2019年9月3日,在BXH v BXI [2019] SGHC 141一案中,当事双方就仲裁庭是否拥有管辖权发生争议,仲裁败诉方主张仲裁庭不具有审理双方争议的管辖权,请求法院撤销相关仲裁裁决,其中依据之一为,由于争议合同同时约定有管辖权条款(Jurisdiction Clause)和仲裁条款(Arbitration Clause),二者相冲突导致仲裁条款无效,对此,新加坡高等法院认定:虽然本案当事双方同时约定有管辖权条款和仲裁条款,在没有任何证据证明其中某一条款无效的情况下,法院必须以当事双方希望使两项条款同时具有效力的基础上进行认定,故本案的管辖权条款和仲裁条款应当解释为,当事人期望根据仲裁条款通过仲裁解决实体争议,再根据管辖权条款决定由仲裁产生争议的管辖法院,故驳回当事人相关主张(“If the parties have included both an arbitration agreement in cl 25.9 and a jurisdiction clause in cl 25.8, and in the absence of any allegation that either clause is vitiated in some way, I must proceed on the basis that the parties intended for both clauses to have some contractual effect.”)。
一、案情介绍
本案原告BXH(以下简称“原告”)和被告BXI(以下简称“被告”)为两家香港公司,由原告负责在俄罗斯经销被告生产的消费品。自2010年12月开始,双方与被告新加坡母公司、俄罗斯公司以及第三方公司陆续签订有《经销商协议》(The Distributor Agreement)、《转让与清算协议》(The Assignment and Novation Agreement)、《债务转让协议》(The Debt Transfer Agreement)等8份协议。
其中《经销商协议》第25.8条“管辖权条款”约定:
“当事方之间因本协议或所提供的产品和服务引起的,或与本协议或所提供的产品和服务有关的任何法律诉讼,应当由新加坡法院管辖…”(“25.8 Governing Law, Jurisdiction and Venue. This Agreement shall be governed by and interpreted in accordance with the laws of Singapore, except for its rules regarding conflict of laws. The jurisdiction and venue for any legal action between the parties hereto arising out of or connected with this Agreement, or the Services and Products furnished hereunder, shall be in a court located in Singapore. ...”)。
以及,第25.9条“仲裁条款”约定:
“由本协议引起或与本协议有关的争议应通过仲裁得到最终解决,并依据当时有效的《SIAC仲裁规则》在新加坡进行仲裁。仲裁具有终局性,对当事人具有约束力,裁决应以书面形式作出,并列出事实认定结论和法律结论…”(“25.9 Disputes. Disputes arising out of or in connection with this Agreement shall befinally settled by arbitration which shall be held in Singapore in accordance with the Arbitration Rules of Singapore International Arbitration Center [sic](“SIAC Rules”) then in effect. The arbitration shall be final and binding on the parties, the award shall be in writing and set forth the findings of fact and the conclusions of law.”)
2015年10月,双方就未支付货款发生争议,被告作为仲裁申请人依据《经销商协议》第25.9条向SIAC提起仲裁,主张被告应向其支付所有未支付货款。在仲裁程序开始之初,被告作为仲裁被申请人针对仲裁庭管辖权提出异议,并在仲裁庭组建完成后便不再继续参与相关仲裁程序。
2017年7月,SIAC仲裁庭在原告缺席的情况下作出最终裁决,就仲裁庭管辖权和案件实体争议作出认定,驳回了仲裁被申请人提出的管辖权异议,并支持了仲裁申请人的仲裁请求。
根据《UNCITRAL示范法》(ModelLaw)第34条规定,原告请求新加坡高等法院撤销SIAC仲裁庭作出的上述仲裁裁决,主张仲裁庭缺乏审理本案争议的管辖权。在其提出的诸多管辖权异议理由中,原告提出本案的仲裁条款因与管辖权条款相冲突而不具有效力,本文将重点分析该部分内容。
二、新加坡高等法院认定:管辖权条款和仲裁条款应同时具有效力
原告主张,根据双方签订《经销商协议》第25.8条“管辖权条款”与第25.9条“仲裁条款”,二者产生了“不可协调地不一致”(irreconcilable inconsistency)。对此,法院持有相反意见,具体认定如下:
首先,法院认为,根据判例Insigma Technology v Alstom Technology [2009] 3 SLR(R) 936可知,在当事方存在将争议提交仲裁的明确意思表示的情况下,法院应当尽可能赋予该意思表示以效力。因此,即使仲裁条款约定存在瑕疵,只要仲裁的意思表示明确,法院就应尽可能以使相关仲裁条款有效的方式进行解释(“Thus, even in cases involving pathological or bare arbitration clauses, so long as the intent to arbitrate is not in doubt, the court strives to give effect to that intention, preferring an interpretation that renders the clause workable over one that does not.”)。
其次,在本案中,由于当事双方同时约定了管辖权条款和仲裁条款,故其仲裁意图相对不够明确;即使如此,根据普通法系各法院的司法实践可知,与其对二者进行排他认定,法院更倾向于使该两项条款同时拥有效力(“Evenso, a line of first-instance decisions demonstrates that the courts in common law jurisdictions have sought to construe the clauses in such a way as to give effect to both, rather than to disregard entirely one or the other.”)。
本案的指导性判例(Leading Case)为Paul Smith Ltd v H&S International Holding Inc [1991] 2 Lloyd’s Rep 127(即“Paul Smith案”)。在该案中,当事人同时约定了ICC仲裁条款和英国法院排他性管辖权条款,法官SteynJ提出,将当事方在国际商事合同中所约定的争议解决方式认定为完全无效是极不可取的,该案中的管辖权条款并不涉及当事方的实体权利和义务,而是涉及仲裁本身,因此英国法院对于仲裁具有监督性管辖权(“Steyn J held that the governing law and jurisdiction clause referred, not to disputes over the parties’ substantive rights and obligations, but to the arbitration itself, such that the English courts had supervisory jurisdiction over the arbitration.”)。这一认定结论在后续的英国判例Axa Re v Ace Global Markets Ltd [2006] Lloyd’s Rep IR 683以及新加坡案例PTTri-MG Intra Asia Airlines v Norse Air Charter Limited [2009]SGHCR 13均被采纳和进一步确认。
据此,法院认为,根据上述判例认定结论,虽然本案当事双方同时约定有管辖权条款和仲裁条款,在没有任何证据证明其中某一条款无效的情况下,法院必须以当事双方期望使两项条款同时具有效力的基础上进行认定(“I adopt the reasoning and the approach in these cases. If the parties have included both an arbitration agreement in cl 25.9 and a jurisdiction clause in cl 25.8, and in the absence of any allegation that either clause is vitiated in some way, I must proceed on the basis that the parties intended for both clauses to have some contractual effect.”)。
最后,在本案中,关于第25.8条“管辖权条款”与第25.9条“仲裁条款”如何解释适用的问题,法院认为,本案唯一可行(尽管无法令人完全满意)的解决方法是采纳“Paul Smith案”的解释方法,将这两个条款解释为当事方约定通过仲裁解决实体争议,而源于仲裁的争议则约定由新加坡法院行使监督性管辖权解决(“The only practical – thought not entirely satisfactory – solution is to adopt the Paul Smith approach and hold that the parties intended to resolve substantived isputes in arbitration under cl 25.9 and to resolve disputes arising out of any such arbitration in the Singapore courts in the exercise of their supervisory jurisdiction under cl 25.8.”)。这一解释方法与新加坡仲裁法理的现有趋势是一致的,通过国际商事合同体现的以仲裁解决争议的明确意思表示应当尽可能予以支持。
综上,法院认定,驳回原告以“仲裁条款”与“管辖权条款”相冲突提出的管辖权异议,并认定上述两项条款同时具有效力。
三、评析
由本案可知,在合同中同时约定管辖权条款(Jurisdiction Clause)和仲裁条款(Arbitration Clause)的情况下,以“Paul Smith案”为代表,普通法系法院目前的主流观点倾向于采用使两项条款同时有效的解释方法,而非进行排他性选择其中一项具有效力。为阐述该问题,Vinodh Coomaraswamy J法官还引用了Robert Merkin QC在其著作《仲裁法》(ArbitrationLaw, Informa, Service Issue No 82, 2019)中的相关论点:“在可能的情况下,法院应尽量使这两条款同时生效,而不是使其中一条凌驾于另一条之上。由于管辖权条款将仍适用于相关裁决的执行,因此使仲裁条款生效并不意味着剥夺其所有意义,而单方面承认管辖权条款效力则会否定仲裁条款的效力。因此,结果是法院一般会优先考虑仲裁协力的效力”(“the courts will, where possible, give effect to both clauses so far as possible rather than to say that one overrides the other. Applied to the present context, the approach adopted by the courts is to say that giving effect to the arbitration clause does not deprive the jurisdiction clause of all meaning, in that it remains applicable to enforcement of any award, whereas giving effect to the jurisdiction clause would negative the arbitration clause. The outcome,therefore, is that the courts will generally give priority to the obligation to arbitrate.”)。