【作者】 陈翔；

【导师】 丁伟；

【作者基本信息】 华东政法大学 ， 国际法学， 2010， 博士

【摘要】 国际商事仲裁作为解决国际民商事争议的一种有效手段有着悠久的历史,是随着跨国贸易的发展而产生并成熟起来的。第二次世界大战结束以后,世界经济飞速增长,国际民商事活动也日益增多,随之而来的是国际民商事争议的日趋频繁。因此得益于契约自由原则在民商事领域中越来越受到尊重,国际商事仲裁作为解决国际民商事纠纷的一种常用手段被国际社会所广泛接受。一方面,由于现代国际经济贸易的新形势向国际商事仲裁提出了更高的要求,致使国际商事仲裁不断促进自身的发展和创新以满足现代国际民商事交往的需要;另一方面,由于国际商事仲裁在实践中被广泛地应用引起了各国和国际立法的重视,这从国内和国际层面又继续推动了国际商事仲裁的进步。同时,由于先进的国际商事仲裁制度为全世界的经济往来创制了良好的法律环境,为国际商事纠纷提供了有效的争议解决机制,反过来也进一步推动了国际经济贸易的发展。国际民商事争议的最终解决依靠的是依据实体法对争议实体事项的是非曲直和当事人的具体权利与义务作出裁决,因此实体法的适用对案件和当事人至关重要,直接影响到裁决的最终结果。然而,国际商事仲裁的实体法适用与国际民事诉讼的实体法适用是不同的,主要体现在以下区别:(1)仲裁庭与法院权力来源的不同;(2)国际商事仲裁与国际民事诉讼实体法选择方式的不同;(3)国际商事仲裁与国际民事诉讼实体法选择范围的不同;(4)确定国际商事仲裁与国际民事诉讼实体法的法律载体不同。所以国际民事诉讼实体法适用的原则和国际私法规范中关于国际民事诉讼实体法适用的规定并不能简单地直接适用于国际商事仲裁,后者比前者要复杂的多,有必要予以单独研究。为了更好地服务于现今经济全球一体化和多样化的新形势,当代国际商事仲裁制度呈现出了以下的发展趋势:(1)国际商事仲裁的范围不断扩大;(2)当事人意思自治范围的扩大;(3)仲裁庭权力的扩大;(4)国际商事仲裁的立法具有统一化趋向;(5)内国法院对国际商事仲裁的干涉减少。当代国际商事仲裁的各个方面,例如仲裁程序的适用、仲裁实体法的适用以及仲裁裁决的承认和执行等,都体现了上述发展趋势。而这些发展趋势也成为了评判当代际商事仲裁中一些原则、规则或者做法是否与当前经济发展形势相适应,是否有利于促进和保障国际民商事活动的一套标准。在国际商事仲裁案件的审理过程中,仲裁庭依据的是仲裁实体法对争议作出裁决,而国际商事仲裁所具有的特殊性质导致了仲裁实体法的选择比在国际民事诉讼中选择争议适用的实体法更为复杂。在当代国际商事仲裁中,当事人可以根据其自身的意志明确选择仲裁所适用的实体法,只要不违反有关国家的公共政策和强制性规则,但是不能选择冲突规则。在当事人没有明确选择仲裁实体法时,仲裁庭可以通过最密切联系等方法直接选择其认为合理的法律规则进行仲裁,而不必再依据冲突规则确定实体法。这样不但能简化仲裁程序,体现仲裁制度所追求的公正和效益,还能增强仲裁裁决的可预见性、确定性和可执行性,符合当代国际商事仲裁的发展趋势。国际商事仲裁的实体法除了可以适用内国法体系以外,有时也会适用“非国内”规则。国际和国内立法许多都采用了“法律规则”的措辞,从而使得当事人和仲裁庭能够选择国际法规则、商人习惯法、公允善良原则等作为仲裁实体法。另外,在现代国际私法统一化运动的推动下,有些“非国内”规则逐步被吸收或转化成为内国法的规定。因此适用“非国内”规则作为仲裁实体法对争议进行处理可以克服传统仲裁实体法选择方面的弊端,顺应了当代国际商事仲裁的发展潮流,并且有利于推动国际商事仲裁制度的进一步发展。实践中,“非国内”规则经常是作为内国法体系的补充与内国法一起复合使用,依据“非国内”规则作出的国际商事仲裁裁决也通常能够得到承认和执行。“非国内”规则中的国际法规则包括国际法和一般法律原则,经常适用于一方当事人为国家的国家商业合同争议中。非国家方当事人出于对东道国法律的不信任或者不熟悉,以及国家一方当事人作为主权国家也不可能适用他国法律的原因,对争议适用国际法规则能够起到缓和的作用,有利于促进个人与国家之间的国际商事活动的顺利进行,适应了新型国际商事关系的发展。在国际商事仲裁实践中单独适用国际法规则的情况并不多见,通常是与内国法一起复合适用。而在当今各国法律规定日趋相近的情形下,适用国际法规则作为国际商事仲裁实体法的基础将被动摇。商人习惯法作为“非国内”规则中的另一项重要内容,其表现形式十分多样,包括国际公约、示范法、一般法律原则、贸易惯例以及公平、有效和合理交易的概念等。仲裁从一开始就是商人们之间处理争议的自治手段,因此在国际商事仲裁中适用商人习惯法应当说是顺理成章。国际和国内立法普遍都赞同在国际商事仲裁中适用商人习惯法,赋予了当事人和仲裁庭选择适用商人习惯法的自由,并要求仲裁庭在任何情况下都应当考虑适用于交易的商人习惯法对案件的适用。在国际商事仲裁中适用商人习惯法能够增强仲裁结果的可预见性和确定性,增加国际商事仲裁的稳定性,而且有利于争议的实质性解决。但由于商人习惯法还不能成为一个独立、自治的法律体系,因此大多数情况下应与内国法一起复合适用。在国际商事仲裁中当事人可以明确授权仲裁庭不依据严格法律规则而是公允善良原则对案件进行仲裁。适用公允善良原则进行仲裁并不意味着仲裁庭不得适用任何法律规则,而是只有在适用严格法律规则会导致不公正的结果时,才可以排除该法律规则的适用。仲裁庭在依据公允善良原则进行仲裁时也应当考虑商人习惯法对案件的适用,但没有义务必须适用商人习惯法。在国际商事仲裁中适用公允善良原则进行仲裁体现了国际商事仲裁的公正和效益优势,符合当代国际商事仲裁的发展趋势。但是为了增加友好仲裁裁决的可执行性,应当对仲裁员在适用公允善良原则时过于宽泛的自由裁量权有所制约,在适用公允善良原则时也应当注意对其形式上和实体上的限制。在国际社会,法国对国际商事仲裁十分支持,1981年《民事诉讼法典》可以说为当事人和仲裁庭在国际商事仲裁中的法律适用提供了几乎无限的自由。基于一般法律原则和商人习惯法被看作是法国法律的一部分以及适用公允善良原则进行的友好仲裁也是法国的创制等原因,“非国内”规则在国际商事仲裁的实体法适用中并没有实质性障碍。美国对国际商事仲裁也抱支持的态度,并且强调商人习惯法在交易中的适用。由于衡平原则被仲裁员视为法律一部分,因此如果当事人没有明确要求必须依法仲裁,仲裁员就能够按照其意志决定是否对案件适用公允善良原则。英国传统的仲裁制度不允许仲裁员选择内国法体系以外的法律对案件作出裁决。但1996年《仲裁法》秉承了1985年《示范法》的精神对英国的国际商事仲裁制度进行了改革,使其符合当代国际商事仲裁的发展趋势,更好地为国际经贸往来服务。在英国现代国际商事仲裁制度中,依据“非国内”规则作出的仲裁裁决通常能够得到法院的承认和执行。中国的仲裁制度发展缓慢,相对还比较落后。在立法中没有专门关于国际商事仲裁的规定,而是散见于1994年《仲裁法》和2007年《民事诉讼法》等法律和司法解释中。中国不允许临时仲裁,只承认机构仲裁,立法中对适用公允善良原则进行的友好仲裁没有作规定,并且缺乏法对当事人意思自治的充分尊重。因此对中国国际商事仲裁的立法提出以下建议:(1)在《仲裁法》中对国际商事仲裁实体法的适用作出明确规定;(2)进一步确保当事人意思自治原则在国际商事仲裁中的适用;(3)进一步明确判断国际商事仲裁裁决国籍的标准;(4)增加公共政策作为法院对国际商事仲裁裁决实施追诉权的依据。更多还原

【Abstract】 Being an effective approach of dispute resolution settling international civil and commercial arguments, the international commercial arbitration has a long history and engenders and maturates with the growth of international trade. After the end of World War Two, the boom of world economic and the increase of the number of international civil and commercial activities lead to more frequent international civil and commercial disputes. Consequently the international commercial arbitration has become wildly accepted by international community as a common means of resolving international civil and commercial disputes benefiting from the fact that freedom of contract principle has been respected more and more in the civil and commercial world. On the one hand, the higher requirements made by the new situation of modern international economic and