China: 如何 选择仲裁机构 —— 不同仲裁 机构的 规则 分析 (仲裁员选任 篇)

Last Updated: 13 December 2017
Article by Allbright Law Office

锦天城律师事务所
刘炯汤旻利骆伟兰

中国法下,对于涉外经济贸易、运输和海事中发生的纠纷,当事人可提交我国涉外仲裁机构或者其他仲裁机构仲裁,也即意味着该类案件,当事人对于仲裁机构的选择扩展到了全球范围。

根据伦敦大学玛丽皇后学院(Queen Marry, University of London)对国际仲裁所做的调查问卷 1显示,最受当事人欢迎的仲裁地前五位分别是伦敦、巴黎、香港、新加坡及日内瓦位列。而当事人选择最多的五大仲裁机构分别为国际商会国际仲裁院(ICC)、伦敦国际仲裁院(LCIA)、香港国际仲裁中心(HKIAC)、新加坡国际仲裁中心(SIAC)以及斯德哥尔摩商会仲裁院(SCC)。

在选择仲裁机构时,需要考虑的因素包括但不仅限于机构的国际声誉、收费情况、案件类型、当事方国籍、可获得的配套法律支持性服务(如临时保全措施、司法执行情况)、仲裁规则等。仲裁规则不仅决定案件审理的效率,也会对案件的结果产生重要影响。横向来看,各仲裁机构的规则都有一定的相似性,同时也有独具特色的规则。

本系列文章着重解析各大仲裁机构的仲裁规则中一些在实务操作过程中需加以额外注意的规则条款。第一篇涉及快速程序(简易/紧急程序)、第二篇事关仲裁员的选任、第三篇讨论临时保全/救济措施及仲裁费用、第四篇着眼某些仲裁机构下的特有规则(核阅裁决书草案以及审理范围书方面等的规定)。

本文为系列文章的第二篇,围绕仲裁员的选任问题展开讨论有关选任仲裁员的自由度、申请仲裁员回避的时间期限、仲裁员更换后对案件审理的影响等问题。文章基于对具体规则的分析,进一步提出实务建议,帮助当事人更好地了解、选择仲裁规则。

1、仲裁员选任的自由度

仲裁庭的组成与仲裁员的选任是当事人选择仲裁机构时的重要考量因素,能否自由选任仲裁员、自由选择的范围多大,在很大程度上决定了当事人对预期仲裁结果的把握大小,并能给予其不同程度的心理保障。

- CIETAC 2015年版规则

CIETAC备有仲裁员名册。当事人可从仲裁委员会制定的仲裁员名册中选定仲裁员,也可约定在名册之外选定仲裁员,但需经仲裁委员会主任确认。

除非当事人另有约定或规则另有规定,仲裁庭由三名仲裁员组成。(第25条、第 26条)

- ICC 2017年版规则

ICC无仲裁员名册。可由仲裁院或秘书长确定或任命仲裁员,秘书长亦可确认当事人提名的或根据协议提名的人选担任仲裁员、独任仲裁员和首席仲裁员。

若当事人无约定,仲裁院应任命一名独任仲裁员。(第12条、第13条)

- LCIA 2014年版规则

LCIA无仲裁员名册,但有一个为当事方提供备选参考的数据库。仲裁院独享任命仲裁员的权力,并且其任命仲裁员的权力不受当事人之间就申请、答复产生的争议的影响,即使申请、答复有瑕疵,仲裁院仍可以继续推动程序的进行。当事双方或任何第三方不享有任命仲裁员的权力,只能提名仲裁员。

除非当事人书面约定或仲裁院认为由三名仲裁员审理更为合适,应由一名仲裁员仲裁。(第5条)

- HKIAC 2013年版规则

HKIAC备有仲裁员名册。当事人可提名独任仲裁员,或在三位仲裁员仲裁的情形中各自提名一位仲裁员,若未提名,则由HKIAC指定。当事人或仲裁员提名的仲裁员均须经仲裁中心确认。

若当事人未约定仲裁员人数,则由HKIAC决定提交独任仲裁员或三位仲裁员。(第6条、第7条、第8条、第9条)

