随着全球经济一体化的发展，世界各国经济贸易日益频繁，国际商事仲裁作为解决国际经贸纠纷的一种争议解决方式被广泛使用。当事人意思自治、独立性、中立性、保密性、仲裁裁决可以在世界范围内得到承认与执行等优势更使其经久不衰，不断发展。
俗话说，“不打无准备之仗”，即便国际商事仲裁有许多优势，但该争议解决方式毕竟与国内诉讼、国内仲裁有较大区别，企业需要面对不同的法律适用、不同的法律程序、不同的语言、不同的文化、费用较高等诸多挑战，因此企业在决定通过国际商事仲裁维护自身权益前更需要做充分的评估与准备。本文从实务角度出发，提出企业在启动国际商事仲裁前应考虑的几个重要方面。
01案件事实的法律分析及胜诉评估
企业应先让专业人士尽早从程序、实体上对所涉案件的基本面进行评估，包括案件的性质、优势和劣势，从而判断企业所涉案件胜诉的可能性，能否获得赔偿。
（一）程序上，评估仲裁协议是否有效，仲裁庭是否具有管辖权
仲裁协议是国际商事仲裁的基石。仲裁协议是否有效决定着涉案企业是否有权利提起国际商事仲裁、仲裁庭是否有权利管辖所涉案件、仲裁裁决是否能得到承认与执行等。在国际商事仲裁的实践中，被申请人经常会以仲裁协议无效等理由提起管辖异议，从而拖延程序，或者试图将案件管辖权变更为对其有利的管辖机构，这将导致仲裁费用、时间、不确定性的增加，不利于快速、高效解决争议。因此在提起国际商事仲裁前应根据仲裁条款的准据法来审查仲裁条款的效力。
（二）实体上，企业的诉求在事实、法律上是否有理有据
“打官司就是打证据”，这在国际商事仲裁中也不例外。企业应安排专业人士尽早开始证据收集，将绝大部分的涉案文件搜集到位，对案件主要事实进行调查，以此为基础，再进行法律研究，客观分析企业的权利、义务，从而判断企业的主张在事实和法律上是否有依据。
02关于国际商事仲裁的费用常见问题
（一）国际商事仲裁所需要花费的费用包括哪些
国际商事仲裁所花费的费用是企业非常关心的问题，一般包括以下三种费用：
1、仲裁费
在国际商事仲裁中的仲裁费，一般包括各仲裁机构管理费用、仲裁员报酬。对于机构管理费用，大部分仲裁机构对于管理费系根据争议金额分段按比例进行收费；对于仲裁员报酬，可以与被指定的仲裁员约定小时费率，按约支付仲裁员的费用，也可以采取与仲裁机构管理费计费相同的计费办法，根据争议金额分段按比例计费。
2、律师费
在国际商事仲裁中，企业委托律师代理的，会产生律师代理费用，收取方式主要分为三种形式：一是计时收费；二是按相应阶段固定收费；三是风险代理：
（1）计时收费：一般以律师有效工作时间进行计算，如向企业提供法律咨询，查阅法律规定、准备证据、草拟法律文件，参加庭审、参与调解和谈判，申请承认和执行等。
（2）按不同阶段的固定收费：即企业可以根据预算和案件情况，按律师介入的案件阶段支付费用。采取这种方式，企业对律师费有较为明确的预判。
（3）风险代理：风险代理方式在国际商事仲裁中不太常用，并且有些国家和地区禁止使用风险代理的方式，例如新加坡、中国香港等。
3、其他费用
在国际商事仲裁案件中，一般还会涉及专家聘用费、庭审室租赁费、速记员费用、翻译员费用、差旅费等。
（二）上述费用如何分摊
关于上述仲裁费用，若当事人协议约定如何分配仲裁过程中产生费用，仲裁庭一般依照该约定在当事人之间划分仲裁费用；若当事人没有约定，大多数仲裁庭采取的分配费用原则为“根据争议结果分摊仲裁费用”。
（三）企业经费不足如何借助外部资源
如果企业的资金不充裕，或者担心案件的不确定性较高，但又希望提起国际商事仲裁维护自身权益，可以考虑寻求第三方资助，当事人一旦胜诉，按照胜诉金额或执行得到的赔偿金的一定比例向资助机构支付费用；若案件败诉，资助机构不会收取费用。这将会大大减轻企业的资金压力。
03如何选择合适的仲裁员
仲裁界有一句名言，“仲裁的全部价值在于仲裁员。”由此可见指定仲裁员的重要性。如果在启动国际商事仲裁前就考虑仲裁员的人选，企业便有更充足时间选择适合的仲裁员。企业在选择仲裁员时可以考虑这些方面：
1、仲裁员的职业操守
即考察仲裁员是否独立、公道正派，公正廉洁，公平公正地对待当事人，恪守职业操守；
2、仲裁员的专业能力
包括仲裁员是否经验丰富、对仲裁规则的熟悉程度，程序管理能力、与案件有关法律的了解、案件所涉行业的专业知识、及时裁决的能力等；
3、仲裁员的办案时间
仲裁员是否有充足的时间保证，只有保证充足的办案时间，仲裁员才能仔细研读案卷，查阅相关的案例和法律依据，积极推进程序，准时参加庭审活动，高效快捷的办理和审结案件，保证案件质量。
04案子胜诉了能顺利执行吗？
国际商事仲裁之所以能在国际上受到广泛适用，很重要的原因为《纽约公约》使得仲裁庭作出的仲裁裁决能在大多数国家得到承认与执行，目前全球已有168个国家成为该公约的缔约国，中国也是《纽约公约》的缔约国之一。而各国法院作出的判决目前还不能像仲裁裁决一样在全球大多数国家得到承认与执行。
在实务中，国际商事仲裁的多数裁决都能得到被申请人的自觉执行。即便遇到被申请人拒绝履行仲裁裁决的情形，企业可以根据《纽约公约》向有财产所在地或被申请人所在地的法院申请承认与执行。另外，为保障企业在获得胜诉裁决后确实能执行到财产，获得赔偿，企业还应全方位搜集对方当事人可供执行的财产线索、掌握财产的价值、性质、地点等信息。
The Assessment and Preparation Before Enterprises Initiating International Commercial Arbitration
