China: 最高人民法院加大支持仲裁力度的新举措及其影响 —— "一带一路"纠纷解决的&

Last Updated: 23 January 2018
Article by Aaron Yizhou Deng

最高人民法院公布两部关于仲裁司法审查的正式司法解释,大量涉及跨境仲裁问题,并且都于2018年1月1日起生效。这两部即将直接惠及"一带一路"相关纠纷仲裁的司法解释分别是《关于仲裁司法审查案件报核问题的有关规定》(法释[2017]21号)(简称"报核规定")及《关于审理仲裁司法审查案件若干问题的规定》(法释[2017]22号)(简称"仲裁司法审查规定")。随后,最高人民法院民四庭(即涉外庭)负责人代表最高人民法院就这两部司法解释答记者问,对相关疑问进行了权威解释。本文拟就这两部司法解释背景与宗旨、关于跨境仲裁的要点条款、积极意义及其对今后跨境仲裁实践的影响等方面进行探讨。

一、出台背景及"立法"宗旨

近年来,随着民事诉讼立案登记制度的实施及"一带一路"步伐的加快,更由于多年来中国社会各方面变革所带来的各种社会矛盾纠纷的激增,人民法院受理的案件数量经历了多次"井喷"。一家法院一年收案量即可达10万件(如北京朝阳区法院),导致法院系统在现有条件下不堪重负,难以满足社会对司法公正的需求。

司法只是解决纠纷的"最后一道防线",社会矛盾纠纷的解决不能仅仅依靠法院。为缓解法院审判压力,更好维护纠纷当事人权益,构建综合性、立体化、全方位的社会矛盾化解长效机制,中央出台相关政策,整合加强仲裁、调解等司法外多元化纠纷解决机制。最高法院2016年6月出台《关于人民法院进一步深化多元化纠纷解决机制改革的意见》。同时,为加强国际纠纷解决机制建设,最高人民法院在《关于人民法院为"一带一路"建设提供司法服务和保障的若干意见》中强调"加强涉沿线国家当事人的仲裁裁决司法审查工作",完善司法审查相关机制,统一司法尺度,加大支持仲裁发展力度。这也正是最高人民法院发布这两部仲裁司法审查司法解释的宗旨所在。

二、涉及跨境仲裁司法审查案件的主要亮点规定

(一)《关于仲裁司法审查案件报核问题的有关规定》(法释[2017]21号)("该规定")

1.明确了该规定适用的案件范围(第一条)。

囊括了涉及仲裁的各类纠纷,包括仲裁协议效力纠纷、撤销或执行内地仲裁裁决、承认(认可)或执行涉港澳台仲裁裁决或外国仲裁裁决等案件。

2.重申涉外仲裁司法审查案件的"逐级报核"程序要求(第二条)。

对于人民法院受理的涉外仲裁协议效力确认案件,撤销(不予执行)内地仲裁机构的"涉外"仲裁裁决案件,以及申请承认(认可)与执行外国仲裁裁决的案件,如果受案法院拟做出否定性裁判(即否定仲裁协议效力,不予执行内地仲裁机构的涉外裁决,不予承认(认可)或执行外国仲裁裁决),则须上报至所属高级法院;如果高级法院拟同意该否定性裁判,还应上报至最高法院定夺后,中级法院才能做出相应裁判。

3. 扩大"逐级报核"程序适用范围。

明确了确认仲裁协议效力及当事人提出管辖权异议的仲裁司法审查案件中,对于一审法院不予受理或管辖权异议裁定提起上诉的,二审法院若认为仲裁协议效力有瑕疵的,也须比照该规定第二条逐级上报。这在以前是没有的。

(二)《关于审理仲裁司法审查案件若干问题的规定》(法释[2017]22号)("该规定")

1.明确了"仲裁司法审查"案件的范围(第一条),同《报核规定》第一条。

2.扩大了涉外仲裁协议效力确认案件的管辖法院范围。

此类案件可由四类法院管辖,即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法院或专门法院。而此前的最高法院《第二次全国涉外商事海事审判工作会议纪要》第6条仅规定了后三类管辖法院。

3. 确立了"关联诉讼/仲裁关联管辖"原则(第三条)。这一原则又"花开两朵、各表一枝":

(1)外国仲裁裁决若在中国法院有关联诉讼,则由受理该关联诉讼的法院受理对外国仲裁裁决予以承认的申请。这一原则有助于减轻当事人诉累,提高司法效率,但需满足如下条件:

"仅适用于申请承认外国仲裁裁决案件;

"外国仲裁裁决与人民法院审理的案件存在"关联"关系;

"被申请人的住所地及财产所在地均不在内地。

(2)若外国仲裁裁决与内地仲裁委审理的案件有"关联",则统一由仲裁委所在地中级法院受理对外国仲裁裁决予以承认的申请。

4. 填补和完善管辖权异议程序(第十条)。

人民法院受理的仲裁(含涉外及外国仲裁)司法审查案件中,在中国境内无住所的被申请人,提出管辖权异议的期限为30日;有住所的被申请人为15日。对一审管辖权异议裁定不服的,可以上诉,上诉期限应适用《民事诉讼法》关于涉外案件的规定(即在中国境内无住所的当事人应在30日内、有住所的当事人应在10日内上诉)。

