China: 如何选择仲裁机构——不同仲裁机构的规则分析(费用篇)

Last Updated: 20 December 2017
Article by John Liu and Minli Tang

中国法下,对于涉外经济贸易、运输和海事中发生的纠纷,当事人可提交我国涉外仲裁机构或者其他仲裁机构仲裁,也即意味着该类案件,当事人对于仲裁机构的选择扩展到了全球范围。

根据伦敦大学玛丽皇后学院(Queen Marry, University of London)对国际仲裁所做的调查问卷 1显示,伦敦、巴黎、香港、新加坡及日内瓦位列最受当事人欢迎的仲裁地前五位。而当事人选择最多的五大仲裁机构分别为国际商会国际仲裁院(ICC)、伦敦国际仲裁院(LCIA)、香港国际仲裁中心(HKIAC)、新加坡国际仲裁中心(SIAC)以及斯德哥尔摩商会仲裁院(SCC)。

在选择仲裁机构时,需要考虑的因素包括但不仅限于机构的国际声誉、收费情况、案件类型、当事方国籍、可获得的配套法律支持性服务(比如临时保全措施、司法执行情况)、仲裁规则等。仲裁规则不仅决定案件审理的效率,也会对案件的结果产生重要影响。横向来看,各仲裁机构的仲裁规则都存在一定的相似性,同时也有一些独具特色的规则。

本系列文章着重解析各大仲裁机构的仲裁规则中一些在实务操作过程中需加以额外注意的规则条款。第一篇涉及快速程序(简易/紧急程序)、第二篇事关仲裁员的选任问题(选任仲裁员的自由度、申请仲裁员回避的时间期限、仲裁员更换后对案件审理的影响)、第三篇讨论临时保全/救济措施、第四篇厘清仲裁费用问题、第五篇着眼某些仲裁机构下的特有规则(核阅裁决书草案以及审理范围书方面的规定)。

文章基于对具体规则的分析,进一步提出相应的实务建议,以帮助当事人更好地了解、选择仲裁规则。

仲裁费用

  • CIETAC 2015年版规则

费用构成:CIETAC将案件类型基本分为三种:(1)国际或涉外争议案件;(2)涉及香港特别行政区、澳门特别行政区及台湾地区的争议案件;(3)国内争议案件(第3条)。对于这些案件,费用构成均分为案件受理费(立案费)及案件处理费(管理费),按照不同费率进行收取。除此之外,CIETAC对于由仲裁委员会香港仲裁中心管理的仲裁案件也作出了特别规定,针对这些案件,收费明细中除受理费、管理费外,单列一项仲裁员报酬。

对于第一类与第二类案件,受理费按照费用表以争议金额为基础计算,每案另收立案费人民币10,000元。对于 第三类案件,立案费和受理费均以争议金额为基础计算。

除仲裁费外,仲裁委员会还可收取其他额外的、合理的实际费用,包括仲裁员办理案件的特殊报酬、差旅费、食宿费、聘请速录员速录费,以及仲裁庭聘请专家、鉴定人和翻译等费用。

对于仲裁规则第六章规定的 由仲裁委员会香港仲裁中心管理的仲裁案件,受理费为8000港元,机构管理费以争议金额为基础计算。与其他类型案件不同,对于由仲裁委员会香港仲裁中心管理的仲裁案件,仲裁员报酬和费用独立于受理费与机构管理费,单独收取。仲裁员报酬和费用以争议金额为基础计算最大值与最小值,由仲裁委员会根据案件的具体情况在上述区间内收取。如果当事人均书面同意或仲裁委员会在特殊情况下做出决定,仲裁员的报酬可以高于仲裁员报酬表的最高限额。同时,若当事人各方书面约定仲裁员报酬和费用以小时费率为基础收取,从其约定。

紧急仲裁员的报酬以小时费率为基础收取。(第52条、第79条、第82条、附件二)

预缴费用:CIETAC规定的预缴费用包括:聘请速录员速录费;为仲裁员预缴特殊报酬、差旅费、食宿费等实际费用(若未在规定期限内预缴,视为没有选定仲裁员);若仲裁在仲裁委员会或其分会所在地之外进行,当事人应预缴差旅费、食宿费等实际费用(若未在规定期限内预缴,应于仲裁委员会或其分会所在地开庭);紧急仲裁员程序费用人民币30,000元。(第40条、第82条、附件三第7条)

  • ICC 2017年版规则

费用构成:仲裁费包括仲裁院按照仲裁开始时适用的收费表确定的仲裁员报酬、仲裁员开支和国际商会管理费,也包括仲裁庭聘请专家的费用和开支以及当事人为进行仲裁而发生的合理的法律费用和其它费用。(第38条)

收费标准:仲裁员报酬以其勤勉和效率、所花费的时间、程序进展速度、争议的复杂程度以及提交裁决书草案的及时性这些因素,在按争议金额确定的上下限范围内确定数额,管理费按争议金额计算。(第38条、附件三)

