国际商事仲裁权研究

发布时间：2018-05-03 06:14

  本文选题：国际商事仲裁 + 仲裁权　； 参考：《华东政法大学》2014年博士论文

【摘要】：近年来，仲裁这一历史厚重的争议解决方式在国际商业贸易日趋活跃的环境下，不断焕发出新生般的活力和光彩，集高效、灵活、中立、专业等优势于一体的国际商事仲裁制度，在全球范围内已受到许多当事人的青睐。与此同时，我国国际商事仲裁也获得了长足的发展。但是，在仲裁制度的构建问题上，我国立法却显得较为粗陋而饱受诟病；其中，对争议解决主体——仲裁庭地位的忽视，直接导致了仲裁庭授权不足、内容不全和监督不当等问题，造成了立法与实践的脱轨。因此，本文以国际商事仲裁权为选题，对这一问题的国际立法和实践趋势进行系统完整地阐述，从而为完善我国的仲裁权体系以及仲裁立法提出相应建议。 本文主要分为六个部分进行展开。第一部分是国际商事仲裁权的法律界定。首先，本文明晰了国际商事仲裁权的定义，采用广义的解释方式将国际商事仲裁权界定为仲裁庭在法律授权和当事人授权的范围内，解决具有国际性因素的商事争议，并作出公正裁决的权力。其中，国际性因素即是指仲裁当事人、争议客体或是内容，具有跨国因素；商事争议则泛指契约性或非契约性的一切商事性质关系所引起的争议。在此基础上，国际商事仲裁权具有三大主要特点，即以当事人授权与法律授权为共同构成权力来源、以解决当事人国际商事争议为目的，和以国家司法权为最终保障。这三大特点是对仲裁权定义的深化，能够帮助区分仲裁权与民事审判权、仲裁机构管理权和调解权。而仲裁性质的认定对仲裁权的法律性质也有着直接的影响，就现有立法和实践看来，混合理论更为直接地反映出仲裁权的现状，也能够更为便利地支持仲裁权的体系化。此外，国际商事仲裁权的价值取向也影响着仲裁权的规制和行使，自由是国际商事仲裁权的基本价值取向，而公正和效益两大重要价值则应予以融合和兼顾，但在对立时则应以效益价值为优先。 第二部分是国际商事仲裁权的来源。仲裁是当事人意思自治的产物，因此，当事人的授权是具有基础性地位的，其所涉及的内容也较为广泛，一方面，一份有效的仲裁协议是仲裁庭取得管辖权的基础，且从各国的立法和实践看来，这种有效性的要求在不断放宽，例如各国对瑕疵仲裁协议的补救，使得当事人选择仲裁的简单意思表示一般即可构成对仲裁庭管辖权的有效授予；另一方面，当事人也具有充分的对仲裁庭组成的决定权，以及其后对仲裁庭具体权力的授权自由。同时，法律作为仲裁庭权力的另一重要来源，不仅表现为决定仲裁事项的可仲裁性，而且还包括建立一套仲裁程序的体系。当事人授权和法律授权之间是相互补充，相互限制的，二者缺一不可。 第三部分是国际商事仲裁权的具体内容。本部分内容以权力的分配和界限为角度，首先对仲裁庭确立自身管辖的权力进行分析。面对各国对自裁管辖权消极效力的异议，从保障自裁管辖权的实际作用上考虑，保证仲裁庭的优先决定权，限制法院决定管辖权异议的做法是值得借鉴的。同时，法院对仲裁庭管辖权决定的监督阶段宜予提前，从而平衡提高监督效率的要求。其次，针对仲裁庭的程序控制权，首先应当肯定的是，除非当事人或法律另有规定，仲裁庭应当对仲裁程序有完整的控制权，其中包括证据的取得和认定，决定采取临时保全措施等方面的权力；并且在必要情况下，法院也应当对仲裁权的行使进行协助，例如在对第三方的取证问题上。最后，仲裁庭还应当享有完整的裁决权，即包括决定法律适用、实体争议处理和对仲裁裁决进行补救三大方面。在支持仲裁的理念背景下，总体而言仲裁权已实现较高程度的自由化，并呈现出多方面扩张的趋势。 第四部分是国际商事仲裁权的行使。本部分首先明确了仲裁权行使的三大原则，即遵循依据授权、程序正当和高效性原则。其次，就仲裁庭行使仲裁权的方式而言，在多数决定无法适用的情况下，以首席仲裁员意见为准的做法相较于坚持多数决定的做法有着明显的效率上的优势。此外，允许首席仲裁员单独对部分仲裁程序事项做出决定的做法也进一步丰富了仲裁庭决定的方式。缺员仲裁的问题是目前国际商事仲裁领域的一大挑战，一方面其在仲裁实践中存在切实需要，另一方面其破坏了仲裁庭行使仲裁权方式的基本格局，存在破坏程序公正的质疑。因此，仲裁庭在面对这一问题时，必须回归应当适用的法律，根据法律的要求谨慎决定是否进行缺员仲裁。最后，本文也对仲裁庭无权行使仲裁权、越权行使仲裁权以及怠于行使仲裁权三大类不当行为进行了分析和探讨。 第五部分是国际商事仲裁权的监督。有权力就必然有监督，仲裁庭的权力也不例外。各国对仲裁权的监督主要通过两大类方式加以实现：其一是直接控制责任人，追究仲裁员的相应责任；其二则是控制行为结果，通过仲裁裁决间接监督仲裁权。这两种方式在不同层面上实现了对仲裁权行使问题的监督，同时合理的监督制度也需要平衡仲裁庭的独立性和中立性需求。因此，监督必不可少，同时也需要克制，不能过度。 第六部分是我国国际商事仲裁权的立法现状和完善。纵观我国关于国际商事仲裁权的立法，仲裁权授权不足、内容不完整以及监督不适当等问题都显得较为突出。首先，我国立法对当事人授权的重要性认识不足且要求较为严苛，法律授权的作用又不充分，规定零星琐碎又不重视对仲裁庭的授权或是协助。其次，受到授权不足问题的影响，我国仲裁权内容也不完整。我国是少数未引入自裁管辖权制度的国家之一，仲裁庭既无权要求当事人或第三人提交相关证据，也无权做出临时保全措施的决定，法院对仲裁的作用也是限制监督大于协助。这些权力上的不充分都会直接影响仲裁程序的顺利开展以及仲裁庭裁决权的行使。再次，我国立法对仲裁员法律责任的构建也不尽合理，对仲裁裁决的司法监督也存在期限过长以及审查范围规范不恰当的问题。因此，，针对上述各项问题，我国立法应当在借鉴国际经验的基础上，予以改进和完善。
[Abstract]:In recent years, arbitration, an international commercial arbitration system, which has been renewed in an environment of increasingly active international business and trade, has been welcomed by many parties all over the world. The commercial arbitration has also made great progress. However, in the construction of the arbitration system, China's legislation appears to be rather crude and criticized. Among them, the neglect of the position of the arbitration tribunal, the main body of the dispute settlement, has directly led to the disintegration of the arbitration tribunal's lack of authorization, the inadequacy of the content and the improper supervision. Therefore, this article takes the international commercial arbitration right as the topic, and systematically expounds the trend of international legislation and practice of this problem, so as to put forward some suggestions for improving the arbitration right system and the arbitration legislation in China.
This article is divided into six parts. The first part is the legal definition of the international commercial arbitration right. Firstly, this article clarifies the definition of the international commercial arbitration right and defines the international commercial arbitration right as the arbitration tribunal within the scope of the legal authorization and the parties' authorization. Disputes and the power to make a fair decision. Among them, international factors mean that the parties to the arbitration, the object of the dispute, or the content, have transnational factors; the commercial disputes