trade on international commercial arbitration lead to the continual development and innovation of international commercial arbitration itself in order to meet the satisfaction of the modern international civil and commercial intercourse. On the other hand, the broad applications of international commercial arbitration in practice attract great attentions from national and international legislators. Therefore the international commercial arbitration is continuously progressed by the promotion on national and international levels. Simultaneously, the healthy legal environment for economic intercourse all over the world and the effective dispute settlement mechanism provided by advanced international commercial arbitration system in turn promote the development of international economic and trade.The eventual settlement of international civil and commercial argument is achieved by making arbitral award according to the substantive law, which decides the merits of the dispute and rules the rights and obligations of both parties. Hence the substantive law is crucial to the case and both parties, because it affects the final result directly. However, the application of substantive law in international commercial arbitration distinguishes from that in international civil litigation. The main differences are as follows: (1) the source of power is different between arbitral tribunal and court; (2) the selection of substantive law in international commercial arbitration and international civil litigation has different methods; (3) the scope of substantive law between international commercial arbitration and international civil litigation is different; (4) the substantive law of international commercial arbitration and international civil litigation is regulated by different legal forms. Therefore, the principles of applying substantive law in international civil litigation and the provisions of applying substantive law in private international law relevant to international civil litigation cannot be simply and directly applied to international commercial arbitration. The latter is more complicated than the former and it is necessary to do a separate study.In order to serve the new economic situation of globalisation and diversification nowadays better, the contemporary international commercial arbitration system presents following trends of development: (1) The scope application of international commercial arbitration is extending; (2) The scope of party autonomy is expanding; (3) The power of arbitral tribunal is increasing; (4) The legislation of international commercial arbitration is unifying; (5) The interference of national court to international commercial arbitration is reducing. Various aspects of contemporary international commercial arbitration reflect the aforementioned development trends, such as the application of arbitration procedures, the application of substantive laws and the recognition and enforcement of arbitral awards. Such development trends also become a set of criteria to estimate that whether some principles, regulations and practices in contemporary international commercial arbitration adapt current economic development situation and benefit promotion and protection of international civil and commercial activities or not. The arbitral tribunal makes arbitral award according to the substantive law in the trial of case. But the choice of substantive law in international commercial arbitration is more complicated than that in international civil litigation because of its special nature. In contemporary international commercial arbitration, the parties can choose the substantive law by explicit expression in accordance with their own wills when it does not violate the public policy and mandatory rules of related countries and excludes the conflict rules. In the situation of lacking explicit choice of parties, arbitral tribunal may apply the rules of law that it considers appropriate determined by the doctrine of