China: 撤销国际商事仲裁裁决的法律基础探讨

Last Updated: 16 July 2019
Article by DeHeng Law Offices
Most Read Contributor in China, July 2019

引言

相比于传统的诉讼审判制度而言,一裁终局是仲裁的主要特点之一。仲裁裁决一旦作出,即对争议当事人产生法律效力,当事人不得就同一法律争议向法院提起诉讼。然而,如果仲裁过程中存在程序性瑕疵、实体法律适用不当等问题,当事人需要有合理的救济手段来保障自己的权益。同样,如果仲裁裁决结果损害仲裁所在地国家或其它国家的社会公共利益,那么这些国家也需要有足够的救济方式来维护自身利益。因此,许多国家通过立法允许争议当事人申请撤销仲裁裁决。本文主要从国内法和国际法两个角度来探讨在国际商事仲裁中应当或者可以撤销仲裁裁决的情形,对比了中、法两个主要仲裁国家关于撤销仲裁裁决的国内法规定,并对国际法中的相关规定进行评述。

一、关于撤销仲裁裁决的国内法规定

一般来说,撤销仲裁裁决的法律基础主要来自于三个方面:仲裁协议无效;仲裁程序不正当;仲裁裁决的实体内容不当。仲裁协议无效的情形包括当事人并未作出将仲裁作为争议解决方式的真实意思表示、仲裁协议的形式不合法、相关争议并不具有可仲裁性(如刑事犯罪、家庭伦理、亲子关系、市场竞争)等。仲裁程序不正当的情况包括仲裁庭的组成不合法、仲裁员缺乏独立性和公正性、一方当事人被剥夺了陈述案情的权利等。仲裁裁决的实体内容不当则包括裁决内容超出了当事人授权仲裁的范围、法律适用错误、裁决结果违背国际公共政策或仲裁地所在国的公序良俗等。然而,不同国家的法律中可以撤销仲裁裁决的理由不尽相同,而且还有赖于各自的司法解释。

例如,我国《中华人民共和国仲裁法》(以下简称(《仲裁法》)第58条规定:

当事人提出证据证明裁决有下列情形之一的,可以向仲裁委员会所在地的中级人民法院申请撤销裁决:

(一)没有仲裁协议的;

(二)裁决的事项不属于仲裁协议的范围或者仲裁委员会无权仲裁的;

(三)仲裁庭的组成或者仲裁的程序违反法定程序的;

(四)裁决所依据的证据是伪造的;

(五)对方当事人隐瞒了足以影响公正裁决的证据的;

(六)仲裁员在仲裁该案时有索贿受贿,徇私舞弊,枉法裁决行为的。

人民法院经组成合议庭审查核实裁决有前款规定情形之一的,应当裁定撤销。

人民法院认定该裁决违背社会公共利益的,应当裁定撤销。

与此类似,法国《民事诉讼法典》第1520条规定:

有下列情形之一的,仲裁裁决才可以被撤销:

(1)仲裁庭错误地维持或者放弃管辖权;

(2)仲裁庭组成不合法;

(3)仲裁庭的裁决决定超越了当事人的授权范围;

(4)仲裁没有依照正当程序来进行;或

(5)对裁决的承认或执行会违背国际公共政策。

由此可见,撤销仲裁裁决的法律基础因国而异,国家可根据自身对于国际仲裁的理解,制定相关的国内法律,列明撤销仲裁裁决的法定理由,争议当事人即需依照相应的法律基础请求撤销仲裁裁决。

二、关于撤销仲裁裁决的国际法规定

如上所述,在国内层面,国家可通过立法规定撤销仲裁裁决的理由;那么在国际层面上,是否有专门的国际公约对于应当或者可以撤销仲裁裁决的情况作出统一、明确的规定呢?

答案是否定的。截至目前,这样的国际公约尚未存在,即使是在仲裁领域广受认可并拥有150余个缔约国的《承认及执行外国仲裁裁决公约》(即《纽约公约》)对此也没有作出规定。通过仔细研读《纽约公约》的文本,我们可以发现,《纽约公约》的起草者意识到了仲裁裁决的撤销问题,但刻意没有在公约文本中对撤销的理由加以规定,而是保留了各缔约国的自由裁量权。例如,《纽约公约》的第5条列出了可以拒绝承认和执行仲裁裁决的情形,其中就包括"仲裁裁决被有管辖权的机构撤销或者中止"(参见《纽约公约》第5条(e)款)。由此可见,《纽约公约》承认仲裁裁决可以被撤销,但回避了撤销仲裁裁决的法律基础这一问题,也就是说,实际上《纽约公约》的立场是尊重各缔约国在此问题上的自由裁量权,反对由国际条约来进行统一的规定。

但是在实践中,申请撤销仲裁裁决的案例屡见不鲜,并且依据的理由纷繁各异。为了缓解这种局面并协调各方对于仲裁的认知和理解,一些由专家、学者、资深仲裁员组成的专门研究仲裁问题的委员会出台了一些指导意见,如联合国国际贸易法委员会编定了《国际商事仲裁示范法》(即《UNCITRAL Model Law on International Commercial Arbitration》)。这些意见本身并不具有任何法律效力,但却因其科学性和专业性而经常被各国立法机关、司法机关及仲裁庭参考,从而在国际商事仲裁领域获得一定的权威性。《国际商事仲裁示范法》的第34条第2款对于撤销仲裁裁决的理由作出了明确规定:

有下列情形之一的,仲裁裁决才可以被第6条规定的法院撤销:

(a) 提出申请的当事人提出证据,证明有下列任何情况:

(i) 第7条所指仲裁协议的当事人有某种无行为能力的情形;或者,根据各方当事人所同意遵守的法律或在未指明法律的情况下根据本国法律,该协议是无效的;或

(ii) 未向提出申请的当事人发出指定仲裁员的适当通知或仲裁程序的适当的通知,或因他故致使其不能陈述案情;或

(iii) 裁决处理的争议不是提交仲裁意图裁定的事项或不在提交仲裁的范围之列,或者裁决书中内含对提交仲裁的范围以外事项的决定;如果对提交仲裁的事项所作的决定可以与对未提交仲裁的事项所作的决定互为划分,仅可以撤销含有对未提交仲裁的事项所作的决定的那部分裁决;或

(iv) 仲裁庭的组成或仲裁程序与当事人的约定不一致,除非此种约定与本法中当事人不得背离的本法规定相抵触;无此种约定时,与本法不符;或

(b) 法院认定有下列任何情形:

(i) 根据本国的法律,该争议事项不能通过仲裁解决;或

(ii) 该裁决与本国的公共政策相抵触。

通过对比,我们可以发现,《国际商事仲裁示范法》中可以撤销仲裁裁决的理由与《纽约公约》中可以拒绝承认和执行仲裁裁决的理由在实质上是非常接近的,换言之,执行地的法院可以根据这些理由拒绝承认和执行仲裁裁决,而对于撤销仲裁裁决的申请有管辖权的法院也可以依据类似的理由撤销仲裁裁决。当然,这些法院不会直接援引《国际商事仲裁示范法》来判定是否撤销仲裁裁决,而是需要依据本国国内相关的法律。但是一般来说,国内立法中关于撤销仲裁裁决的法律基础大部分会参照《国际商事仲裁示范法》中的相关规定。

三、小 结

综上所述,撤销仲裁裁决的法律基础需要由享有管辖权的法院依照本国法律而定,目前并没有相关公约在国际层面上对此问题作出统一规定,但是类似联合国贸易委员会这样的专门机构公布了许多指导性意见,这对于各国立法及司法实践具有重要的参考意义。因此,受这些指导性意见的影响,总体而言,各国法律中可以撤销仲裁裁决的理由大同小异,虽个别国家偶有特殊规定,但大体的思路和立法精神是一致的。

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