With the development of global economic integration, the trade and transaction among different countries of the world become more frequently, and international commercial arbitration is widely used as a dispute resolution mechanism. The advantages of international commercial arbitration such as party autonomy, independence, neutrality, confidentiality, enforceability of the arbitral award around the world etc. make it enduring and continuously developing.
As the saying goes, “fight no war unprepared”. Even though international commercial arbitration has many advantages, it is quite different from domestic litigation and domestic arbitration. Enterprises usually face many challenges, such as the different applicable laws, different legal procedures, different languages, different cultures, higher costs etc., so enterprises need to make full assessment and preparation before deciding to protect their rights and interests through international commercial arbitration. This article puts forward several important points from practical aspect for enterprises to consider before initiating international commercial arbitration.
01Legal analysis of the case and the possibility to win
For enterprises, it is better to engage professionals to assess the basic circumstances of the case as soon as possible from procedural and substantial aspects, including the nature, strengths and weaknesses of the case, and judge the possibility of win and compensation.
(1) In terms of procedure, evaluating the validity of arbitration agreement and jurisdiction of arbitration tribunal
The arbitration agreement is the cornerstone of international commercial arbitration. The validity of arbitration agreement determines the initiation of the arbitration, the jurisdiction of the arbitration tribunal and the recognition and enforcement of the award etc. In practice, the respondent may object the tribunal’s jurisdiction on the grounds of invalid arbitration agreement, so as to delay the procedure or transfer the case to a favorable judiciary institution, which could lead to the increase of time, cost, and uncertainty in arbitration, and threaten the rapid and efficient settlement of disputes. Therefore, it is well advised to examine the validity of the arbitration clause pursuant to the governing law before initiating the international commercial arbitration.
