引言
一
国际工程项目中的多个合同关系及争议解决机制特点
国际工程项目具有体量大、专业多、技术复杂的特点。其通常涉及多方参与人，如业主（the Employer 或 the Owner）、设计公司、监理/咨询工程师(the Engineer)、承包商（the Contractor）和供应商（the Supplier）等，以各当事人之间签订的合同为基础，形成各方当事人之间的权利和义务关系[1]。
其中，业主与承包商签订的合同构成国际承包工程项目中的合同基础和一切关系的基石。承包商的主要义务是在合同规定的时间内实施和完成其所签约的工程。如果工程有缺陷，承包商还有义务在缺陷责任期内修补任何缺陷。在实务中，承包商通常会雇佣一个或多个分包商进行专业施工，与其签订分包合同。同时，按照业界惯例，业主和工程师之间将签订监理服务合同。为工程项目提供管材、水泥、砂石、成品混凝土等材料和所需设备的供应商还会与总包商和分包商签订供货合同，按照合同文件要求供应货物，并承担相应的质量担保责任。这势必导致多个合同关系以及多份合同的存在（详见下图）。
二
国际分包合同下的争议解决机制传导：仲裁条款引用并入(Incorporation of terms by reference)
包含涉及国际工程项目在内的国际商事合同常常通过引用其他文件中条款的方式，试图将包含仲裁条款在内的主要条款纳入其中。此类被引用的条款称为并入的条款(incorporated clause)。
实践中讨论较多的是被引用并入的仲裁条款的效力问题，即特定合同条款是否有效地纳入了来自其他文件的仲裁条款，从而构成有效的仲裁协议。这一问题不仅关系到仲裁庭是否对案件具有管辖权，而且影响到仲裁裁决最终是否能被承认或执行。具体而言，是否对另包含仲裁条款的某一文件的“概括”引用（例如，Seller’s General Terms and Conditions” or “XXX By-Laws”）足以构成有效的仲裁协议，还是需要对另一个文件中的仲裁条款进行“具体”引用（例如，“Paragraph XX of Seller’s General Terms and Conditions）[7]。
在WH-SCG JV Limited v. Hong Kong Construction (Holdings) Limited案中，分包合同使用了“背靠背”条款进行概括性约定。其英文原文和对应的中文翻译如下：
“Clause 1 of the Particular Conditions of the Sub-Contract (the Particulars) provides as follows: ‘[WH-SCG], being the Sub-Contractor, shall assume, observe, perform and comply with all obligations and liabilities of the Main Contract between AP City (hereinafter called 'the Employer') and [HKC] (hereinafter called 'the Main Contractor') on the captioned Hang Lung Project’.”
分包合同特定条件的第1条规定如下：“[WH-SCG]作为分包商，须承担、遵守、履行和遵循AP City（以下简称‘雇主’）与[HKC]（以下简称‘总包商’）之间在上述恒隆项目上的所有主合同义务和责任。”
由于前述主合同中存在仲裁条款，因此总包商HKC基于分包合同对主合同中该条款的引用，主张分包商WH-SCG也应受到此仲裁条款约束。但法官对此持否定意见，说理如下[8]：
As far as arbitration is concerned, it would be odd to describe arbitration as either an “obligation” or “liability” of HKC under the Main Contract. Arbitration is rather a means of resolving disputes relating to the performance of HKC's obligations and liabilities under the Main Contract. Thus, it would be straining language to say that by the 1st paragraph of Particulars cl. 1 WH-SCG agreed to undertake HKC's “obligation” or “liability” to arbitrate under Conditions cl.35......Both sides have referred to background material indicating that HKC and WH-SCG intended the Sub-Contract to be “back-to-back” with the Main Contract. The words “back-to-back” were actually used in negotiations between HKC and WH-SCG.
But “back-to-back” is at best a vague expression. It is neither a legal nor a technical term. I derive little help from it as an aid to construing Particulars cl.1 “Back-to-back” can mean many things. It may simply mean, for example, that it was envisaged that WH-SCG would undertake, “back-to-back”, all HKC's performance obligations and liabilities under the Main Contract. Use of the expression does not necessarily imply that the arbitration agreement in Condition cl. 35 was intended to apply between HKC and WH-SCG.
