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钱伯斯2023全球法律指南——中国仲裁领域年度概览
2023年03月11日牛磊 | 萧剀 | 陈昊文

该文章首次发表在钱伯斯(Chambers and Partners)2023全球法律指南中。环球律师事务所受邀独家撰写中国仲裁(Arbitration)领域的专业文章。

 

Overview of Arbitration in China in 2022: Openness, Breakthrough, Unification and Innovation

2022年中国仲裁概览:开放、突破、统一、求新

 

In 2022, arbitration in China is in line with the country's opening-up and has gradually come into line with international arbitration. China is also gradually unifying the standards for judicial supervision and review of arbitration step by step, and continuously improving the efficiency of arbitration procedures with scientific and technological innovation.

2022年,中国仲裁继续明确对外开放的发展方向,逐渐与国际仲裁机制接轨,对内统一仲裁司法监督审查标准,并通过科技创新不断提高仲裁程序效率。

 

Make clear the promotion of foreign-related arbitration: encourage foreign-related arbitration and the surge of foreign-related cases

明确发展涉外仲裁方向:鼓励涉外仲裁以及涉外案件不断增加

 

From the 2022 annual reports issued by major arbitration institutions in China, it can be clearly seen that cases with foreign factors in the parties, arbitration language, applicable law, and applicable arbitration rules accepted by major arbitration institutions, including the China International Economic and Trade Arbitration Commission ("CIETAC"), the Beijing Arbitration Commission (“BAC”), the Shanghai International Arbitration Center (“SHIAC”), and the Shenzhen Court of International Arbitration (“SCIA”) are growing compared to 2021. There has also been a significant increase in the number of foreign-related arbitration cases or the amount of claims in dispute. In 2022, CIETAC issued the UNCITRAL Arbitration Rules Guidelines, which makes it more promising that the number of foreign-related cases administrated by China's arbitration institutions will further increase in the coming years.

从中国境内各大仲裁机构发布的2022年年度报告可以明显看出,包括中国国际经济贸易仲裁委员会(“中国贸仲”)、北京仲裁委员会(“北仲”)、上海国际经济贸易仲裁委员会(“上国仲”)、深圳国际仲裁院(“深国仲”)等主要仲裁机构所受理的案件在当事人、仲裁语言、法律适用、仲裁规则适用中的涉外因素相比2021年均有提升,涉外仲裁案件数量或争议标的也均有大幅提升。中国贸仲于2022年也出台了《联合国贸法会仲裁规则指引》,相信在未来几年中国仲裁机构受理的涉外案件数量将进一步增加。

 

Increasing integration with international arbitration: new breakthroughs in ad hoc arbitration and third-party funding

与国际仲裁日趋接轨:在临时仲裁和第三方资助问题的新突破

 

Article 91 of the Arbitration Law of the People's Republic of China (Revised) (Draft for Comments), issued on July 30, 2021, specifies that parties in foreign-related cases may agree to ad hoc arbitration. On March 18, 2022, the China Maritime Law Association (CMLA) issued the CMLA Ad Hoc Arbitration Rules, and the China Maritime Arbitration Commission (“CMAC”) simultaneously formulated and issued the CMAC Ad Hoc Arbitration Service Rules. In early 2023, CMAC supported and served the very first ad hoc arbitration case in China applying the CMAC Ad Hoc Arbitration Service Rules as the appointing authority. China's ad hoc arbitration achieved a great breakthrough from scratch.

2021年7月30日发布的《中华人民共和国仲裁法(修订)(征求意见稿)》第91条明确了具有涉外因素的当事人可以约定由专设仲裁庭进行临时仲裁。2022年3月18日,中国海商法协会发布《中国海商法协会临时仲裁规则》,中国海事仲裁委员会(“海仲”)同步配套制定并发布《中国海事仲裁委员会临时仲裁服务规则》,2023年初,海仲支持服务了适用该规则的国内临时仲裁第一案,实现了零的突破。

 

In 2022, another hotspot of international arbitration, "Third-party Funding"(“TPF”), also made large progress in China. The Wuxi Intermediate People's Court and the Beijing Fourth Intermediate People's Court rejected the claims of non-enforcement and revocation of an arbitral award filed by the Respondent therein respectively (a foreign-related award made by CIETAC), whose allegation was the arbitration proceeding had significant defects because of TPF. The major holdings of the courts were: (1) there are no prohibitive provisions for the third party to fund the parties in the arbitration; (2) the party's proactive disclosure protects the right to know of the arbitral tribunal and other parties; (3) the arbitrator knows or should have known the conflicts of interest between him/her and the TPF institution is the premise, and then courts should further define whether there is reasonable doubt about the impartiality and independence of the arbitrator; (4) TPF does not violate the arbitration confidentiality principles. For the first time, a Chinese court has fully articulated the TPF issue, which is generally consistent with international arbitration practice. These decisions will facilitate the application and development of the TPF in China's future arbitration procedures.

