China: 各大法域下对仲裁裁决进行上诉的可行性

Last Updated: 21 February 2018
Article by John Liu

各大法域下对仲裁裁决进行上诉的可行性

"一裁终局"是仲裁的基本原则,一般情况下当仲裁裁决作出后,当事人就同一纠纷申请再次仲裁或另行起诉的,将不被受理。然而,该原则并不意味着当事人只能无条件接受裁决,在某些法域、特定情况下,当事人在收到仲裁裁决后仍旧有机会对裁决提出异议,甚至上诉法院。对此,本文就英国法、香港法、新加坡法及美国法下的上诉规定做一简述,并兼论该几大法域下著名仲裁机构规则中对上诉问题的相关规定。

一、英国

英国法

英国《1996年仲裁法》(Arbitration Act 1996)下,当仲裁裁决作出后,仍旧赋予当事人三种向法院寻求救济的可能性:第一、提出实体管辖权异议(Section 67: Challenging the award: substantive jurisdiction);第二种:针对严重不规范行为提出异议(Section 68: Challenging the award: serious irregularity);第三种:针对法律问题提出上诉(Section 69: Appeal on point of law)。此处仅对上诉问题加以讨论。

1、第69 条:对法律问题提出上诉(第 69: Appeal on point of law

该条第1款规定:除非当事人另有约定,仲裁程序中的一方当事人在通知另一方当事人及仲裁庭之后,可以就仲裁裁决中的"法律问题"(point of law)向法院提起上诉。不过,如果当事人约定仲裁庭可以就仲裁裁决不给出裁决理由时,则视为双方约定排除法院在第69条下的管辖权。

同条第2款规定,该类上诉只能通过两个方式:a. 仲裁程序中所涉当事人均同意;b. 获得法院许可(leave of the court)。

同款第3条规定,法院将在同时满足四个条件的情况下接受该上诉:

  1. 该问题严重影响当事人的权利;
  2. 该问题已向仲裁庭提出,并要求对此裁决;
  3. 裁决中具有"明显错误(obviously wrong)"或裁决中的事项具有普遍的公共重要性(general public important)且仲裁庭对此作出的决定存在重大疑问,且
  4. 尽管当事人合意提交仲裁,但基于公平恰当(just and proper)的要求应当由法院作出决定。

同时,这些问题必须是基于英国法产生的问题,在 Schwebel v Schwebel[1]一案中,Akenhead法官指出,当不涉及英国法问题时,英国法院无权基于第69条允许当事人就犹太法律进行上诉。相似的,如果当事人约定授权仲裁庭依据友好调解人(amiable compositeur)或公允善良原则(ex aequo et bono)进行仲裁,那么第69条也不适用。

并且这些"法律问题"必须是仲裁程序内裁决中出现的问题,且上诉人是该裁决下的当事人。案涉裁决可以是临时裁决、最终裁决或部分裁决。[2]

2、使用第 69条寻求上诉之限制

同法第70 条第2/3

第70条第2款规定在向法院提出上诉之前,当事人必须先穷尽任何在原仲裁程序内可获得的救济途径,包括基于同法第57条向仲裁庭申请修改裁决。同条第3款进一步规定了向法院提出申请/上诉的时效:当事人必须在获悉相应仲裁裁决之日起28天内提出申请/上诉。

当事人约定排除

第69条非强制性条文,即当事人可约定排除第69条的适用。

伦敦国际仲裁院( LCIA)规则

最新2014年版规则下第26.9条排除了当事人就仲裁裁决进行上诉的权利,该条规定所有的裁决均为终局的,并对各方当事人具有约束力。当事人约定按照本规则进行仲裁者,即承诺立即地和亳不拖延地履行任何裁决;当事人也因此不可撤销地放弃向任何国家法院或其他司法机关提起任何形式的上诉权、请求再审权或追索权,只要这种权利放弃是可以依法有效地作出的。

