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​2020年2月3日至7日,联合国国际贸易法委员会将继续审议关于快速仲裁的条文草案(附中英文文本)

202023日至7日,联合国国际贸易法委员会(UNCITRAL)将在纽约召开第二工作组(争议解决)会议,审议关于快速仲裁的条文草案,以及其如何与UNCITRAL现有文本相结合。工作组将在本届会议结束时通过一份报告,以提交暂定于202076日至17日在纽约举行的委员会第五十三届会议。

工作组一致认为快速仲裁是一种精简的简易程序,缩短了时限,从而能够以有成本效益和时间效益的方式达成解决争议的最终办法,而本草案的起草和通过将着眼于提高仲裁程序效率,从而减少程序费用和延续时间,而且微型、小型和中型企业将极大受益于快速仲裁。

工作组认为其应侧重于建立一个关于快速仲裁的国际框架,但不应影响该框架的形式,如一套快速仲裁的规则、示范条款和指导意见案文(快速仲裁条文)并与《UNCITRAL仲裁规则》。此外,随着取得进展对其他工作形式(如示范条款和准则)进行审议。

就具体形式而言,工作组认为快速仲裁条文既可将其作为《UNCITRAL仲裁规则》的附录提出,也可将其作为独立的案文(自成一体或与《UNCITRAL仲裁规则》相互参引)。虽然对各种办法各有利弊,但其最终目的需确保方便用户使用。

UNCITRAL提供了两种快速仲裁条文模式,其中一种是独立的案文,另一种是以对《UNCITRAL仲裁规则》进行修正的方式。二者的内容相同。究竟采取何种方式,以及最终的案文究竟为什么样子还有待于202023日至7日的会议讨论。

以下是A/CN.9/WG.II/WP.212/Add.1号文件中节取的作为《UNCITRAL仲裁规则》的附录提出的作为独立的案文的快速仲裁条文。作为《UNCITRAL仲裁规则》的修正案的条文亦在该文件中。最终文本有待会议商定。(文本请见:阅读原文)。

  贸易法委员会仲裁规则》附录

 

Appendix to the UNCITRAL Arbitration Rules

条文草案 第1条(适用范围)

1.除非当事人另有约定,否则《快速仲裁条文》应[适用][可适用]于根据于[《快速仲裁条文》生效日]或之后订立的仲裁协议,在《贸易法委员会仲裁规则》下提起的仲裁。

2.仲裁协议在[《快速仲裁条文》生效日]之前订立的,《贸易法委员会仲裁规则》第1条第2款中的推定不适用于《快速仲裁条文》。

3.当事人可在程序期间随时确定是否对仲裁适用《快速仲裁条文》。

4.在特殊情况下,一方当事人可请求仲裁庭确定不对仲裁适用《快速仲裁条文》。

5.在确定是否对仲裁适用《快速仲裁条文》时,应考虑到案件的总体情况,其中包括:

 (a)   争议金额(仲裁通知中提出的索赔额、在对仲裁通知的答复中提出的任何反请求和补充请求);

 (b)   争议的性质和复杂性;

 (c)   解决争议的紧迫性;以及

 (d)   争议金额与预估仲裁费用是否相称。

 

6.仲裁庭

[备选案文A在邀请当事人表达意见后,应确定是否对仲裁适用《快速仲裁条文》][备选案文B:应一方当事人请求并在邀请当事人表达意见后,可确定不对仲裁适用《快速仲裁条文》]

如果仲裁庭尚未组成,指定机构将应一方当事人的请求并在邀请当事人表达意见后作出该决定。

 

7.当根据第3款或第6款确定不对仲裁适用《快速仲裁条文》时,仲裁庭应保持不变,除非当事人同意更换任何仲裁员或重组仲裁庭。

Draft provision 1 (Scope of application)

1.Unless otherwise agreed by the parties, the Expedited Arbitration Provisions shall [apply] [be applicable] to arbitration initiated under the UNCITRAL Arbitration Rules pursuant to an arbitration agreement concluded on or after [the effective date of the Expedited Arbitration Provisions].

2.The presumption under article 1(2) of the UNCITRAL Arbitration Rules does not apply to the Expedited Arbitration Provisions, where the arbitration agreement was concluded before [the effective date of the Expedited Arbitration Provisions].

3.At any time during the proceedings, the parties may determine whether the Expedited Arbitration Provisions shall apply to the arbitration.

4.In exceptional circumstances, a party may request the arbitral tribunal to determine that the Expedited Arbitration Provisions shall not apply to the arbitration.

5.In determining whether the Expedited Arbitration Provisions shall apply to the arbitration, consideration should be given to the overall circumstances of the case, including:

(a) The amount in dispute (the sum of claims made in the notice of arbitration, any counterclaims made in the response thereto as well as additional claims);

(b)  The nature and complexity of the dispute;

(c)  The urgency of the resolution of the dispute;and

(d) The proportionality of the amount in dispute to the estimated cost of arbitration.

6.The arbitral tribunal, 

[option A: after inviting the parties to express their views, shall determine whether the Expedited Arbitration Provisions apply to the arbitration] [option B: upon request of a party and after inviting the parties to express their views, may determine that the Expedited Arbitration Provisions shall not apply to the arbitration].

In case the arbitral tribunal has not been constituted, the appointing authority will make that determination upon request by a party and after inviting the parties to express their views.

7.When it is determined that the Expedited Arbitration Provisions shall not apply to the arbitration pursuant to paragraphs 3 or 6, the arbitral tribunal shall remain in place, unless the parties agree to replace any arbitrator or reconstitute the arbitral tribunal.

条文草案 第2条(仲裁通知)

1.仲裁通知应符合《贸易法委员会仲裁规则》第3条第3款和第20条第2款至第4款的要求。

Draft provision 2 (Notice of arbitration)

1.The notice of arbitration shall comply with the requirements of article 3, paragraph 3 and article 20, paragraphs 2 to 4 of the UNCITRAL Arbitration Rules.

条文草案 第3条(仲裁员人数)

除非当事人另有约定,否则应设一名仲裁员。

Draft provision 3 (Number of arbitrators)

Unless otherwise agreed by the parties, there shall be one arbitrator.

条文草案 第4条(仲裁员的指定)

1.应由双方当事人共同指定独任仲裁员。

2.如果在

[备选案文A:被申请人收到仲裁通知]

[备选案文B:对方所有当事人收到关于指定独任仲裁员的建议]

之后的[较短时限,待定,如1530]内,双方当事人尚未就此达成协议,则应一方当事人的请求,指定机构应根据《贸易法委员会仲裁规则》第8条第2款指定仲裁员。

Draft provision 4 (Appointment of the arbitrator)

1.The sole arbitrator shall be appointed jointly by the parties.

2.If within [a short time period to be determined, for example, 15 or 30 days] after [option A: receipt by the respondent of the notice of arbitration][option B: receipt by all other parties of a proposal for the appointment of a sole arbitrator] the parties have not reached agreement thereon, the arbitrator shall, at the request of a party, be appointed by the appointing authority in accordance with article 8(2) of the UNCITRAL Arbitration Rules.

条文草案 第5条(指派和指定机构)

1.除非当事人已就选择指定机构达成约定,否则一方当事人可随时提名一个或数个机构或个人,包括海牙常设仲裁法院(以下称常设仲裁院)秘书长,由其中之一担任指定机构。

2.在对方所有当事人收到根据第1款的提名后[30]天内,如果双方所有当事人未能就选择指定机构达成约定,任何一方当事人均可请求常设仲裁院秘书长指派指定机构或担任指定机构。

[2. 在对方所有当事人收到根据第1款的提名后[30]天内,如果双方所有当事人未能就选择指定机构达成约定,

备选案文A:任何一方当事人均可请求常设仲裁院秘书长指派指定机构或担任指定机构。

备选案文B:常设仲裁院秘书长[或任何待确定的其他组织]将担任指定机构。

备选案文C:而且任何一方当事人均未向常设仲裁院秘书长提出指派指定机构的请求,常设仲裁院秘书长[或任何待确定的其他组织]将担任指定机构。]

Draft Provision 5 (Designating and appointing authorities)

1.Unless the parties have already agreed on the choice of an appointing authority, a party may at any time propose the name or names of one or more institutions or persons, including the Secretary-General of the Permanent Court of Arbitration at The Hague (hereinafter called the “PCA”), one of whom would serve as appointing authority.

2.If all parties have not agreedon the choice of an appointing authority within [30] days after a proposal made in accordance with paragraph 1 has been received by all other parties, any party may request the Secretary-General of the PCA to designate the appointing authority.

[2.If all parties have not agreed on the choice of an appointing authority within [30] days after a proposal made in accordance with paragraph 1 has been received by all other parties,

Option A: any party may request the Secretary-General of the PCA to designate the appointing authority or to serve as appointing authority.

Option B: the Secretary-General of the PCA [or any other organization to be determined] would serve as appointing authority.

Option C: and no request has been made by any party to the Secretary-General of the PCA to designate the appointing authority, the Secretary-General of the PCA [or any other organization to be determined] would serve as appointing authority.]

条文草案 第6条(案件管理会议和临时时间表)

1.仲裁庭组成后,仲裁庭[][]根据实际情况尽快召开案件管理会议,就仲裁庭根据《贸易法委员会仲裁规则》第17条第1款进行仲裁的方式与当事人协商。

2.此类会议可通过面对面会议、电话、视频会议或其他通信手段进行。在当事人未达成协议的情况下,仲裁庭应确定举行会议的适当方式。

3.仲裁庭一经组成,在邀请当事人表达意见后,仲裁庭应根据实际情况尽快按照《贸易法委员会仲裁规则》第17条第2款制定仲裁临时时间表。在确定时间表时,仲裁庭应考虑到条文草案第7条和第13条中规定的时限。

Draft provision 6 (Case management conference and provisional timetable)

1.As soon as practicable after its constitution, the arbitral tribunal [may] [shall] convene a case management conference to consult the parties on the manner in which the arbitral tribunal would conduct the arbitration in accordance with article 17(1) of the UNCITRAL Arbitration Rules.

2.Such a conference may be conducted through a meeting in person, by telephone, video conference, or other means of communication. In the absence of an agreement of the parties, the arbitral tribunal shall determine the appropriate means by which the conference will be conducted.

3.As soon as practicable after its constitution and after inviting the parties to express their views, the arbitral tribunal shall establish a provisional timetable of the arbitration in accordance with article 17(2) of the UNCITRAL Arbitration Rules. In establishing the timetable, the arbitral tribunal should take into account the time frames in draft provisions 7 and 13.

条文草案 第7条(总期限以及期限的计算)

1.根据《快速仲裁条文》进行的仲裁程序,总期限不得超过[12个月]

2.仲裁程序被视为自被申请人收到仲裁通知之日起开始,并于[仲裁庭作出裁决][双方当事人收到裁决]之日终止。

Draft provision 7 (Overall period of time and calculationof the period)

1.The overall period of time of the arbitral proceedings under the Expedited Arbitration Provisions shall be no longer than [12 months].

2.Arbitration proceedings are deemed to commence on the date on which the notice of arbitration is received by the respondent and terminate on the date [the arbitral tribunal makes the award] [the parties receive the award].

条文草案 第8条(仲裁庭的裁量权)

1.在根据《快速仲裁条文》进行仲裁时,在邀请当事人表达意见后,仲裁庭可以:(a)确定程序任何阶段的期限;(b)[延长或]缩短条文草案第7条规定的完成仲裁程序的总期限以及《贸易法委员会仲裁规则》或《快速仲裁条文》规定的任何其他期限;并且(c)[延长或]缩短当事人商定的任何期限。

2.仲裁庭行使裁量权应考虑到程序的快速性质。

Draft provision 8 (Discretion of the arbitral tribunal)

1.In conducting arbitration under the Expedited Arbitration Provisions, the arbitral tribunal, after inviting the parties to express their views, may: (a) fix the period of time for any stage of the proceedings; (b) [extend or] abridge the overall period of time for the completion the arbitral proceeding provided in draft provision 7 and any other period of time prescribed under the UNCITRAL Arbitration Rules or the Expedited Arbitration Provisions ; and (c) [extend or] abridge any period of time agreed by the parties.

2.The arbitral tribunal, in exercising its discretion, shall take into account the expeditious nature of the proceedings.