简而言之，法院认为，仲裁实际上是一种解决与总包商HKC在主合同下履行义务和责任相关争议的手段，而并非HKC在主合同下的“义务”或“责任”本身。分包合同中的概括引用条款不能解释为包含主合同中的仲裁条款。据此，法院最终认定主合同仲裁条款不能突破合同相对性，总包商无权依据分包合同向分包商提起仲裁。
前述裁判观点代表了部分国家法院的观点[9]。但是，结合起草历史和立法目的来看，《纽约公约》、《联合国国际贸易法委员会国际商事仲裁示范法》（UNCITRAL Model Law）、《美国联邦仲裁法》（U.S. Federal Arbitration Act）以及大多数欧洲国家的国内仲裁法在认可仲裁条款原则上可从其他合同或文件引用并入的同时，并未明确要求具体引用(specific reference)为该并入的仲裁条款的有效要件。正如Gary. B. Born所言：“That rule would discriminate against arbitration agreements by subjecting them to a notice requirement not applicable to other contractual provisions and would frequently override or ignore the parties’ true intentions and the surrounding commercial circumstances(该规则通过对仲裁协议施加不适用于其他合同条款的通知要求，构成对仲裁协议的歧视，并且往往会无视或忽略当事人的真实意图和相关的商业环境)”[10]。因此，从学理上看，概括引用并不必然导致并入的仲裁条款无效。
与其他合同类似，仲裁条款的效力根植于当事人双方真实的意思表示。关于引用并入的仲裁条款效力问题，实属合同解释的范畴，旨在确定双方是否具备将争议提交仲裁的真实意图。解释的标准或依据为仲裁地(seat of arbitration)所在国的相关法律。在涉及概括性引用其他文件的情况下，如果其中包含仲裁条款，仲裁地所在国法院通常会审查以下方面：合同与被引用文件的性质、交易双方是否知悉或应当知悉仲裁条款、双方的专业性、行业习惯与惯例、引用条款内容的明确性，以及并入的仲裁条款是否能形成可行的争议解决机制。
在实践中，为了尽可能避免交易双方因仲裁条款的概括引用引发效力之争，当事人可考虑详细、明确的具体引用并入。具体而言，在国际工程分包语境下，先将争议解决条款订入主合同中，再由每份单独的分包合同引用并入。
以广泛应用的工程建筑标准格式合同2011年版FIDIC《施工分包合同条件》(Conditions of Subcontract for Construction)[11]为例，其所设置的多级争议解决机制在适用法、争议裁决委员会(DAB)、仲裁等多个方面都考虑了采用具体引用并入的方式与主合同（总包合同）的“背靠背”衔接。举例如下：
1.8[Subcontract Law and Language] The law of the country (or other jurisdiction) which governs the Main Contract shall govern the Subcontract. The ruling language and the language for communications under the Subcontract shall be the ruling language for communications of the Main Contract.
1.8【分包合同法律及语言】适用于主合同的法律（或其他司法管辖区的法律）应同样适用于分包合同。分包合同的主导语言以及分包合同下的所有沟通语言应为主合同规定的沟通语言。
20.1 [Notices] Without prejudice to the generality of Clause 4, whenever the Contractor is required by the terms of the Main Contract to give any notice or other information to the Engineer or to the Employer, or to keep contemporary records (whether in relation to a claim or otherwise), to the extent that these terms apply to the Subcontract Works the Subcontractor shall give a similar notice or other information in writing to the Contractor and keep the contemporary records that will enable the Contractor to comply with these terms of the Main Contract.
