规则中一些在实务操作过程中需加以额外注意的规则条款。第一篇涉及快速程序(简易/紧急程序)、第二篇事关仲裁员的选任问题(选任仲裁员的自由度、申请仲裁员回避的时间期限、仲裁员更换后对案件审理的影响)、第三篇讨论临时保全/救济措施及仲裁费用、第四篇着眼某些仲裁机构下的特有规则(核阅裁决书草案以及审理范围书方面的规定)。

文章基于对具体规则的分析,进一步提出相应的实务建议,以帮助当事人更好地了解、选择仲裁规则。

快速程序

当争议发生后,除了出于对公司现金流周转的考虑,或商业谈判中的一些博弈,通常情况下,当事方都想快速解决争议。因此,许多仲裁机构都在提升仲裁速度方面制定了有别于普通程序的特殊规则,一般分为简易程序( summary procedure)和加急/紧急程序( expedited/emergency procedure)。简易程序通常针对标的金额较小、案件事实较为简单的案件。而加急/紧急程序的目的是为了在突发情况发生时为当事方提供加速处理纠纷的可能性。这些快速程序都极大缩短了普通程序下所需的时间,为当事人双方节省成本的同时使得纠纷得到快速解决。

- CIETAC 2015 年版规则

简易程序:对于争议金额不超过人民币500 万元的情况,除非当事人另有约定,适用简易程序,争议金额超过该数额的,当事人也可通过约定、或一方申请另一方书面同意的方式适用简易程序。(第56 条)

较之普通程序:CIETAC 简易程序的便捷之处体现在:独任仲裁员进行审理、答辩和反请求的期限从45 天(纯国内仲裁为20 天)缩短到20 天,仲裁庭作出裁决的期限从组庭后6 个月内(纯国内仲裁为4 个月内)缩短到3 个月内。(第15 条、第16 条、第48 条、第59 条、第62 条、第68 条、第71 条)

紧急救济与紧急仲裁员:在仲裁庭组成前,当事人可以申请紧急救济,适用紧急仲裁员程序。当事人需要预付紧急仲裁员的费用(30,000 人民币)。紧急仲裁员可以决定采取紧急性临时救济措施,其决定对双方当事人具有约束力。紧急仲裁员的权力以及紧急仲裁员程序至仲裁庭组庭之日终止。(第23 条、第77 条、附件三《紧急仲裁员程序》)

- ICC 2017 年版规则

快速程序:对于2017 年3 月1 日后达成的仲裁协议,若争议金额不超过200 万美元,则自动适用快速程序,除非当事人决定不采用此程序;若争议金额超过200 万美元,当事人亦可选择采用快速程序。(第30 条、附件六)

较之普通程序:拟定审理范围书的期限从两个月缩短为一个月,且不强制要求拟定审理范围书;仲裁院可任命独任仲裁员,即使仲裁协议有其他规定;案件管理会议应在案卷移交至仲裁庭之日后15 天内举行(普通程序规定为在拟定审理范围书或在拟定后尽可能短的时间内召集);仲裁庭可决定不遵守某些程序措施的要求(如文档编制、书面提交材料和书面证人证言的数量、长度和范围);仲裁庭可决定不开庭审理且不询问证人或专家。(第23 条、第24 条、第30 条、附件六)

紧急仲裁员:在仲裁庭组成前,当事人可申请紧急仲裁员。院长应在秘书处收到请求书起>2 日内任命紧急仲裁员。当事人对紧急仲裁员的回避申请应于收到该紧急仲裁员任命通知起3 日内提出,若于收到任命通知后才得知回避所依据事由,则须自得知该事由之日起3 日内提出。紧急仲裁员应于接到案卷之日起15 日内作出裁令。紧急仲裁员程序的费用为4 万美元,且须预付。(第29 条、附件五)

- LCIA 2014 年版规则

快速组庭(Expedited Formation of Arbitral Tribunal):在"特别紧急"的情况下,任何一方都可以向书记员发出书面申请(最好以电子形式,且须列明案情紧急的依据)并通知其他仲裁相关方,依据该申请仲裁院可以决定加快组庭进程。(第9A 条)

