China: 《新加坡调解公约》对缔约国中国之效力研究

Last Updated: 26 August 2019
Article by Qin Wei
Most Read Contributor in China, October 2019

2018年12月20日,第73届联合国大会在纽约决议通过《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》")。《公约》适用于调解所产生的国际和解协议,将有助于发展和谐的国际经济关系。

2019年8月7日,经联合国授权,《公约》在新加坡开放签署。包括中国、美国、印度、新加坡等首批签署的国家已达46个。中国商务部部长助理李成钢代表中国政府签署了该公约,中国系《新加坡调解公约》之缔约国。

一、《新加坡调解公约》之正式生效

《公约》规定:
"第11条签署、批准、接受、核准、加入
2.本公约须经签署国批准、接受或者核准。"
"第14条生效
1.本公约应于第三份批准书、接受书、核准书或者加入书交存后六个月生效。"

根据上述《公约》规定,《新加坡调解公约》虽已于2019年8月7日经46个国家签署,但《公约》并未立即生效,尚有待各签署国国内批准、接受或者核准后交存批准书、接受书、核准书或者加入书,并将在交存至第三份后六个月正式生效。鉴于联合国及新加坡等签署国的持续努力和积极推动,合理预期2020年《公约》将会正式生效。

二、《新加坡调解公约》之中国批准

《公约》规定:
"第11条签署、批准、接受、核准、加入
2.本公约须经签署国批准、接受或者核准。"

《中华人民共和国缔结条约程序法》规定:
" 第七条条约和重要协定的批准由全国人民代表大会常务委员会决定。

前款规定的条约和重要协定是指:
(一)友好合作条约、和平条约等政治性条约;
(二)有关领土和划定边界的条约、协定;
(三)有关司法协助、引渡的条约、协定;
(四)同中华人民共和国法律有不同规定的条约、协定;
(五)缔约各方议定须经批准的条约、协定;
(六)其他须经批准的条约、协定。

条约和重要协定签署后,由外交部或者国务院有关部门会同外交部,报请国务院审核;由国务院提请全国人民代表大会常务委员会决定批准;中华人民共和国主席根据全国人民代表大会常务委员会的决定予以批准。"

"第十五条 经全国人民代表大会常务委员会决定批准或者加入的条约和重要协定,由全国人民代表大会常务委员会公报公布。其他条约、协定的公布办法由国务院规定。"

根据上述《公约》规定和中国法律规定,《新加坡调解公约》经中国政府代表签署后,鉴于《公约》明确要求需经签署国批准、接受或者核准,且《公约》内容与中华人民共和国法律规定不尽相同,因此《公约》在中国尚需依照法定程序批准:

1.由外交部或者国务院有关部门会同外交部,报请国务院审核;
2.由国务院提请全国人民代表大会常务委员会决定批准;
3.中华人民共和国主席根据全国人民代表大会常务委员会的决定予以批准;
4.经全国人民代表大会常务委员会决定批准后,由全国人民代表大会常务委员会公报公布。

三、《新加坡调解公约》之中国生效

《公约》规定:
"第10条保存人
兹指定联合国秘书长为本公约保存人。"
"第11条签署、批准、接受、核准、加入
4.批准书、接受书、核准书或者加入书应交存保存人。"
"第14条生效
2.一国在第三份批准书、接受书、核准书或者加入书交存之后批准、接受、核准或加入本公约的,本公约应于该国交存批准书、接受书、核准书或者加入书之日后六个月对其生效。"

《中华人民共和国缔结条约程序法》规定:
"第十七条 中华人民共和国缔结的条约和协定由外交部按照联合国宪章的有关规定向联合国秘书处登记。"

根据上述《公约》规定和中国法律规定,《新加坡调解公约》经中国正式批准后,将由中国外交部按照联合国宪章的有关规定向联合国秘书处登记,并将中国批准书交存《公约》指定的保存人联合国秘书长。

因此,在《公约》满足"本公约应于第三份批准书、接受书、核准书或者加入书交存后六个月生效"的已生效前提下,中国正式向联合国秘书处交存中华人民共和国批准书之日后六个月,《公约》方对缔约国中国生效。

四、《新加坡调解公约》之保留选择

《公约》规定:
"第8条保留

1.公约当事方可声明:
(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。
2.除本条约明确授权的保留外,不允许作出任何保留。
3.公约当事方可随时作出保留。在签署时作出的保留,必须在批准、接受或者核准时加以确认。此类保留应在本公约对有关公约当事方生效时同时生效。批准、接受或者核准本公约或者加入本公约时作出的保留,或者在根据第13条作出声明时作出的保留,应在本公约对公约有关当事方生效时同时生效。保留书在公约对公约该当事方生效后交存的,于交存日后六个月生效。
4.保留书及其确认书应交存保存人。
5.根据本公约作出保留的公约任何当事方可随时撤回保留,此种撤回书应交存保存人,并应于交存后六个月生效。"

根据上述《公约》规定,签署、批准、接受、核准、加入《新加坡调解公约》的当事方有权自行选择随时作出保留也可随时撤回保留,既可在签署时声明适当保留(须在批准、接受或者核准时对保留予以确认),也可在批准、接受或者核准《公约》或者加入《公约》时作出适当保留。但可保留的选择事项仅限于《公约》明确授权的两项:(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;和/或(b)本公约适用,唯需和解协议当事人已同意适用本公约。

五、《新加坡调解公约》之中国保留建议

中国作为缔约国在2019年8月7日签署《新加坡调解公约》时未作任何保留声明。建议中国可考虑充分利用《公约》赋予当事方可随时保留也可随时撤回保留的灵活机制,在全国人民代表大会常务委员会审议批准《公约》时在《公约》第8条规定的可保留事项范围内作出如下适当保留:

保留原则:中国、中国中央及地方各级政府机构及代表政府机构行事的任何人为一方当事人的和解协议不适用《公约》。通过该保留避免在《公约》框架下,中国、中国中央及地方各级政府机构及代表政府机构行事的人在他国法域被强制执行的不利局面,也可避免中国、中国中央及地方各级政府机构及代表政府机构行事的人在中国被要求强制执行的尴尬局面。

保留例外:在特定国际商事纠纷的和解协议中,中国、中国中央及地方各级政府机构及代表政府机构行事的任何人为一方当事人且其为纯粹的债权人方时,则可以通过在该和解协议中,各方当事人书面明确约定"同意适用《联合国关于调解所产生的国际和解协议公约》"以排除保留。达到个案选择具体适用《公约》之目的,并在《公约》框架下,通过在中国国内或在他国法域申请强制执行国际和解协议,更多元地有效保护国家利益。

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