而此前由于没有相关直接规定,仅就申请承认和执行外国仲裁裁决案件的管辖权异议问题,经最高法院判例[1]确认,应比照适用最高人民法院《关于适用《民事诉讼法》执行程序若干问题的解释》第三条[2],即被申请人应在十日内提出管辖权异议;对法院裁定不服的,应向上一级法院申请"复议"而不能提起上诉。

可见,该规定填补了以前的法律空白,将此类案件的管辖权异议程序统一适用《民事诉讼法》涉外案件的管辖权程序,保障了中外当事人的程序权益。

5."大"合同准据法不能当然适用于涉外仲裁条款效力争议(第十三条)。

当事人希望在涉外仲裁协议效力发生纠纷时适用不同准据法的,应当特别约定。也就是说,即便"大"合同笼统约定了整个合同应适用的准据法,也不能当然将其作为涉外仲裁条款效力纠纷的法律依据。相反,当事人应明确地、特别地对其希望适用于涉外仲裁协议效力争议的准据法做出约定。

6. 按支持仲裁原则确定仲裁协议效力纠纷的准据法(第十四条),适用的条件为:

"仅适用于确认涉外仲裁协议效力案件;

"当事人之间未约定过仲裁协议效力争议的准据法(若有约定,则按第十三条执行);

"按相关法律规定[3]应适用"仲裁机构所在地"法或"仲裁地"法,如果二者之一有利于认定涉外仲裁协议有效,则优先适用之。

7.  再次肯认虽未明确约定仲裁机构但根据约定的仲裁规则可以确定仲裁机构的,由该仲裁机构受理(第十五条)。该规定再次证明中国支持仲裁的司法政策倾向,有利于交易安全。在此之前,《第二次全国涉外商事海事审判工作会议纪要》第62条也有类似规定。

8. 《纽约公约》[4]案件中审查仲裁协议效力确认纠纷的准据法特别规定(第十六条)。依《纽约公约》申请承认与执行外国仲裁裁决案件中,被申请人主张仲裁协议无效的,法院审理依据应为"双方当事人选定适用的法律"或"根据作出裁决的国家的法律"。

三、对未来"一带一路"等跨境交易及纠纷的影响

此前,最高法院均以法院"内部通知"、"答复"等非正式形式,就涉外仲裁司法审查案件对下级法院予以指导。而此次以"规定"这种正式司法解释形式予以规范,不但更为规范和透明,而且使得相关内容的法律效力提升了一个台阶。

由于这两部司法解释通过具体、实惠的措施,彰显了中国支持仲裁的坚定立场,提高了仲裁解决纠纷的法律确定性,可以预见未来当事人可能更多地选择仲裁化解"一带一路"相关纠纷;内地仲裁机构及国外的仲裁机构也将受理更多的涉华仲裁案件,其裁决的依据也更加明朗、充分,裁决的可执行性进一步增强。例如,以前由于当事人对仲裁机构名称约定不明确而被认定无效的仲裁条款,今后若依当事人约定的仲裁规则可以确定具体的仲裁机构,则仍然有效。

此外,也将改变跨境交易法律文件的起草思路。例如,如果当事人有此意愿,除了"大"合同笼统约定准据法外,也可另行明确约定如果合同中仲裁条款效力发生争议时,应当适用何种法律;即便当事人意图适用与"大"合同相同的准据法,也需再次明确如此约定才有效。

同时,人民法院受理的关联诉讼或内地关联仲裁案件可能增加。与外国仲裁裁决具有关联性的案件,如果被人民法院或内地仲裁委受理,则该外国仲裁裁决的执行也应到关联诉讼法院或仲裁机构地的法院申请。相应地,当事人出于诉讼策略等因素的考量,可能会故意在外国仲裁裁决做出之后(甚至在做出之前)在人民法院提起关联诉讼或在内地仲裁机构提起关联仲裁。

总之,在"一带一路"背景下,这两部司法解释通过增加仲裁司法审查案件的管辖法院、将以前认为无效的仲裁条款认定为有效、将以前可能无效的仲裁机构条款认定为有效,再加上"逐级报核"制度的明确化及扩大适用,以及司法程序性保障措施的加强(比如管辖权异议程序的明确)等一系列措施,有力的证明了中国一贯支持仲裁的司法立场,提高了中国的司法公信力;也必将有利于"一带一路"等跨境民商事纠纷的解决及当事人权益的司法保障,最终促进"一带一路"及其他跨境交往的可持续发展。

参考文献:



[1] 即最高人民法院 (2012)民申字第1393号 申请承认和执行外国仲裁裁决再审案裁决,可在中国裁判文书网http://wenshu.court.gov.cn/上搜索。

[2] 第三条规定,"人民法院受理执行申请后,当事人对管辖权有异议的,应当自收到执行通知书之日起十日内提出。 ...;管辖权异议审查和复议期间,不停止执行。"

[3] 即中国《涉外民事关系法律适用法》第十八条:"当事人可以协议选择仲裁协议适用的法律。当事人没有选择的,适用仲裁机构所在地法律或者仲裁地法律。"

[4] 即1958年《承认及执行外国仲裁裁决公约》。

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