紧急仲裁员:在情况紧急的时候,任何一方均可以向书记员发出书面申请并通知其他仲裁相关方,仲裁院可以依据该申请决定是否在组成仲裁庭之前任命一个临时的独任仲裁员(紧急仲裁员)。如果准许,仲裁院一般在收到申请3 天内完成任命紧急仲裁员。紧急仲裁员主要对临时救济措施进行裁决,其既可以仅根据文件即做出裁决,也可以聆讯之后做出裁决。该等裁决一般要求在完成紧急仲裁员任命的14 天内做出。(第9B 条)

快速任命替代仲裁员(Expedited Appointment of Replacement Arbitrator):当事方认为需要重新任命仲裁员时,均可向书记员提交快速任命的书面申请,仲裁院可以决定是否加快任命的进度,如有必要可以删减仲裁协议或双方之间约定的任何时间期限。(第9C 条)

- HKIAC 2013 年版规则

简易程序:在仲裁庭组成前,若争议金额不超过250 万港币、当事各方同意或出现极为紧急的情况,当事人可以书面申请适用简易程序。简易程序不适用于合并后的仲裁程序或源于或涉及多份合同的仲裁。(第41 条)

较之普通程序:应提交独任仲裁员,若仲裁协议约定三位仲裁员,仲裁中心应建议提交独任仲裁员;仲裁中心可缩短仲裁规则规定的任何期限;原则上仲裁庭应书面审理;裁决应在仲裁中心将案件移交仲裁庭之日起6 个月内作出(普通程序无规定)。(第41 条)

紧急仲裁员程序:当事人可于提交仲裁通知的同时或之后且于仲裁庭组成前提交指定紧急仲裁员的申请。当事人须预付管理费用和紧急仲裁员的收费和费用。申请回避的期限以及仲裁员自行回避、未提出质疑当事人同意的期限均减少为3 日(普通程序为15 日)。紧急仲裁员应有权指令申请紧急救济的当事人提供适当的担保。仲裁庭一旦组成,紧急仲裁员即无权继续行事。(第23 条、附录4)

- SIAC 2016 年版规则

快速程序:在仲裁庭组成之前,若争议金额不超过600 万新加坡币,当事人约定或遇异常紧急情况,当事人可书面申请适用快速程序。(第5 条)

较之普通程序:在快速程序中,主簿可缩短仲裁规则制定的任何期限并可将案件交由独任仲裁员审理;仲裁庭应在其组成之日起的6 个月内作出最终裁决(普通程序无规定);仲裁庭可决定是否仅书面审理。(第5 条)紧急仲裁员:当事人可在提交"仲裁通知书"的同时或之后、仲裁庭组成之前向主簿提交紧急临时救济的申请;当事人应预缴管理费及紧急仲裁员报酬和开支的保证金(未如其缴纳视为撤回申请),并可要求申请方提供适当担保;紧急仲裁员应在被指定后14日内作出临时命令或裁决;仲裁庭组成后,紧急仲裁员不得再行使任何权利。(第30 条、附则1)

- SCC 2017 年版规则

简易程序:当事人可申请仲裁庭以简易程序审理一个或多个事实或法律问题,并应就适用该程序的高效与适当性进行证明。(第39 条)

较之普通程序:不必执行仲裁案件所采取的每一项程序步骤。(第39 条)

应急仲裁员:案件移交仲裁庭之前,当事人可申请指定应急仲裁员,自案件移交仲裁院或应急决定不具约束力时,应急仲裁员权利终止。有关临时措施的应急决定应不晚于申请移交应急仲裁员之日起5 日内作出。当事人应预缴应急程序费用,包括16,000 欧元的应急仲裁员费用、4,000 欧元的申请费以及当事人产生的合理费用。(附件二)

快速仲裁规则(The 2017 SCC Expedited Arbitration Rules):这是一套与仲裁规则并存的仲裁规则。《快速仲裁规则》的多数内容均与《仲裁规则》相同,但在某些基本特征方面略有不同。例如,《快速仲裁规则》中,通常由一名仲裁员审理案件(第17 条);仲裁裁决必须在案件提交仲裁后3 个月内作出(第43 条,普通程序中仲裁庭应于案件移交仲裁庭之日起6 个月内作出最终裁决);裁决不必附带理由(第42 条);以及适用更低的费用表(第49 条,附件三)等。同时,在《快速仲裁规则》下,独任仲裁员应于案件提交仲裁后7 日内制作时间表(第29 条,普通程序仅规定"及时")。

