China: 哈萨克斯坦仲裁制度探究

Last Updated: 7 June 2019
Article by Zhenli Zhang
Most Read Contributor in China, July 2019

哈萨克斯坦作为中国重要的邻国及"一带一路"建设的重要合作伙伴,历来与我国在政治、经济、文化等方面有着紧密的联系。自哈萨克斯坦从苏联独立以来,一直在加强国内法治方面的建设,其中也包括仲裁制度。仲裁制度历来在解决民商事争议领域发挥着重要作用。因此,对哈萨克斯坦仲裁制度的通晓对走出国门的中国企业具有重要意义。

一、哈萨克斯坦仲裁制度的历史沿革

与俄罗斯仲裁制度相比,哈萨克斯坦仲裁制度的历史并不悠久,且起步较晚。但其发展迅速,且历经几次改革,现已达到了较成熟的水平。哈萨克斯坦仲裁制度的发展大体可分为以下四个阶段:

1.确立阶段(1993-1999)

1993年在哈萨克斯坦设立了第一批仲裁院——哈萨克斯坦工商会仲裁委员会和《IUS》法律中心国际仲裁院。在这一时期,哈萨克斯坦仲裁机构依照哈萨克斯坦内阁1993年5月4日颁布的No356仲裁院示范条款进行仲裁。且哈萨克斯坦于1995年11月20日加入《纽约公约》。这一时期,哈萨克斯坦仲裁制度虽刚刚起步,但稳中有进。这一时期,哈萨克斯坦仲裁制度面临的最严峻问题是总检察院同仲裁机构的关系,总检察院总试图推翻仲裁院的裁决。 

2.停滞阶段(1999-2004)

随着1999年7月1日哈萨克斯坦《民事诉讼法》的出台,哈萨克斯坦仲裁机构的形势发生了巨大变化。在该法出台不久之前,国家仲裁院被撤销,且新出台的哈萨克斯坦《民事诉讼法》并未对强制执行仲裁裁决作出相关规定,使得大量的仲裁裁决得不到执行。因为仲裁裁决的有效执行往往是仲裁制度权威性的基础。为了改变这一情况,哈萨克斯坦最高法院于2001年10月19日出台了"关于强制执行仲裁院裁决"的决议,但在哈萨克斯坦政府的公开支持下,该决议遭到了总检察院和司法部的联合反对。最高法院在此压力下被迫暂停施行该决议。

3.复兴阶段(2004-2016)

哈萨克斯坦法律界在新民事诉讼法出台后的几年里,一直在为仲裁制度的法律地位进行斗争。终于,哈萨克斯坦于2004年12月28日通过了《仲裁院法》和《国际商事仲裁法》,这两部法律对哈萨克斯坦仲裁制度的复兴具有重要意义,不仅对仲裁裁决的执行方面做出了保障,还根据新法设立了哈萨克斯坦国际仲裁院。但经过长期对该两部法律的适用,在仲裁院选择方面逐渐表现出来一些弊端,哈萨克斯坦仲裁制度亟待新一轮的改革。

4.发展阶段(2016至今)

2016年4月8日哈萨克斯坦共和国通过了No488-V法律——哈萨克斯坦共和国《仲裁法》(下称"新仲裁法"),新《仲裁法》结合了过去的《仲裁院法》和《国际商事仲裁法》两部法律,根据该法,哈萨克斯坦仲裁制度不再区分国内仲裁和国际仲裁,解决了以往两部法律在当事人选用仲裁制度方面的弊端,这对哈萨克斯坦仲裁制度而言无疑是一项里程碑式的进步。

二、哈萨克斯坦仲裁制度现状

1.哈萨克斯坦仲裁法律体系

现今,哈萨克斯坦仲裁院进行仲裁活动的国内法律依据主要是2016年出台的新《仲裁法》。此外,哈萨克斯坦《民事诉讼法》、《投资法》及《产品交易法》也是哈萨克斯坦仲裁活动重要的法律依据。同时,哈萨克斯坦也是《纽约公约》的缔约国之一,且并未依据《纽约公约》第一条第三款作出互惠保留及商事保留,在最大程度上适用了该公约。此外,哈萨克斯坦还加入了《华盛顿公约》和《联合国国际商事仲裁欧洲公约》,这也为哈萨克斯坦仲裁院解决国际争端提供了法律依据。根据新《仲裁法》第一条规定,"本法适用于通过仲裁方式解决因自然人和(或)法人参与的民事法律关系产生的争议,无论其争议主体的住所地或所在地是在国家境内或境外,如果哈萨克斯坦共和国法律未另做其他规定。"可见,现今的哈萨克斯坦仲裁制度在解决纠纷时已不再区分国内纠纷或国际纠纷。

