China: 仲裁司法审查新规提要

Last Updated: 16 January 2018
Article by John Liu and Minli Tang

2017年12月29日,最高人民法院发布《关于审理仲裁司法审查案件若干问题的规定》(下称"《审查规定》")和《关于仲裁司法审查案件报核问题的有关规定》(下称"《报核规定》"),该两部司法解释(下称"审查新规")旨在完善我国仲裁司法审查制度,规范案件审查程序。本文就其中涉及的重点加以简析。

一、统一内地、涉外仲裁司法审查核报制度                

长期以来,我国仅对涉外、涉港澳台、外国仲裁案件的司法审查(包括仲裁协议效力、申请承认与执行仲裁裁决)设有逐级报核制度[1],对于纯内地(非涉外涉港澳台)仲裁案件的审查一直未确立审查机制。本次"审查新规"中明确将内地仲裁案件纳入司法审查框架,从而避免法院在审查国内案件时出现裁判尺度不一、法律适用错误等问题。

就拟认定仲裁协议无效,不予承认执行或者撤销仲裁裁决的,根据《报核规定》第2条和第3条的规定:

涉外涉港澳台案件

应当向本辖区所属高级人民法院报核;高级人民法院经审查拟同意的,应当向最高人民法院报核。待最高人民法院审核后,方可依最高人民法院的审核意见作出裁定。

内地案件

审核决定权原则上由本辖区的高级人民法院行使,除非:

1. 当事人住所地跨省级行政区域的,或

2. 以违背社会公共利益由不予执行或者撤销仲裁裁决

在上述两个例外情况下,核报制度与涉外案件相同,应报最高人民法院进行审核。

二、明确相关管辖法院

申请确认仲裁协议效力的案件管辖

根据《审查规定》第2条,普通案件可由仲裁协议约定的仲裁机构所在地、仲裁协议签订地、申请人住所地、被申请人住所地的中级人民法院或者专门人民法院管辖。

海事海商案件,由仲裁协议约定的仲裁机构所在地、仲裁协议签订地、申请人住所地、被申请人住所地的海事法院管辖;上述地点没有海事法院的,由就近的海事法院管辖。

较之原有规定,对于海事海商案件的规定没有变化。而针对普通案件则不再区别内地或涉外涉港澳台案件[2],所有案件均可由上述法院管辖。且在中级法院的基础上增加了专门人民法院(如军事法院、铁路运输法院、海事法院、知识产权法院),进一步扩大可受理该类案件的法院范围。

新增" 关联诉讼/ 仲裁"之关联管辖

实务中存在一些外国的仲裁裁决,被申请人住所地、财产所在地均不在我国境内,但由于审理关联案件的需要,申请人可能仅需我国法院承认外国仲裁裁决而非具体执行裁决的情况。

对此,《审查规定》第3条明确了这类案件由受理申请人关联案件的人民法院管辖,且原则上应为中级人民法院(外国仲裁裁决若与我国内地仲裁案件存在关联,则由内地仲裁机构所在地的中级人民法院管辖)。因此:

当关联案件受理法院为基层法院时,则申请承认外国仲裁裁决的案件应当由该基层法院的上一级人民法院管辖。

当关联案件受理法院是高级人民法院或者最高人民法院,则由上述法院决定自行审查或者指定中级人民法院审查。

对于当事人向两个以上有管辖权的人民法院提出申请的,则应由最先立案的人民法院管辖(《审查规定》第4条)。

三、当事人对法院相关裁定不服的上诉权

《审查规定》对当事人申请确认仲裁协议效力(第5条)、申请执行或者撤销内地仲裁裁决/承认和执行外国仲裁裁决(第6条)时应提交的文件作出了明确规定[3],第7条继而规定当文件不符合要求时,经法院释明再提交仍不符合规定的,裁定不予受理。当事人不服裁定的,可以上诉。

类似的,第8条规定法院立案后发现不符合受理条件的,裁定驳回申请。当事人对该裁定不服的,可以上诉(也可直接再次申请,再次申请符合受理条件的,法院应当受理)。

四、按"有利于协议有效"原则审查涉外仲裁条款效力

在审查仲裁条款有效性时,一般应当首先适用当事人约定适用于仲裁条款的适用法(为针对仲裁条款本身的适用法,而非合同实体问题的适用法)。如当事人没有约定时,国际上较为通行的做法是适用仲裁地法。[4]

《审查规定》对此作出了突破,确立了"有利于协议有效"的原则。其下第14条规定在确定确认涉外仲裁协议效力适用的法律时,当事人没有选择适用法,适用仲裁机构所在地的法律与适用仲裁地的法律将对仲裁协议的效力作出不同认定的,法院应适用确认仲裁协议有效的法律。

上述规定体现出我国支持仲裁的政策态度。需要注意的是,该条款仅适用于涉外仲裁条款效力的审查。对于纯国内仲裁[5],不论是适用于实体争议还是仲裁条款效力的适用法都应当为中国法,当事人不能自由选择适用法,

五、区别对待非涉外仲裁裁决和涉外仲裁裁决的执行申请

《审查规定》第17条明确了申请执行非涉外仲裁裁决和涉外仲裁裁决(为内地仲裁机构作出的涉外裁决,非外国裁决)的审查标准。

对于非涉外仲裁裁决的审查

适用《民事诉讼法》第237条,不予执行的情形有:

(1)无仲裁协议

(2)裁决事项不属于仲裁协议的范围或者仲裁机构无权仲裁的;

(3)仲裁庭的组成或者仲裁的程序违反法定程序的;

(4)裁决所根据的证据是伪造的;

(5)对方当事人隐瞒了足以影响公正裁决的证据的;

(6)仲裁员在仲裁该案时有贪污受贿,徇私舞弊,枉法裁决行为的。

(7)执行该裁决违背社会公共利益的,裁定不予执行。

对于涉外仲裁裁决的审查

适用《民事诉讼法》第274条,不予执行的情形有:

(1)无仲裁协议

(2)被申请人没有得到指定仲裁员或者进行仲裁程序的通知,或者由于其他不属于被申请人负责的原因未能陈述意见的;

(3)仲裁庭的组成或者仲裁的程序与仲裁规则不符的;

(4)裁决的事项不属于仲裁协议的范围或者仲裁机构无权仲裁的。

(5)执行该裁决违背社会公共利益的,裁定不予执行。

可见,对于国内仲裁裁决的审查包含实质性审查(比如对涉案证据进行审查),而对于涉外仲裁裁决则仅进行形式审查。

六、结语

上述两部司法解释的出台,体现出我国支持仲裁的政策态度。把纯内地仲裁案件也纳入到司法审查、核报的制度框架中,有利于适法统一,实则也是对仲裁制度的支持。新规的出台对优化我国现行仲裁制度有着重要意义,促使法院充分发挥对仲裁的司法监督与支持作用,为健全和完善我国多元化纠纷解决机制提供了法律支撑。

To view all formatting for this article (eg, tables, footnotes), please access the original here.

Previously published in Lexology - 11 January 2018

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