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VENUE也可以被认定为“SEAT”(印度案例)

20191031日,在Raj Kumar Brothers vs Life Essentials Personal Care, O.M.P. (COMM) 435/2019& I.As.14406-14409/2019案中,印度德里高等法院以无管辖权为由裁定驳回当事人的撤裁申请,理由是该案当事人约定审理地(venue)为Gurgaon,而其意图是排除所有其他法院,虽然实际的审理地在德里,但是法院认定德里为审理地(venue),而仲裁地(seat)是Gurgaon,即当事人约定的审理地即仲裁地。

一、背景介绍

本申请是由撤裁申请人根据1996《仲裁与调解法》第34条提出的对独任仲裁员于20181129日作出的裁决的撤裁申请。该申请人将该申请提交印度德里高等法院。

撤裁被申请人主张,依照当事方之间的协议第36条和第37条,与协议有关的争议的管辖区为Gurugram(印度首都德里的一个卫星城)。

协议规定如下:

36.如果当事双方之间就本协议或与之有关的任何事项产生任何争议或分歧,则各方应试图通过相互友好协商进行解决。在15天内无法达成解决方案的,则该争议将提交给双方共同同意的独任仲裁员进行仲裁解决;适用1996《仲裁与调解法》及其修正案的规定,审理地(venue)为GurgaonGurugram的别名),程序应以英语进行。

37.与本协议有关的所有争议均应由Gurgaon管辖

36. In the event of any dispute or differences arising between the parties in regard to this agreement or any matter connected therewith, the same will be attempted to be resolved amicably by the parties inter Se. Falling such resolution within 15 days, the dispute shall then be referred to and settled by Arbitration of a sole Arbitrator to be mutually agreed. The provisions of the Arbitration and Conciliation Act, 1996 and its amendment/ s shall be applicable. The venue of Arbitration shall be Gurgaon and the proceedings shall be conducted in English.

37. All disputes related to this Agreement shall be subject to GURGAON jurisdiction.

申请人反驳,并指出在就被申请人根据1996年《仲裁与调解法》11条第6款在旁遮普邦和哈里亚纳邦高等法院(Gurugram该地的高等法院)审理的申请中的反对意见,该法院指示当事人去位于新德里的德里国际仲裁中心(Delhi International Arbitration Centre (DIAC), New Delhi)解决争议,而仲裁程序实际上在德里进行,而且仲裁的真正审理地(venue)也是德里,因此本案的德里高等法院法院有管辖权。

被申请则主张依照1996年《仲裁与调解法》第3637条,由于当事方分别位于Gurugram和加尔各答,合同是在Gurugram履行的,因此,当事方决定在Gurugram进行仲裁程序,并将与协议有关的争议限制在在Gurugram地域管辖权范围内。仲裁地为Gurugram,根据《仲裁与调解法》34条,Gurugram法院有权受理该申请。此外,旁遮普邦和哈里亚纳邦高等法院根据《仲裁与调解法》11条第 6 款针对该裁决作出的裁定对被申请人的本申请并无关系,理由是德里只是为了各方方便而进行仲裁的临时审理地。

