【作者】 申黎；

【导师】 林燕萍；

【作者基本信息】 华东政法大学 ， 国际法学， 2012， 博士

【摘要】 作为国际商事活动不断蓬勃发展的产物之一，国际商事仲裁在国际商事争议中作为一种解决方式得到了越来越广泛的运用。与调解、斡旋、诉讼等其他纠纷解决机制不同，仲裁基本施行“一裁终局”的制度，即裁决一经作出，就对于争议具有最终解决的效力。通常情况下，各国立法普遍规定法院对于国际商事仲裁拥有监督的权力，同时也规定法院在某些环节上协助仲裁、支持仲裁，确保仲裁程序的顺利进行。因此，如何协调仲裁和司法的关系，是国际商事仲裁领域的一个重要命题。从世界范围看，司法与仲裁之间的关系总体上呈现出由法院对仲裁予以严格监督到适度监督、由单纯监督到监督与协助并举的基本趋向，只是各国的具体制度仍存在差异。这种实践发展既受到了司法与仲裁关系理论创新的影响，又对司法与仲裁关系理论的进一步创新提供了契机和现实基础。目前，国外理论界对仲裁是否需要法院的监督与协助、法院对仲裁予以监督和协助的范围、方式、程序等均存在不同认识，各国立法的规定也不尽一致。当前我国已经深刻融入了进国际经济贸易秩序之中，国际商事仲裁越来越来成为我国解决国际商事纠纷的主要机制。我国现行民事诉讼法和仲裁法对法院与国际商事仲裁之间的关系作了立法上的界定，与世界先进立法例相比，既不乏共同之点，也存在相异之处。同时，司法介入的目的不仅在对于仲裁的监督，而且还在于完善多元化纠纷解决的机制，尤其是在跨国纠纷解决的国际商事领域，司法介入更具有支持、协助仲裁的功能意义。如对仲裁过程中的财产保全、证据保全、强制性禁令、裁决的执行等等，我国在这方面的立法比较落后，有的仍然是空白。因此。对这一领域的理论研究有待于深入，包括如何确定司法审查的范围、方式和程序，如何合理建构和完善司法对于国际商事仲裁的支持等，与之相应的立法和司法实践更有待于进一步完善。因此，如何评价当前理论界的不同认知，如何分析各国实践中的不同做法，从而对于完善我国的国际商事仲裁司法介入制度提出若干建议，是既具有理论价值也具有实践意义的研究课题。本文将从仲裁制度的性质、当事人意思自治与国内法强制性规定的关系等基础理论问题入手，对国际商事仲裁司法介入制度的不同理论认知和实践展开分析，并就若干主要问题提出自己的见解。全文五章约18万字。第一章导论。本章旨在为整个研究厘清基础概念及法理问题。为此，本章涉及三个方面的问题：第一，国际商事仲裁的基本概念，因为司法介入的目的即在保障国际商事仲裁的良性运作，国际商事仲裁在本文中不仅是客体，也是主体之一；第二，司法介入的概念。对于司法介入的准确界定本身即蕴含着司法对于国际商事仲裁的基本价值观，并直接影响到具体制度的设置和演进；第三，国际商事仲裁司法介入的正当性及适度性。对司法与国际商事仲裁关系的厘清，是奠定司法介入制度价值取向的法理基础。在上述分析的基础上，本章对我国国际商事仲裁司法介入制度进行整体评析，并建议我国应当采用国际、国内商事仲裁司法介入“一元制”的立法体例，使其更加符合仲裁制度的契约本质和尊重当事人意思自治的精神；同时在审查范围上应当建立以程序性审查为准则，允许当事人合意扩展法院审查范围的审查模式。第二章国际商事仲裁协议有效性的司法介入。仲裁协议是国际商事仲裁的基础，因此对于仲裁协议的审查是法院介入国际商事仲裁的重要方式和内容。仲裁协议有效性司法审查的关键在于如何适用仲裁协议的准据法。根据传统理论和各国的普遍实践，依据当事人意思自治确定仲裁协议的准据法是首要原则，并以其他方式作为补充。在非内国理论的主导下，有些仲裁机构和个别国家超越传统的准据法方式，采用一般国际原则的实体法方法来判断仲裁协议的有效性。法院对于国际商事仲裁协议有效性审查的主要内容是：仲裁协议是否具备形式要件和实质要件，仲裁协议是否违反可仲裁性的强制性规定等。本章在比较法基础上提出对于我国国际商事仲裁协议有效性司法审查的若干建议，如合理构建仲裁协议的形式和实质性要件，适当扩张可仲裁性的范围等。第三章国际商事仲裁程序的司法介入。国际条约和部分国内立法均规定了仲裁庭的“自裁管辖权”原则，即仲裁庭有权确定自身对于争议事项的管辖权问题。同时，立法也允许当事人对于仲裁庭的管辖权决定不服时，请求法院对管辖权争议进行介入。当事人出于种种原因在约定仲裁事项时，仲裁条款往往存在不周延、不完整等问题，从而影响了仲裁程序的正常推进，在当事人就上述问题不能达成一致或发生争议时，司法对于仲裁程序的介入就成为必要的选择；同时，当一方当事人存在转移财产、隐匿证据、或继续实施侵害等行为时，基于仲裁的民间性，司法对于上述行为的干预以保障仲裁的顺利进行也是必要的。本章将主要研究国际商事仲裁程序进行过程中的司法介入问题，主要是司法对于仲裁程序进行的积极支持，当然也包括一定程度的监督；同时对于我国的相应制度提出评析和建议，如设立法院对于仲裁庭组成的支持制度，完善我国的仲裁临时措施机制，建立法院对于合并仲裁的支持机制等。第四章国际商事仲裁裁决的司法介入。内国法院对于本国的国际商事仲裁裁决依据当事人的申请进行相应的司法介入，并依法作出相应否定裁决效力的决定，这一制度可称之为司法追诉。许多国家将撤销作为司法追诉的主要或者唯一方式，联合国国际贸易法委员会的《国际商事仲裁示范法》（以下简称《UNCITRAL示范法》）即将撤销作为司法追诉的唯一方式。裁决的国籍识别问题，是决定内国法院是否可以对国际商事仲裁裁决进行追诉的前提问题。关于区分仲裁裁决国籍的认定标准，存在不同的观点和实践，但当前仲裁实践中仲裁地标准已经成为主流观点。晚近以来，仲裁地标准成为确定管辖法院的主要标准，即只有仲裁地法院具有撤销仲裁裁决的管辖权。撤销理由是国际商事仲裁裁决撤销制度的核心，《UNCITRAL示范法》的相关规定对诸多国家产生了重大影响。国际商事仲裁裁决被撤销后应对原仲裁协议的效力作出不同处置，不应当一概否定。本章以裁决撤销制度为主要切入点，研讨了国际商事仲裁裁决的司法介入问题，藉此进一步探索中国在这方面的实践并提出建议。如修改我国的仲裁国籍识别制度、完善我国的裁决撤销理由制度、改革我国的“裁决异议的报告制度”等。第五章承认与执行国际商事仲裁裁决的司法介入。国际商事仲裁裁决的国籍识别是承认和执行的前提，历史上的国籍判断标准曾经比较混乱。《承认和执行外国仲裁裁决公约》（以下简称《纽约公约》）采纳了裁决作成地标准和非内国裁决标准，极大改进了裁决国籍识别问题的解决。晚近一些国内立法直接采纳了仲裁地标准，简化了这一复杂问题。《纽约公约》规定的拒绝承认及执行外国裁决的理由在实践中基本不存在适用困难，但已被撤销的外国仲裁裁决可否承认和执行成为例外，各国对此也出现了不同的实践。我国在承认和执行国际商事仲裁裁决方面与国际上的普遍实践日益趋近，但是，在立法和司法实践层面也存在一定的问题，如国际商事仲裁仲裁的国籍识别问题与国际通行标准有较大差异，对非《纽约公约》裁决的承认和执行制度缺乏具体规定，对公共秩序政策缺乏严格的界定和解释、拒绝承认和执行决定的上诉制度仍然不完善，等等。本章对上述问题都作了深入的讨论并提出了相应的建议。论文在较为系统研究的基础上，对我国《仲裁法》第七章“涉外仲裁的特别规定”提出了立法修改建议稿，以此作为完善我国国际商事仲裁司法介入制度的一种尝试，也作为本论文研究的结论之一。更多还原