20.1【通知】在不影响合同第4条一般适用性的前提下，每当主合同条款要求承包商向工程师或业主发出任何通知或提供其他信息，或要求承包商保留当时的记录（无论是与索赔相关还是其他情况），在这些条款适用于分包工程的范围内，分包商应向承包商发出类似的书面通知或提供其他信息，并保留能够使承包商遵守主合同相关条款的当时记录。
20.2 [Subcontractor’s Claims] If the Subcontractor considers himself to be entitled to any extension of the Subcontract Time of Completion and/or any additional payment, under any Clause of these Conditions or otherwise in connection with the Subcontract, Main Contract Clause 20.1[Contractor’s Claims] shall apply to Subcontractor’s claims.
20.2【分包商的索赔】如果分包商认为自己根据本条款中的任何条款或与分包合同相关的其他原因有权获得分包合同完工时间的延长和/或额外付款，则主合同第20.1条【承包商的索赔】应适用于分包商的索赔。
20.4 [Subcontract Disputes] If a dispute (of any kind whatsoever) arises between the Contractor and the Subcontractor in connection with, or arising out of, the Subcontract or the execution of the Subcontract Works, then either Party may give a notice of this dispute to the other Party (the Notice of Dispute”)
In any Notice of Dispute given by the Contractor or within 14 days of receiving a Notice of Dispute from the Subcontractor, the Contractor may notify the Subcontractor, with reasons, of his opinion that the dispute involves an issue or issues which is/are also involved in a dispute between the Contractor and the Employer under the Main Contract. If the Contractor so notifies the Subcontractor:
(a)the Parties shall defer any referral of the dispute to the Subcontract DAB until a date that is no earlier than 112days, or other period as may be agreed between the Parties, after the date of the Notice of Dispute;
(b)if the subject of the Subcontract dispute has not previously been referred to the Main Contract DAB, the Contractor shall refer the Subcontract dispute to the Main Contract DAB, with a copy to the Subcontractor, in accordance with Main Contract Clause 20.4 [Obtaining Dispute Adjudication Board’s Decision] within 28 days, of the Notice of Dispute. If Main Contract Clause 20.8 [Expiry of Dispute Adjudication Board’s Appointment] applies under the Main Contract, the Contractor shall immediately give notice to the Subcontractor; and
(c)the Subcontractor shall, in good time, afford the Contractor all information and assistance that may reasonable be required to enable the Contractor to diligently pursue the Subcontract dispute under the Main Contract.
20.4【分包合同争议】如果承包商与分包商之间因分包合同或分包工程的执行而产生任何争议（无论性质如何），则任一方均可向另一方发出争议通知（“争议通知”）。
在承包商发出的争议通知中或在收到分包商的争议通知后的14天内，承包商可通知分包商，说明其认为该争议涉及主合同下承包商与业主之间的争议事项。如承包商作此通知，则：
(a) 双方应推迟将该争议提交给分包合同争议裁决委员会，推迟日期不得早于争议通知发出后的112天，或双方同意的其他期限；
(b) 如果分包合同争议的主题此前未提交给主合同争议裁决委员会，承包商应在争议通知发出后的28天内，按照主合同第20.4条【获取争议裁决委员会的决定】的规定，将分包合同争议提交给主合同争议裁决委员会，并将副本提交给分包商。如主合同第20.8条【争议裁决委员会任命的终止】适用于主合同，承包商应立即通知分包商；
(c) 分包商应及时向承包商提供所有合理所需的信息和协助，以使承包商能够在主合同下勤勉地推进分包合同争议的解决。
20.7 [Subcontract Arbitration] Unless settled amicably, any Subcontract dispute in respect of which the Subcontract DAB’s decision has not become final and binding shall be finally settled under the Rules of Arbitration of the International Chamber of Commerce and Main Contract Clause 20.6 [Arbitration] shall apply.
20.7【分包合同仲裁】除非通过友好协商解决，任何分包合同争议，且该分包合同争议裁决委员会的决定未成为最终且具约束力的情况下，应依据国际商会国际仲裁院仲裁规则最终解决，且主合同第20.6条【仲裁】的规定应适用于该分包合同争议。
但另一方面，为所有当事人的协议设计一个统一的争议解决机制，难免遇到条款起草等技术问题。为了降低难度，我们可根据拟议交易的规模和复杂程度，考虑为每个相关合同分别起草带有合并审理内容的仲裁条款[12]。简洁的示例条款为：
各方同意将本协议下的争议解决程序与合同事项实质相同的项目合同下的未决争议解决程序合并审理。(The Parties shall agree to join any dispute resolution proceeding under this Agreement with any other dispute pending in respect of any other Project Contract relating to substantially the same matter.)
