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《联合国国际贸易法委员会仲裁规则》的适用问题

发布时间:2024-04-24 16:02:32

引言

在全球化的今天,国际贸易已成为推动世界经济发展的重要力量。然而,随着贸易活动的增加,商业争端的发生也在所难免。如何有效、公正地解决这些争端,成为了各国法律界和商业界关注的焦点。在这个背景下,《联合国国际贸易法委员会 (UNCITRAL) 仲裁规则》(以下简称《UNCITRAL仲裁规则》)应运而生。这套规则自1976年发布以来,已经在全球范围内广泛应用于解决各种商业争端,其影响力不容忽视。本文将对《UNCITRAL仲裁规则》进行介绍,探讨其在国际贸易法中的地位和影响,以期为读者提供理解和参考。

一、《UNCITRAL仲裁规则》的制定背景

联合国国际贸易法委员会是联合国大会在1966年为了推动国际商业法的统一和协调而设立的特别机构。该机构的主要工作是准备和推动各种形式的国际商业法规范,包括公约、示范法、立法指南、规则、法律文本草案和解释性文本等。这些规范覆盖了广泛的商业活动领域,如国际货物销售、国际商事仲裁、可转让信用证、国际运输合同、电子商务等。

《UNCITRAL仲裁规则》是联合国国际贸易法委员会的一项重要成果。《UNCITRAL仲裁规则》最初于1976年发布,后于2010年、2021年分别进行了修订,以适应国际商业仲裁的新发展和新需求。《UNCITRAL仲裁规则》为解决国际商业争端提供了一个公正、有效的框架。它们规定了仲裁程序的各个阶段,包括提出仲裁请求、组成仲裁庭、仲裁审理、作出仲裁裁决等。这套规则的特点是具有灵活性和中立性,其可以适用于各种不同的法律体系和商业环境。具言之,《UNCITRAL仲裁规则》的适用不仅体现在联合国国际贸易法委员会的仲裁活动中,也在临时仲裁中被国际商事仲裁主体广泛援引。

二、《UNCITRAL仲裁规则》主要条款的内容

《UNCITRAL仲裁规则》对仲裁程序的申请以及作出裁决整个阶段都进行了详细规定。为了更直观地凸显《UNCITRAL仲裁规则》的特点,有必要对其的主要条款进行介绍。

Article 3 仲裁通知

任何一方当事人希望启动仲裁程序,需要向对方和仲裁机构发送一份仲裁通知。这份通知应包括对争端的简要描述,涉及的合同或其他法律关系,以及申请人希望获得的救济:

1. The party or parties initiating recourse to arbitration (hereinafter called the "claimant") shall communicate to the other party or parties (hereinafter called the "respondent") a notice of arbitration. 

2. Arbitral proceedings shall be deemed to commence on the date on which the notice of arbitration is received by the respondent.

3. The notice of arbitration shall include the following: (a) A demand that the dispute be referred to arbitration; (b) The names and contact details of the parties; (c) Identification of the arbitration agreement that is invoked; (d) Identification of any contract or other legal instrument out of or in relation to which the dispute arises or, in the absence of such contract or instrument, a brief description of the relevant relationship; (e) A brief description of the claim and an indication of the amount involved, if any; (f) The relief or remedy sought; (g) A proposal as to the number of arbitrators, language and place of arbitration, if the parties have not previously agreed thereon.

4. The notice of arbitration may also include: (a) A proposal for the designation of an appointing authority referred to in article 6, paragraph 1; (b) A proposal for the appointment of a sole arbitrator referred to in article 8, paragraph 1; (c) Notification of the appointment of an arbitrator referred to in article 9 or 10. 

5. The constitution of the arbitral tribunal shall not be hindered by any controversy with respect to the sufficiency of the notice of arbitration, which shall be finally resolved by the arbitral tribunal.

Article 7&9 仲裁庭的组成

通常情况下,仲裁庭由三名仲裁员组成,申请人和被申请人各指定一名,并由选定的两名仲裁员共同选定第三名仲裁员作为首席仲裁员:

Article 7

1. If the parties have not previously agreed on the number of arbitrators, and if within 30 days after the receipt by the respondent of the notice of arbitration the parties have not agreed that there shall be only one arbitrator, three arbitrators shall be appointed.

Article 9

1. If three arbitrators are to be appointed, each party shall appoint one arbitrator. The two arbitrators thus appointed shall choose the third arbitrator who will act as the presiding arbitrator of the arbitral tribunal.

Article 21 答辩书和反请求

被申请人在接到仲裁通知后,需要在规定的时间内提交答辩书。如果被申请人希望提出反请求,也应在答辩书中提出:

1. The respondent shall communicate its statement of defence in writing to the claimant and to each of the arbitrators within a period of time to be determined by the arbitral tribunal. The respondent may elect to treat its response to the notice of arbitration referred to in article 4 as a statement of defence, provided that the response to the notice of arbitration also complies with the requirements of paragraph 2 of this article.

