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ICSID仲裁程序概述(三)

发布日期:2018-01-24


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国际投资争端解决中心(ICSID)依据1965年关于解决国家和他国国民之间投资争端公约(简称《ICSID公约》,又称《华盛顿公约》)设立,截止到2017年底,《ICSID公约》共有153个缔约国,另有9个签署国。自1971年受理第一个案件开始,截至2017年6月30日,ICSID受理了根据《ICSID公约》和根据《ICSID附件便利规则》提起的投资仲裁案件共609个,处理了世界范围内绝大多数的投资仲裁案件。这在一定程度上说明《ICSID公约》和《ICSID附件便利规则》在程序设计、公开审理、仲裁员名册、仲裁地、仲裁庭管辖权和仲裁程序的透明度等许多方面代表着国际最先进的实践做法。

长久以来,我国没有一部国际投资争端仲裁规则,我国仲裁机构也没有受理国际投资争端的实践。直至2017年9月19日,中国国际经济贸易仲裁委员会发布了《中国国际经济贸易仲裁委员会国际投资争端仲裁规则》,填补了我国国际投资仲裁领域的空白。随着这一规则的发布和实施,我国仲裁机构和仲裁界人士对投资仲裁的重视也已达到前所未有的程度。

为了进一步推动我国投资仲裁的发展,并使更多人了解投资仲裁,环中仲裁团队对ICSID仲裁程序进行了概括整理,并与大家分享。文中如有错误之处,欢迎大家批评和指正!

本文为“ICSID仲裁程序概述”系列的第三篇文章。

 

序  言

ICSID仲裁程序不仅要遵守《ICSID公约》(Convention on the Settlement of Investment Disputes between States and Nationals of Other States),同时还要遵守《调解和仲裁程序启动规则》(“启动规则”)(Rulesof Procedure for the Institution of Conciliation and Arbitration Proceedings,“the Institution Rules”)、《仲裁规则》(the Rules of Procedure for Arbitration Proceedings,“the Arbitration Rules”)和《行政和财务条例》(the Administrative and Financial Regulations,the “Regulations”)的规定。《ICSID公约》的内容虽不多,但绝大多数为强制性规定,而《仲裁规则》和《行政和财务条例》则相对灵活。在不违反《ICSID公约》强制性规定的前提下,争议双方可通过协议对《仲裁规则》中的条文进行修改,在《行政和财务条例》有明文规定的情形下,也可作出与条例的内容不同的约定。

在ICSID管理下进行的“附加便利仲裁”适用《附加便利规则》(Rules Governing the Additional Facility for the Administration of Proceedings by the Secretariat of the ICSID)和《附加便利仲裁规则》(Additional Facility Arbitration Rules)。大多数适用于“附加便利仲裁”的规定与《ICSID公约》中适用于“公约仲裁”的规定是相同或相似的。

ICSID《仲裁规则》和《行政和财务条例》的实体内容修正案于2006年4月10日生效。以前版本的规定在相关仲裁中仍然适用,因为《ICSID公约》第44条[i]规定,仲裁的进行适用争议双方合意提交仲裁(consent to arbitration)时有效的规则。当基于双边投资协定向ICSID提起仲裁时,适用投资者向ICSID提起仲裁时有效的规则, 即投资者向ICSID提交仲裁申请书时,或者是更早在另外的文件中达成仲裁合意时[ii]。

“第三节 仲裁员资格以及申请仲裁员回避”请见上期文章,可点击文末阅读原文获取。

 

第四节 

仲裁程序的进行

一、根据《ICSID公约》进行的仲裁程序

《ICSID公约》第41-47条以及《仲裁规则》第13-38条规定了从仲裁庭组成到作出仲裁裁决的程序。

(一)仲裁庭的首次开庭及基本程序

仲裁庭应当自正式组庭之日起60内,或在当事人约定的其他期限内首次开庭(first session)。开庭应当在位于美国华盛顿的ICSID总部进行。如果当事人对地点另有约定,并经仲裁庭和秘书长同意,也可以在其他地点开庭。当事人也可以约定以电话会议的形式进行首次开庭。