- SIAC 2016年版规则

SIAC备有仲裁员名册。当事人可约定仲裁员,但当事人或第三方对仲裁员的提名均需以院长的指定为前提。

除非当事人另有约定,案件应指定一名独任仲裁员审理;或者当事人可向主簿提出申请,主簿在考虑争议事项的复杂性、涉案金额等情况后决定是否指定三名仲裁员。(第9条)

- SCC 2017年版规则

SCC无仲裁员名册。当事人可以约定仲裁庭的指定程序;未约定或未指定时,,则由理事会指定。

若当事人未约定仲裁员人数,理事会可根据案件复杂性、争议金额等情况决定提交一名或三名仲裁员。(第16条、第17条)

实务建议

在上述仲裁规则下,对于仲裁员的选任存在不同的规定:可由当事人直接选任;仲裁机构独享任命权,当事人只能提名。对于当事人可以自行选任仲裁员又可细分为三种情况:可以完全自由选任;先自由选任,后需仲裁机构批准;在仲裁员名册中选 任,对于名册外的选任需仲裁机构确认。

对于一些已有仲裁员候选人的当事人来说,要提前确认自身成功指定该仲裁员的可能性。在签订仲裁协议前、争议发生前,都可提前与仲裁机构进行沟通,确认自己的候选人是否在名册中、是否满足该仲裁机构对仲裁员的选任标准,以免发生出乎意料的结果。

另外,要注意各规则下对仲裁员人数的默认规则是独任还是三人,就此提前在仲裁协议中进行约定,以免出现期望人数与实际人数相悖的情况。

2、申请仲裁员回避的时间期限

在仲裁程序中仲裁员回避的情形屡屡发生。当事人申请仲裁员回避的时间期限也就尤为重要,切实关乎当事人的利益。

- CIETAC 2015年版规则

CIETAC规定,以仲裁员曾经披露的事项为由申请该仲裁员回避的,申请回避的起算点为收到仲裁员的书面披露时起,并应于收到后10日内书面提出回避申请。

以仲裁员的声明书及/或披露的信息之外的事项为由申请仲裁员回避的,应于收到组庭通知后15日内以书面形式提出;若于收到组庭通知15日后得知要求回避的事由,则可于得知回避事由后15日内提出,但不得晚于最后一次开庭终结。(第32条)

- ICC 2017年版规则

当事人应于收到任命或确认该仲裁员的通知之后30日内提交要求仲裁员回避的申请。

若当事人收到任命或确认该仲裁员通知后方得知申请回避所依据的事由,则应于得知申请回避所依据的事由之日起30日内提交回避申请。(第14条)

- LCIA 2014年版规则

当事人对仲裁员的异议必须在组庭后的14日内,或在提出异议的一方知悉或应当知悉存在上述异议事由后14日内书面向仲裁院提出。(第10条)

- HKIAC 2013年版规则

当事人应于收到确认仲裁员通知后15日内发出质疑通知,若在提名之后才获悉质疑理由的,应于其获悉或理应获悉质疑事由之日起15日内发出质疑通知。(第11条)

- SIAC 2016年版规则

当事人应自收到关于该仲裁员被指定的通知之日起14日内申请仲裁员回避,或于其得知或应当得知该仲裁员存在回避情形之日起14日内提交申请回避通知书。(第15条)

- SCC 2017年版规则

当事人应自其得知产生异议的情形之日起15日内书面提出异议(第19条)

实务建议

各大机构就申请仲裁员回避的期限一般为15日左右,只有ICC将期限放宽至30日。对此,当事人可根据个案情况积极进行一定的案件推进工作,比如,提交申请注明案件的迫切性,要求仲裁机构缩短期限。

同时,在仲裁庭未最终正式组庭的情况下,对于一些需要迫切处理的事项可申请使用紧急仲裁/紧急仲裁员程序,保障案件的正常进行。(具体可参见:如何选择仲裁机构——不同仲裁机构的规则分析(快速程序篇))

3、仲裁员更换

在仲裁过程中,会出现由于仲裁员自行回避或被申请回避,或者其他事由导致仲裁员不能继续履行职务的情况。在实际操作中,对于仲裁员更换需要注意的主要问题:(1)是否继续审理或重新审理;(2)由谁决定是否继续审理或重新审理。对此不同规定会导致仲裁程序的不同走向和流程,会影响仲裁的进度,甚至是最终裁决结果。

