China: 符合必要共同诉讼条件的当事人,未参加仲裁程序,仲裁裁决可否撤销

Last Updated: 16 September 2019
Article by Liu Meibang and Wanli
Most Read Contributor in China, September 2019

引言

秋菊溢彩,桃李芬芳。在这收获成果又 播种希望的美好季节,我们迎来了教师节。民事诉讼法第五十六条规定了第三人制度,而仲裁实践较少出现仲裁第三人。那么问题来了,在申请撤销仲裁裁决的程序中,是否会出现第三人问题?本案是涉及此方面问题的一则案例,湖北咸宁中院撤销咸宁仲裁委裁决书,理由之一是,涉案房屋的其他共有权人是必须共同参与的当事人,但并未作为当事人参加仲裁活动,违反程序。未参加仲裁活动的房屋共有权人,在撤销仲裁裁决程序中作为第三人。我们认为,当事人是否参加仲裁,关键看是否存在有效的仲裁协议,否则,即使从民事诉讼的角度而言,属于必要共同当事人,但是并没有签订仲裁条款,仲裁庭对所谓的必要共同诉讼当事人也没有管辖权,因为仲裁案件的管辖权源于当事人的仲裁条款。

一、案件来源及当事人

本文案例涉及的裁判文书是湖北省咸宁市中级人民法院于2019年06月25日作出的(2019)鄂12民特2号民事裁定书,来自数据库公开的裁判文书。

仲裁案件当事人:

申请人罗某;被申请人汪某

撤销裁决案件当事人:

申请人汪某;被申请人罗某;第三人有四个,分别是咸宁市宁居房地产经纪有限公司(注:房产中介公司,以下简称宁居公司);汪SY(注:房屋买卖的介绍人);汪某丈夫;汪某儿子

二、案情概述

咸宁时代广场某处房屋(以下简称案涉房屋)登记于汪某名下,该房权证载明汪某产权份额1%,汪某丈夫产权份额1%,汪某儿子产权份额98%。汪某将案涉房屋放于网上出售,汪SY在网上看到信息与汪某进行沟通,介绍朋友罗某购买案涉房屋。2018年3月31日,汪某与罗某在宁居公司签订《存量房居间(买卖)合同》,约定定金3万元,交易价格55万元。该合同卖方仅汪某签名,房屋共有权人栏及代理人栏,没有汪某丈夫及汪某儿子签名。当天汪某向罗某出具收条,收到购房定金3万元,其中1.6万元由汪SY通过支付宝向汪某丈夫付款。后汪某不愿意出售案涉房屋,2018年4月14日,汪某在宁居公司将定金3万元交给汪SY,汪SY出具收条表示代收。汪SY将情况告知罗某,罗某不同意,要求继续履行合同,汪某予以拒绝。

2018年9月11日,罗某向仲裁委申请仲裁,仲裁请求:1.裁决汪某继续履行《存量房居间(买卖)合同》;2.裁决汪某赔偿违约金10000元整;3.裁决汪某承担本案的仲裁费用。仲裁委认为,汪某有权代理其未成年的儿子与丈夫与罗某签订共有房屋出售合同,汪某与罗某签订的《存量房居间(买卖)合同》合法有效,合同双方当事人应当全面履行合同义务,汪某应当配合罗某办理涉案房屋过户手续,罗某应当依照约定支付价款。2019年1月25日仲裁委作出(2018)咸仲裁字第13号裁决:(一)汪某与罗某签订的《存量房居间(买卖)合同》合法有效。(二)合同双方当事人应当全面履行合同义务,汪某于裁决生效之日起15日内配合罗某办理涉案房屋过户手续,罗某应当依照约定支付方式支付52万元尾款。(三)驳回罗某请求汪某承担10000元违约金的仲裁请求。(四)仲裁受理费400元、仲裁处理费500元,合计900元,由罗某承担。

裁决作出后,汪某向咸宁市中级人民法院提起撤销仲裁裁决之诉。理由为:1.裁决书认定事实有误,罗明隐瞒了涉案重要事实。2.裁决程序违法,遗漏了必须参与仲裁的汪某丈夫、汪某之子以及汪SY。3.汪某无权处置涉案房产。

三、法院观点及结果

咸宁中院认为,案涉房屋为汪某、汪某丈夫、汪某儿子共有,汪某丈夫和汪某儿子属必须共同参与的当事人,但汪某丈夫和汪某儿子并未作为当事人参加仲裁;罗某向仲裁委申请事项为继续履行合同并由汪某承担违约金,但仲裁裁决第一项裁决合同合法有效,属超过仲裁请求,上述情况均属程序错误。根据《中华人民共和国仲裁法》第五十八条的规定,仲裁的程序违反法定程序的应当撤销。经依法向湖北省高级人民法院报核后,依照《中华人民共和国仲裁法》第五十八条、第五十九条、第六十条之规定,裁定如下:撤销咸宁仲裁委员会(2018)咸仲裁字第13号裁决书。