首次开庭通常是关于《仲裁规则》第20条[iii]规定的“初步程序协商”(preliminary procedural consultation)。根据该条规则,首席仲裁员有义务查明当事人关于程序事项的意见。需要明确的问题包括:

  1. 构成仲裁庭开庭之法定人数所必要的仲裁员人数(《仲裁规则》第14条规定要求仲裁庭多数参加,除非当事人另有约定);

  2. 仲裁使用的一种或数种语言;

  3. 书面申辩文书(pleadings)的数量、顺序以及它们提交的期限;

  4. 文件副本的份数;

  5. 书面或口头审理程序的免除;

  6. 仲裁费用的分担方式;

  7. 保存审理记录的方式。

在实践中,秘书处会发送一份标准议程(standard form agenda),当事人可以就议程上的条款进行协商。在这种情况下,双方的律师可以在庭审前就进行协商。如果双方律师通过合理的方式从实质上缩小了辩论议题的范围,那么双方可能会同意以电话会议的形式进行庭审,而不用实际开庭了。尽管如此,实际开庭也有实际开庭的隐性效用。实际开庭为当事人提供了一次面对仲裁庭的机会,可以看到仲裁庭成员之间的互动,也是双方当事人及其律师之间的面对面会面。经验丰富的仲裁员都知道,整个开庭的基调会在第一次开庭时就确定。

《仲裁规则》第21条[iv]设置了一个额外的庭前会议,以便双方交换信息,并认定无争议的事实,旨在促进争议的友好解决。但考虑到组织、召集仲裁员和当事人的费用,实践中很少进行这个额外的庭前会议。更节约和高效的方式是以电话或视频会议的方式进行之后的程序性会议。

为了尊重当事人合理的意思自治,在不违反《ICSID公约》和《管理与财务条例》的前提下,ICSID允许当事人对程序上的顺序和时间安排进行约定。但在实践中,尽管当事人可能就某些程序问题达成一致,但通常是由仲裁庭来规定程序的各个步骤、期限以及可能的延期(见《仲裁规则》第26条[v])。根据《仲裁规则》第29条[vi]的规定,如果当事人没有相反约定,ICSID仲裁程序包括书面程序以及之后的口头程序两个阶段。

当事人可以委托律师或其他代理人(见《仲裁规则》第18条[vii])。在实践中,ICSID仲裁中的律师通常是国际律师事务所的专业律师、国际法学者以及总检察长办公室(Attorney General's Office)或其他此等机关、国家司法部和外交部的法律顾问。与争端解决中心、秘书处以及仲裁员一样,当事人的代理人对法律程序和其他国内限制享有豁免权。

(二)书面程序

根据《仲裁规则》第31条[viii]的规定,ICSID仲裁书面审理程序中的申辩文书通常包含:申请人提出的纪要书(Memorial)以及被申请人提交的答辩纪要书(Counter-Memorial)。如果仲裁庭要求或当事人约定,当事人还可以发表第二轮意见:申请人提交申请人回复书(Reply),被申请人提交反驳答辩书(Rejoinder)。仲裁庭有权要求当事人提供庭后纪要书(Post-hearing Memorials)。

申请人纪要书应当包括相关事实、适用法律、申请人主张(claimant´s submissions)、救济请求(request for relief)。被申请人的答辩纪要书、申请人回复书以及被申请人反驳答辩书都必须包含对在前的申辩文书中有关事实和适用法律问题的回复,也可以包含其他有关事实。在实践中,与申辩文件同时提交的还有各方当事人主张所以依赖的同期文件(contemporaneous documents)、证人证言以及专家报告,并构成案件记录(record)的一个重要部分。