the most significant relationship and etc. as the substantive law rather than choose substantive law in light of conflict rules. This approach will not only simplify the arbitral proceedings and embody the fairness and efficiency pursued by arbitration system, but also will enhance the predictability, certainty and enforceability of arbitral award. It is in line with the development trends of contemporary international commercial arbitration.Besides national legal system,‘denational’rules can also be selected as the substantive law in international commercial arbitration. Plenty of national and international legislations adopt the phrase of‘rule of law’allowing parties and arbitral tribunal to choose the rules of international law, lex mercatoria and ex aequo et bono as the substantive law. Moreover with the promotion of the unification of modern private international laws, some‘denational’rules are adopted or transformed into national legal system gradually. Therefore the application of‘denational’rules as the substantive law to resolve disputes can overcome drawbacks of traditional approaches of choosing substantive law in arbitration. It conforms to the trends of contemporary international commercial arbitration development and conduces to make the progress of international commercial arbitration system. In practice,‘denational’rules are regarded as the supplementary resources and applied with national legal system concurrently, and the international commercial arbitral awards made in light of‘denational’rules are recognisable and enforceable generally.Being one of the‘denational’rules, the rules of international law including international laws and general principles of law are often applied to the dispute which arises from a state commercial contract, which involves a state party. The application of rules of international law is an emollient approach to resolve such dispute because the non-state party normally does not trust or familiarise with laws of host country and the state party cannot apply laws of other countries as a sovereign country. It is conducive to promote the smooth conduct of international commercial activities between individuals and states, and it has also adapted to the development of new types of international commercial relations. It is uncommon that rules of international law is applied separately in the practice of international commercial arbitration, and normally will be applied with national legal system concurrently. Under the circumstance that the provisions of national legal system are becoming more and more similar nowadays, the grounds for application of rules of international law as substantive law in international commercial arbitration will be collapsed.The lex mercatoria, which is an important party of‘denational’rules, has diverse manifestations including international conventions, model laws, general principles of law, trade practices and the concept of fair, effective and rational transactions. The arbitration is an approach of self-government to settle arguments among businessman community from the beginning, consequently the application of lex mercatoria in international commercial arbitration is a matter of course. International and national legislations both generally agree with the application of lex mercatoria in international commercial arbitration, the freedom of parties and arbitral tribunal to choose lex mercatoria as the applicable law and the requirement on arbitral tribunal to taking lex mercatoria applicable to the transaction into consideration in all cases. Applying lex mercatoria in international commercial arbitration can enhance the predictability and certainty of the outcome of arbitration, increase the stability of international commercial arbitration and conduce to resolve disputes substantially. However the lex mercatoria should be applied concurrently with municipal laws in most cases due to the fact that it is not an independent and autonomous legal system yet.In