论法官知法原则及其在国际商事仲裁之中的运用

发布时间：2018-07-08 18:37

本文选题：法官知法原则 + 国际商事仲裁　；参考：《华东政法大学》2012年硕士论文

【摘要】：法官知法原则是民法法系国家民事诉讼制度的基本原则，虽然不同国家对此原则的具体理解与适用不完全相同，但各国法律均认同此原则解决的核心问题是在法官与当事人之间分配了法律适用的责任，法官有义务掌握适用本国法律并且有权力查明适用外国法律，当事人仅可在一定程度内对法律适用进行干涉，在民事诉讼程序中，此原则既涉及国内法的适用，亦涉及外国法查明制度。然而，国际商事仲裁具有超国家性，国际商事仲裁庭没有国籍，“国内法”与“外国法”这一概念在国际商事仲裁中之中根本不存在，仲裁庭所在地国家法律不可当然成为准据法，因此仲裁庭在查明准据法过程中并不能当然适用仲裁庭所在地国家法律中的外国法查明制度，仲裁庭应当适用独立程序规则查明并适用准据法。比照法官知法原则在民事诉讼制度之中存在的意义，若国家立法将法官知法原则适用于仲裁庭查明并适用准据法的程序规则之中，亦可保证法律公平正确适用、促进法律发展。仲裁权本质上是混合性司法权，其具有契约性与自治性特点，若仲裁庭被赋予了强制适用法官知法原则的义务，意味着无论当事人双方的仲裁协议如何约定，，仲裁庭均须独立查明并适用准据法，这与仲裁权的契约性以及自治性特点相冲突。另外，仲裁庭强制适用法官知法原则将在实践中给仲裁程序带来多方面的消极影响，例如仲裁员任职资格的宽松性导致强制仲裁庭在任何一个案件中均独立查明适用准据法在客观上具有难度，必将极大增加仲裁成本。在此情形下，权衡正确适用法律、公平适用法律以及促进法律发展这三方面积极意义与其消极影响，强制适用法官知法原则之积极意义并不足以抵消其消极影响，因此，强制适用法官知法原则于国际商事仲裁之中并不合适。退一步而言，若国家立法仅赋予仲裁庭独立查明并适用准据法的权力，即法官知法原则仅可作为仲裁庭权力，适用于仲裁程序之中，仲裁庭可根据案件具体情况，自由决定是否在案件中独立查明并适用准据法，是否要独立于当事人提交的法律观点之外提出新的法律观点，这就在很大程度上消除了强制适用法官知法原则给仲裁程序带来的消极影响，在此情形下，适用法律、公平适用法律以及促进法律发展已构成足够理由，支持国家立法，将此原则作为仲裁庭权力，适用于仲裁程序之中。仲裁庭有权力在仲裁程序中适用法官知法原则，意味着仲裁员有权查明并适用准据法，在独立于当事人提交的法律观点范围之外，提出新的法律观点并适用于裁决之中。这从另一方面而言，增加了仲裁裁决被当事人提出异议的风险。仲裁庭需要遵守正当程序原则，包括保持仲裁庭的中立性、保证当事人的听审权，以保证仲裁裁决的终局性。
[Abstract]:The principle that judges know the law is the basic principle of civil action system in civil law countries, although different countries do not have the same concrete understanding and application of this principle. However, the core issue addressed by this principle, which is recognized in the law of all States, is the allocation of responsibility for the application of the law between the judges and the parties, the obligation of the judge to have control of the applicable domestic law and the power to identify the applicable foreign law, The parties may only interfere with the application of the law to a certain extent. In civil proceedings, this principle involves both the application of domestic law and the system of ascertaining foreign law. However, international commercial arbitration is supranational, the international commercial arbitration tribunal has no nationality, and the concepts of "domestic law" and "foreign law" do not exist in international commercial arbitration. The national law of the seat of the arbitral tribunal may not, of course, become the applicable law, so that the arbitral tribunal cannot, in ascertaining the applicable law, apply ex officio the foreign law identification system in the national law of the seat of the arbitral tribunal, The arbitral tribunal shall apply the rules of independent procedure to identify and apply applicable law. Comparing with the significance of the principle of judge knowing law in the civil litigation system, if the national legislation applies the principle of judge knowing law to the procedural rules of the arbitration tribunal to identify and apply the applicable law, it can also guarantee the fair and correct application of the law and promote the development of the law. The arbitration right is essentially a mixed judicial power, which has the characteristics of contract and autonomy. If the arbitral tribunal is given the obligation to enforce the principle of knowing the law of the judge, it means that no matter how the parties agree on the arbitration agreement, Arbitral tribunals must independently identify and apply applicable law, which conflicts with the contractual and autonomous character of the right of arbitration. In addition, the arbitral tribunal's mandatory application of the principle of the judge's knowledge of law will have many negative effects on the arbitration proceedings in practice. For example, the leniency of arbitrators' qualifications makes it difficult for the arbitral tribunal to find out the applicable law independently in any case, which will increase the arbitration cost greatly. In this case, the balance between the positive significance of the correct application of the law, the fair application of the law and the promotion of the development of the law, and its negative effects, the positive significance of the compulsory application of the principle of the judge knowing the law is not enough to offset its negative impact. It is not appropriate to enforce the principle of judge's knowing law in international commercial arbitration. If, in retrospect, national legislation only gives the arbitral tribunal the power to independently identify and apply applicable law, that is, the principle of the judge's knowledge of the law may be applied only as the power of the arbitral tribunal in the arbitral proceedings, and the arbitral tribunal may, depending on the circumstances of the case, Free to decide whether to independently identify and apply the applicable law in a case, and whether to present a new legal opinion independently of the point of view submitted by the parties, This, to a large extent, eliminates the negative impact on arbitration proceedings of the mandatory application of the principle that judges know the law, in which case the application of the law, the equitable application of the law and the promotion of the development of the law constitute sufficient grounds to support national legislation, This principle shall apply to the arbitral proceedings as the power of the arbitral tribunal. The power of the arbitral tribunal to apply the principle of justiciability in the arbitral proceedings means that the arbitrator has the power to identify and apply applicable law, to present new points of law and to apply them to the award, independent of the point of view submitted by the parties. This, on the other hand, increases the risk that the arbitral award will be challenged by the parties. The arbitral tribunal is required to abide by the principle of due process, including maintaining the neutrality of the arbitral tribunal and the right of the parties to be heard, in order to ensure the finality of the arbitral award.
【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

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