2022年,国际仲裁另一热点问题“第三方资助”也在国内有所突破。无锡中院和北京四中院分别驳回了某仲裁案的被申请人(由中国贸仲作出的涉外裁决)以第三方资助为由而提起的不予执行和撤销裁决之诉,法院主要观点为:(1)第三方资助当事人仲裁不涉及禁止性规定;(2)当事人主动披露保障了仲裁庭和各方的知情权;(3)仲裁员与第三方资助机构是否存在利益冲突应以仲裁员知悉或应当知悉为前提,并判断仲裁员的公正性和独立性是否存在合理怀疑;(4)第三方资助不违反仲裁保密规则。中国法院首次对第三方资助问题进行全面阐述,观点与国际仲裁中的实践基本一致,促进了第三方资助在中国仲裁程序中的运用与发展。

 

Optimizing the judicial environment for arbitration regulation: unifying standards for judicial review of arbitration

优化仲裁监督司法环境:仲裁司法审查标准的统一

 

On December 31, 2021, after the promulgation of the Minutes of the National Symposium on Foreign-related Commercial and Maritime Trial Work of Courts, courts in several parts of China successively issued the "Judicial Review Report on Commercial Arbitration" or "White Book" and typical cases in 2022 to unify the judicial review and adjudication standards for arbitration. At the same time, the new version of the Provisions of the Supreme People's Court on Issues Concerning the Reporting of Cases Involving Judicial Review of Arbitration for Examination and Approval, which came into force on January 1, 2022, revised the reporting and approval process of arbitration cases involving "non-foreign, Hong Kong, Macao or Taiwan-related case". For these cases, if the high people's court proposes to approve the refusal to enforce or the revocation of an arbitral award issued by a domestic arbitration agency on the ground of “violation of public interest”, it shall report the case to the Supreme People's Court for examination and approval. Uniform standards for arbitration judicial review have enriched China's arbitration judicial review system, and the judicial environment for arbitration supervision has been given more certainty.

2021年12月31日《全国法院涉外商事海事审判工作座谈会会议纪要》发布后,国内多地法院于2022年陆续发布“商事仲裁司法审查报告”或“白皮书”及典型案例,以统一仲裁司法审查裁判标准。同时,2022年1月1日起施行的新版《关于仲裁司法审查案件报核问题的有关规定》对“非涉外涉港澳台”仲裁司法审查案件的报核问题进行了修订,明确规定如果以“违背社会公共利益”为由撤销或不予执行内地仲裁机构的裁决,应当向最高人民法院报核。仲裁司法审查标准的统一让中国仲裁司法审查程序不断完善,中国仲裁的司法监督审查环境更具有确定性。

 

In addition, following the promulgation of the Notice of the Supreme People's Court on Implementing the Arrangement of the Supreme People's Court on Mutual Assistance in Preservation in Arbitration Proceedings between the Courts of the Mainland and the Hong Kong Special Administrative Region in 2019, the Arrangement of the Supreme People’s Court on Mutual Assistance in Preservation in Arbitral Proceedings by the Courts of the Mainland and of the Macao Special Administrative Region was also executed in February 2022 and was implemented on March 25, 2022, thus judicial assistance in arbitration preservation between the Mainland and Macao has been realized.

另外,继2019年《关于内地与香港特别行政区法院就仲裁程序相互协助保全的安排》出台后,2022年2月《关于内地与澳门特别行政区就仲裁程序相互协助保全的安排》也经签署,并于2022年3月25日实施,至此内地与澳门之间实现了仲裁保全的司法协助。

 

Keeping abreast of the times: the application of information technology to arbitration in China

紧跟时代发展:信息技术在中国仲裁的应用

 

By synthesizing their experience in case management during the COVID-19 pandemic, several Chinese arbitration institutions have revised and innovated their arbitration rules. For instance, the latest version of the rules of the BAC clarifies the manner of online hearings and the effectiveness of electronic delivery, the Shanghai Arbitration Commission (“SHAC”) has included green arbitration and smart arbitration into the arbitration rules, and some arbitration institutions have also made the most of blockchain technology, 5G and other new technologies to solve problems such as the fixation and cross-examination of evidence. Advanced information and digitalization in China's arbitration proceedings provide a solid foundation for more flexible and efficient arbitration procedures in the future.

通过总结在新冠疫情期间案件管理的经验,中国多家仲裁机构对仲裁规则进行了修正和创新,如北仲新版规则明确网上开庭方式与电子送达的效力,上海仲裁委员会(“上仲”)将绿色仲裁与智慧仲裁写入仲裁规则,部分仲裁机构还充分利用区块链技术、5G等新技术解决证据固定、质证等难题。中国仲裁程序的信息化、数字化水平的提高,为未来更灵活、高效的仲裁程序提供了坚实基础。