浅论国际商事仲裁证据规则在缺席裁决下的运用

发布时间：2018-07-25 06:42

【摘要】：笔者就读国际法专业研究生期间,在国内某著名的仲裁委员会实习了半年多,在实习中接触到我国一线的涉外商事仲裁实务并参与了一些案件,学习到很多知识,同时也对实践中的一些问题有了自己的思考。商事仲裁证据规则相比于民事诉讼证据规则,有其自身的发展历史和特点,却长期没有系统的成文法规定,而且各国司法实践对这一问题的理论和实务又各不相同,所以导致我们在仲裁司法实践中,不同的仲裁机构,甚至每个仲裁员都对仲裁证据规则的内涵和外延有着不同的理解和标准。理论界对于仲裁证据方面的研究还留有很大的空间,这是一个非常值得探讨的问题,也有着重要的现实意义。在我国目前的法制发展水平下,仲裁实务中的缺席裁决比例还是相当高的。有些当事人由于法律知识的匮乏、对司法公正缺乏信心,或者对仲裁结果的错误认识等各种原因,最终缺席了仲裁答辩和庭审。当仲裁庭作出对他们不利的裁决时,他们又觉得受到了不公平的待遇,再次到法院寻求救济,这种状况不仅对被申请人不利、对申请人和仲裁庭也不利。特别是在一方缺席的情况下,仲裁庭如何认定另一方单方面提交的证据,又如何基于不完整的事实裁判案件,法律上并没有给出更多的指引,这给仲裁庭带来了更大的挑战和风险。基于以上这些法律上和实务中的现实问题,笔者提出了本文的论题,即在缺席裁决的情况下如何运用国际商事仲裁证据规则来认定证据,才能保证更公正的程序和结果。从缺席审判制度的理论来看,不管是缺席判决主义还是一方辩论主义都已经无法解决缺席裁决中的问题。仲裁相比于诉讼,国内案件相比于涉外案件,都有其自身特点,但是这方面的理论研究却非常少,导致了实践中缺席裁决产生了很多的问题。笔者认为,毕竟案件的裁决主要是基于法律事实,只有更合理地进行举证、取证与认证,所推定的法律事实才能成为保证公正裁决的坚实基础,从证据规则的角度也可以探讨解决缺席裁决问题的办法。本文主要论述在国际商事仲裁中,当一方当事人缺席时,仲裁庭如何运用国际商事仲裁证据规则做出缺席裁决的问题。国际商事仲裁区别于民事诉讼,是更适合于涉外商事纠纷的争议解决方式,它具有灵活性、自治性、快捷性的优势。国际商事仲裁中的法律规则也呈现出多层次、多样化的特点,不仅实体法和程序法可由当事人选择适用不同的法律规范,而且仲裁庭在裁决案件时可能会同时用到一国的仲裁法、民事诉讼法、法律适用法、仲裁规则以及当事人选择的法律等多层次的法律规范,使得法律适用问题特别复杂。所以本文第一章先对国际商事仲裁证据规则做了一个简单的介绍,再进一步分析仲裁庭在裁决一个国际商事仲裁案件时的法律适用问题,结合我国仲裁法律的规定,反映出国际商事仲裁法律适用的复杂性以及我国仲裁法律制度存在的问题。本文第二章对缺席裁决问题进行了研究。缺席裁决区别于缺席判决,没有系统的理论和制度构建,但是在我国,缺席现象还是占了很大的比重。而缺席裁决理论的匮乏以及关于缺席裁决的法律规定过于简单导致实践中,仲裁庭在做出缺席裁决时面临种种问题,也使得当事人得不到充分的制度保障。第二章通过对民事诉讼中缺席判决理论的研究作为基础,再对比到仲裁,分析二者之间的联系与区别,呈现出缺席裁决的基本特点和属性。第三章在缺席裁决的大前提下,论述国际商事仲裁证据规则在运用时会产生哪些问题,及与对席裁决的不同之处。通过分析发现,缺席与对席,仲裁庭在运用证据规则时会碰到不同的问题,虽然有些区别的研究并没有得出什么结论性的成果,或归纳出规律,或创设一些法律规定,但是笔者觉得通过针对性的分析,仍然可以对证据规则运用的问题做一些思考。最后一章是本文的结论部分,针对前三章中所讨论的问题,分析我国国际商事仲裁实践中法律适用体系和缺席裁决时证据规则运用的问题,得出我国国际商事仲裁证据规则在基础法律规定、仲裁证据规则和缺席法律制度方面的存在法律规定单薄、立法层次不清、操作性规定不足、缺席裁决法律制度缺失等问题,并就此问题提出自己的建议,比如在仲裁法中明确赋予当事人选择仲裁程序法的权利;增加更具仲裁特色和实际操作性的证据规则或是制定专门的国际商事仲裁证据示范法;建立缺席裁决时的仲裁制度,特别是证据规则,以原则性规定、指导性规定和具体操作规则构成,全面系统建立我国国际商事仲裁法律多层次、多方位的制度构建。本文的创新点非常清楚,就是从缺席裁决的角度来讨论国际商事仲裁证据规则的运用问题,再结合我国实际,提出笔者的一些拙见。另外,针对一些最新出台的法律或规范,比如今年最高人民法院发布的民事诉讼法司法解释和中国国际经济贸易仲裁委员会2015年3月1日起施行的“证据指引”。笔者非常幸运在这些规范“新鲜出炉”的当口可以在自己的毕业论文中对其进行一些研究和解读。由于仲裁的私密性,虽然笔者在仲裁委员会中有过较长时间的实习,但是接触到的案件毕竟是少数,而基于仲裁的保密性以及保密承诺,笔者也不便在论文中讲述实务中曾经遇到过的案例,而仲裁案例又无法通过公共渠道获得,所以难免缺乏实际案例的论述,实为一大遗憾。另外,虽然本文通过举出其他国家仲裁法的相关规定来进行比较研究,可是各国的法律制度不同,笔者仅凭一国的法条规定,无法准确得到该国仲裁实务的真实面貌,难免有片面之嫌,希望在今后的研究中,继续进行这方面的探索。由于笔者才疏学浅、知识局限,所提出的观点和分析肯定存在许多考虑不周到、不严密的地方,很多想法也许也过于简单或欠缺实际操作性,笔者希望本文能起到一个抛砖引玉的作用,让更多学者能够关注国际商事仲裁证据规则与缺席裁决理论,做出更多更优秀的研究,以解决我国仲裁实务中出现的问题。正如笔者在前文中提到的,关于“国际商事仲裁证据规则”和“缺席裁决”这两者交叉的理论研究太少了,仅找到了极少相关主题的文献资料,但是以笔者在仲裁委员会实习的经历来看,我国一线的仲裁实务领域,对这一问题的产生的分歧非常多,许多仲裁员之间、仲裁员和仲裁委员会之间会因为缺席裁决的各种证据问题产生分歧和争论,足见我国法律规定的缺失和理论研究的匮乏,希望能有越来越多的学者关注到这一课题,为我国仲裁事业发展献计献策。
[Abstract]:During the period of the graduate student of international law, I practiced for more than half a year in a famous domestic arbitration commission. In the practice, I had come into contact with the foreign commercial arbitration practice of the first line of our country and participated in some cases, learned a lot of knowledge, and also thought about some problems in practice. The rules of commercial arbitration evidences compared to the people. The rule of litigation evidence has its own development history and characteristics, but there is no systematic statutory law for a long time, and the theory and practice of judicial practice in various countries are different from the theory and practice of this problem. There are different understandings and standards. There is still a lot of space for the theoretical circles to study the evidence of arbitration. This is a very worthwhile problem and also has important practical significance. Under the current legal development level of our country, the proportion of default adjudication in arbitration practice is quite high. Some parties are known by the law. The lack of knowledge, the lack of confidence in the justice of the judiciary, or the wrong understanding of the results of the arbitration in the final absence of arbitration and trial. When the arbitral tribunal made an adversely adjudicatory decision to them, they felt that they were treated unfairly and again to the court to seek salvation. This situation was not only adverse to the applicant, but also to the applicant. It is also unfavourable to the arbitral tribunal, especially in