China: 仲裁与调解对接之法律问题研究

Last Updated: 9 August 2019
Article by Jia Hui
Most Read Contributor in China, August 2019

当前,我国正在建立"一带一路"国际商事争端解决机制,中央全面深化改革领导小组会议于2018年1月23日审议通过了《关于建立"一带一路"国际商事争端解决机制和机构的意见》,明确支持通过调解、仲裁等方式解决"一带一路"国际商事纠纷,建立诉讼与调解、仲裁有效衔接的多元化纠纷解决机制。在争议解决实践中,当事人越来越注重通过仲裁和调解相结合的方式来解决纠纷,有效加快推动案件的进展,实现各方当事人共赢的局面。近日,"北京融商一带一路法律与商事服务中心暨一带一路国际商事调解中心"(以下简称"融商调解中心")调解成功一起股权投资相关商事案件,并且双方就达成的调解协议提交至北京仲裁委员会申请仲裁确认并出具仲裁裁决。这是融商调解中心与北京仲裁委员会/北京国际仲裁中心签订《关于建立仲裁与调解相衔接的"一带一路"多元化纠纷解决机制之合作协议》以来首次仲调对接成功的案件。笔者结合上述调解与仲裁有效结合的案件,分析仲裁与调解相对接应注意的法律问题。

一、仲裁与调解对接之法律基础

我国《仲裁法》第四十九条和第五十一条规定,当事人申请仲裁后,可以自行和解。达成和解协议的,可以请求仲裁庭根据和解协议作出裁决书,也可以撤回仲裁申请。仲裁庭在作出裁决前,当事人可以先行调解。调解达成协议的,仲裁庭应当制作调解书或者根据协议的结果制作裁决书。

中国国际经济贸易仲裁委员会("贸仲")和北京仲裁委员会("北仲")的仲裁规则中都有仲裁和调解结合的相关规定。《中国国际经济贸易仲裁委员会仲裁规则》第四十七条第八款规定,当事人有调解愿望但不愿在仲裁庭主持下进行调解的,经双方当事人同意,仲裁委员会可以协助当事人以适当的方式和程序进行调解。《北京仲裁委员会仲裁规则》第四十三条第一款规定,案件审理过程中,当事人可以自行和解或者依据《北京仲裁委员会调解中心仲裁规则》的规定向本会调解中心申请由调解员进行调解。从以上的规定可以看出,在贸仲或北仲等仲裁机构受理案件后并在仲裁裁决作出之前,当事人可基于意思自治,先行向仲裁机构调解中心或者其他调解中心申请调解。在当事人签订和解协议后,可请求仲裁庭依据和解协议的内容制作裁决书。

贸仲和北仲关于仲裁和调解结合的规则中还包含仲裁庭调解。《北京仲裁委员会仲裁规则》第四十二条之规定和《中国国际经济贸易仲裁委员会仲裁规则》第四十七条之规定,都允许在仲裁机构受理案件并完成组庭工作后,仲裁庭可以根据当事人的请求或者在征得当事人同意的情况下进行调解。当事人达成调解协议的,可以请求仲裁庭根据调解协议的内容制作调解书或者裁决书。值得注意的是,一些国际仲裁机构对于仲裁庭调解存在不同意见。例如《香港国际仲裁中心调解规则》就调解员在后继程序中的角色规定,当事人承诺不得委任调解员作为任何后继的审裁、仲裁或司法程序中任何一方当事人的审裁员、仲裁员或代表、大律师或专家证人,不论该等程序是否因是次调解或因同一合同中其他争议而引起。

二、仲裁与调解对接之法律问题

(一)调解范围和仲裁请求的一致性问题

各方当事人签署和解协议并申请仲裁确认的,需要注意和解协议的内容不能超过仲裁协议的范围或者包含仲裁委员会无权仲裁的事项,否则存在仲裁裁决被撤销的法律风险。 [1]实务中,当事人在调解过程中存在为达成合意增加或减少原仲裁请求金额或者仲裁相关成本费用支出等情形,当事人之间签订的和解协议约定事项存在与原仲裁请求事项不一致的可能,此时申请人在申请仲裁确认的情况下需要对原仲裁请求进行变更。考虑到仲裁程序的合规性要求,需注意被申请方放弃变更仲裁请求相关答辩期等程序问题,以节省仲裁和调解对接的程序时间。

(二)和解协议之明确且可执行问题

我国《仲裁法》第五十七条和第六十二条规定,仲裁裁决自作出之日起发生法律效力,在一方当事人不履行的情况下,另一方当事人可以向人民法院申请执行。在当事人之间签订的和解协议约定内容不明确或不具有可执行性的情况下,仲裁庭将无法根据和解协议的内容制作调解书或者裁决书,无法实现调解之目的,存在导致调解结果无法执行的法律风险。在上述股权投资仲调对接相关案例中,当事人经过调解达成和解协议,一方同意将标的公司的股权返还给另一方。但由于标的公司的股权存在司法冻结和股权质押等情形,暂时无法立即实现股权回转之法律程序。在制作和解协议过程中,为确保和解协议之明确且可执行,则需要明确约定股权回转的具体时间或者可以约定在相关股权司法冻结和股权质押等情形取消后的特定期限内完成股权回转的相关法律程序。

