涉外仲裁协议的制定和裁决的执行

.20-Apr-2010 涉外仲裁协议的制定和裁决的执行 万商天勤律师事务所 涉外仲裁协议的制定关系到协议的有效性和争端解决的效率，同时也会影响裁决的执行。本文讨论制定有效的仲裁协议须注意的事项。 摘要涉外仲裁协议的制定关系到协议的有效性和争端解决的效率，同时也会影响裁决的执行。本文就如何制定有效的仲裁协议提供意见。在中国，随着外商投资的增加和国际贸易的繁荣，中国公司和外国公司之间的合作形式越来越广泛和复杂。随之而来的是相关争议和纠纷也不断增加。在发生争议时，各方都会寻求快速、有效的法律解决机制。仲裁和诉讼是当今两大并存的争议解决方式。与诉讼相比，仲裁以其便利、高效和跨境执行力等特点，受到相关涉外合同当事人的欢迎。与诉讼相比，仲裁至少有以下几点较为明显的优势：1、一裁终局。一般诉讼会经历一审、二审或再审等程序，所花费的时间成本较高；2、当事人意思自治。当事人享有选择仲裁员、仲裁地、仲裁语言及适用法律的自由，当事人还可以就开庭审理、证据提交和意见陈述等事项达成协议，这是一般诉讼中做不到的；3、仲裁具有保密性。仲裁案件一般不公开审理。而诉讼以公开为原则，不公开为例外；4、裁决可在国际上得到承认和执行。尽管如此，在合同中仲裁方式的选择颇有讲究，并非所有当事人可以容易确定。现实中，很多或多或少表达有通过仲裁方式解决争议的条款或协议由于无法达到法律所规定的要求而变得无效或存有争议，从而影响了合同争议的快速解决。一、 涉外仲裁的定义“涉外仲裁”是指具有涉外因素但是仲裁地位于中国境内的仲裁。“涉外因素”是指在一个案件中（1）一方或者双方当事人是外国人、无国籍人、外国法人的； (2) 标的物在外国领域内的；或者（3）产生、变更或者消灭法律关系的法律事实发生在外国的。例如：国际贸易纠纷中出口方和进口方之间、合资企业中中方股东和外方股东之间的纠纷等就可适用涉外仲裁。二、 如何制定有效的涉外仲裁协议（一）判断涉外仲裁协议效力的标准在确定一份仲裁协议是否有效前，首先需要确定以何标准判断其有效性。根据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（“解释”），对涉外仲裁协议或条款的效力的审查，首先适用当事人约定的法律。当事人没有约定适用的法律但约定了仲裁地的，适用仲裁地法律；没有约定适用的法律也没有约定仲裁地或仲裁地约定不明的，适用法院地法律。其次，是谁有权审查仲裁协议或条款的效力？根据中华人民共和国仲裁法（“仲裁法”），当事人对仲裁协议效力有异议的，可请求仲裁委员会作出决定或请求人民法院作出裁定。如申请法院作出裁定，根据解释，由仲裁协议约定的仲裁机构所在地、仲裁协议签订地、申请人或被申请人住所地的中级人民法院管辖。最后，何时能提起对仲裁协议或条款效力异议？根据仲裁法，对仲裁协议的效力异议，应在仲裁庭首次开庭前提出。（二）有效涉外仲裁协议应当包含的内容有效仲裁协议应当包含的内容：1、请求仲裁的意思表示；2、仲裁事项；3、约定的仲裁机构。例如，中国国际经济贸易仲裁委员会建议的示范仲裁条款如下：凡因本合同引起的或与本合同有关的任何争议，均应提交中国国际经济贸易仲裁委员会，按照申请仲裁时该会现行有效的仲裁规则进行仲裁。仲裁裁决是终局的，对双方均有约束力。上述示范仲裁条款包含了（1）请求仲裁的意思表示提交仲裁；（2）仲裁事项因本合同引起或与本合同有关的任何争议；（3）约定的仲裁机构中国国际经济贸易仲裁委员会。符合上述条件的仲裁协议或条款方构成有效的仲裁协议。（三）几类无效或有瑕疵的仲裁协议1、约定的仲裁机构名称不准确约定的仲裁机构名称不准确且不存在的，则仲裁协议无效。作为例外，如约定的仲裁机构仅仅是名称不准确，但可以确定具体的仲裁机构的，则视为选定了仲裁机构。例如，中国国际经济贸易仲裁委员会原名对外经济贸易仲裁委员会，如当事人在仲裁协议中选定对外经济贸易仲裁委员会，则视为选定中国国际经济贸易仲裁委员会。2、仅约定适用的仲裁规则的如当事人仅仅在合同中约定“所有争议适用某某仲裁规则”，一般视为未约定仲裁机构而无效。但是，根据约定的仲裁规则能确定仲裁机构的除外。例如：中国国际经济贸易仲裁委员会仲裁规则第4条规定：凡当事人约定按照本规则进行仲裁但未约定仲裁机构的，均视为同意将争议提交仲裁委员会仲裁。因此，即使当事人仅约定“所有争议适用中国国际经济贸易仲裁委员会仲裁规则”，但该仲裁协议却是有效的。3、当事人同时选择两个或两个以上仲裁机构的除非当事人事后能协议选择其中一个申请仲裁，否则将导致该仲裁协议无效。4、仲裁协议仅约定由某地仲裁机构仲裁例如，当事人在仲裁协议中约定由上海的仲裁机构进行仲裁，由于上海有很多个仲裁机构，因此无法确定具体哪个，此类仲裁协议将无效。但是，如约定的地方只有一个仲裁机构的，则该仲裁机构视为约定的仲裁机构。三、涉外仲裁裁决的执行仲裁裁决由于其一裁终局的特点，在裁决出来以后即发生法律效力。但如何执行呢？仲裁机构本身并不具有强制执行的权力。在一方当事人不主动履行裁决的情况下，对方当事人应向法院申请执行。（一）受理仲裁裁决执行的法院根据中华人民共和国民事诉讼法第257条规定，一方当事人不履行仲裁裁决的，对方当事人可向被申请人住所地或财产所在地的中级人民法院申请执行。但是，如被申请人或其财产不在中华人民共和国境内的，当事人应直接向有管辖权的外国法院申请承认和执行。（二）当事人对仲裁裁决的抗辩权中国的法院享有对仲裁裁决进行审查的权利，虽然该等审查主要是程序性的，但从另一方面来说，对裁决获胜的一方当事人来说也面临一定的风险。1、法院审查不予执行对于被申请人提出证据证明仲裁裁决有下列情形之一的，经法院合议庭审查核实后，可裁定不予执行：（1）当事人在合同中没有订有仲裁条款或事后没有达成书面仲裁协议的；（2）被申请人没有得到指定仲裁员或进行仲裁程序的通知，或由于其他不属于被申请人负责的原因未能陈述意见的；（3）仲裁庭的组成或仲裁程序与仲裁规则不符的；（4）裁决的事项不属于仲裁协议的范围或仲裁机构无权仲裁的。此外，法院如认定该裁决违背社会公共利益的，可裁定不予执行。2、申请撤销仲裁裁决当事人在收到仲裁裁决书之日起6个月内，如有证据证明下列情形之一的，可以向仲裁机构所在地中级人民法院申请撤销裁决：（1）没有仲裁协议的；（2）裁决的事项不属于仲裁协议的范围或仲裁机构无权仲裁的；（3）仲裁庭的组成或仲裁的程序违反法定程序的；（4）裁决所根据的证据是伪造的；（5）对方当事人隐瞒了足以影响公正裁决的证据的；（6）仲裁员在仲裁该案时有索贿受贿，徇私舞弊，枉法裁决行为的。此外，如法院认为裁决违背社会公共利益的，可裁定撤销。3、因对仲裁协议效力有异议导致裁决被撤销或不予执行如当事人在仲裁程序中对仲裁协议的效力提出异议，在仲裁裁决作出后又以此为由主张撤销或提出不予执行抗辩的，经法院审查符合规定的，法院应予支持。四、建议：由于仲裁协议的制定直接关系到仲裁协议的有效与否以及裁决的执行，因此我们建议相关当事人尽量引用约定仲裁机构所发布的示范仲裁协议或条款。如有特别的考虑或需要，最好在专业律师的指导下完成，否则极容易导致仲裁协议无效而丧失仲裁机会。万商天勤律师事务所20-Apr-2010 The Formulation Of Foreign-Related Arbitration Agreements And The Enforcement Of Arbitration Awards V & T Law Firm A well drafted valid foreign-related arbitration agreement does not only provide an effective mechanism to resolve disputes, but also affects the enforceability of the related arbitration decisions. This article discusses the key considerations in drafting a valid arbitration agreement. AbstractHow a foreign-related arbitration agreement is formulated is directly related to its validity, the efficiency of dispute resolution and the enforcement of the award. This article aims to discuss how to formulate a valid arbitration agreement. In China, the forms of cooperation between Chinese and foreign companies are becoming more diversified and complicated as foreign investment grows and international trading flourishes. Consequently, more controversies and disputes arise. Where a dispute occurs, each party wants to find a rapid and effective legal resolution