generally refer to the disputes arising from the contractual or non contractual nature of the commercial nature. On this basis, the international commercial arbitration has three main characteristics, that is, the parties concerned. Authorization and legal authorization constitute the source of power for the purpose of solving the international commercial disputes of the parties and the ultimate guarantee of the state's judicial power. These three characteristics are the deepening of the definition of the right to arbitration, which can help to distinguish between the right of arbitration and the civil trial, the management and mediation of the arbitration institution. The nature of the law also has a direct influence. In the view of the existing legislation and practice, the mixed theory is more direct to reflect the status of the right of arbitration and to support the systematization of the right of arbitration more conveniently. In addition, the value orientation of the international commercial arbitration right also affects the regulation and exercise of the right of arbitration, and freedom is the basic of the international commercial arbitration right. Value orientation, and two important values of justice and efficiency should be integrated and taken into account, but in opposition, priority should be given to the value of benefit.
The second part is the source of the international commercial arbitration right. Arbitration is the product of the autonomy of the parties. Therefore, the authorization of the parties is fundamental and the content involved is more extensive. On the one hand, an effective arbitration agreement is the basis of the jurisdiction of the arbitration tribunal, and it seems to be effective from the legislation and practice of various countries. The requirement of sex is widening, for example, the remedy of the arbitration agreement of the defective countries, which makes the parties choose the simple meaning of arbitration to represent the effective granting of the jurisdiction of the arbitral tribunal; on the other hand, the parties also have the right to determine the composition of the arbitral tribunal, as well as the freedom to authorize the specific power of the arbitral tribunal thereafter. At the same time, as another important source of the power of the arbitration tribunal, the law not only reflects the arbitrability of the arbitration matter, but also includes the establishment of a system of arbitration procedures. The parties' authorization and legal authorization are complementary and restricted to each other, and the two are indispensable.
The third part is the specific content of the international commercial arbitration right. The content of this part is the analysis of the authority of the arbitration tribunal to establish its own jurisdiction in the angle of the distribution and boundary of power. It is worth drawing on the practice of restricting the court to decide the jurisdiction objection. At the same time, the court should advance the supervision stage of the jurisdiction decision of the arbitration tribunal so as to balance the requirement of improving the efficiency of supervision. Secondly, in view of the procedural control of the arbitral tribunal, it should be affirmed that the arbitral tribunal should be on the arbitration procedure unless the parties or the law stipulates otherwise. The order has a complete control, including the acquisition and identification of evidence, the decision to take the power of interim measures, and the court should also assist in the exercise of the right of arbitration, for example, on the issue of evidence for the third party. Finally, the arbitral tribunal should also enjoy a complete right to adjudication, namely, the decision of the law. There are three aspects of the application, the handling of substantive disputes and the remedy of the arbitral award. In the background of the concept of supporting arbitration, the arbitral right has been liberalized in a high degree and presents a trend of expansion in many aspects.
