胡涛律师Alt·如何拟定有效的仲裁条款及仲裁协议

HOWTODRAFT AN EFFECTIVE ARBITRATION CLAUSE AND

ARBITRATION AGREEMENT

如何拟定有效的仲裁条款及仲裁协议

前言

本期带来的是胡涛律师关于国际贸易中“如何拟定有效的仲裁条款及仲裁协议”的介绍。从公司法务角度来讲，妥善拟定争议解决条款是法务的重要职责和证明法务工作价值的最好证明；从诉讼律师来讲，一份操作性强的争议解决条款，对于短平快地将当事人合法权益落到裁决书上可谓如虎添翼。胡涛律师以多年争议解决经验拟定的争议解决条款，免费赠送，不要错过。

与律师近一点，离纠纷远一些。胡律师系华东政法大学法学学士（国际经济法方向）、中国民航大学法学硕士（国际法、航空法方向）。成为执业律师之前，胡涛律师曾担任跨国企业法务经理，因此拥有公司法务和出庭律师双重经验。胡律师通过专注国际贸易、深耕合规管理、办案流程透明的方式与客户形成了以长期、稳定的互动，让客户在合规运营与争议解决中获得了自驱动力、内部活力与市场回报。胡律师认为对于企业发展而言，事前预防、事中监督相比事后处理纠纷具有合规、避险、降本、增效的优势价值。

办案一线律师们从将眼光来回穿梭于案件事实与法律规范之间，汇涓实战经验凝结于此，致力有专业价值、有业务经验、解决客户真实需求的法律知识分享。理论快讯、实务文章、律政问答及争议问题会定期更新来反映国际贸易、企业合规和争议解决的最新动态。

一、起草仲裁条款和仲裁协议时的注意要点

1.1机构仲裁还是临时仲裁

机构仲裁是在仲裁机构的协助下进行的仲裁，比如，中国国际经济贸易仲裁委员会（“CIETAC”）、北京仲裁委（“BAC”）、新加坡国际仲裁中心（“SIAC”）或国际商会（“ICC”）。仲裁机构通常设定仲裁员的费用（可根据争议总额进行调整），推动诉状的交换和出示，强制执行程序，并审查仲裁裁决。

临时仲裁是由仲裁庭自行管理的仲裁。指定管理机构所产生的额外费用通常从仲裁的有效管理所产生的节余中收取。

1.2仲裁员的选择方法和人数

当事人通常在仲裁条款或仲裁协议中指定一名或三名仲裁员（指定偶数会导致僵局）。

如果当事方未能指定仲裁员的人数，则适用的仲裁法通常将确定仲裁员的人数和默认的指定机构。

如果双方无法就独任仲裁员或第三名仲裁员的任命达成一致意见，机构规则（如果双方达成一致）也可以规定指定（例如，机构主席）。

指定独任仲裁员的好处是成本和效率。但是，独任仲裁员可能不具备解决所有争议问题的法律和/或技术专业知识。

三人仲裁庭在国际仲裁中最为常见，尤其是在争议金额重大或问题多样或复杂的情况下。三人仲裁庭允许双方任命具有各种法律和技术技能的仲裁员审理争议。三人法庭做出错误决定的风险也较低。然而，三名仲裁员的费用可能很高，应与争议金额进行权衡。

1.3仲裁规则

双方应确定仲裁规则，除仲裁地法律规定的仲裁规则外，该仲裁规则还将管辖仲裁程序。选择进行仲裁的当事人通常将采用该机构的仲裁规则。当事人使用的一些更常见的仲裁规则包括CIETAC规则、SIAC规则、ICC规则和UNCITRAL规则。

1.4.仲裁语言

当事方应指明仲裁语言，尤其是当事方及其各自的证人使用不同的语言时，或者如果仲裁管辖国的法律规定，在当事方之间没有任何协议的情况下，仲裁应以该国的国语进行时。如果未能具体说明仲裁语言，最终可能会导致当事人在翻译文件和证人证据时产生昂贵且不必要的费用。

1.5仲裁地点

仲裁地点或“所在地”决定了管辖仲裁程序的仲裁法。双方应选择一个中立的地方，也应选择一个地方法院执行仲裁协议并支持仲裁程序的地方。

例如，中国是在亚洲经营各方的热门选择，因为中国有遵守法治的完善法律体系，中国法院也为仲裁提供高水平的支持。

Part 1Drafting An Effective Arbitration Clause and Arbitration Agreement

These are some of the points you should consider when drafting an arbitration clauseand/or arbitrationagreement:

Decide between administered or ad hocarbitration?