二、法院认定

法院认为,根据当事人的主张,以及合同的约定,当事人确定仲裁程序是在Gurugram进行,被申请人的所在地也在Gurugram正是由于这个原因,使得被申请人主张旁遮普邦和哈里亚纳邦高等法院有管辖权来任命仲裁员。此外,各方还将所有争议都限于Gurugram的管辖范围内。申请人主张被申请人所认为的德里是仲裁的真实审理地(venue)因此也是仲裁地(seat)的说法不成立,理由是(i)由于Gurugram受旁遮普和哈里亚纳邦高等法院的管辖,因此根据1996《仲裁与调解法》11 条该法院是申请的主管法院;ii 1996《仲裁与调解法》20条的规定承认当事方有权选定其司法地/仲裁地的自由,而若当事人对此未能达成协议的,则仲裁庭有权来选定仲裁程序的司法地点(to fix a juridical place for the conduct of the proceedings)。此外,仲裁庭还可依其裁量权,基于一系列原因(例如记录证据,检查文件,货物或其他财产),在管辖地/仲裁地以外的地点进行会议。(That apart, the parties have also limited all the disputes to jurisdiction of Gurugram. The plea of the learned counsel for the petitioner that Delhi being the "venue" of arbitration and as such, jurisdictional place /seat, is not appealing for the reason (i) that the Punjab and Haryana High Court was the Competent Court for a petition under Section 11 of the Arbitration & Conciliation Act as Gurugram falls under its jurisdiction;(ii) the provisions of Section 20 of the Arbitration and Conciliation Act,1996, inasmuch as sub-section 1 of Section 20 recognizes the freedom of the parties to fix the juridical place / seat of their choice. Sub-section 2 of the same section confers the power on the arbitral tribunal where the parties have failed to arrive at an agreement in that regard to fix a juridical place for the conduct of the proceedings. The Sub-section 3 of Section 20 give a discretion to the arbitral tribunal to meet at a place other than the jurisdictional place / seat of arbitration for variety of reasons such as recording of evidence, inspection of documents, goods or other property beingat that place etc.

20条规定如下:

20.仲裁地

1)当事人可以自由约定仲裁地。

2)如果没有第(1)款所指的任何协议,则仲裁庭在考虑案件情况的基础上(包括各方的便利)来决定仲裁地。

3)尽管有第(1)款或第(2)款的规定,除非当事人另有协议,否则仲裁庭可以在其认为适当的任何地方会议来进行磋商,以对证人、专家、或当事人进行审理活动,或者对文件、货物或其他财产进行检查。

20. Place of arbitration.—

(1) The parties are free to agree on the place of arbitration.

(2) Failing any agreement referred to insub-section (1), the place of arbitration shall be determined by the arbitral tribunal having regard to the circumstances of the case, including the convenience of the parties.

(3) Notwithstanding sub-section (1) or sub-section (2), the arbitral tribunal may, unless otherwise agreed by the parties, meet at any place it considers appropriate for consultation among its members, for hearing witnesses, experts or the parties, or for inspection of documents, goods or other property.

印度最高法院在Reliance Industries v. Union of India, (2014) 7 SCC603案中裁定如下:BALCO (2012) 9 SCC 552案中清楚指出1996《仲裁与调解法》第2条第2款的 “地点place)称为司法地” juridical seat)。第20条第1款和第20条第2款条中的用地点place)一词等同于司法地” juridical seat),而在第20条第3款中地点place)一词等同于审理地(venue),这种解释已经是常例了。(The amended Act, does not, however, contain the aforesaid amendments, presumably because the BALCO (2012) 9 SCC 552 judgment inno uncertain terms has referred to "place" as "juridicalseat" for the purpose of Section 2(2) of the Act. It further made it clear that Sections 20(1) and 20(2) where the word "place" is used, refers to "juridical seat", whereas in Section 20(3), the word "place" is equivalent to "venue". This being the settled law, it was found unnecessary to expressly incorporate what the Constitution Bench of the Supreme Court has already done by way of construction of the Act.

因此,在本案中,双方已约定Gurugram为审理地(venue),该案件属于1996《仲裁与调解法》第20 条第1款,而非第 2款或第3款的规定,因此审理地(venue),必须被理解为司法地” juridical seat)。The case in hand, wherein the parties have agreed to Gurugram to be the "venue", it is a case which falls under Section 20(1) [not under Section 20 (2) or Section 20(3)] of the Arbitration and Conciliation Act and the word "venue" must read to mean"place" i.e. juridical seat.