The fourth part is the exercise of the right of international commercial arbitration. This part first clarifies the three principles of the exercise of the right to arbitration, that is, the principle of following the authorization, the legitimacy of the procedure and the principle of efficiency. Secondly, in the case of the arbitral tribunal exercising the right of arbitration, the practice of the chief arbitrator's opinion is compared with the practice of the chief arbitrator in the case that the majority of the decisions can not be applied. The practice of most decisions has obvious efficiency. In addition, the way to allow the chief arbitrator to make a decision on partial arbitral proceedings has further enriched the decision of the arbitral tribunal. The question of the absence of arbitration is a major challenge in the field of international commercial arbitration, and on the one hand it needs to be practical in the practice of arbitration. On the other hand, it destroys the basic pattern of the arbitration tribunal's way of exercising the right of arbitration, and doubts the impartiality of the procedure. Therefore, in the face of this problem, the tribunal must return to the law that should be applied and carefully decide whether to carry out the arbitrator in accordance with the requirements of the law. The three categories of misconduct such as the exercise of arbitration power and the exercise of arbitral rights are analyzed and discussed.
The fifth part is the supervision of the right of international commercial arbitration. The power is inevitably supervised and the power of the arbitral tribunal is no exception. The supervision of the arbitration right is realized mainly through two kinds of ways: one is the direct control of the responsible person and the corresponding responsibility of the arbitrator; the second is to control the result of the act and to supervise indirectly through the arbitral award. The right of arbitration. These two ways have realized the supervision of the exercise of the right of arbitration at different levels. At the same time, a reasonable supervision system also needs to balance the independence and neutrality of the arbitral tribunal. Therefore, supervision is essential, and it also needs restraint and cannot be overdone.
The sixth part is the legislative status and perfection of the international commercial arbitration right in our country. In our country, the legislation on international commercial arbitration right, the insufficient authorization of the right to arbitration, the incomplete content and the improper supervision are all prominent. The role of the right is not sufficient, stipulates sporadic trivia and does not attach importance to the authorization or assistance to the arbitration tribunal. Secondly, the content of arbitration right in our country is not complete under the influence of the lack of authorization. China is one of the few countries that have not introduced the system of jurisdiction, and the arbitration tribunal has no right to submit relevant evidence to the parties or third persons, nor is it right to submit the relevant evidence to the arbitration tribunal. The court's decision to make temporary preservation measures, the role of the court in arbitration is also limited to the assistance. The insufficiency of these powers will directly affect the smooth development of the arbitration procedure and the exercise of the arbitral tribunal's ruling power. Thirdly, the construction of the legal responsibility of the arbitrators in our legislation is not reasonable, and the judicial supervision of the arbitral award is also deposited. Therefore, in view of the above problems, our legislation should be improved and perfected on the basis of the international experience.

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D997.4


本文编号：1837332