2.仲裁机构与仲裁员

哈萨克斯坦仲裁机构可分为常设仲裁机构和临时仲裁机构。常设仲裁机构可由自然人和法人设立,并具有仲裁规则和仲裁员名单。临时仲裁机构由争议当事人设立,且仅存续至双方当事人争议解决完毕或将争议诉诸法院为止。哈萨克斯坦仲裁机构不得由国家机关、国有企业、在商品服务市场上占据垄断地位的主体设立。这在极大程度上避免了公权力对仲裁裁决的干涉。

哈萨克斯坦仲裁员通常由年满三十周岁、受过高等教育并在相关领域具有不少于五年工作经验的哈萨克斯坦公民、外国人或无国籍人担任,但不得由哈萨克斯坦共和国的法官、无民事行为能力人、限制民事行为能力人、受过刑事处罚的人及国家公职人员担任。仲裁员在仲裁过程中应自始至终保持中立,不得偏袒任何一方。

3.仲裁庭审

仲裁庭审通常根据争议一方或双方的申请来启动。通常,常设仲裁庭庭审自仲裁机构收到仲裁申请的十个日历日内作出是否受理争议的决定,而临时仲裁庭庭审则自被告收到仲裁申请之日起启动。仲裁庭可以组成合议庭或由独任仲裁员审理争议。仲裁员的选任可由双方协商进行或根据仲裁机构的规则进行。如果双方对仲裁员的选任未能达成一致,则由争议双方各选任一名仲裁员,再由这两名仲裁员共同选任首席仲裁员。仲裁庭通常依据仲裁机构的仲裁协议或双方达成的协议审理争议。仲裁庭庭审地点亦可由双方协商或根据最便利于双方的地点进行审理。通常,在双方未另做约定的情况下,仲裁案件审理期限自案件准备工作完成之日起两个月内结束,如果是重大疑难案件,可由仲裁庭决定延长审理时间。仲裁裁决通常根据仲裁员少数服从多数的决定作出,持不同意见的仲裁员有权在仲裁裁决上写明不同意见。仲裁裁决自仲裁员在决议上签名之日起生效。

4.仲裁裁决的承认与执行

仲裁裁决的承认与执行往往是仲裁制度最重要的部分。如果在仲裁裁决中未规定执行期限,仲裁裁决应当立即执行。如果仲裁裁决未被争议当事人自愿履行,则当事人有权依据哈萨克斯坦民事诉讼法向法院申请强制执行。但在当事人申请强制执行仲裁裁决前应当先申请法院承认该裁决。通常,法院在下述情况往往拒绝承认与执行仲裁裁决:

1.仲裁协议依据争议当事人所属国家法律或仲裁裁决作出地法律是无效的;

2.仲裁协议的一方为无民事行为能力人或限制民事行为能力人;

3.仲裁庭的组成或仲裁审理程序不符合仲裁协议或相关法律的规定;

4.仲裁庭对未列入仲裁协议的事项进行裁决等。

近些年来,哈萨克斯坦在完善本国仲裁制度方面做出了诸多努力。从其国内几次对仲裁制度的改革可以看出哈萨克斯坦本国对仲裁制度的重视。目前,在哈萨克斯坦约有二十家常设仲裁机构,包括"Atameken"仲裁中心、"哈萨克斯坦企业家联盟"仲裁院、哈萨克斯坦国际仲裁院、阿拉木图仲裁院等。这些常设仲裁机构在解决纠纷方面扮演着重要角色。但由于哈斯克斯坦仲裁制度在解决国际商事纠纷方面起步晚,仍处于探索和发展阶段,所以仍有诸多亟待完善的方面。

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