- CIETAC 2015年版规则

出现替换事由后,由仲裁委员会主任对是否更换仲裁员作出终局决定且可不说明理由。在特殊情况下(最后一次开庭终结后三人仲裁庭中的一名仲裁员因死亡或被除名等情形而不能参加合议及/或作出裁决),另外两名仲裁员可请求仲裁委员会主任更换该仲裁员,也可在征求双方当事人意见并经由仲裁委员会主任同意后继续仲裁。重新选定或指定仲裁员后,由仲裁庭决定是否重新审理及重新审理的范围,(第33条、第34条)

- ICC 2017年版规则

当出现需要替换仲裁员的事由后,由仲裁员决定是否按照原提名程序重新提名仲裁员,仲裁庭重新组成后,仍由仲裁庭决定是否重新进行、以及在何种程度上重新进行仲裁。在程序终结后,仲裁院在其认为适当的情形下可以决定对死亡的仲裁员或免职的仲裁员不进行替换,而由余下的仲裁员继续仲裁。(第15条)

- LCIA 2014年版规则

仲裁法院可决定是否按照原来的提名程序委任仲裁员;仲裁法院倘若决定按照原来的提名程序,任何给予当事人重新提名的机会如未在14日(或由仲裁法院规定的更短期限)之内行使应被取消,其后由仲裁法院指定替换仲裁员。(第11条)

- HKIAC 2013年版规则

仲裁员更换后,仲裁中心可以指定替代仲裁员继续仲裁,若案件已宣告审理终结,仲裁中心可授权其他仲裁员继续仲裁并作出任何决定或裁决。(第12条)

- SIAC 2016年版规则

若独任仲裁员或首席仲裁员被更换,除非当事人另有约定,此前进行过的任何开 庭均应重新进行。若更换其他仲裁员,仲裁庭可决定是否重新开庭;若此前仲裁庭已作出中间裁决或部分裁决,对属于前述裁决中的事项不得重新开庭审理。(第15条、第16条、第17条、第18条)

- SCC 2017年版规则

若仲裁员由理事会解除指定或死亡,由理事会指定新的仲裁员。若由当事人指定,则由当事人指定新的仲裁员;若仲裁庭由三名或多名仲裁员组成,理事会可决定其他仲裁员继续仲裁程序(即若只有一名仲裁员,仲裁应重新进行);新组成的仲裁庭可决定是否以及在多大范围内重复先前程序。(第21条)

实务建议

替换仲裁员会导致整个仲裁程序的延长。替换过程本身就耗费时间,也会产生额外的费用,对于替换仲裁员后可能发生的重新审理更使得整个仲裁程序出现倒转,会给当事人带来实质性的额外负担(时间、金钱成本等)。

然而,对于替换和重新审理也要区分个案进行评估。当仲裁员确实无法胜任,或明显存在缺乏中立性、独立性的情况下,则必须及时提出替换申请。对于重新审理,虽然必然导致重复劳动,但许多情况下也给予当事人第二次机会,可以在重新审理过程中有再一次获得有利裁决的机会。因此,实践中不能一概而论。当出现替换仲裁员的合理理由时,对于在已经进行的仲裁程序中处于弱势的当事人,不妨尽可能积极申请并运用重新审理过程中的新机会。而对于已经处于有利地位的当事人,则要特别注意防范对方当事人利用替换仲裁员及重新审理来翻转最终的仲裁结果,积极推进仲裁员替换后的继续审理。

另外,需要注意的是,各仲裁规则下一般由仲裁机构或仲裁庭直接决定是否重新仲裁,虽然最终决定的主动权不在当事人,但是当事人并非完全被动——在相关决定作出之前还是可以提交申请,说明应该/不应重新仲裁的理由,帮助决策者厘清情况,以此争取对自己有利的决定。

Footnote

1 参见:2015 International Arbitration Survey: Improvements and Innovations in International Arbitrationhttp://www.arbitration.qmul.ac.uk/research/2015/

Originally published by Lexology, July 25 2017

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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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