《ICSID公约》第46条[ix]和《仲裁规则》第40条[x]规定了直接由主要争议标的引起的反请求(counterclaims)、“附带”请求(incidental claims)和“附加”请求(additional claims)的提出。被申请人应在提交答辩纪要书前提出反请求。申请人应在提交回复书之前提出附带请求和附加请求(统称附属请求),如果没有第二轮意见陈述,则不得迟于其提交纪要书之时。附属请求的内容可以包括请求支付利息和费用等,只要该请求在双方同意提交仲裁的范围内,并符合ICSID有关管辖权的要求即可。仲裁庭可以授权一方在有正当理由的情况下延迟提交附属请求。实际上,仲裁庭在接受附属请求的问题上通常是宽容的。

与其他形式的国际仲裁不同,ICSID仲裁的当事人不直接向仲裁员提交文件。在仲裁庭组成之前,当事人应当向ICSID秘书处提交经签署的所有原版文件及5份副本;组庭之后,当事人应当按照比仲裁庭人数多2份的数量向秘书处提交文件。相关的文件、证人证言以及专家报告需随申辩文书一同在规定期限内提交。大多数仲裁庭如今也要求提交电子版文件。在最近的一些案件中,仲裁庭和律师就修改规则达成了一致——可以以电子文件的形式提交文件,只需向秘书处提交纸质版(1份)。当事人越来越多的利用现代技术提交文件,方便仲裁庭,比如用优盘提交纪要书,并用超链接方式提交附件、证人证言、专家报告等。

经对方当事人或仲裁庭同意,一方当事人可以在仲裁裁决作出前的任何时间更正文件中的错误。仲裁秘书或一方当事人可以主动指出另一方的技术性错误(例如:证据缺失或难以辨认以及明显的印刷错误),以便及时更正,避免混乱不清。

与其它形式的国际仲裁一样,在ICSID仲裁中书面陈述以及随附的同期文件是仲裁记录中最关键的部分。仲裁庭非常青睐结构合理、资料翔实、清楚明确的申辩文书(well-organized, well-researched, clear and measured pleadings),以及可信度高的、直接(reliable and straightforward )证人证言和专家报告。

(三)非案件当事人的书面意见

2006年修改后的《仲裁规则》第37条第(2)款[xi]允许非案件当事人在特定条件下在ICSID仲裁案件中提交陈述意见。仲裁庭在与当事人商议并考虑以下因素后,可以允许第三人提交书面意见:

  1. 第三方仲裁之友(amicus)的意见是否能向仲裁庭提供新的观点(a fresh perspective);

  2. 第三方仲裁之友的意见是否涉及争议范围内的事项;

  3. 第三方仲裁之友与本仲裁程序是否有重大的利益关系。

(四)口头审理程序

口头审理包括一次或多次关于案件的管辖、事实和有关金额问题(jurisdiction, merits and quantum)的庭审。庭审耗时通常较短,即使是对复杂案件的事实进行的庭审也极少超过两周。

庭审只允许当事人及其代表、证人和专家参加,当事人和仲裁庭另有约定的除外。2006年修订后的《仲裁规则》第32条[xii]体现了在仲裁的保密性和日益重要的仲裁透明度问题之间的平衡——在当事人均不反对的情况下,仲裁庭可以自行决定允许第三方或公众参与庭审。《仲裁规则》第35条[xiii]规定,事实证人和专家证人必须在庭前就证词的真实性进行声明,并接受仲裁庭以及双方当事人在首席仲裁员的管控下的询问,律师不能对证人和专家进行大量直接的询问以及极具攻击性的交叉询问。尽管仲裁庭可以允许以书面证词代替口头证言,也可将口头质证安排在庭审之外,实际中这种情况很少发生。

(五)证据、披露和开示(discovery)

根据《仲裁规则》第34条[xiv],仲裁庭有权决定是否接受证据,并对其证明价值作出判断。在作出决定时,仲裁庭要考虑许多因素,主要的一点是对普通法法系和大陆法法系律师的平衡。关于证据的正式规则(formal rules)不能适用,如国内程序法中的证据规则。

《ICSID公约》第43条[xv]规定,除非当事人另有约定,当事人自愿披露证据。《仲裁规则》第33条[xvi]规定,当事人应在仲裁庭规定的期限内,将准备提供的证据以及准备请求仲裁庭收集的证据,连同证据拟证明的内容,通知秘书长。《仲裁规则》第34条赋予仲裁庭要求当事人提供文件、提交证人证言和专家报告以及实地访问权利。在实践中,当事人会将这些同期文件作为书面意见的附件一同提交。