Anadministeredarbitration is one which is conducted with the assistance of an arbitral institution,

e.g.the CHINA INTERNATIONAL ECONOMIC AND TRADE ARBITRATION COMMISSION (“CIETAC”) the Beijing Arbitration Commission (“BAC”)the Singapore International Arbitration Centre ("SIAC"), or the International Chamberof Commerce ("ICC").Thearbitral institution usually sets the arbitrators' fees (thismaybe scaled according to the total amounts in dispute), facilitates the exchange anddisseminationof pleadings, enforces procedural deadlines andreviewsthearbitralaward. Anadhocarbitration isone which is administered by the arbitral Tribunal itself. The additional cost incurred by appointing an administering institution is usually recoveredinthe savings resultingfromthe efficientadministration of thearbitration.

Method of Selection and Number ofArbitrators

Parties usually specify in the arbitration clauseorarbitration agreement that there should be either one or three arbitrators (specifying anevennumber will only risk deadlock). If parties fail to specify the number of arbitrators, then the applicable arbitration law will usually determine the number ofarbitratorsand the default appointing authority. The institutionalrules(ifagreedbetweenthe parties)mayalso provide foradefault appointing authority (for example, theinstitution'sChairman) if the parties cannot agree on the appointment of the sole or third arbitrator.

The advantages ofappointinga sole arbitrator are costsandspeed. However, a sole arbitratormaynot have the legal and/or technical expertise to address all the issues indispute.

A three man Tribunal is most common in international arbitrations, particularly if the amounts in dispute are significant or the issues are diverse or complex. A three-man Tribunal allows the parties to appoint arbitrators of various legal and technical skills to hear the dispute. There is also a lower risk that a three- man Tribunal will arrive at a wrong decision. However, the cost of three arbitrators can be high andshould be weighed against the amounts in dispute.

ArbitrationRules

The parties should determine the arbitration rules which,inadditiontothearbitrati on lawof the seat of the arbitration, will govern the arbitration procedure. Parties that choose to have their arbitrations administered will usually adopt the arbitration rules of that institution. Some of the more common arbitration rules used by parties includetheCIETACRules,the SIAC Rules, the ICC Rules and the UNCITRAL Rules.

Language oftheArbitration

Parties should specify the language of the arbitration, particularly if the parties and their respectivewitnesses speak different languages, or if the law of thecountrygoverning the arbitration specifiesthat in the absence of any agreement between the parties, the arbitration should be conducted in the national language of that country. Failure to specify the language of the arbitrationmayultimately result in parties having to incur expensive and unnecessary costs for translating documents and witnessevidence.

Place of thearbitration

The place or "seat" ofthearbitration determinesthearbitration law governing thearbitration procedure.Partiesshould select a neutralplaceand alsoone where thelocalcourtswillenforce the arbitration agreement and support the arbitral process.

For example,PRCisapopular choice for parties doing business in Asia becausePRChas a well establishedlegal system that observes the ruleoflaw.PRCcourts alsooffera high level of supportforarbitration.

二、仲裁条款与仲裁协议

2.1仲裁条款样本Sample Arbitration Clauses

大多数国际仲裁机构推荐将争议提交仲裁的争议解决条款样本。例如，希望将其争议提交中国国际经济贸易仲裁委员会或国际商会仲裁的各方请参考附件1中的相关仲裁条款。

Most international arbitral institutions recommend sample dispute resolution clauses which refer the dispute to arbitration. For example, parties who wish to refer their disputes toCIETACor the ICC for arbitration should include the relevant arbitration clauses set out atAppendix 1.

2.2仲裁协议样本Sample Arbitration Agreement

当争议已经发生，当事人希望通过仲裁解决争议的，当事人可以考虑使用附件2中的仲裁协议。

Where a dispute has already arisen and parties wish to resolve the dispute through arbitration, parties may consider using the sample arbitration agreement atAppendix 2.