(2) In terms of substance, evaluating the foundation of claims from facts and laws
“What matters in lawsuit is evidence”, and it is not an exception in international commercial arbitration. The enterprises should engage the professionals to collect the relevant evidence and documents involved in the case as early as they can, investigate the main facts, and then conduct legal research to analyze the rights and obligations of the enterprise objectively, so as to decide whether the claims are well-founded in facts and laws.
02 The usual questions about the fees of international commercial arbitration
(1) The types of fees included in international commercial arbitration
The cost of international commercial arbitration is of great concern to enterprises, which generally includes the following three types:
- Arbitration fees
The arbitration fees generally include the administrative fee of each arbitration institution and the remuneration of arbitrators. As for the administrative fee, most arbitration institution charge administrative fee according to the proportion of the disputed amount from different scope. With regard to the remuneration of arbitrators, enterprises can agree on an hourly rate with the appointed arbitrators and pay according to the contract, or adopt the same billing method as the administrative fees. - Counsel fee
If the enterprise entrusts a lawyer to act as an agent, there will be counsel fee, which is mainly charged in three types: The first type is to charge at the hourly rate; the second type is to charge at the fixed fee of the relevant stage; the third type is to charge at the contingent fee.
Charging at the hourly rate: Generally, it calculates the effective working hours of lawyers, such as providing legal advice, consulting service, preparing evidence, drafting legal documents, attending court hearings, participating in mediation and negotiation, applying for recognition and enforcement of the award, etc.
Charging the fixed fee at the relevant stage: the enterprise can pay fee according to the stage of the case which it requires the lawyer to involve based on its budget and case situation. In this way, the enterprise has a clear estimation of the attorney’s fee.
Charging at the contingent fee: This type is not commonly used in international commercial arbitration, and it is prohibited in some countries and regions such as Singapore and Hong Kong. - Other fees
Other fees in international commercial arbitration usually include experts fee, court room rental costs, stenographer costs, translation fee, travel expenses, etc.
(2) How to distribute the fees in arbitration
As for the arbitration fees mentioned above, if the parties agree on how to distribute the fees arising from the arbitration process, the arbitration tribunal shall divide the arbitration fees between the parties in accordance with the agreement. Otherwise, most arbitral tribunals adopt the principle of “distributing the fees by the outcome of the dispute”.
(3) How to use the external resources when lack of money
If the enterprises are lack of money, or worry about the high uncertainty of the case, but hope to maintain their rights and interests by international commercial arbitration, they can consider to seek Third Party Funding. Once winning the case, the enterprises shall pay the third party a certain proportion in accordance with the winning amount or the compensation obtained in the enforcement; No fees will be charged if the enterprises lose the case. This approach will greatly reduce the financial pressure of enterprises.
03How to select appropriate arbitrators
There is a famous saying in arbitration, “All the value of arbitration lies in arbitrators”, which reveals the importance of appointing arbitrators. Enterprises will have more time to choose suitable arbitrators if the selection is taken into account before the initiation of the arbitration. There are several aspects to be taken in consideration: - The professional ethics of arbitrators, which refers to whether the arbitrators are independent, fair and honest, and impartial to the parties.
- The professional ability of arbitrators, which refers to whether the arbitrators are experienced, familiar with arbitration rules, good at procedural management, and understanding the laws related to the case, comprehend knowledge of the industry involved in the case, and making a timely award, etc.
- The time of arbitrators, which refers to whether the arbitrators have sufficient time in this case to carefully study the case files, investigate the relevant cases and legal basis, promote the procedure actively, participate in the trial on time, handle the case efficiently, guarantee the quality of the case.
04Could the arbitral award be enforced successfully
Unlike judgement made by national courts which can’t be recognized and enforced in most of the countries, the New York Convention has enabled the arbitral award to be recognized and enforced almost around the world. At present, 168 countries have become parties to the Convention, and China is also a party to the New York Convention.
In practice, most of the awards can be consciously implemented by the respondent. Even if the respondent refuses to enforce the award, the enterprises can apply recognition and enforcement before the court in the place of property or the respondent’s location according to the New York Convention. In addition, in order to ensure that the enterprise can get the property and obtain compensation after winning the case, the enterprise should also collect the clues of the properties as much as possible, grasp the value, nature and location of the properties.
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