the absence of one party, how the arbitral tribunal identifies the evidence submitted by the other side, and how it is based on the incomplete factual referee cases, and does not give more guidance in law, which brings greater challenges and risks to the arbitral tribunal. Based on these legal and practical realities The question, I put forward the thesis, that is, how to use the rules of the international commercial arbitration evidence to identify the evidence in the absence of a verdict, and to ensure a more impartial procedure and result. From the theory of the system of trial by default, it is impossible to solve the problem in the default verdict, either by default or by one party's plea. Compared with the lawsuit, the domestic case has its own characteristics compared to the case related to foreign affairs, but the theoretical research in this respect is very small, which leads to a lot of problems in the practice. The author thinks that, after all, the verdict of the case is mainly based on the legal facts, and only a more reasonable proof, evidence and certification, presumed. Legal facts can be a solid foundation for ensuring a fair decision. From the point of view of the rules of evidence, a solution to the problem of absentee adjudication is also discussed. This article mainly discusses the question of how the arbitral tribunal uses the rules of evidence of international commercial arbitration in the absence of a party in International commercial arbitration. Different from civil litigation, it is more suitable for dispute settlement in foreign affairs. It has the advantages of flexibility, autonomy and shortcut. The legal rules in international commercial arbitration also show a multilevel and diversified characteristic. Not only the substantive law and the procedural law can choose different legal norms for the parties, but also the arbitration tribunal is tailored to the arbitration court. In the case of a case, the Arbitration Law of a country, the civil procedure law, the law applicable to the law, the rules of arbitration and the law of the parties selected may be used at the same time. The application of the law is particularly complicated. So the first chapter of this paper makes a brief introduction to the rules of the international commercial arbitration evidence and further analyses the arbitration. The question of the application of the law in the decision of an international commercial arbitration case, which reflects the complexity of the application of the International Commercial Arbitration Law and the existing problems in the legal system of arbitration in our country. The second chapter of this article has studied the issue of absentee adjudication. The default decision is different from the default judgment and has no system. The theory and system are constructed, but in our country, the absence of the phenomenon is still a large proportion. But the lack of the theory of absentee award and the too simple legal provisions on the default adjudication cause the arbitration tribunal to face all sorts of problems in the absence of adjudication, and also make the parties do not have sufficient institutional guarantee. The second chapter passes through On the basis of the study of the theory of default judgment in civil litigation, it is compared to arbitration and analyzes the relations and differences between the two parties, and presents the basic characteristics and attributes of the default adjudication. The third chapter discusses the problems in the application of the rules of international commercial arbitration evidence under the precondition of the absence of adjudication, and the difference between the adjudication and the adjudication. Through the analysis, it is found that there will be different problems in the use of the rules of evidence by the arbitral tribunal. Although some of the different studies do not produce any conclusive results, or conclude the laws, or create some legal provisions, the author thinks that the problem of the application of evidence rules can still be done through the pertinent analysis. The last chapter is the