China: 合同中的仲裁管辖争议(三)覧主从合同下的仲裁管辖认定

Last Updated: 8 January 2018
Article by John Liu, Minli Tang and Xu (Elise) Zhong

较之其他商事争议解决机制(如诉讼、调解等),仲裁具有一裁终局、不公开审理、易于在境外获得承认与执行等优势。然而,在实践中,仲裁裁决因仲裁庭缺乏管辖权而被当事人申请撤销或不予执行的案例不胜枚举。因此,当事人在选择仲裁作为争议解决方式时,应特别注意仲裁协议的措辞及适用范围,最大限度避免管辖争议。在一些复杂交易中,前述问题不仅仅涉及某一合同下的条款拟定,还涵盖系列合同之间的协调统一。本文拟结合相关案例,分析主从合同中涉及的仲裁管辖争议问题,并提出避免此类争议的实务建议。

​一、主从合同的仲裁管辖争议

以合同相互之间的主从关系或依附关系为标准,可将合同分为主合同与从合同。主合同是指在两个或两个以上的合同中,不以其他合同的成立为条件而独立存在的合同;从合同是指两个或两个以上的合同中,必须以主合同的成立为条件而存在的合同。从合同是一种非独立性合同,依赖主合同而成立,是具有附属或依附意义的合同。

担保合同是实务中最常见的从合同,如《担保法》中规定的保证合同、抵押合同、质押合同等,便是以借贷合同、买卖合同、货物运输合同、加工承揽合同等合同为主合同的。

《最高人民法院关于适用<&#20013;华人民共和国担保法>若干问题的解释》第129条规定:"主合同和担保合同发生纠纷提起诉讼的,应当根据主合同确定案件管辖。担保人承担连带责任的担保合同发生纠纷,债权人向担保人主张权利的,应当由担保人住所地的法院管辖。"但是,上述条文仅仅明确了担保合同与主合同的诉讼管辖,关于主从合同中仲裁条款的适用范围,现行法律并未明确规定。 就此问题,笔者将结合具体案例来展开讨论。

整体而言,主从合同(假设合同下的当事人都相同)中仲裁条款的约定情况主要分为以下四种:

  1. 主从合同都约定了相同的仲裁条款。
  2. 主合同约定了仲裁条款,从合同未约定仲裁条款。
  3. 主合同约定了仲裁条款,从合同约定了不同仲裁机构或诉讼管辖。
  4. 主合同约定了仲裁条款,从合同未约定仲裁条款,但表示合同中未尽事宜以主合同为准。

 

1. 主从合同都约定了相同的仲裁条款

该类情况下,主从合同之间基于相同的仲裁条款可以流畅衔接,极大程度上避免了主从合同之间就仲裁条款而可能产生的争议。

2. 主合同约定了仲裁条款,从合同未约定仲裁条款

在此种情况下,从合同的争议解决方式不受主合同仲裁条款的约束。

最高人民法院民四庭在《最高人民法院关于成都优邦文具有限公司、王国建申请撤销深圳仲裁委员会(2011)深仲裁字第601号仲裁裁决一案的请示的复函》【(2013)民四他字第9号】中明确指出:"案涉担保合同没有约定仲裁条款,仲裁庭关于主合同有仲裁条款,担保合同作为从合同应当受到主合同中仲裁条款约束的意见缺乏法律依据。仲裁庭对没有约定仲裁条款的担保合同进行审理并作出裁决,担保人王国建申请撤销该仲裁裁决中涉及其作为担保人部分的裁项的理由成立。" 1

在后续司法实践中,最高院在其他案件的审理中,亦重复认定上述批复中的观点。

3. 主合同约定了仲裁条款,从合同约定了不同仲裁机构或诉讼管辖

根据前述最高院【(2013)民四他字第9号】复函内容的精神,从合同的争议解决方式不受主合同争议解决条款的约束。若从合同明确约定了仲裁条款或者诉讼管辖的,则基于该从合同发生的争议,应适用从合同约定的争议解决条款。

因此,当事人在制定主从合同的仲裁条款时,应特别注意主从合同仲裁条款的一致性,最大限度避免此类仲裁管辖争议的发生,以免因主从合同管辖权纠纷而导致不必要的成本。

4. 主合同约定了仲裁条款,从合同未直接约定仲裁条款,但表示合同中未尽事宜以主合同为准

《最高人民法院关于适用<&#20013;华人民共和国仲裁法>若干问题的解释》(以下简称"仲裁法解释")第11条规定:"合同约定解决争议适用其他合同、文件中的有效仲裁条款的,发生合同争议时,当事人应当按照该仲裁条款提请仲裁"。 该条强调的是须明确约定 "解决争议 "适用其他协议中的仲裁条款,而非宽泛约定 "未尽事项 " 以其他合同为准。