2. The statement of defence shall reply to the particulars (b) to (e) of the statement of claim (art. 20, para. 2). The statement of defence should, as far as possible, be accompanied by all documents and other evidence relied upon by the respondent, or contain references to them.

3. In its statement of defence, or at a later stage in the arbitral proceedings if the arbitral tribunal decides that the delay was justified under the circumstances, the respondent may make a counterclaim or rely on a claim for the purpose of a set-off provided that the arbitral tribunal has jurisdiction over it.

4. The provisions of article 20, paragraphs 2 to 4, shall apply to a counterclaim, a claim under article 4, paragraph 2 (f), and a claim relied on for the purpose of a set-off.

Article 28 开庭审理

案件审理包括证据的提交、证人的询问、听证会的举行等:

1. In the event of an oral hearing, the arbitral tribunal shall give the parties adequate advance notice of the date, time and place thereof.

2. Witnesses, including expert witnesses, may be heard under the conditions and examined in the manner set by the arbitral tribunal.

3. Hearings shall be held in camera unless the parties agree otherwise. The arbitral tribunal may require the retirement of any witness or witnesses, including expert witnesses, during the testimony of such other witnesses, except that a witness, including an expert witness, who is a party to the arbitration shall not, in principle, be asked to retire.

4. The arbitral tribunal may direct that witnesses, including expert witnesses, be examined through means of telecommunication that do not require their physical presence at the hearing (such as videoconference).

Article 34-36 答辩书和反请求

仲裁庭应根据双方的主张和证据以及适用的法律,在审理后,作出裁决。裁决应以书面形式发出,说明作出裁决的理由,并指明裁决日期和地点。一旦作出,裁决通常是终局的,对双方具有约束力,除非在特定的情况下(如发现仲裁程序存在严重瑕疵),否则不能上诉:

Article 34

1. The arbitral tribunal may make separate awards on different issues at different times.

2. All awards shall be made in writing and shall be final and binding on the parties. The parties shall carry out all awards without delay.

3. The arbitral tribunal shall state the reasons upon which the award is based, unless the parties have agreed that no reasons are to be given.

4. An award shall be signed by the arbitrators and it shall contain the date on which the award was made and indicate the place of arbitration. Where there is more than one arbitrator and any of them fails to sign, the award shall state the reason for the absence of the signature.

5. An award may be made public with the consent of all parties or where and to the extent disclosure is required of a party by legal duty, to protect or pursue a legal right or in relation to legal proceedings before a court or other competent authority.

6. Copies of the award signed by the arbitrators shall be communicated to the parties by the arbitral tribunal.

三、《UNCITRAL仲裁规则》与中国仲裁制度的完善

《UNCITRAL仲裁规则》的修订历程对中国仲裁制度以及仲裁规则的完善有着重要的参考价值。《UNCITRAL仲裁规则》深刻把握了国际商事仲裁的发展趋势,充分尊重了当事人的意思自治。因此,中国在完善仲裁立法以及仲裁机构在修订仲裁规则时,可以参照和借鉴《UNCITRAL仲裁规则》,具有包括以下几个方面:

首先,取消关于仲裁协议必须为书面形式的明确规定。目前,许多仲裁机构的仲裁规则已经采取了这种方式,例如2010年的《SIAC仲裁规则》、2010年的《SCC仲裁规则》以及2009年的《AAA 仲裁规则》。这种方式在《UNCITRAL仲裁规则》的修订后得到了进一步的确认,即不再将仲裁协议存在的形式拘泥于“书面”。

其次,适度扩大仲裁机构接受案件的范围,增加当事人可以提交的争议类型。目前,中国大部分仲裁机构接受的案件范围仍然局限于“合同纠纷和其他财产权益纠纷”。2010年的《UNCITRAL仲裁规则》规定“任何类型的法律纠纷,只要双方当事人同意,都可以选择仲裁作为解决争议的方式。这包括但不限于合同关系和非合同关系产生的纠纷”都可以提交仲裁,不再仅限于“与合同有关的争议”。观察其他仲裁机构的仲裁规则,很少有对仲裁机构接受案件范围进行限制的,面对国际仲裁市场日趋激烈的竞争,如果中国想要建立国际化的仲裁机构并在国际市场中取得优势,就必须打破许多束缚性的规定。

再次,适当考虑建立允许第三方加入的合并仲裁制度。中国的仲裁机构可以参考《UNCITRAL仲裁规则》的相关规定,确保合并仲裁满足两个前提条件:一是必须经过任何一方当事人的申请;二是该第三方必须书面同意加入仲裁协议,成为仲裁协议的一方。