mechanism. Arbitration and litigation are two manners of dispute resolution that coexist in todays society. Compared with litigation, arbitration is more popular among parties with foreign-related contracts due to its convenience, high-efficiency, cross-border enforcement power and other characteristics. Arbitration has the following advantages, which are relatively obvious: 1. The finality of arbitration awards. Generally, litigation will go through the trial of first instance, second instance, retrial or other procedures, which usually take a long time. 2. Autonomy of will. The parties concerned have the right to choose their arbitrators, the place of arbitration, the language of arbitration and the applicable law, and they may also reach an agreement on the opening of court session, the submission of evidence, the statement of opinion and other matters, while they are not allowed to do so in general litigations. 3. Confidentiality. Generally, arbitration cases are not subject to public hearing, while litigations are based on the principle of publicity with non-public hearing only as an exception. 4. Arbitration awards may be internationally recognized and enforced. However, people should be particular about choosing arbitration in a contract; not all the parties can easily make it clear. In practice, many clauses and agreements which specify the parties intention to resolve their disputes through arbitration become invalidated or controversial due to a failure to meet the requirements provided in laws, which will affect the rapid resolution of contractual disputes.1. Definition of Foreign-related Arbitration“Foreign-related arbitration” means any arbitration in which any foreign-related factor is involved but whose place of arbitration is in China.“Foreign-related factor” means in a case （1）a party is or both parties are, foreigner(s), stateless person(s) or foreign legal person(s); (2) the subject matter is within a foreign country; or （3）the legal fact of the creation, alteration or extermination of the legal relationship occurs in a foreign country. For example: foreign-related arbitration may apply to international trade disputes between exporters and importers, disputes between Chinese shareholders and foreign shareholders in joint ventures, etc.2. How to Formulate a Valid Foreign-related Arbitration Agreement(1) The Criteria for the Validity of A Foreign-related Arbitration AgreementFirstly, before deciding on whether an arbitration agreement is valid or not, we need to decide criteria for its validity. According to the Interpretations of the Supreme Peoples Court on Several Issues on the Application of the Arbitration Law of the Peoples Republic of China (“Interpretations”), the law stipulated by the parties shall in the first place apply to the review of the validity of the foreign-related arbitration agreement or clause. Where the parties fail to stipulate an applicable law but stipulate a place of arbitration, the law of the place of arbitration shall apply; where the parties fail to stipulate both the applicable law and the place of arbitration or the stipulation on the place of arbitration is unclear, the law of the place where the court is located shall apply. Secondly, who has the right to review the validity of an arbitration agreement or clause? According to the Arbitration Law of the Peoples Republic of China (“Arbitration Law”), where a party has any objection to the validity of an arbitration agreement, such party may request an arbitration committee or a court to make a decision or ruling. Where a court is requested to make such ruling, according to the Interpretations, such objection shall be handled by the Intermediate Peoples Court of the place where the arbitration body stipulated in the arbitration agreement is located, the place where the arbitration agreement is executed or the place of domicile of the claimant or respondent. Finally, when should a party raise its objection to the validity of an arbitration agreement or clause? According to the Arbitration Law, an objection to the validity of an arbitration agreement shall be raised before the first hearing by the arbitration tribunal.