被申请人主张选择DIAC的原因仅仅是因为当事方之一设在加尔各答,而另一方则设在Gurugram,德里是方便地。法院注意到发现高等法院不是根据DIAC而是根据2014年的Chandigarh仲裁中心规则来调整仲裁员费用的,该规则在这方面也表明在德里是临时审理地(venue),而非仲裁地(seat

印度最高法院在Brahmani River Pellets Limited v. Kamachi Industries Limited (2019)SCC OnLine SC 929一案中裁定如下,Indus Mobile Distribution (P) Ltd. v. Datawind Innovations (P) Ltd. and others (2017) 7 SCC 678案考虑了审理地(venue)和仲裁地(seat)的区别,法院裁定,关于第20条第1款和第20条第2款条中的用地点place)一词等同于司法地” juridical seat),而在第20条第3款中,地点place)一词等同于审理地(venue)而言,这是固定的法理了(settled law),因此没有必要再通过法院解释的方式将其运用于法律条文的解释中。而一旦指定仲裁地,其后果就类似于专属管辖权条款。在仲裁地方面,当事人也可以选择中立的审理地(venue),而审理地可能不具有管辖权,即没有任何诉因是在中立审理地产生的,并且该规定也不带有《民事诉讼法》第16到第21条。然而,对于仲裁地(seat),其孟买仲裁地一经确定,即使得孟买法院拥有专属管辖权,以调整基于当事人之间达成的协议而产生的仲裁程序。(A conspectus of all the aforesaid provisions shows that the moment the seat is designated, it is akin to an exclusive jurisdiction clause. On the facts of the present case, it is clear that the seat of arbitration is Mumbai and Clause 19 further makes it clear that jurisdiction exclusively vests in the Mumbai courts. Under the Law of Arbitration, unlike the Code of Civil Procedure which applies to suits filed in courts, a reference to "seat" is a concept by which a neutral venue can be chosen by the parties to an arbitration clause. The neutral venue may not in the classical sense have jurisdiction -- that is, no part of the cause of action may have arisen at the neutral venue and neither would any of the provisions of Sections 16 to 21 of CPC be attracted. In arbitration law however, as has been held above, the moment "seat" is determined, the fact that the seat is at Mumbai would vest Mumbai courts with exclusive jurisdiction for purposes of regulating arbitral proceedings arising out of the agreement between the parties.)若有一个以上的法院具有管辖权,则当事人可以选择其一。若合同就此约定某一法院的管辖权,则只有该法院具有该案管辖权,排除所有其他法院。在本案中,当事各方已同意,仲裁的审理地(venue)为Bhubaneswar考虑到Bhubaneswar为审理地的当事人达成的协议,其意图是排除所有其他法院。如在Swastik案中法院所判,是否使用专属管辖权专有单独等词语对案件性质没有实质影响。(Where the contract specifies the jurisdiction of the court at a particular place, only such court will have the jurisdiction to deal with the matter and parties intended to exclude all other courts. In the present case, the parties have agreed that the "venue" of arbitration shall be at Bhubaneswar. Considering the agreement of the parties having Bhubaneswar as the venue of arbitration, the intention of the parties is to exclude all other courts. As held in Swastik, non-use of words like "exclusive jurisdiction", "only", "exclusive","alone" is not decisive and does not make any material difference.

因此,德里高等法院认为约定的审理地Gurugram是案件的真实仲裁地,案件的实际审理地德里只是审理地(venue),因此其自身并无管辖权以受理本申请。

三、评论

本案涉及对于印度1996《仲裁与和解法》中的仲裁地的解释,第20条第1款和第20条第2款的地点place)一词等同于司法地” juridical seat),而在第20条第3款中地点place)一词等同于审理地(venue)。通常而言,在仲裁案件中仲裁地(seat)和审理地(venue)之间有着严格的区别,仲裁可以在仲裁地以外的地方进行审理,其裁决仍然视为在仲裁地作出,并且撤裁案件的管辖权属于仲裁地法院。本案中当事人在最初在仲裁地不明时被旁遮普邦和哈里亚纳邦高等法院(Gurugram该地的高等法院,在本案中嗣后被认定为具有管辖权的法院)要求去新德里的DIAC仲裁,嗣后当事人在德里法院提出撤裁申请时德里法院又裁定有管辖权的法院是上述法院,而不是其自身,其关键之处就在于严格区分仲裁地(seat)和审理地(venue),旁遮普邦和哈里亚纳邦高等法院让当事人去DIAC仲裁并且程序在德里进行只是说明德里是审理地(venue),而只要当事人仲裁协议中约定的审理地被法院认定为排除所有其他法院,则该审理地的约定实际上是仲裁地(seat)的约定。