试论国际商事仲裁协议对第三人的效力

发布时间：2018-05-29 20:28

本文选题：仲裁协议 + 效力扩张　；参考：《华东政法大学》2012年硕士论文

【摘要】：国际商事仲裁所具有的自治性、私密性及迅速解决纠纷等独特优势，使其相比较诉讼而言，更为国际商事交易的主体所青睐。但随着经济贸易的发展、电子通讯技术的普及，以及参与交易过程主体呈现出复杂和扩大的趋势，产生了合同权利义务主体的变更，导致了大量争议纠纷的主体与合同当事人并不总是相一致的情形。而在传统国际商事仲裁领域，书面仲裁协议是仲裁庭管辖权来源的基础，即合同当事人通过签订仲裁协议以示双方具有仲裁的合意。在这样传统的仲裁理念下，只有签订仲裁协议的合同当事人才可以参与仲裁，这就导致了在发生如下情况时，仲裁协议的非签字方若不被准许参与仲裁程序，将会损害合同当事人的期待或导致仲裁裁决的不公：仲裁协议非签字方实质性地参与交易过程，或是由合同当事人通过合同授予其利益，或是合同当事人将合同项下的权利义务通过外在行为表示一并转让给该仲裁协议非签字方等。在这些特殊的情况下，仲裁协议的非签字方应被赋予参与仲裁的权利。这种由仲裁实践的客观需要所引发的参与仲裁程序的第三人的讨论及其制度构建是仲裁发展过程中所必须面对和予以解决的问题。鉴于国际社会对于该问题也没有达成一致的做法，而我国仲裁第三人制度仍未形成体系的背景下，，本文基于这样一个比较前沿和具有实践意义的问题，进行了如下探讨。第一章在简要说明了国际商事仲裁协议效力的来源及认定后，阐明了仲裁协议效力扩张的障碍及已经实现的理论上和实践上的突破。第二章尝试从法理上对仲裁协议效力扩张的情形进行解释，充分说明了在一定情形下，适用这些支持仲裁协议效力扩张的原则使得第三人得以参与仲裁程序是符合当事人共同的期待、或是保障第三人的合法利益、或是为了维护社会公正和公平的价值，进一步阐述了仲裁协议的效力不能在一切情形下仅仅局限于表面签字人。第三章在前两章的基础上，介绍了一些将仲裁协议扩张适用的国际商事仲裁实践，从中体现一些法院或仲裁机构认定仲裁协议效力扩张的标准和适用的情形，并在判决中体现了仲裁协议效力扩张与传统仲裁理论并不是相互排斥的关系，而是相互协调，共同推进仲裁制度的发展和完善。第四章阐述了仲裁协议第三人与仲裁第三人之间的关系，通过正反两方面观点的对抗论证了设立仲裁第三人制度的必要性和可行性，并对有关仲裁第三人的各国立法和国际仲裁机构仲裁规则进行介绍、分析和比较，以此了解国际社会对仲裁第三人制度的立法模式及发展趋势。最后，第五章回归到我国仲裁第三人制度的构建上来，阐述了我国构建仲裁第三人制度是仲裁实践的需要和仲裁制度的完善所必须的，但是鉴于我国对仲裁特征和价值取向的选择失衡，以及立法理念和技术的不完善等，给我国构建第三人制度带来一定的困难；另一方面，我国也存在一些对构建仲裁第三人制度有利因素，因而我国应该继续发扬这种优势，克服一些障碍，从而构建适合我国的仲裁第三人制度。这对推动和支持仲裁的发展是至关重要的。
[Abstract]:With the development of economic trade , the popularization of electronic communication technology , and the tendency of complicated and expanded participation in the main body of trade process , the main subject of contract rights and obligations is changed , which leads to the fact that the main body of the dispute is not always in agreement with the parties concerned .

In the field of traditional international commercial arbitration , the written arbitration agreement is the basis of the jurisdiction of the arbitration tribunal , that is , the parties of the contract can participate in the arbitration by signing the arbitration agreement . In such special cases , the non - signatory parties of the arbitration agreement can participate in the arbitration . In the special circumstances , the non - signatories of the arbitration agreement should be given the right to participate in the arbitration .

In the first chapter , the source and the conclusion of the validity of the arbitration agreement are briefly described , the obstacles to the validity of the arbitration agreement and the breakthrough of the theory and practice have been realized . The second chapter tries to explain the validity of the arbitration agreement from the legal theory . The second part tries to explain the validity of the arbitration agreement in a certain situation , and the third party ' s participation in the arbitration procedure is in accordance with the common expectation of the parties or the value of the social justice and fairness , and the validity of the arbitration agreement cannot be limited to the surface signatory in all circumstances .

The third chapter introduces some international commercial arbitration practice to expand the arbitration agreement in the first two chapters , which reflects the standard and the applicable situation of the validity of the arbitration agreement by some courts or arbitration institutions , and reflects the relationship between the validity of the arbitration agreement and the traditional arbitration theory not mutually exclusive , but rather the development and perfection of the arbitration system .

The fourth chapter expounds the relationship between the third party and the third party of the arbitration agreement , demonstrates the necessity and feasibility of establishing the third party system through the confrontation between the two sides of the arbitration agreement , and introduces , analyzes and compares the national legislation of the third party concerned and the arbitration rules of the international arbitration institution , so as to understand the legislative pattern and the developing trend of the international community to the third party arbitration system .

Finally , the fifth chapter returns to the construction of the third party system of arbitration in our country , expounds the necessity of constructing the third party system of arbitration in our country and the perfection of arbitration system , but in view of our country ' s choice imbalance of arbitration characteristic and value orientation , as well as the imperfection of legislative idea and technology , it brings some difficulties to the construction of the third party system in our country ;
On the other hand , there are some favorable factors for the establishment of the third party system of arbitration , so our country should continue to promote this advantage and overcome some obstacles , so as to construct the third party system that suits our country ' s arbitration . This is very important to promote and support the development of arbitration .
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4

【参考文献】