条文草案 第9条(反请求)

1.对仲裁通知的答复应包含仲裁庭拥有管辖权的任何反请求或为抵消目的而提出的请求。

2.被申请人可在程序后一阶段提出一项反请求或为抵消目的而依赖于一项请求,唯需仲裁庭根据情况认定该延迟有正当理由。

Draft provision 9 (Counterclaims)

1.The response to the notice of arbitration shall contain any counterclaim or claim for the purpose of a set-off provided that the arbitral tribunal has jurisdiction over it.

2.The respondent may make a counterclaim or rely on a claim for the purpose of a set-off at a later stage of the proceedings, only if the arbitral tribunal decides that the delay was justified under the circumstances.

条文草案 第10条(对仲裁申请或答辩的变更)

1.根据《贸易法委员会仲裁规则》第22条对仲裁申请或答辩的更改,不得迟于[收到答辩书后**][仲裁庭确定的期限]提出。

2.1款规定的期限过后,一方当事人不得更改或补充其仲裁申请或答辩,除非考虑到所提出更改或补充的延迟以及给对方当事人造成的损害,或者考虑到其他任何情况,仲裁庭认为允许此种更改或补充是适宜的。

Draft provision 10 (Amendments to the claim ordefence)

1.Amendments to the claim or defence provided under article 22 of the UNCITRAL Arbitration Rules shall be made no later than [** days after the receipt of the statement of defence] [a period of time to be determined by the arbitral tribunal].

2.After the period of time in paragraph 1, a party may not amend or supplement its claim or defence, unless the arbitral tribunal considers it appropriate to allow such amendment or supplement having regard to the delay in making it and prejudice to other parties or any other circumstances.

条文草案 第11条(进一步书面陈述和证据)

1.仲裁庭可限制当事人提出进一步书面陈述。

2.除非仲裁庭另有指示,证人的陈述,包括专家证人的陈述,应以书面形式呈递,并由其本人签署。

3.仲裁庭可限制出示文件、证物或其他证据。

Draft provision 11 (Further written statements and evidence)

1.The arbitral tribunal may limit the parties from presenting further written statements.

2.Unless otherwise directed by the arbitral tribunal, statements by witnesses, including expert witnesses, shall be presented in writing and signed by them.

3.The arbitral tribunal may limit the production of documents, exhibits or other evidence.

条文草案 第12条(庭审)

1.只能在[案件管理会议][……]天内提出庭审请求。

2.[备选案文A:除非当事人另有约定,否则仲裁庭可决定不举行庭审。][备选案文B:在邀请当事人表达意见后,根据文件和其他材料以及案件具体情况,包括程序的快速性质,仲裁庭可决定是否举行庭审。]

3.仲裁庭根据第2款决定不举行庭审的,如果任何一方当事人反对该决定,[备选案文A:仲裁庭应举行庭审][备选案文B:仲裁庭可决定不举行庭审。]

Draft provision 12 (Hearings)

1.A request for hearings may be made only within [ ] days after [the case management conference].

2.[option A: Unless otherwise agreed by the parties, the arbitral tribunal may decide to not hold hearing.]

[option B: The arbitral tribunal, after inviting the parties to express their views, may decide whether to hold hearings based on the document and other materials and the circumstances of the case including the expeditious nature of the proceedings.]

3.If the arbitral tribunal decides to not hold hearings pursuant to paragraph 2 and any of the parties object to that decision, [option A: the arbitral tribunal shall hold hearings][option B:the arbitral tribunal may decide not to hold hearings.]

条文草案 第13条(裁决)

1.除非当事人另有约定,否则应自仲裁庭组成之日起[六个月]内作出裁决。

2.举行庭审的,应自庭审结束起在[三个月]内作出裁决,除非当事人另有约定。

3.在特殊情况下,[仲裁庭][指定机构]可在邀请当事人表达意见后延长第1款规定的期限。

4.在准予延期时,[仲裁庭][指定机构]应说明理由,延长的期限不应超过[**个月]

Draft provision 13 (Award)

1.Unless otherwise agreed by the parties, the award shall be made within

[six months] from the date of the constitution of the arbitral tribunal.

2.If hearings are held, the award shall be made within [three months] from the closure of the hearings, unless otherwise agreed by the parties.

3.The period of time in paragraph 1 may be extended under exceptional circumstances by [the arbitral tribunal] [the appointing authority] after inviting the parties to express their views.

4.In granting the extension, the [arbitral tribunal] [appointing authority] shall state the reasons and the extended time period should be no longer than [** months].