总的来说,在ICSID程序中,任何超越自愿披露范围的证据的开示,都是由仲裁庭决定的。美国式的全面的文件开示在ICSID程序中并不适用,也不存在宣誓证词(deposition)。

如果一方未配合提供证据,仲裁庭应对这种不履行及其理由作“正式记录”。虽然《仲裁规则》并未明确规定应对这种未不履行作出处罚,但仲裁庭会依此作出不利的推断,并可能影响损害赔偿的评估以及费用的分担。

待  续

 

尾注:

1. Lucy Reed, Jan Paulsson, Niegel Blackaby. Guide to ICSID Arbitration, pp. 123-157, the Netherlands: Kluwer LawInternational, 2011.

2. Conventionon the Settlement of Investment Disputes between States and Nationals of Other States

http://icsidfiles.worldbank.org/ICSID/ICSID/StaticFiles/basicdoc/partA.htm

3. Rules of Procedure for Arbitration Proceedings

http://icsidfiles.worldbank.org/ICSID/ICSID/StaticFiles/basicdoc/partF.htm

4. Additional Facility Rules

http://icsidfiles.worldbank.org/icsid/icsid/staticfiles/facility/iii.htm

5. Administrative and Financial Regulations http://icsidfiles.worldbank.org/ICSID/ICSID/StaticFiles/basicdoc/partC.htm

6.  Rules of Procedure for the Institution of Conciliation and Arbitration Proceedings

http://icsidfiles.worldbank.org/icsid/icsid/StaticFiles/basicdoc/partD.htm


主要参考条款:

[i]Article 44 Any arbitration proceeding shall be conducted in accordance with the provisions of this Section and, except as the parties otherwise agree, in accordance with the Arbitration Rules in effect on the date on which the parties consented to arbitration. If any question of procedure arises which is not covered by this Section or the Arbitration Rules or any rules agreed by the parties, the Tribunal shall decide the question.

[ii]Institution Rules 2(3) provides that “‘date of consent’ means the date on which the parties to the dispute consented in writing” and “if parties did not act on the same day, it means the date on which the second party acted”.

[iii]Rule 20 Preliminary Procedural Consultation

(1) As early as possible after the constitution of a Tribunal, its President shall endeavor to ascertain the views of the parties regarding questions of procedure. For this purpose he may request the parties to meet him. He shall, in particular, seek their views on the following matters:

(a) the number of members of the Tribunal required to constitute a quorum at its sittings;

(b) the language or languages to be used in the proceeding;

(c) the number and sequence of the pleadings and the time limits within which they are to be filed;

(d) the number of copies desired by each party of instruments filed by the other;

(e) dispensing with the written or the oral procedure;

(f) the manner in which the cost of the proceeding is to be apportioned; and

(g) the manner in which the record of the hearings shall be kept.

(2) In the conduct of the proceeding the Tribunal shall apply any agreement between the parties on procedural matters, except as otherwise provided in the Convention or the Administrative and Financial Regulations.

[iv]Rule 21Pre-Hearing Conference

(1) At the request of the Secretary-General or at the discretion of the President of the Tribunal, a prehearing conference between the Tribunal and the parties may be held to arrange for an exchange of information and the stipulation of uncontested facts in order to expedite the proceeding.

(2) At the request of the parties, a pre-hearing conference between the Tribunaland the parties, duly represented by their authorized rep- resentatives, may beheld to consider the issues in dispute with a view to reaching an amicablesettlement.

[v]Rule 26 Time Limits

(1) Where required, time limits shall be fixed by the Tribunal by assigning dates for the completion of the various steps in the proceeding. The Tribunal may delegate this power to its President.

(2) The Tribunal may extend any time limit that it has fixed. If the Tribunal is not in session, this power shall be exercised by its President.