在广州市御品轩贸易有限公司与德盛米业有限公司国际货物买卖合同纠纷上诉案【(2010)粤高法立民终字第232号】中,上诉人与被上诉人签订一份《销售合同》,该合同第十条约定争议解决方式为仲裁。之后,上诉人与被上诉人又签订了第二、第三份《销售合同》,该两份《销售合同》最后一项均约定所有其他条款和第一份《销售合同》条款相同,保持不变。广东高院首先认定第一份《销售合同》中的仲裁条款属于有效的仲裁协议。随后,广东高院援引《中华人民共和国仲裁法》第19条及《仲裁法解释》第11条,认为仲裁协议必须明确、具体,且基于双方合意。并认定虽然第二、第三份《销售合同》均约定合同所有其他条款和之前签订的第一份《销售合同》条款相同, 但该两份合同并没有明确援引第一份《销售合同》约定的仲裁条款作为本合同争议解决方式的内容,因此,不能视本案第二、第三份《销售合同)》约定的争议解决方式也参照适用第一份《销售合同》第十条的约定 2

上述案例虽然不是属于主从合同仲裁条款适用的争议,但法院关于在合同中援引其他合同有效仲裁条款之约定的判案思路在确定主从合同仲裁条款适用争议时亦具有参考意义。同时也符合《仲裁法解释》第11条的具体规定。 然而,实践中仍旧存在有些法院宽泛适用该条款的情况,认为约定 "未尽事项 " 以其他合同为准,即足以适用其他合同下的仲裁条款。

王朝民与安徽阜阳安康物业开发有限公司建设工程施工合同纠纷一案【(2014)阜民一终字第00740号】,安徽省阜阳市中院(以下简称"阜阳中院")持此观点。在本案中,上诉人王朝民与阜阳市第八建筑工程有限公司(以下简称"八建公司")签订了《工程项目施工内部承包协议书》,其中第8.9条补充条款约定本合同执行总承包大合同。大合同是指八建公司与安徽阜阳安康物业开发有限公司(以下简称"安康公司")签订的《建设工程施工合同》,而该合同的37.1条明确约定双方当事人在履行合同中发生争议协商不成,应提交阜阳仲裁委员会仲裁。一审法院根据《仲裁法解释》第11条,认定"王朝民与八建公司发生争议,应按照该约定提交阜阳仲裁委员会仲裁",并驳回王朝民的起诉。王朝民不服一审法院裁定,向阜阳中院提起上诉。阜阳中院经审理后认为一审法院的裁定并无不当,维持了一审法院的裁定。

从合同约定概括适用主合同条款的情况在实务中并不少见,尤其是在一份主债务合同对应多份担保合同的情况下,往往主合同明确约定了仲裁条款,担保合同仅载明"担保范围"、"担保方式"、"担保期限"等主要条款,对于其他条款,则概括表述为"以主合同约定为准"。在此情况下,鉴于各地法院对"适用其他合同有效仲裁条款"之约定的明确性程度没有统一标准,为避免争议,建议当事人在签订从合同(如担保合同)时,在明确指出该合同未尽事宜以主合同为准的基础上,进一步明确约定主合同中的法律适用和仲裁条款适用于从合同。 3

 

二、 实务建议

关于主从合同仲裁管辖争议情形及处理方式总结(以主合同约定仲裁条款,且当事 人相同为前提): 

Footnotes

1. 从合同未约定仲裁条款

仲裁管辖争议处理:从合同的争议解决方式不受主合同的约束

实务提示:在从合同中明确争议解决方式

2. 从合同约定其他仲裁机构或诉讼管辖

仲裁管辖争议处理:适用发生纠纷的合同所约定的争议解决方式

实务提示:但在实践中,许多争议往往同时涉及主从合同,因此在起草协议时注意主从合同仲裁条款的一致性

3. 从合同未约定仲裁条款,但概括表示未尽事宜以主合同为准

仲裁管辖争议处理:主合同仲裁条款不一定适用于从合同

实务提示:在从合同中明确该合同未尽事宜以主合同为准,且明确、单独列明主合同下的法律适用和仲裁条款适用于从合同

所以,当事人若拟选择仲裁作为争议解决方式,不仅需要在主合同中明确约定仲裁条款;在从合同中,也须明确具体的仲裁条款,且和主合同协调一致,以避免出现仲裁管辖争议而产生额外成本。

Originally published by Lexology on 13th October 2017

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers
典he articles are extremely timely and highly applicable
的 often find critical information not available elsewhere
鄭s in-house counsel, Mondaq痴 service is of great value

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you致e read our Disclaimer).
 
Email Address
Company Name
Password
Confirm Password
Position
Mondaq Topics -- Select your Interests
 Accounting
 Anti-trust
 Commercial
 Compliance
 Consumer
 Criminal
 Employment
 Energy
 Environment
 Family
 Finance
 Government
 Healthcare
 Immigration
 Insolvency
 Insurance
 International
 IP
 Law Performance
 Law Practice
 Litigation
 Media & IT
 Privacy
 Real Estate
 Strategy
 Tax
 Technology
 Transport
 Wealth Mgt
Regions
Africa
Asia
Asia Pacific
Australasia
Canada
Caribbean
Europe
European Union
Latin America
Middle East
U.K.
United States
Worldwide Updates
Registration (you must scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq痴 use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor痴 own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq痴 Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq痴 Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq痴 right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions