论涉外商事交易中的仲裁条款援引问题——以《仲裁法解释》第十一条(仲裁条款的援引)规定为基点

On the Reference to the Arbitration Clauses in Foreign-related Commercial Transactions——Based on Article 11(the Arbitration Clauses Incorporated by Reference) of the “Interpretation of the Arbitration Law”

在商事交易中以援引方式订立仲裁条款业已为包括我国在内的大多数国家立法所认可。而如何援引仲裁条款不外乎一般援引方式和特别援引方式。我国《仲裁法解释》以特别援引方式作为仲裁条款的基本援引方式,将一般援引方式用于对国际条约中仲裁条款的援引。但随着仲裁条款书面形式要求的弱化和书面形式外延的扩张,仲裁条款的援引呈现出以一般援引方式为基本方式,而将特别援引方式仍然留于提单中对仲裁条款的援引之趋势。特别援引的对象是仲裁条款,一般援引的对象是承载仲裁条款的外部文件。援引对象不同,对援引对象的特定化要求亦不同。由于援引条款旨在将外部文件中的仲裁条款并入合同之中,其所使用的措辞能否实现这一目的,属于援引条款的解释问题,从而仲裁条款并入问题应受合同准据法支配。但仲裁条款的并入,并非当然解决了并入后的仲裁条款的效力问题。其中,对人效力范围如何确定,因涉及无仲裁意思当事人与有仲裁意思当事人利益保护的平衡而呈现不确定状态。而对事效力范围的确定,涉及对仲裁条款所约定仲裁事项的解释。由于仲裁条款中本来所约定的仲裁事项与其所并入的合同项下的纠纷之间往往处于非重合或对接状态,故采严格语义解释法,实际上会减损援引条款的预设价值。而允许对仲裁事项的措辞予以适度变通,使其迎合合同项下纠纷解决的需要,恰恰是对当事人仲裁意思的尊重。

The practice of concluding arbitration clauses by reference in commercial transactions has been recognized by the legislation of most countries including my country.And how to reference to the arbitration clause is nothing more than specific reference to an arbitration clause contained in a separate document and general reference to the separate document containing an arbitration clause.The"Interpretation of the Arbitration Law"of our country makes specific reference to be the basic reference to arbitration clauses,and general reference exclusively used to reference to arbitration clauses contained in international treaties.However,with the weakening of the requirements for the written form of the arbitration clause and the expansion of the written form,the practice of reference to arbitration clause has shown a trend of using the general reference as the basic reference to the arbitration clause,while the specific reference is still reserved in the bill of lading for the reference to arbitration clause contained in the charterparty.The object of the specific reference is the arbitration clause contained in the external document,and the object of the general reference is the external document containing the arbitration clause.Different objects of the reference have different requirements of identification.Since the reference clause is intended to incorporate the arbitration clause in the external document into the contract,whether the wording used can achieve this purpose is a question of interpretation of the reference clause.Therefore,the incorporation of arbitration clauses should be governed by the applicable law of the contract.But the incorporation of the arbitration clause and the validity of the incorporated arbitration clause are two different issues.Among them,how to determine the parties to a contract bound by the arbitration clause has different practices due to the balance between the interests of parties without arbitration intentions and those with arbitration intentions.And how to determine the scope of subject-matters governed by the arbitration clause is related to the interpretation of the matters to be arbitrated agreed in the arbitration clause.Since the matters to be arbitrated agreed originally in the arbitration clauses and the disputes under the contract incorporating the arbitration clauses are often in a state of non-coincidence or non-docking,the strict semantic interpretation will actually reduce the anticipated value of the reference clause.However,allowing the wording of the matters to be arbitrated to be appropriately manipulated to meet the needs of dispute resolution under the contract is precisely the respect for the parties’consensus to arbitrate.