(3) Any step taken after expiration of the applicable time limit shall be disregarded unless the Tribunal, in special circumstances and after giving the other party an opportunity of stating its views, decides otherwise.

[vi]Rule 29 Normal Procedures

Except if the parties otherwise agree, the proceeding shall comprise two distinct phases: a written procedure followed by an oral one.

[vii]Rule 18 Representation of the Parties

(1) Each party may be represented or assisted by agents, counsel or advocates whose names and authority shall be notified by that party to the Secretary-General,who shall promptly inform the Tribunal and the other party.

(2) For the purposes of these Rules, the expression “party” includes, where the context so admits, an agent, counsel or advocate authorized to represent that party.

[viii]Rule 31 The Written Procedure

(1) In addition to the request for arbitration, the written procedure shall consist of the following pleadings, filed within time limits set by the Tribunal:

(a) a memorial by the requesting party;

(b) a counter-memorial by the other party;

and, if the parties so agree or the Tribunal deems itnecessary:

(c) a reply by the requesting party; and

(d) a rejoinder by the other party.

[ix]Article 46 Except as the parties otherwise agree, the Tribunal shall, if requested by a party, determine any incidental or additional claims or counterclaims arising directly out of the subject-matter of the dispute provided that they are within the scope of the consent of the parties and are otherwise within the jurisdiction of the Centre.

[x]Rule 40 Ancillary Claims

(1)Except as the parties otherwise agree, a party may present an incidental or additional claim or counter-claim arising directly out of the subject-matter of the dispute, provided that such ancillary claim is within the scope of the consent of the parties and is otherwise within the jurisdiction of the Centre.

(2)An incidental or additional claim shall be presented not later than in the reply and a counter-claim no later than in the counter-memorial, unless the Tribunal, upon justification by the party presenting the ancillary claim andupon considering any objection of the other party, authorizes the presentation of the claim at a later stage in the proceeding.

(3)The Tribunal shall fix a time limit within which the party against which anancillary claim is presented may file its observations thereon.

[xi]Rule37 Visits and Inquiries; Submissions of Non-disputing Parties

(2) After consulting both parties, the Tribunal may allow a person or entity that is not a party to the dispute (in this Rule called the “non-disputing party”) to file a written submission with the Tribunal regarding a matter within the scope of the dispute. In determining whether to allow such a filing, the Tribunal shall consider, among other things, the extent to which:

(a) the non-disputing party submission would assist the Tribunal in the determination of a factual or legal issue related to the proceeding by bringing a perspective, particular knowledge or insight that is different from that of the disputing parties;

(b) the non-disputing party submission would address a matter within the scope of the dispute;

(c) the non-disputing party has a significant interest in the proceeding.

[xii]Rule 32 The Oral Procedure

(2) Unless either party objects, the Tribunal, after consultation with the Secretary-General, may allow other persons, besides theparties, their agents, counsel and advocates, witnesses and experts during their testimony, and officers of the Tribunal, to attend or observe all or part of the hearings, subject to appropriate logistical arrangements. The Tribunal shall for such cases establish procedures for the protection of proprietary or privileged information.

[xiii]Rule 35 Examination of Witnesses and Experts

(1) Witnesses and experts shall be examined before the Tribunal by the parties under the control of its President. Questions may also be put to them by any member of the Tribunal.

[xiv]Rule 34 Evidence: General Principles

(1) The Tribunal shall be the judge of the admissibility of any evidence adduced and of its probative value.

[xv]Article43 Except as the parties otherwise agree, the Tribunal may, if it deems it necessary at any stage of the proceedings,

(a) call upon the parties to produce documents or other evidence, and

(b) visit the scene connected with the dispute, and conduct such inquiries there as it may deem appropriate.

[xvi]Rule 33 Marshalling of Evidence

Without prejudice to the rules concerning the production of documents, each party shall, within time limits fixed by the Tribunal, communicate to the Secretary-General, for transmission to the Tribunal and the other party, precise information regarding the evidence which it intends to produce and that which it intends to request the Tribunal to call for, together with an indication of the points to which such evidence will be directed.