(2) The Contents of A Valid Foreign-related Arbitration AgreementA valid foreign-related arbitration agreement shall contain the following: 1. The declaration of the intention to request for arbitration; 2. Subject-matter of arbitration; 3. The stipulated arbitration body. For example, the model arbitration clause suggested by the China International Economic and Trade Arbitration Commission (CIETAC) is as follows: Any dispute incurred by or in connection with this Contract shall be submitted to the China International Economic and Trade Arbitration Commission for arbitration in accordance with the arbitration rules of the Commission in force at the time of the filing of the arbitration application. The aforesaid model arbitration clause includes: (1) the declaration of the intention to request for arbitration-submission for arbitration; （2）Subject matter of Arbitration- any dispute incurred by or in connection with this Contract; （3）The stipulated arbitration body- CIETAC.Only an arbitration agreement or clause which meets the aforesaid conditions constitutes a valid arbitration agreement.(3) Several Types of Invalid or Defective Arbitration Agreement1. The name of the stipulated arbitration body is inaccurate. Where the name of the stipulated arbitration body is inaccurate and does not exist, the arbitration agreement is invalid. Exceptionally, where the name of the stipulated arbitration body is inaccurate but the exact arbitration body can be indentified, it shall be deemed that an arbitration body has been chosen. For example, where the parties choose in their arbitration agreement the Foreign Economic and Trade Arbitration Commission, which is the original name of CIETAC, it shall be deemed that CIETAC has been chosen. 2. Only the applicable arbitration rules are stipulated. Where the parties stipulate in their contract only that “XX arbitration rules shall apply to all their disputes”, such arbitration agreement or clause shall be deemed invalid due to a failure to stipulate the arbitration body.However, where the exact arbitration body can be indentified according to the stipulated arbitration rules, the preceding paragraph shall not be followed. For example, Article 4 of the CIETAC Arbitration Rules provides that: The parties shall be deemed to have agreed to arbitrate in accordance with these Rules whenever they have provided for arbitration by the CIETAC. Therefore, even though the parties only stipulate that “The CIETAC Arbitration Rules shall apply to all their disputes”, such an arbitration agreement shall still be valid. 3. The parties choose two or more arbitration bodies at the same time.Unless the parties choose afterwards, by agreement among the two, one arbitration body, such arbitration agreement shall be invalidated.4. The arbitration agreement only stipulates that their disputes shall be arbitrated by the arbitration body of a certain place. For example, where the parties stipulate that their disputes shall be arbitrated by an arbitration body in Shanghai, since Shanghai has several arbitration bodies, the exact arbitration body can not be identified. Therefore, this kind of arbitration agreement shall be invalid. However, where the stipulated place only has one arbitration body, such arbitration body shall be deemed as the stipulated arbitration body.3. The Enforcement of Arbitration AwardsDue to the finality of arbitration awards, an arbitration award shall become legally valid immediately after it is made. But how could an arbitration award be enforced?The arbitration body itself does not have the power of enforcement. Where a party does not perform the award actively, the other party shall apply to the court for enforcement.