二、香港

香港法

香港《仲裁条例》(Arbitration Ordinance)第73条下第1款肯定了仲裁裁决一裁终局的效力:"除非各方另有协议,否则仲裁庭依据仲裁协议作出的裁决,属最终裁决"。不过,同条第2款同时规定:"第(1)款并不影响任何人作出以下作为的权利— (a) 按第26或81条、附表2第4或5条、或本条例任何其他条文的规定,质疑裁决;或 (b) 在其他情况下,按任何可用的上诉或复核的仲裁程序,质疑裁决"。而同法附表2下的第4、5条分别规定了对裁决进行质疑及就法律问题进行上诉的权利,非常类似英国法。

香港国际中心( HKIAC)规则

最新2013版HKIAC规则下第34.2条对仲裁裁决的效力作出了规定:"裁决应以书面形式作出,并对当事人和通过当事人或借当事人名义提出请求者有终局的约束力。只要可以有效放弃,当事人和如此请求者应视为放弃就裁决的执行和履行要求任何救济或提出任何异议的权利"。即,只要针对仲裁裁决进行上诉的权利非法律强制性规定,当事人如果选用HKIAC规则,则视为放弃对仲裁裁决进行上诉的权利。

三、新加坡

新加坡法

新加坡法下对于仲裁事项适用双规制。国内仲裁原则上适用《仲裁法》(Arbitration Act),国际仲裁原则上适用《国际仲裁法》(International Arbitration Act)。

但是,新加坡法下赋予当事人自主约定仲裁程序适用国内《仲裁法》还是《国际仲裁法》的权利。该两部法律的区别之一在于法院在国内《仲裁法》下对于仲裁事项的介入权较大。而《国际仲裁法》下,法院的介入权较小,仅在该法明文规定的事项下才可介入。

新加坡《国际仲裁法》明确禁止当事人就仲裁裁决向新加坡法院提起上诉。与此相反,新加坡国内《仲裁法》则允许当事人对仲裁裁决中的法律问题提起上诉,不过此类上诉的限制也很严格,而且该上诉权可以约定排除。

由此可见,如果在国际仲裁案件中选择适用新加坡法,且未对适用国内《仲裁法》还是《国际仲裁法》进行约定,则案件自动适用新加坡《国际仲裁法》,对仲裁裁决不得上诉。如果当事人约定适用新加坡国内《仲裁法》而又没有约定排除上诉权,则仍旧存在可以就法律问题进行上诉的可能。

新加坡国际仲裁中心( SIAC)规则

最新2016年版 SIAC规则下第32.11条也排除了当事人的上诉权。该条规定:"当事人通过约定依照本规则进行仲裁,即认可裁决应当是终局裁决,自裁决书作出之日起对各方当事人均具有不可撤销地放弃任何国家的法院或者其他司法主管机关就裁决书提出任何形式的上诉、司法审查和追诉的权利(仅限于当事人可以作出有效放弃的权利)"。

四、美国

美国法

美国的法律体系较为特殊,分联邦法及各州州法。 大多数情况下,该两层法律并非对某一案件进行双重制约,而是并行的关系——联邦层面及州法层面都有各自专属管辖的范围。对于某些存在双重管辖的领域,则一般适用联邦法优先的制度(federal preemption)。对于美国国内州际间的商业交易一般由联邦法管辖。有关美国州法及联邦法之间的专属管辖、联邦法优先制度等问题较为复杂,在此不做详述。

美国法下对于仲裁,在联邦法层面的法律规定于美国法典第9卷下(US code title 9),也称《联邦仲裁法》(Federal Arbitration Act)。该法分为三章,第一章是一些基本条款,第二章是针对《纽约公约》的适用所做的相应规定。第三章是对《巴拿马公约》(Inter-American Convention ON International Commercial Arbitration)的规定,该公约是美国与一些美洲国家组织(Organization of American States)成员国签订的有关仲裁事项的多边协议。国际仲裁一般也属于《联邦仲裁法》管辖范围,除非当事人明确在仲裁协议中约定适用某州州法。

各州针对仲裁事宜也有州法,目前被大多数州所采纳的是由美国统一州法委员会(NCCUSL)制定的《统一仲裁法》(Uniform Arbitration Act),该法于1995年首次颁布,后于2000年进行修订。

美国法下,《联邦仲裁法》以及州法级别的《统一仲裁法》分别在第16条、第28条规定了上诉事宜。但是需要特别注意的是,该类上诉均不是针对仲裁裁决本身的上诉,而是针对某些涉及仲裁过程的决定(order)及判决(judgment)的上诉。

美国法下就仲裁裁决本身是否可以上诉没有明文规定。一般基于判例来判断,但也存在不同法院观点不一致的情况。而且,现有判例侧重于当事人能否基于仲裁裁决中的法律问题错误而要求法院撤销裁决。申请撤销裁决与对裁决进行上诉,两者虽然有相似之处,但仍有区别:上诉后,基于案情,法院一般可以维持原裁、更改裁决、发回重裁,或撤销裁决。

在2014年,美国最高院拒绝受理 Walia v Dewan [3]一案中当事人希望依据法律错误而撤销裁决的上诉申请,由此表达出最高院不希望就此问题背书某一联邦法院观点的意向。而在2015年的Raymond James Financial Services, Inc. v. Fenyk[4]一案中,美国联邦第一巡回上诉法院判决案涉仲裁裁决中的相关法律问题错误不能作为撤销裁决的理由。

美国仲裁协会( AAA)国际仲裁规则

在美国,最知名的仲裁机构为美国仲裁协会(American Arbitration Associate,AAA),其下针对不同类型的仲裁案件有不同的规则,而针对国际商事仲裁的规则为其下的International Arbitration Rules。最新2014年版规则第30条规定裁决是终局的(即不可上诉)。

不过,AAA于2013年制定了一套独立的《可选择性上诉仲裁规则》(Optional Appellate Arbitration Rules)。当事人可以自行约定是否在仲裁中适用该套规则,如果约定适用则视为当事人同意依据该套规则对仲裁裁决进行上诉。

不过,相关上诉必须自收到最终仲裁裁决的30日内向协会的国际争议解决中心(International Centre for Dispute Resolution)提出,上诉仲裁庭(appeal tribunal)将受理上诉申请,并作出决定。该套规则的第A-20条规定了上诉仲裁庭决定的终局性,即不能再次上诉。

可见,美国法下就仲裁裁决能否上诉的规定较为特殊。一方面,法律未对该问题作出明文规定,且实践中大多体现为当事人依据仲裁裁决中的法律问题错误向法院提出撤销裁决的申请。同时,AAA相关规则下,当事人可直接在仲裁规则中选用上诉机制,由上诉仲裁庭作出决定。该权利不同与其他法域下允许当事人另行向法院提出申请的权利。

免责声明

本文内容仅为提供信息之目的由作者制作,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,订阅本文也不构成律师-委托人关系。本文所包含的信息仅是作为一般性信息提供,作者及锦天城律师事务所均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。作者及锦天城律师事务所均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。

To view all formatting for this article (eg, tables, footnotes), please access the original here.

Previously published in Lexology, February 16 2018.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).
 
Email Address
Company Name
Password
Confirm Password
Position
Mondaq Topics -- Select your Interests
 Accounting
 Anti-trust
 Commercial
 Compliance
 Consumer
 Criminal
 Employment
 Energy
 Environment
 Family
 Finance
 Government
 Healthcare
 Immigration
 Insolvency
 Insurance
 International
 IP
 Law Performance
 Law Practice
 Litigation
 Media & IT
 Privacy
 Real Estate
 Strategy
 Tax
 Technology
 Transport
 Wealth Mgt
Regions
Africa
Asia
Asia Pacific
Australasia
Canada
Caribbean
Europe
European Union
Latin America
Middle East
U.K.
United States
Worldwide Updates
Registration (you must scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

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’s 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’s 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’s 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