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 . There is an increasing number of economic disputes .

This paper is divided into four parts : comparative analysis , case analysis and literature research . By comparing the proof standards of Anglo - American law system and continental law system , the author points out that the international arbitration tribunal applies " higher proof standard " to the determination of bribery in the course of arbitration . This leads to the conclusion of the arbitration tribunal ' s determination of bribery , which leads to the validity of the contract involving bribery , thus violating international public policy , so China needs to take various measures to deal with this situation .

The first part , the rules of evidence applied by the international arbitration tribunal . The author first expounds the importance of applying the rules of evidence in international arbitration , and then introduces the characteristics of the rules of application of the arbitration tribunal , such as the autonomy of the parties , the discretion of the arbitrators , and the provision of the applicable evidence in the arbitration rules .

The second part is the proof standard applicable to the international arbitration tribunal . First , the author briefly defines the proof standard , discusses the relationship between the standard and the evidence and establishes the basis for establishing the proof standard . Then the author introduces the proof standard of the Anglo - American law system and the continental law system .
The most important part of the civil law system is " inner assurance " to prove the standard ;
Finally , the author analyses the proof standard of different law systems .

The third part , the application of the international arbitration tribunal to the proof standard involving bribery . First , the author introduces the expression of the cases involving bribery in the practice of international arbitration , and then reveals how the arbitration tribunal applies the " higher certification standard " in the case of international arbitration .

The fourth part , China ' s response to the international arbitration tribunal ' s application of the standard of proof of bribery . The author believes that the international law and the domestic law should be dealt with separately . In the aspect of international law , China should make clear the provisions on the certification standards in BIT and strengthen the international judicial cooperation of anti - transnational corporations overseas commercial bribery ;
In domestic law , the definition of bribery is perfected , and the domestic law specifies that the contract involving bribery is null and void , and 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

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