(1) The Court Accepting the Enforcement of Arbitration AwardsAccording to Article 257 of the Civil Procedural Law of the Peoples Republic of China, where a party does not perform the arbitration award, the other party may apply to the Intermediate Peoples Court of the respondents place of domicile or the place where the respondents property is situated for enforcement. However, if the respondent or its property is not in the PRC, the parties shall directly apply to a competent foreign court for recognition and enforcement. (2) The Parties Right of Defense against Arbitration AwardsChinese courts have the right to review arbitration awards; although such review is mainly in relation to the procedural matters, on the other hand, the party who wins the arbitration may face some risks.1. The Courts Refusal to Enforce an Arbitration Award upon ReviewUnder any of the following circumstances, proved by the evidence provided by the claimant, the Court, upon review and verification by the collegiate bench, may order not to enforce an arbitration award:(1) The parties fail to stipulate an arbitration clause in their contract or to reach a written arbitration agreement afterwards;(2) The respondent does not receive a notice on the appointment of arbitrators or the initiation of the arbitration procedure, or fails to state its opinions due to other reasons not attributable to the respondent;(3) The composition of the arbitration tribunal or the arbitration procedure is not in conformity with the arbitration rules;(4) The subject matter of arbitration does not fall into the scope of the arbitration agreement, or the arbitration body does not have the right to arbitrate the matter. In addition, where the court holds that an arbitration award is in violation of public interest, it may order not to enforce such an award. 2. Application for the Revocation of Arbitration AwardsIf a party, within 6 months of the receipt of an arbitration award, has evidence proving any of the following circumstances, such a party may apply to the Intermediate Peoples Court of the place where the arbitration body is located for the revocation of such award:(1) There is no arbitration agreement;(2) The subject matter of arbitration does not fall into the scope of the arbitration agreement, or the arbitration body does not have the right to arbitrate the matter.(3) The composition of the arbitration tribunal or the arbitration procedure is not in conformity with the arbitration rules;(4) The evidence based on which the award is made is forged;(5) The other party conceals any evidence which may affect the fairness of the arbitration;(6) Any arbitrator, when arbitrating the case, solicits or accepts bribes, plays favouritism or commits irregularities or perverts the law in making the award. In addition, where the court holds that an arbitration award is in violation of public interest, it may order not to enforce such award.3. Revoking or Refusing to Enforce an Award due to Any Objection to the Validity of the Arbitration AgreementIf during the arbitration procedure, any objection to the validity of the arbitration agreement is raised by a party, based on which such a party proposes to revoke the award or raises a defense against its enforcement after the award is made, the court, if it deems it in conformity with the provisions, shall support such party.4. AdviceSince the formulation of an arbitration agreement is directly related to its validity and the enforcement of the arbitration award, we suggest that parties concerned should use the model arbitration agreement or clause published by the stipulated arbitration body. In case of any special consideration or demand, it would be best to complete the arbitration agreement under the guidance of a professional lawyer, or else, the arbitration agreement may easily be invalidated and the parties concerned may lose their opportunity for arbitration.V & T Law Firm欢迎您下载我们的文档，后面内容直接删除就行资料可以编辑修改使用资料可以编辑修改使用致力于合同简历、论文写作、PPT设计、计划书、策划案、学习课件、各类模板等方方面面，打造全网一站式需求ppt课件设计制作,word文档制作,图文设计制作、发布广告等，公司秉着以优质的服务对待每一位客户，做到让客户满意！感谢您下载我们文档12.