预缴费用:收到仲裁申请书后,秘书长可要求申请人缴付一定数额的预付金,用于支付仲裁员报酬和开支以及管理费的预付金数额。预付金由仲裁院根据仲裁请求确定。若被申请人提出反请求,仲裁院可就仲裁请求和反请求分别确定预付金数额,由当事人各自缴纳。若追加当事人或存在多方当事人,仲裁院应确定一项或多项预付金。若当事人未按要求缴纳预付金,且未在秘书长规定的不少于15日的期限内缴付,则仲裁请求视为被撤回。(第37条)

  • LCIA 2014年版规则

费用构成:仲裁费包括管理费用、仲裁庭费用、请求指定费等。(第28条、收费表)

收费标准:管理费以小时费率为基础计算;仲裁庭费用根据具体案件确定,裁庭按照实际工作小时收费,每个案件费用并不一致,费率由书记员在任命仲裁员时与仲裁当事方商定,一般不超过450英镑/小时,特殊情况下根据书记员的建议,并经仲裁各方明确同意以后,可以将仲裁庭的费率提高到450英镑/小时以上。

预缴费用:仲裁院有权要求当事人缴纳预付款,用于支付仲裁庭与仲裁院的费用;在书记员未确认收到预付款之前,仲裁庭不进行仲裁;提出请求或反请求的一方未支付预付款,其请求或反请求将被视为撤回。当事人应预缴1,750英镑注册费。(第24条、收费表)

  • HKIAC 2013年版规则

费用构成:仲裁费用包括仲裁庭收费、仲裁庭合理的差旅和其他费用、仲裁庭要求的专家意见和其他协助所???生的合理费用、证人和专家的合理的差旅和其他费用、法律代理和协助所产生的合理费用以及受理费和管理费。(第10条、第33条)

收费标准:仲裁庭收费和费用可按小时费率或争议金额为基础计算(紧急仲裁员的收费按其小时费率依附录2确定);受理费和管理费以争议金额为基础计算。(第10条、附录1、附录2、附录3)

预缴费用:原则上,仲裁中心要求被申请人收到仲裁通知后,申请人与被申请人缴付相等的金额作为预付款;若被申请人提出反诉,可要求分别缴付预付款;若要求的预付款未能在收到要求后30日内缴足,仲裁中心应通知当事人,由其中的一方或另一方缴足,若仍未缴足,仲裁庭可指令中止或终止仲裁。(第40条)

  • SIAC 2016年版规则

费用构成:仲裁费用包括仲裁庭的报酬及开支以及紧急仲裁员的报酬与开支、新仲的管理费及开支、仲裁庭指定专家的费用,以及仲裁庭需要其他合理协助而产生的费用。(第35条)

收费标准:登记费、紧急临时救济的费用以及申请仲裁员回避的费用均分为新加坡当事人与外国当事人两类收取;管理费以争议金额为基础确定最高额,且最低为3,800新币;仲裁员报酬以争议金额为基础确定最高额,由主簿最终决定(第35条、第36条、第37条、《费用表》)

预缴费用:当事人须缴纳仲裁费用的保证金(一般由申请人和被申请人各付50%,且承担连带责任),未全部或部分支付保证金时,仲裁庭有权中止工作,若于仲裁庭规定的付款期限届满后仍未支付,视为撤回相关请求;紧急仲裁员程序中须缴纳管理费及紧急仲裁员报酬和开支的保证金,未如期缴纳视为撤回申请。(第34条、附则1)

  • SCC 2017年版规则

费用构成:仲裁费包括仲裁庭费用、管理费以及仲裁庭和仲裁院的实际开支。(第49条、附件四)

收费标准:仲裁员费用以争议金额为基础确定上下限,管理费均争议金额为基础计算。(附件四)

预缴费用:提交仲裁申请的同时申请人应支付注册费3,000欧元(未如其缴纳视为撤销仲裁申请);在特殊情况下并经一方当事人申请,仲裁庭可指令申请人为仲裁费提供担保(未如期提供,仲裁庭可中止审理或驳回部分或全部仲裁请求);由理事会确定当事人所应支付的预付费用数额,通常由当事人双方各半承担。当事人应预缴应急程序费用,包括16,000欧元的应急仲裁员费用、4,000欧元的申请费以及当事人产生的合理费用。(第7条、第38条、第51条、附件二)

实务建议

各规则下对于管理费、仲裁员费用的收费标准分为:按小时收费、按争议金额收费、当事人可以约定。有些仲裁机构还会收取额外的注册费等杂费。因此,同一个案件在不同仲裁机构的收费标准下,所需缴纳的仲裁费时常有实质性差异。此外,也要注意一些有关预缴费用的规定,及时做好资金准备,避免在需要快速推进案件时,因资金不到位而拖慢仲裁程序。

故而,在实践中,应事先评估自身案件的情况,在仲裁协议签订之前,基于交易情况和收费方式,合理选择性价比更高的仲裁机构。当争议发生后,也可再行预估仲裁费用,对于可能需要支付高昂仲裁费的情况,可以据此作为双方自行协商、和解解决争议的筹码。也可在争议发生后,通过双方之间重新约定新的仲裁条款,以此选择性价比更高的仲裁机构,甚至重新约定使用临时仲裁,节省可能需要支付给仲裁机构的大笔开销。此外,也可以根据情况,选择性地使用第三方资助推进仲裁,以此减少当事人自身的资金压力。

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Originally published in Lexology on August 8 2017.

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