附件1仲裁条款样本

适用于争议发生前，希望将其争议提交中国国际经济贸易仲裁委员会仲裁的各方

【管辖法律及争议解决】示范条款

1.本协议的订立、效力、解释、执行及合同争议的解决，均受中华人民共和国（“中国”）法律管辖。中国正式颁布的法律对本合同相关的某一事项未作规定的，参照国际商业惯例。

2.因本协议引起、产生于本协议或与本协议有关的任何争议，应由双方通过友好协商解决。协商在一方向另一方交付进行协商的书面要求后立即开始。倘若在该通知发出后十（10）日内，争议未能通过协商达成书面协议，任何一方均有权将争议提交中国国际经济贸易仲裁委员会进行仲裁。仲裁地为北京，仲裁语言为中文，仲裁审理采用书面方式，由一名仲裁员审理。仲裁费、保全费、律师费、公证费、翻译费、差旅费等解决争议产生的合理支出由败诉方承担。仲裁裁决是终局的，对双方均有约束力，并且可以在对被请求强制执行的一方有管辖权的任何法院强制执行。

3.因本协议履行及争议解决而相互发出或者提供的所有通知、文件（包括但不限于合同文本、仲裁申请书、仲裁裁决书），均应按照本合同首部所列明的地址、电话、电子邮件以邮寄或电子邮件方式送达。以邮寄方式送达的，另一方签收之日视为送达；签收之日不明确的，以信件寄出或者投邮之日起算3日视为送达。通过电子邮件方式送达的，通知、文件等数据电文进入另一方系统之时视为送达；通知、文件等数据电文进入另一方系统之时不明确的，以电子邮件发出后的第3日视为送达。一方如果迁址或者变更电话、电子邮件，应当书面通知对方，否则发至本合同首部所列明的地址或者电子邮件系统的通知、文件均视为有效送达。

适用于争议发生前，希望将争议提交国际商会仲裁的各方

“由本合同引起的或与本合同有关的所有争议，应根据国际商会仲裁规则，由一名或多名根据上述规则任命的仲裁员最终解决。”

APPENDIX 1SAMPLE ARBITRATION CLAUSES

For parties who wish to refer their disputes to CIETAC arbitration

【Governing Law and Dispute Resolution】Model Clause

1.The formation of this Contract, its validity, interpretation, execution and settlement of disputes in connection herewith shall be governed by the laws of the People's Republic of China("PRC"), but in the event that there is no published and publicly available law in the PRC governing a particular matter relating to this Contract, reference shall be made to general international commercial practices.

2.Any dispute arising from, out of, or in connection with, this Agreement shall be settled by the Parties through friendly consultation. Such consultation shall begin immediately after one Party has delivered to the other party a written request for such consultation. If the dispute cannot be settled through consultation within ten (10) days after such notice is given, any Party shall submit the dispute to China International Trade Arbitration Committee ("CIETAC") to be arbitrated according to its rules and regulations.The seat of arbitration shall be Beijing,the arbitration proceedings shall be conducted in Chinese.The arbitration shall be conducted by a single arbitrator and documents-only arbitration. The reasonable expenses arising from the settlement of disputes such as arbitration fees, seizure and preservation fees, lawyer fees, notarization fees, translation fees and travel expenses shall be borne by the losing party.The arbitration award shall be final and binding on both the parties and may be enforced in any court having jurisdiction over the party against which enforcement is sought.

3. All notices and documents (including but not limited to the contract text, arbitration application and arbitration award) sent or provided to each other for the performance of this Agreement and the settlement of disputes shall be delivered by mail or e-mail according to the address, telephone and e-mail listed in the first part of this contract. If it is delivered by mail, it shall be deemed to have been delivered on the date when the other party signs for it; If the date of receipt is not clear, it shall be deemed to have been served within 3 days from the date of posting or posting. If it is delivered by e-mail, the notice, document and other data messages shall be deemed to have been delivered when they enter the other party's system; If a notice, document or other data message is not clear when it enters the other party's system, it shall be deemed to have been delivered on the third day after the e-mail is sent.If either party changes its address or telephone number or email, it shall notify the other party in writing. Otherwise, any notice or document sent to the address listed in the first part of this contract or the email system shall be deemed to have been effectively served.

For parties who wish to refer their disputes to ICC arbitration

"All disputes arising out of or in connection with the present contract shall be finally settled under the Rules of Arbitration of the International Chamber of Commerce by one or m ore arbitrators appointed in accordance with the said Rules."

附件2仲裁协议样本

适用于争议发生后，希望将其争议提交中国国际经济贸易仲裁委员会仲裁的各方

本协议于【日期】由【甲方名称和地址】（“申请人”）和【乙方名称和地址】（“被申请人”）（合称“双方”，各称“一方”）之间签订。

鉴于

[陈述争议的简要事实]双方希望通过仲裁解决争议，特协议约定如下：

1.仲裁程序规则

仲裁将按照中国国际经济贸易仲裁委员会规则（“CIETAC规则”）进行。

2.仲裁的准据法

仲裁的准据法为中华人民共和国法律。

3.仲裁庭的任命

仲裁庭应由三名仲裁员组成。各方应指定一名仲裁员。双方指定的仲裁员将共同指定首席仲裁员。如果仲裁员不能就首席仲裁员的任命达成一致意见，则首席仲裁员应由中国国际经济贸易仲裁委员会主任任命。如果仲裁员在仲裁过程中死亡或辞职，除非双方另有约定，应由中国国际经济贸易仲裁委员会主任指定替代的仲裁员。

4.仲裁地

仲裁地点应为中华人民共和国。

5.仲裁的语言

仲裁语言应为中文。

6.保密性

除本协议另有规定外，任何一方不得单方面向第三方披露与本协议或仲裁有关的信息，除非根据任何适用法律或任何主管政府或法定机构的要求，或根据任何相关监管机构的规则或条例，行政或监管机构（包括但不限于任何相关证券交易所或证券监管机构）。

甲方：（签字盖章）乙方：（签字盖章）

日期：日期：

APPENDIX 2SAMPLE ARBITRATION AGREEMENT

This Agreement is made on[Date]BETWEEN[Name and address of PartyA]("Claimant") AND

[Name and address of PartyB]("Respondent")(Collectively, the "Parties" and each, a "Party")

WHEREAS

[State brief facts of the dispute.]The Parties wish to resolve the Dispute by arbitration.IT IS AGREED as follows:

1.Procedural Rules of the Arbitration

The Arbitration will be conducted in accordance with[state which Rules, for example, the Singapore International ArbitrationCentreRules ("theCIETACRules'')]forthetimebeinginforce,saveinsofarassuchrulesarevariedbytheterms of thisagreement.

2.Governing Law of the Arbitration

The governinglaw of the Arbitration will bethe laws of the People's Republic of China("PRC")as amended fromtimetotime.

3.The Appointment of the Tribunal

The Tribunal shall comprise three arbitrators. Each party shall appoint one arbitrator.The two party appointed arbitrators will then appoint the Chairman. If the arbitrators cannot agree the appointment of the Chairman then the Chairman shall be appointed bythe Chairman of the China International Trade Arbitration Committee.In the event of the death or resignation of any arbitrator during the course of the proceedings, unless the parties agree otherwise, a replacement arbitrator shall be appointed bythe Chairman of the China International Trade Arbitration Committee.

4.The Seat of the Arbitration

The seat of the arbitration shall bethe People's Republic of China("PRC").

5.The Language of the Arbitration

The language ofthearbitration shall beChinese.

6.Confidentiality

Save asspecificallyprovidedinthisAgreement,noinformationconcerningthis Agreement or the Arbitrationmaybe unilaterally disclosed by any Partytoathird party unlessrequiredtodosounderanyapplicablelaworbyanycompetent governmental orstatutoryauthorityorpursuanttotherulesorregulationsofany relevant regulatory, administrative or supervisory body (including, without limitation, any relevant stock exchange or securitiesregulator).

Signed by[Name of PartyA]

on this[Date]

Signed by[Name of PartyB]

on this[Date]

重要提示

Disclaimer and Notice

1.实务建议Legal Advice

本指引的任何部分均不应被视为法律意见。在采用仲裁协议或条款样本时，您应该寻求法律建议，以便根据您的具体情况进行调整。

No part of this Guidance Note should be taken as legal advice. You should seek legal advice when adopting the sample arbitration agreement or clause so that they can be tailored to your particular scenario.

2.更多信息Further Information

如果您有国际贸易、公司管理、争议解决的问题或案件，如果您想获得有关起草有效仲裁条款和仲裁协议的更多信息，请按照如下方式联系：

If you have problems or casesoninternational trade, company management, dispute resolution,orifyou would like to receive more information about drafting an effective arbitration clause and arbitration agreement, please contactas below：

胡涛 Tao Hu|律师Attorney at Law

手机M: +86 151 2103 0863

电邮E : ecuplvip@sina.com

天津市滨海新区金融街E5区C1座6层，邮编 300300

Add:6 / F, Block C1, Zone E5, Financial Street, Binhai New Area, Tianjin300300, P. R. China