实务建议

对于简易程序以及加急程序的灵活运用可以大量节省相关案件的处理时间及费用覧 仲裁员从一般情况下的三人变为一人,极大节省了选任仲裁员方面的费用。时间期限的缩短,一方面加快了案件处理进度,可以尽快获得裁决;另外一方面也在一定程度上减少了仲裁员及律师处理案件的小时数,对最终费用也是一大节省。

紧急程序可以帮助当事人在紧急情况下,跳开正在进行的常规程序,而先行作出有效行动。这在实践中,可以高效协助当事人掌控一些容易消失的证据线索或可执行财产, 对于案件的后续审理及最终执行都至关重要。

当然,也不能盲目适用这些快速程序。比如当案件情况特别复杂、当事人现金流周转出现问题(申请使用紧急程序往往需要提供担保)、搜集相关证据材料需要额外时间的时候,直接适用这些快速程序反而会给当事人带来消极影响。因此,要提前考虑是否使用这些特别程序。鉴于有些仲裁规则下,除当事人特别约定外,对于符合条件的案件将直接适用简易程序(如CIETAC、ICC规则),在使用这些规则时要特别注意,在签订仲裁协议时就要考虑是否有必要提前排除适用。故而在实践中还需要个案分析、因地制宜利用好这些快速程序规则。

对于SCC的快速仲裁程序需要特别注意:由于该套仲裁规则独立于普通规则,故而在签订仲裁协议时,就仲裁规则的适用有不同的选择:SCC普通规则、快速仲裁规则、首选快速仲裁规则条款,或基于案件金额的"混合条款"。 2当事人也应事先在仲裁规则中明确选择。

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本文内容仅为提供信息之目的由作者/锦天城律师事务所制作,不应视为广告、招揽或法律意见。阅读、传播本文内容不以建立律师-委托人关系为目的,订阅我们的文章也不构成律师-委托人关系。本文所包含的信息仅是作为一般性信息提供,作者/锦天城律师事务所不对本文做日常性维护、修改或更新,故可能未反映最新的法律发展。读者在就自身案件获得相关法域内执业律师的法律意见之前, 不要为任何目的依赖本文信息。作者/锦天城律师事务所明确不承担因基于对本文任何形式的使用(包括作为或不作为)而产生的一切责任、损失或损害。

Footnotes

1 参见:2015 International Arbitration Survey: Improvements and Innovations in International Arbitration,http://www.arbitration.qmul.ac.uk/research/2015/

2 仲裁协议模板:

普通仲裁规则:任何因本合同而引起的或与本合同有关的争议、纠纷或索赔,或者有关违约、终止合同或合同无效的争议,均应当根据斯德哥尔摩商会仲裁院仲裁规则通过仲裁的方式最终予以解决。

快速仲裁规则:任何因本合同而产生的或与本合同有关的争议、纠纷或索赔,或者有关违约、终止合同或合同无效的争议,均应当根据斯德哥尔摩商会仲裁院快速仲裁规则通过仲裁的方式最终予以解决。

混合条款快速仲裁规则作为首选:任何因本合同而产生的或与本合同有关的争议、纠纷或索赔,或者有关违约、终止合同或合同无效的争议,均应当通过斯德哥尔摩商会仲裁院所提供管理的仲裁方式最终予以解决。应适用快速仲裁规则,除非仲裁院考虑到案件的复杂程度、争议金额以及其他情形而决定应适用仲裁规则。在后种情形下,仲裁院还应决定仲裁庭是由一名或三名仲裁员组成。

混合条款-基于争议金额:任何因本合同而产生的或与本合同有关的争议、纠纷或索赔,或者有关违约、终止合同或合同无效的争议,均应当通过斯德哥尔摩商会仲裁院所提供管理的仲裁方式最终予以解决。争议金额不超过100,000欧元时适用快速仲裁规则。争议金额超过100,000欧元时适用仲裁规则。争议金额超过100,000欧元但不超过1,000,000欧元时仲裁庭应由一名仲裁员组成。争议金额超过1,000,000欧元时,仲裁庭应由三名仲裁员组成。争议金额包括仲裁申请书中的索赔以及答复中的反请求。

每种条款原文以及其下更具体的事项约定(比如仲裁员、仲裁地、语言等)请参见官网:http://www.sccinstitute.com/dispute-resolution/model-clauses/chinese/

July 20 2017

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In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq痴 Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq痴 Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq痴 right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions