China: 中国加入《新加坡调解公约》的意义与影响

Last Updated: 15 August 2019
Article by Jia Hui
Most Read Contributor in China, July 2019

2019年8月7日,《联合国关于调解所产生的国际和解协议公约》(以下简称"《新加坡调解公约》"或"《公约》")签署仪式在新加坡举行。67个国家和地区的代表团参加了签署仪式,中国商务部部长助理李成钢代表中国政府签署该公约,目前《新加坡调解公约》签署国已达46个 1。一带一路服务机制暨一带一路国际商事调解中心主席王丽博士受邀参与见证了这一签署仪式。该公约旨在解决国际商事调解达成的和解协议的跨境执行问题,在诉讼、仲裁之外进一步健全了国际商事争议解决的调解制度。

一、《新加坡调解公约》的主要内容和特点

(一)适用范围

《新加坡调解公约》适用于调解所产生的、当事人为解决商事争议而以书面形式订立的国际协议。根据《公约》第1条和第2条的规定,其适用须同时满足以下五点要求:(1)争议须为国际商事纠纷,国内商事纠纷不适用此公约;(2)必须有第三方介入调解而达成的和解协议,争议双方自行达成和解协议不适用于本公约;(3)和解协议为非经法院或仲裁裁决确认并获得执行的协议;(4)和解协议必须为书面形式;(5)《公约》在消费者保护、雇佣劳动、抚养、婚姻、继承方面不适用。

其中,对于"国际"这一概念的界定,《公约》在第1条第1款中规定"(a)和解协议至少有两方当事人在不同国家设有营业地;或者(b)和解协议各方当事人设有营业地的国家不是:(一)和解协议所规定的相当一部分义务履行地所在国;或者(二)与和解协议所涉事项关系最密切的国家"。简言之,和解协议当事人营业地在不同国家,或者和解协议履行地、纠纷最密切联系地与当事人营业地不属同一国家,即具有国际性。

(二)和解协议的执行程序

不同于《纽约公约》,《新加坡调解公约》仅有执行程序而无承认程序。《公约》第3条规定了和解协议执行的一般原则,即公约当事方应按照本国程序规则并根据公约规定的条件执行和解协议。如果就一方当事人声称已经由和解协议解决的事项发生争议,公约当事方应当允许该当事人按照本国程序规则并根据公约规定的条件援引和解协议,以证明该事项已经得到解决。该原则一方面赋予了缔约国在执行程序中更大的自主权;另一方面,执行地主管机关原则上只需对和解协议进行形式审查,只有在当事人提出请求时,才须根据请求范围对和解协议进行有限实质审查,使得执行程序简化、高效。 2

(三)拒绝准予救济的情形

拒绝准予执行规定于《公约》第5条当中,大致包括以下两类:第一类为需要当事人自行提供证据证明的情形,包括:(1)和解协议的一方当事人无行为能力;(2)和解协议根据适用的法律本身无效、失效或无法履行;(3)和解协议条款不具有约束力、不具有终局性或随后被修改;(4)和解协议中的义务已经履行或不清楚、无法理解;(5)准予救济有悖于和解协议条款;(6)调解员严重违反适用于调解员或调解的准则,或调解员未履行披露义务。

第二类为公共政策保留,主要包括:(1)准予救济将违反公约当事方的公共政策;(2)根据公约该当事方的法律,争议事项无法以调解方式解决。

(四)保留条款

《新加坡调解公约》第8条第1款赋予缔约国作出两项保留的权利。公约当事方可声明保留:(a)对于其为一方当事人的和解协议,或者对于任何政府机构或者代表政府机构行事的任何人为一方当事人的和解协议,在声明规定的限度内,本公约不适用;(b)本公约适用,唯需和解协议当事人已同意适用本公约。

《公约》第8条第1款(a)项的规定着眼于争议主体的商事性,对于以政府机构为主体签订的和解协议,可以通过缔约国声明保留而不适用于本公约。(b)项表明,对于除政府机构外的其他主体签订的和解协议,除非当事人在和解协议中约定排除适用,否则自动适用《新加坡调解公约》,为和解当事人提供了较大的适用弹性。

二、中国加入《新加坡调解公约》的意义

(一)中国加入《公约》有利于彰显我国"构建人类命运共同体"的价值观。

2018年3月中国通过宪法修正案,将"推动构建人类命运共同体"写入我国宪法。这表明,中国在以往所倡导的和谐世界观、可持续发展观之外,又逐步树立起相互依存的国际权力观、共同利益观和全球治理观,以"命运共同体"的新视角,寻求人类共同利益和共同价值的新内涵。 3这些新理念为建设人类命运共同体提供了基本的价值观基础,也为法律全球化提供了理论依据。 4《新加坡调解公约》未引入类似于"仲裁地"和"和解地"的概念,实际上是旨在建立一个执行和解协议的普惠机制,显示了多边主义的价值,加入《公约》彰显了中国作为全球第二大经济体和负责任的大国积极参与全球治理的态度。