最后,关于仲裁员的责任豁免问题。《UNCITRAL仲裁规则》以及许多大陆法系和英美法系的国家都在仲裁规则中增加了仲裁员责任豁免制度,如在2000年《美国统一仲裁法案》*中规定“仲裁员在履行职能时不对任何民事行为负责,除非他们的行为是有意为之的、恶意的或是严重过失的”。考虑到增强仲裁员在仲裁过程中的独立性,中国仲裁机构的仲裁规则也应加入这一规定,使仲裁员能够在最大程度上独立、公正地处理案件。*Section 14 of Uniform Arbitration Art: “(a) An arbitrator or an arbitration organization acting in that capacity is immune from civil liability to the same extent as a judge of a court of this State acting in a judicial capacity. (b) The immunity afforded by this section supplements any immunity under other law. (c) The failure of an arbitrator to make a disclosure required by Section 12 does not cause any loss of immunity under this section.”

四、《UNCITRAL仲裁规则》的影响

《UNCITRAL仲裁规则》是一套在全球范围内广泛使用的仲裁规则,在处理国际商业争端时,《UNCITRAL仲裁规则》提供了一套公正、透明和高效的机制。因其能够促进争端的公正解决,同时也考虑到了不同法律系统和文化背景的差异,所以这些规则在全球范围内被广泛接受和应用。《UNCITRAL仲裁规则》的一个重要特点是其程序的灵活性,这些规则允许在尊重公正和效率原则的前提下,根据具体的案件情况和双方的意愿,对仲裁程序进行适当的调整。这使得《UNCITRAL仲裁规则》能够有效地处理各种类型和规模的国际商业争端,并在国际商业争端解决中起到了重要的作用并产生了深远的影响。以下是《UNCITRAL仲裁规则》在全球的影响包括以下几个方面:

1. 普遍适用性:《UNCITRAL仲裁规则》不仅被包括在许多国际商业合同中,也被许多国家和地区的法律接受和采用。这些规则的普遍适用性使得各方在跨国争议解决中有了一个公认的标准,大大提高了仲裁的效率和公正性。

2. 对国家法律的影响:《UNCITRAL仲裁规则》在全球范围内对各国的国内仲裁法产生了重要影响。许多国家在制定或修订其国内仲裁法时,都会参考《UNCITRAL仲裁规则》,以确保其法律与国际仲裁实践保持一致。这不仅有助于提高各国法律的国际兼容性,也有助于提高其国内仲裁制度的公正性和有效性。

3. 推动全球仲裁实践的发展:《UNCITRAL仲裁规则》在全球范围内推动了仲裁实践的发展。它们对仲裁程序的详细规定,如仲裁庭的组成、证据的收集和裁决的制定等,为全球的仲裁实践提供了重要的指导。许多仲裁机构和实践者都会参考《UNCITRAL仲裁规则》来进行仲裁,从而提高仲裁的公正性和效率。

4. 示范法的作用:《UNCITRAL仲裁规则》也起到了示范法的作用,为各国和地区提供了一套可以参考和采用的仲裁规则。这使得各国和地区可以根据自己的法律环境和实际需要,对《UNCITRAL仲裁规则》进行适当的修改和调整,从而更好地适应自己的法律系统和实际情况。

5. 在投资争议解决中的应用:《UNCITRAL仲裁规则》在投资争议解决中也发挥了重要作用。许多投资条约和协议都选择《UNCITRAL仲裁规则》作为争议解决的方式,这使得投资者和国家在解决争议时有了一个公认的标准和程序,从而提高了争议解决的公正性和效率。

《UNCITRAL仲裁规则》是全球商业仲裁实践的重要组成部分,其影响力广泛且深远。这些规则不仅为国际商业争议提供了一种公正、透明和高效的解决机制,也在全球范围内推动了仲裁实践的发展。在实践上,对仲裁程序的详细规定,为仲裁实践者提供了重要的指导,从而提高了仲裁的公正性和效率。 

五、结 语

总的来说,《UNCITRAL仲裁规则》在全球范围内产生了深远的影响,该规则对保护国际商业和投资活动,推动全球仲裁实践的发展,以及影响各国的国内仲裁法、国际仲裁机构的仲裁规则都起到了重要的作用。《亚太国际仲裁院仲裁规则》在《UNCITRAL仲裁规则》为蓝本的基础上,结合亚太地区的法律环境、商业习惯、文化背景等因素,进行了一些适应性的修改和补充,使其更符合亚太地区的实际需求。同时,这些规则也吸收了《UNCITRAL仲裁规则》中的许多优秀元素,如公正性、独立性、灵活性和高效性等,以便为亚太地区的商事纠纷提供一个公正、有效的解决途径。我们期待这些规则将继续在未来的国际商业争议解决中发挥其重要作用。

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