China: 合同中的仲裁管辖争议一 本协议及补充协议下的仲裁管辖认定

Last Updated: 23 January 2018
Article by John Liu, Minli Tang and Yi Zhu

当事人采用仲裁的方式解决纠纷需要各方达成一致的仲裁协议。然而,虽然仲裁都基于当事人的自行约定,但在一些特殊情形下,当事人对仲裁庭就争议是否有管辖权仍旧会存在分歧。仲裁管辖争议多种多样,本文主要讨论本协议与补充协议下就仲裁管辖可能出现的争议:若当事人在本协议中约定了仲裁机构,但是在补充协议中没有约定,那么该补充协议是否适用本协议中的约定?若本协议与补充协议均约定了仲裁机构,但两者的约定不一致时应当如何确定适用的条款?本文将结合具体的案例来讨论这些问题,并给出实务建议。

本协议与补充协议

在本协议签订后,当事人可能需要就本协议中的某些内容做更细致的约定,或者就本协议中未涉及的部分做进一步约定,这一类在主合同签订后就原合同内容达成的协议应当被认为是补充协议。补充协议是对本协议中的法律关系及交易内容的补充,可以对本协议的质量、价款以及履行方式等进行进一步细节约定。

整体而言,本协议与补充协议约定仲裁管辖的情况主要分为以下四种:

  1. 两份合同都约定了相同的仲裁条款
  2. 本协议约定了仲裁条款,补充协议未约定仲裁条款
  3. 本协议约定了仲裁条款,补充合同约定了不同仲裁机构或诉讼管辖(或反之)
  4. 本协议约定了仲裁条款,补充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

在上述2-4情况下,都需要考虑本协议与补充协议是否可分、补充协议是否能独立于本协议存在。

1. 本协议与补充协议约定了相同的仲裁条款

该类情况下,基于本协议与补充协议而发生的实体争议,即使同时牵涉到两份合同,都可以基于相同的仲裁条款进行争议解决,极大程度上避免了就管辖本身而可能产生的争议。

2. 本协议约定仲裁条款,补充协议未做约定

在这类情况下,需要考虑补充协议的具体性质——若补充协议仅仅是对本协议内容的补充,那么本协议中的仲裁条款将适用于补充协议;若补充协议可以独立于本协议存在,且其决定的事项可以与本协议中的约定进行区分,那么这样的补充条款将不会当然适用本协议中的仲裁条款。

案例:湖南华厦建筑有限责任公司与常德工艺美术学校不服执行裁定申诉案【 (2015)执申字第33

在本案中,当事人签订的主合同明确约定了发生争议时由常德市仲裁委员会管辖,在签订补充协议时没有约定争议解决的条款。 最高人民法院认为,在这种情形下,仲裁条款在补充协议中的适用需要考察补充协议的具体内容并分情况讨论。

若补充协议与本协议之间相互独立且可分:那么在没有特别约定的情况下,争议解决的方式应当分别适用本协议与补充协议中的约定,即补充协议的争议并不当然适用本协议中的仲裁条款。若补充协议中没有约定仲裁的争议解决条款,仲裁委员会无权就补充协议下的事项进行仲裁,对补充协议中的内容进行仲裁的,当事人可以申请撤销/不予执行仲裁裁决。补充协议与本协议独立且可分时,补充协议将被认定为一份新的合同,若没有特别约定仲裁条款,则应依据《民事诉讼法》下有关管辖的一般原则进行诉讼。

若补充协议与本协议之间不可分:补充协议是对本协议内容的补充,需要依附于本协议且不能独立存在时,本协议的争议解决条款应当适用于补充协议。最高人民法院认为,该案中??补充协议是本协议的完善条款,是对未尽事宜和可能出现的新问题做出的补充约定。补充协议中明确约定:"补充协议与本协议有同等的效力。"因此,可以认定该补充协议与本协议不可分,应当适用本协议中提交仲裁委员会仲裁的争议解决条款。

认定补充协议与本协议之间是否相互独立且可分并没有具体的标准。一般而言,补充协议是对本协议内容的补充,很难独立于本协议存在。在该指导案例中,本协议的主要内容是楼房的施工,并未约定水电与装饰工程的内容。补充协议约定的内容则是水电的安装与装饰工程。虽然两者之间约定的事项在支付款项上可分,但是补充协议中的约定依旧属于楼房施工的范畴,因此最高法院认为该补充协议与本协议之间无法独立存在且不可分。

3. 本协议约定了争议解决条款,补充协议约定了新的仲裁机构

若本协议与补充协议不可分,那么将会适用补充协议中的仲裁条款。

案例:曾七秀 与厦门骏豪地产开发有限公司管辖裁定案【2016)闽02民终 1303号】

本案中,双方当事人在本协议中约定一方逾期履行时,应当向人民法院起诉。在补充协议中又约定向厦门仲裁委员会仲裁解决。法院的裁定认为,补充协议中约定的仲裁条款属于对本协议中争议解决条款的重新约定,因此在出现纠纷时应当适用补充协议中的条款。

若本协议与补充协议相互独立且可分时,当事人需要考察争议的具体内容——若争议属于本协议或者补充协议的内容,那么适用相对应协议的争议解决条款;若争议内容仍旧可能同时涉及本协议与补充协议,那么就该争议的解决方式可能存在分歧。

4. 本协议中约定仲裁条款,补充协议未做约定,但表示合同中未尽事项以主合同为准

此类情况下,争议解决条款的适用应当与第2类情况相似。在第2类情况的参考案例中,补充协议下约定未尽事项以主合同为准,但这一事实并没有成为最高法院认定协议可分性的基础。而且,根据我国《仲裁法》第4条、16条的规定,仲裁协议必须基于当事人约定,且明确、具体。虽然,《最高人民法院关于适用〈中华人民共和国仲裁法〉若干问题的解释》(下简称《仲裁法解释》)第11条认可当"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",然而该条强调的是 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" 以其他约定为准

实务建议

从合同起草角度来看,本协议与补充协议下的争议解决方式都需要明确、具体的约定。同时,由于本协议与补充协议间难免存在千丝万缕的关联关系,因而建议本协议与补充协议下就争议解决方式做相同约定。如果本协议与补充协议下的争议解决约定不同,则非常容易产生某一具体争议因同时涉及本协议与补充协议,而导致仲裁管辖争议的发生。

从争议解决角度看,当存在本协议与补充协议下就争议解决约定不明或存在冲突的情况时,建议当事人可先行解决仲裁管辖异议问题,避免在执行过程中被执行方基于仲裁庭无管辖权而申请撤销/拒绝执行仲裁裁决。具体操作时,当事人需要考虑仲裁与诉讼可能产生的不同结果,通过证明本协议与补充协议之间不可分或者互相独立来争取更有利的结果。

Originally published by Lexology on 3rd 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.

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