(二)中国加入《公约》有利于拓展"一带一路"多元化纠纷解决机制。

《新加坡调解公约》的签署国中有43个签署国为"一带一路"沿线国家。"一带一路"国家多数存在政治经济不稳定、司法环境恶劣、政策多变等问题,传统的诉讼与仲裁并不能完全满足中国根据"一带一路"倡议在沿线国家进行投资与扩大经贸往来的争端解决需求。 5自《纽约公约》签订以来逐渐出现了仲裁异化的现象,国际仲裁变得越来越冗长,程序越来越复杂,证据的形式要求越来越诉讼化,仲裁费日益攀升。实际上,在可以通过公开渠道查明的案件中,中国政府和企业在国际纠纷解决当中利用斡旋、调停、调解、磋商的比例实际上远远大于利用国际诉讼、仲裁来维护中国投资者权利的比例。 6

(三)中国加入《公约》将推进我国商事调解制度的完善。

首先,我国尚未形成系统的商事调解法律体系,目前已有的关于调解的规定散见于《民事诉讼法》、《人民调解法》、《仲裁法》等法律中。加入《新加坡调解公约》将倒逼我国尽快出台与《公约》相衔接的配套制度。其次,加入《公约》将推动国内设立更多的独立调解机构。目前中国大陆建立的独立的、较成熟的调解中心较少,主要包括上海经贸商事调解中心、一带一路国际商事调解中心等。一带一路国际商事调解中心(BNRMC)互联网调解系统于2016年10月开发并上线运行。自成立以来,一带一路国际商事调解中心已经组建了经验丰富的专业调解员队伍,由265名来自世界各地的杰出法律学者和专业人员组成,包括中国、意大利、印度尼西亚、马来西亚、厄瓜多尔、巴西、英国、越南、俄罗斯、新加坡、德国、奥地利、印度、法国、西班牙、葡萄牙、尼日利亚等国。通过线上线下对接、诉调对接、仲调对接等方式,BNRMC已调解超过500起商业纠纷,成功率近70%。借助中国加入《新加坡调解公约》这一契机,我国国内有望成立更多独立的调解机构,以迎合国际背景下多元化纠纷解决机制的浪潮。 7《公约》还有利于进一步扩大我国的商事调解法律市场,吸引更多专职调解员加入国际商事调解的队伍。《公约》将推动调解收费成为常态,有利于增强商事调解员的专业化、职业化,并充分调动其调解工作积极性。

三、中国加入《新加坡调解公约》的影响

(一)对我国法律体系的影响

中国加入《公约》将首先面临与国内法律体系的衔接问题。《新加坡调解公约》为吸引更多缔约国的加入,在条款设置上较为开放、灵活,需要各缔约国通过配套的国内法律体系来执行。目前,我国尚未出台与商事调解相关的专门立法,为使国际商事和解协议得到顺利执行,我国需要出台新的法律或对现有法律进行修改和细化,其中重点需要作出规定或细化的内容包括:

(1)执行和解协议的管辖法院,包括对级别管辖和地域管辖的具体规定;

(2)申请执行和解协议需要提供的相关文件(除《公约》规定的文件外,申请执行和解协议的主体还需要提供与我国法院执行程序相衔接的相关文件);

(3)对于调解员身份认定、调解员披露义务的具体规定(目前我国法律不认可个人作出调解的效力,调解协议须以机构名义作出);

(4)对于和解协议的存在、有效性及可执行性的认定程序和标准,尤其是如何对虚假调解进行辨别和查明;

(5)对于不予执行和解协议救济程序的具体规定等。

(二)对建立国际调解服务市场的影响

中国加入《公约》对于商事调解服务市场的建立既是机遇也有挑战。一方面,我国将面临成熟的国际商事调解机构的竞争;但另一方面,借助加入《公约》的契机,我国构建和完善配套法律制度的步伐将进一步加快,我国的调解机构与其他国际调解机构的交流学习也会逐步增加。例如,一带一路国际商事调解中心于今年7月1日和4日在哈萨克斯坦阿斯塔纳国际金融中心和阿拉木图分别挂牌成立调解室。"一带一路"国际商事调解中心与哈萨克斯坦IUS国际仲裁中心签署《关于仲裁和调解领域互助合作的协议》。双方协定将把由IUS国际仲裁中心受理的与中国相关的仲裁案件推荐给"一带一路"国际商事调解中心,由双方互荐仲裁员和调解员解决经济纠纷。"一带一路"国际商事调解中心还向格列什尼科夫等12人颁发了调解员资质证书。另外,在加入《公约》前,我国香港地区就已开始大力推动调解制度的发展。香港在2013年颁布了《调解条例》(HongKong Mediation Ordinance 2013(CAP602)),并随后出台《调解实务指引》(PracticeDirection – 31 Mediation),借助《公约》带来的红利,香港在国际争议解决服务市场中的地位将进一步得到提升。 8