(三)调解员和仲裁员之选定问题

贸仲针对仲裁和调解结合的仲裁员选定问题上,规定了由独任仲裁员审理确认,审理程序为独任仲裁员认为适当的程序。根据《中国国际经济贸易仲裁委员会仲裁规则》第四十七条仲裁与调解相结合第(十)款规定,当事人在仲裁程序开始之前自行达成或经调解达成和解协议的,可以依据由仲裁委员会仲裁的仲裁协议及其和解协议,请求仲裁委员会组成仲裁庭,按照和解协议的内容作出仲裁裁决。除非当事人另有约定,仲裁委员会主任指定一名独任仲裁员成立仲裁庭,由仲裁庭按照其认为适当的程序进行审理并作出裁决。具体程序和期限,不受本规则其他条款关于程序和期限的限制。

北仲则规定由仲裁庭对和解协议审查确认。《北京仲裁委员会仲裁规则》第十九条和第四十二条规定,除非当事人另有约定或本规则另有规定,仲裁庭由三名仲裁员组成,由仲裁庭根据调解协议的内容制作调解书或者裁决书。在上述股权投资仲调对接案例中,北仲提出调解员宜同时为融商调解中心的调解员和北仲的仲裁员,这样将有利于仲裁和调解对接的进程。融商调解中心指派张月姣担任本案调解工作。张月姣是我国内地首位WTO上诉机构大法官,世界银行解决投资争端国际中心仲裁员,同时是北仲的仲裁员和融商调解中心的调解员,曾任外经贸部条法司司长,世界贸易组织争端解决机制上诉机构主席,被最高人民法院聘任为国际商事专家委员会首批专家委员。调解阶段,中心调解员张月姣法官同双方积极开展调解工作,最终,该案当场调解成功,当事人就部分争议达成一致。领到调解书时,当事人均对调解结果表示非常满意,认为这种调解模式既新颖又高效,应该被广泛采用,同时也对融商调解中心和张月姣法官的工作表示感谢。

(四)部分裁决问题

我国《仲裁法》第五十五条规定 [2],仲裁庭可以就已经确认的事实部分出具部分裁决书。《北京仲裁委员会仲裁规则》第四十九条第一款和《中国国际经济贸易仲裁委员会仲裁规则》第五十条第(一)款均规定,仲裁庭认为必要或当事人提出请求并经仲裁庭同意的,仲裁庭可以在作出最终裁决之前,就当事人的某些请求事项先行作出部分裁决。由此可见,当事人可以在和解协议中约定就各方当事人已经达成的部分事项请求仲裁庭出具仲裁裁决书,未达成的事项由仲裁机构继续审理。在上述股权投资仲调对接案例中,当事人就部分仲裁请求达成了一致形成和解协议并请求仲裁机构就已经达成一致事项予以先行审查和确认,而未达成一致的仲裁请求继续由仲裁庭进行审理。

(五)仲调对接之裁决书内容问题


我国《仲裁法》第五十四条规定,裁决书应当写明仲裁请求、争议事实、裁决理由、裁决结果、仲裁费用的负担和裁决日期。当事人协议不愿写明争议事实和裁决理由的,可以不写。各方当事人可以在和解协议中约定仲裁裁决书中无需写明争议事实和裁决理由。《北京仲裁委员会仲裁规则》第四十八条第二款和《中国国际经济贸易仲裁委员会仲裁规则》第四十九条第(三)款均规定,当事人协议不写明争议事实和裁决理由的,以及按照双方当事人和解协议的内容作出裁决书的,可以不写明争议事实和裁决理由。在上述股权投资仲调对接案例中,当事人也要求在和解协议中无需写明争议事实和裁决理由,这样可以有效化解矛盾,高效解决纠纷,节省仲裁程序时间。

总之,为实现仲裁与调解相结合的纠纷解决机制,需要熟悉我国仲裁制度方面的法律法规、相关仲裁机构的仲裁规则和调解中心的调解规则。在案件实际的处理过程中,还要积极跟仲裁庭、调解中心等机构加强联系,听取仲裁庭、调解中心等机构的意见和建议,以便为当事人提供有效、高质量的法律服务,成功化解矛盾,有效解决纠纷。


文中备注:

[1]我国《仲裁法》第五十八条规定:"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:(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"。

[2]我国《仲裁法》第五十五条规定:"仲裁庭仲裁纠纷时,其中一部分事实已经清楚,可以就该部分先行裁决"。

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