international commercial arbitration, the parties may empower the arbitral tribunal expressly to decide the case not in light of strict rules of law but ex aequo et bono. The application of ex aequo et bono does not mean that arbitral tribunal shall not apply any rules of law in the case, and such application shall be excluded only if strict application of rule of law would lead to inequitable outcome. When arbitral tribunal decides case ex aequo et bono, the lex mercatoria applying to the transaction should be taken into account but it is not necessary to be applied in each case because the arbitral tribunal does not have such obligation. Deciding international commercial arbitration case ex aequo et bono reflects the advantage of fairness and efficiency of international commercial arbitration and is in accordance with its contemporary trends of development. But in order to enhance the enforceability of arbitral award made by amiable composition, the overly broad discretion of arbitral tribunal should be limited and the formal and substantive constraints should also be paid attention to in the application of ex aequo et bono.In the international community, France is very supportive to the international commercial arbitration, and the‘Code of Civil Procedure’(1981) is regarded as offering almost unlimited freedom to parties and arbitral tribunal in the choice of applicable law in international commercial arbitration. The application of‘denational’rules as substantive law does not confront substantial obstacles resulting from the fact that the general principles of law and the lex mercatoria are seen as parts of French laws, deciding case ex aequo et bono is a creation of French law and etc. The attitude of the USA towards international commercial arbitration is also favourable, and the application of lex mercatoria is particularly emphasized in transaction. Since the principle of equity is regarded as a part of law, arbitral tribunal has the power to determine whether the case shall be decided ex aequo et bono in accordance with its own will if the parties do not request explicitly that the case should be decided according to rules of law. Traditional arbitration system of the UK did not allow arbitral tribunal to make arbitral award according to the substantive law chosen from outside the municipal legal system. Nevertheless the‘Arbitration Act’(1996), which is consistent with the spirit of‘Model Law’(1985), has reformed the international commercial arbitration system of the UK in order to comply with its contemporary trends of development and serve the international economic and trade better. In modern British international commercial arbitration system, the arbitral award made according to‘denational’rules can usually be recognised and enforced by courts.The arbitration system in China developed slowly and relatively dropped behind. The legislations do not regulate international commercial arbitration separately, and related provisions can be found dispersedly in‘Arbitration Law’(1994),‘Civil Procedure Law’(2007) and other laws and judicial interpretations. In Chinese arbitration system, the ad hoc arbitration is not allowed and only institutional arbitration is recognised. The amiable composition which arbitral tribunal decides case ex aequo et bono is also not provided and the party autonomy is not fully respected in legislations. Therefore the following recommendations are made to the international commercial arbitration legislation of China: (1) Regulating the application of substantive law in international commercial arbitration in‘Arbitration Law’specifically; (2) Ensuring the application of principle of party autonomy in international commercial arbitration more effectively; (3) Clarifying the criteria of determining the nationality of international commercial arbitration award more specifically; (4) Providing court with Public Policy as a ground for judicial remedy of international commercial arbitration award.更多还原