针对建筑工程纠纷的合并审理，美国仲裁协会(American Arbitration Association, “AAA”)提供的示范条款如下[13]：
The owner, the contractor, and all subcontractors, specialty contractors, material suppliers, engineers, designers, architects, construction lenders, bonding companies, and other parties concerned with the construction of the structure are bound, each to each other, by this arbitration clause, provided that they have signed this contract or a contract that incorporates this contract by reference or signed any other agreement to be bound by this arbitration clause. Each such party agrees that it may be joined as an additional party to an arbitration involving other parties under any such agreement. If more than one arbitration is begun under any such agreement and any party contends that two or more arbitrations are substantially related and that the issues should be heard in one proceeding, the arbitrator(s) selected in the first-filed of such proceedings shall determine whether, in the interests of justice and efficiency, the proceedings should be consolidated before that (those) arbitrator(s).
业主、总包人和全部分包人、专业承包人、材料供应商、工程师、设计师、建筑师、建筑工程贷款人、担保公司和该建筑工程相关的其他当事人，各方均受本仲裁条款的约束，只要该方签署了本合同、或签署了并入本合同的任何其他合同、或签署了同意受本仲裁条款约束的其他合同。各方同意其可以在涉及上述协议当事人的仲裁中被追加为仲裁当事人。如果上述协议下开始了多起仲裁，且有当事人认为两起或更多仲裁间存在实质关联、相关事宜应在同一程序中审理，这些仲裁程序中最先被选定的仲裁员应居于公正和效率，决定是否合并这些仲裁程序。
综上，为了提高争议解决效率，尽可能实现“多份合同，单案仲裁”，我们建议将主合同中的争议解决条款以具体引用的方式并入分包合同中。为了降低争议解决条款起草的技术性难度，也可考虑在每个合同中采用带有合并审理条款的仲裁协议。值得注意的是，当事人需慎重考虑该类合并审理条款在适用法和仲裁机构仲裁规则下的效力和可行性。适用法方面，部分国家的法律基于保护当事人参与仲裁庭组庭权利的考量，对此类条款施加了强制性限制[14]。同时，对仲裁规则的选择将影响合并审理程序的可操作性。
三
国际分包工程语境下多份合同仲裁的仲裁机构规则
如前所述，国际工程项目通常采用机构仲裁方式，当事人在争议解决条款中载明选定的仲裁机构和仲裁规则是明智之举。如果当事人所选择的仲裁规则允许多份合同仲裁，则该选择可被视为对“多份合同，单案仲裁”的“默示同意”。目前，境内外主要仲裁机构已注意到此类复杂合同关系下仲裁案件的合并审理问题，不仅制订了相应规则，而且基于国际仲裁的最新发展对规则逐步完善，以扩大其适用范围.
四
结 语
国际工程项目往往涉及多专业、多层级的分包安排，各方权利义务紧密关联。虽然总分包合同下的关联争议可通过多级争议解决机制尝试一同解决，但一旦进入仲裁，仍然会面临“多份合同，分案仲裁”的问题，即属于不同当事人在不同合同下的争议需要在不同的仲裁程序中分别解决。那么，如何实现在同一案件中解决多份合同下的争议，避免如若另需启动新的仲裁案件所必然发生的更多时间和费用成本？
为了提高“多份合同，单案仲裁”的可能性，我们建议善用具体引用方式并入主合同中的仲裁条款或在每个合同中写入带有合并审理条款的仲裁协议；同时，尽量选择已引入多份合同仲裁的仲裁规则，为合并审理的实现提供程序支持。以此，方能防止矛盾裁决的出现，节约程序上的时间和费用。
注 释
作者简介
卿予绫 律师
业务领域：跨境业务、公司商务/并购重组、国内外争议解决诉讼/仲裁
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