conclusion part of this article. Aiming at the problems discussed in the first three chapters, it analyzes the problems of the application of the system of law in the practice of international commercial arbitration and the application of the rules of evidence in the absence of adjudication, and draws a conclusion that the rules of evidence in the international commercial arbitration are stipulated in the basic law, the rules of arbitration evidence and the absence of the legal system. The existence of legal provisions is thin, the legislative level is not clear, the operational provisions are insufficient, the absence of the legal system of the default adjudication, etc., and put forward their own suggestions on this issue, such as the right to give the parties a clear choice of the arbitration procedure law in the Arbitration Law, and to increase the rules of evidence that have more arbitral characteristics and practical operation, or to make special special rules. The evidence demonstration law of international commercial arbitration, the establishment of the arbitration system in the absence of adjudication, especially the rules of evidence, the principles, the guiding rules and the specific rules of operation, set up a comprehensive and systematic establishment of the International Commercial Arbitration Law in a comprehensive and systematic way. The innovation point of this article is very clear, that is, from the angle of the default adjudication To discuss the application of the rules of evidence for international commercial arbitration and to put forward some of my humble opinions on the basis of the reality of our country. In addition, some of the latest laws and regulations, such as the judicial interpretation of the civil procedure law issued by the Supreme People's Court of the year and the "evidence" implemented by the China International Economic Trade Arbitration Commission in March 1, 2015 As a result of the privacy of arbitration, the author has a long period of internship in the Arbitration Commission, but the case in contact with the arbitration is a minority, based on the confidentiality and insurance of the arbitration. It is inconvenient for the author to tell the cases that have been encountered in the practice in the paper, and the case of arbitration can not be obtained through public channels, so it is hard to avoid the lack of practical cases, and it is a great pity. In addition, this article makes comparative research on the relevant provisions of other countries' Arbitration Law, but the legal system of various countries. According to the law of one country, the author is unable to get the true face of the arbitration practice in the country. It is unavoidable that there is a one-sided suspicion. I hope that in the future research, we will continue to explore this aspect. It may be too simple or lack of practical operability. I hope this article can play a role in attracting more scholars to pay more attention to the rules of evidence of international commercial arbitration and the theory of default adjudication, and make more and more excellent research to solve the problems in the practice of arbitration in our country. As I mentioned in the previous article, There are few theoretical studies on the intersecting between the rules of evidence for international commercial arbitration and the absence of adjudication, and only a few related documents have been found. However, the author's experience in the practice of the Arbitration Commission shows that there are many differences in the field of arbitration practice in China and many arbitrators. Between the arbitrators and the Arbitration Commission, there will be differences and disputes between the various evidence problems of the arbitral award, the lack of legal provisions and the lack of theoretical research in our country. It is hoped that more and more scholars will be able to pay attention to this subject and offer suggestions for the development of arbitration in our country.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D997.4

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