国际仲裁中涉及贿赂的证明标准适用研究

发布时间：2018-06-22 04:33

本文选题：国际仲裁 + 证据　；参考：《西南政法大学》2012年硕士论文

【摘要】：伴随着经济全球化的发展，跨国交流日益频繁。跨国公司成为经济全球化过程中的主力军。交流的日益增多，导致经济纠纷数量的上升。贿赂行为时刻存在于经济交往中，对经济的健康发展带来了严重的影响。国际仲裁制度作为争端解决方式之一，越来越广泛地应用在纠纷的处理中。当事方将涉及贿赂的合同纠纷提交到国际仲裁庭的案件逐渐增多。虽然国际社会已形成了反贿赂的公共政策，尤其是《联合国反腐败公约》的通过，但是在实践中仲裁庭却采取了适用“更高的证明标准”的方法否认贿赂行为的存在，从而使得涉及贿赂的合同有效。是否应该适用更高的证明标准，，是一个难点。国内学者虽然对证明标准的研究较多，但是对涉及贿赂的证明标准研究较少，因此需要更多的学者来探讨此问题。本文除引言和结语外，共分为四大部分。作者采用了比较分析、案例分析、文献研究的方法，通过对比英美法系和大陆法系的证明标准，并列举国际仲裁庭在仲裁过程中对贿赂的认定适用“更高的证明标准”的案例。文章通过对案例的阐述和分析展示了仲裁庭对贿赂行为的认定态度，这导致涉及贿赂的合同有效，从而违反国际公共政策，那么中国就需要采取多种措施来应对此种情况。第一部分，国际仲裁庭适用的证据规则。本部分作者首先阐述了国际仲裁中适用证据规则的重要性，然后介绍了仲裁庭适用证据规则所展现的特点，比如当事人意思自治，仲裁员的自由裁量权，最后具体说明仲裁规则中对适用证据的规定。第二部分，国际仲裁庭适用的证明标准。首先作者简要对证明标准进行界定，论述证明标准与证据关联性的关系以及确立证明标准的依据。紧接着作者介绍了英美法系以及大陆法系的证明标准，英美法系证明标准按照盖然性的不同分为了优势证据证明标准，明确而令人信服的证明标准，排除合理怀疑的证明标准；大陆法系最主要的是“内心确信”证明标准；最后作者对不同法系的证明标准进行了相应的分析。第三部分，国际仲裁庭对涉及贿赂的证明标准的适用。首先作者介绍了在国际仲裁实践中涉及贿赂的案件所具有的表现形式，然后通过具体的案例来揭示仲裁庭如何适用“更高的证明标准”，作者先后列举了Westinghouse案、Hilmarton案、国际商会仲裁院第4145号案，通过对案例的分析来展现仲裁过程以及证明标准的确定，最后作者对仲裁庭适用“更高的证明标准”所裁决的案件进行分析，认为其违反了国际公共政策、国内法规定，并使得当事人的合意遭到破坏。第四部分，中国对国际仲裁庭适用贿赂证明标准的应对策略。作者认为应该分别从国际法和国内法层面应对，在国际法方面，明确BIT中关于证明标准的规定，加强反跨国公司海外商业贿赂的国际司法合作；国内法方面，完善对贿赂的界定，国内法明确规定涉及贿赂的合同无效，中国政府应采取多种措施发现和纠正跨国商业贿赂。
[Abstract]:With the development of economic globalization, transnational exchanges are becoming more and more frequent. Transnational corporations have become the main force in the process of economic globalization. The increasing number of exchanges leads to the increase of the number of economic disputes. The behavior of bribery exists in economic communication and has brought serious influence on the healthy development of the economy. International arbitration system is a dispute settlement. One of the ways, more and more widely used in the handling of disputes. The case of the parties involved in the contract disputes involving bribery to the international arbitration tribunal has increased gradually. Although the international community has formed a public policy of anti bribery, especially the adoption of the United Nations Convention against corruption, the arbitration tribunal has adopted "higher" in practice. The method of proof standard denies the existence of bribery, thus making the contract involving bribery effective. It is a difficult point to apply the higher standard of proof. Although the domestic scholars have more research on the standard of proof, there are few studies on the standard of proof involved in bribery, so more scholars need to discuss this problem.
In addition to the introduction and conclusion, this article is divided into four parts. The author uses comparative analysis, case analysis, literature research method, compares the standard of proof in Anglo American legal system and continental law system, and enumerates the case of "higher standard of proof" that the international arbitration tribunal applies to bribery in the process of arbitration. The statement and analysis show the arbitral tribunal's attitude towards bribery, which leads to the validity of the contract involving bribery, and thus violates the international public policy, and China needs to take a variety of measures to deal with this situation.
The first part is the rule of evidence applicable to the international arbitration tribunal. The author first expounds the importance of the rules of evidence applicable in international arbitration, and then introduces the characteristics of the arbitration tribunal's application of the rules of evidence, such as the autonomy of the parties, the arbitrator's discretion, and the final specification of the rules governing the applicable evidence in the arbitration rules. Make sure.
The second part is the standard of proof applicable to the international arbitration tribunal. First, the author briefly defines the standard of proof, discusses the relationship between the standard and the evidence, and the basis for establishing the standard of proof. The author then introduces the standard of proof in the Anglo American legal system and the continental law system, and the standard of proof in the Anglo American law system is divided into the difference of the probability. The standard of evidence proof, clear and convincing proof standard, and the proof standard of reasonable doubt are excluded; the most important of the continental law system is the proof standard of "inner conviction"; finally, the author analyses the proof standard of different legal systems accordingly.
The third part is the application of the international arbitration tribunal to the standard of proof involving bribery. First, the author introduces the manifestations of the cases involving bribery in the practice of international arbitration, and then reveals how the arbitration tribunal applies the "higher standard of proof" through specific cases. The author enumerates the case of Westinghouse, the case of Hilmarton, and the country successively. In case No. 4145th of the arbitration court of the International Chamber of Commerce, the case is analyzed to show the arbitration process and the confirmation of the standard of proof. Finally, the author analyzes the case of the arbitration tribunal applying the "higher standard of proof", which is in violation of the international public policy, the domestic law, and the parties' consent to be destroyed.
The fourth part is China's coping strategy for the application of the standard of proof of bribery in the international arbitration tribunal. The author thinks that it should be dealt with in the international law and the domestic law level respectively. In the international law, the provisions of the standard of proof in the BIT are clearly defined and the international judicial cooperation on the overseas commercial bribery of the anti transnational corporations is strengthened; and the boundary of the bribery is perfected in the domestic law. The domestic law clearly stipulates that contracts involving bribery are invalid. The Chinese government should take various measures to find and correct transnational commercial bribery.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D997.4

【相似文献】