(三)对我国司法执行工作的影响

有观点认为,中国加入《新加坡调解公约》将导致申请执行和解协议的案件数量激增,挤占司法资源。需要明确的是,执行申请的产生不是因为"调解"而是因为和解协议得不到自觉执行而产生的。 9事实上,商事调解是在专业调解员的指导下协助各方当事人达成和解,相对于诉讼和仲裁而言,当事人在自愿和解的情况下对于和解协议的执行意愿将更高。如和解协议无法得到有效执行,当事人还需进一步选择其他的争议解决方式,这将占用更多的司法资源。因此,调解作为一种替代性争议解决方式,将会更加有效地减轻司法执行人员的负担,反而会使得司法资源的分配更加合理化 10

(四)对于我国营商环境的影响

加入《新加坡调解公约》有利于推动我国建立多元、高效的争议解决机制,节约当事人的争议解决成本。同时,"以和为贵"的传统文化优势有助于提高中国商事调解的成功率,这对于在中国开展商事活动将起到促进作用。加入《公约》还为营业地在中国或可执行财产在中国的企业带来更多优先合作机会,进一步激发企业活力。 11结合当前中国的"一带一路"合作倡议,中国加入《公约》将有助于我国企业"走出去",拓展经贸合作,也有助于为与中国有关的国际商事主体创造更加公平、高效的营商环境。

文中备注:

1国家列表如下(按签约顺序):新加坡(Singapore),阿富汗(Afghanistan),白俄罗斯(Belarus),文莱(Brunei),布基纳法索(Burkina Faso),智利(Chile),中国(China),哥伦比亚(Columbia),刚果共和国(Congo),刚果民主共和国(Democratic Republic of the Congo),史瓦帝尼(Eswatini),斐济(Fiji),格鲁吉亚(Georgia),格林纳达(Grenada),海地(Haiti),洪都拉斯(Honduras),印度(India),伊朗(Iran),以色列(Israel),牙买加(Jamaica),约旦(Jordan),哈萨克斯坦Kazakhstan),老挝(Laos),马来西亚(Malaysia),马尔代夫(Maldives),毛里求斯(Mauritius),黑山共和国(Montenegro),尼日利亚(Nigeria),北马其顿(North Macedonia),帕劳(Palau),巴拉圭(Paraguay),菲律宾(the Philippines),卡塔尔(Qatar),韩国(Republic of Korea),萨摩亚(Samoa),沙特阿拉伯(Saudi Arabia),塞尔维亚(Serbia),塞拉利昂(Sierra Leone),斯里兰卡(Sri Lanka),东帝汶(Timor-Leste),土耳其(Turkey),乌干达(Uganda),乌克兰(Ukraine),美国 (United States of America),乌拉圭(Uruguay),委内瑞拉(Venezuela)。

2参见赵平、蒋灵:"《新加坡调解公约》的意义和在中国的适用",上海国际仲裁论坛,载于http://www.legaldaily.com.cn/Arbitration/content/2019-08/08/content_7959177.htm(2019年8月9日最后访问)

3参见2011年《中国的和平发展》白皮书。

4参见温先涛:"《新加坡公约》与中国商事调解——与《纽约公约》《选择法院协议公约》相比较",载于《中国法律评论》2019年第1期,第208页。

5参见袁培浩:"《新加坡公约》与中国的'一带一路'",载于https://mp.weixin.qq.com/s/9gCa1biux7U9zQO6tjNODw,(2019年8月9日最后访问)

6同上

7参见赵平、蒋灵:"《新加坡调解公约》的意义和在中国的适用",上海国际仲裁论坛,载于http://www.legaldaily.com.cn/Arbitration/content/2019-08/08/content_7959177.htm(2019年8月9日最后访问)

8参见孙巍:"就加入《新加坡公约》几点疑虑的回应",载于http://www.zhonglun.com/content/2019/04-30/1100050624.html(2019年8月9日最后访问)

9参见韩正:"《新加坡公约》与中国选择的若干问题再探讨",金茂法律评论,载于https://mp.weixin.qq.com/s/xmikmx0DIZirGT_qJes2gg(2019年8月9日最后访问)

10参见孙巍:"就加入《新加坡公约》几点疑虑的回应",载于http://www.zhonglun.com/content/2019/04-30/1100050624.html(2019年8月9日最后访问)

11有关《新加坡调解公约》的八个问题,载于法制日报网络版,2019年4月9日

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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.

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