四、评论意见

笔者通过仔细阅读本案的裁定书,发表如下评论意见,需要说明的是,本文仅仅是出于学习研究之目的,不得被援引为正式的法律意见。

第一

仲裁和诉讼在当事人追加方面,存在明显的区别。仲裁庭对案件的管辖权源于当事人之间签订合法有效的仲裁协议。在必要共同诉讼中,法院可以主动追加当事人。无论是理论上还是实践中,对于仲裁中追加当事人均持较为审慎的态势。中国国际经济贸易仲裁委员会、北京仲裁委员会等国内仲裁机构均引入了追加当事人制度。但对于追加当事人的程序和要求均作了较为严格的条件。具体而言,追加当事人只能由当事人申请启动,案外人无权提出请求,仲裁庭以及仲裁机构也无权主动决定追加;追加的当事人需至少表面上受案件所涉仲裁协议的约束;追加的当事人主要以被申请人的身份出现;决定是否追加当事人的权限在于仲裁委员会。前述条件基本排除了广义上仲裁第三人的存在。当然,也有些仲裁机构做出了大胆的突破和尝试,例如,广州仲裁委员会仲裁规则,不仅允许同一仲裁协议的案外人申请加入仲裁程序,还类比诉讼第三人制度,允许其以有独立请求权的第三人或者无独立请求权的第三人的身份加入程序。而对于无仲裁协议的案外人,在与当事人达成仲裁协议且经仲裁委员会/仲裁庭允许后,也可以以共同申请人、共同被申请人、第三人的身份加入仲裁程序。如果在本案中,仲裁庭主动追加汪某丈夫和汪某儿子为仲裁被申请人,那么,裁决可能存在部分或者全部被撤销的可能。原因有二:其一、需检视仲裁规则,审视其是否有追加当事人的规定以及该规定是否得到了遵守。其二、作为非签字方的汪某丈夫和汪某儿子表面上与罗某之间并不存在仲裁协议。需检视汪某签署的仲裁条款是否对非签署方具有约束力。

第二

本案撤销裁决案件中,汪某丈夫、汪某之子等四方以第三人的身份参与到程序中来。此处涉及的问题是,申请撤销仲裁裁决的程序,是否存在第三人。一种观点认为,撤销仲裁裁决程序属于诉讼程序,应依据民事诉讼法第五十六条关于有独立请求权第三人和无独立请求权第三人的规定来认定。民事诉讼法学理上将诉分为确认之诉、给付之诉和形成之诉(又叫变更之诉),而申请撤销仲裁裁决,属于形成之诉。本案汪某丈夫和汪某儿子等人与"申请撤销仲裁裁决案件"的处理结果存在利害关系,也就是说,仲裁裁决是否撤销,最终将影响到汪某丈夫和汪某儿子的利益,如果裁决不被撤销,汪某应配合办理过户手续,汪某丈夫和汪某儿子在涉案房屋的产权份额也将失去。如果裁决被撤销,则保住了房屋。似乎可以认为,汪某丈夫和汪某儿子在本案中属于无独立请求权的第三人。另一种观点认为,根据最高院民事案件案由规定,撤销仲裁裁决程序被归为适用特殊程序案件,不适用诉讼第三人制度。

第三

仲裁的一大优势是保密性,因此,如果法院对撤裁程序的第三人范围把控不严,将可能使得仲裁案件资料向非仲裁当事人公开。因为在撤裁程序中,当事人可能将仲裁程序资料和裁决书作为证据提交,法院也可能调取仲裁开庭笔录,这样一来,仲裁案件的保密性将大大弱化。

第四

本案属于撤销国内仲裁裁决的案件,根据《最高人民法院关于仲裁司法审查案件报核问题的有关规定》第二条第二款之规定,应当向本辖区所属高级人民法院报核,笔者也注意到了本案裁定书载明"经依法向湖北省高级人民法院报核后",因此,本案不能简单视为咸宁中院的观点。

第五

本案法院还指出,仲裁裁决第一项裁决合同合法有效,属超过仲裁请求。其实,尽管判定合同效力属于仲裁庭的权限,但如果当事人没有将确认合同效力作为一项仲裁请求提出,仲裁庭完全可以在仲裁理由中予以认定和分析,而没有必要在裁项中作出处理。本案裁决被撤销,反过来提示仲裁庭在草拟裁决书及仲裁机构在核阅裁决书时,要注意比对裁项和仲裁请求是否相对应,既做到不超裁,也做到不漏裁。

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