【Abstract】 A critical issue of international commercial arbitration is how to coordinate therelationship between arbitration and judicature. Different from other alternativedispute resolution mechanisms，most national laws implement the final effect toarbitration award. Mainly in view of above characteristics of arbitral award，countriesgenerally give the court the power to supervise the arbitration. On the other hand，toensure the smooth progress of the arbitration proceedings，the courts should alsosupport and assist the arbitration in some areas. From a global perspective，therelationship between the judicature and arbitration overall has shown the trend fromstrict supervision to moderate supervision. Though there is similar trend in judicialenvolvement rules，but there are still many specific designs of the system in variouscountries. Currently，foreign arbitration theorists have different understanding ofjudicial supervision and assistance，the provisions of various national legislation arethe same situation. In China，It is also a critical issue to develop a reasonable judicialenvolvement system，including how to determine the scope of judicial review，methods and procedures，and how to design the construction of judicial support forthe international commercial arbitration.Through in-depth examination and analysis of the relationship betweeninternational commercial arbitration and court，and combing through more systematicand comprehensive previous theoretical results，The purpose of this paper is toestablish more profound understanding and form relatively systematic demonstrationand conclusion，strive to form the concept of a more profound understanding and the formation of a more systematic system and conclusions. On the base of above practiceand theory study，the paper will put forward the advices on the chinese judicialenvolvement system of international commercial arbitration. The paper comprises5Chapters，in addition to an Legislative Suggestions.Chapter Ⅰ：Introduction. This chapter aims to clarify some key concepts as thebasis for the entire study. This chapter involves three aspects：First，the basic conceptsof international commercial arbitration；Second，the concept of judicial envolvement.Third，the necessity and rationality of judicial envolvement in internationalcommercial arbitration.Chapter Ⅱ：The judicial envolvement on effectiveness of internationalcommercial arbitration agreement. The arbitration agreement is the cornerstone ofthe arbitration system. The effect of the arbitration agreement is broad，not only tobind for the parties， but also to exclude the jurisdiction of the courts，and give thejurisdiction of the arbitration institution. However，the effect will not occur unless thearbitration agreement itself has validity. According to the relevant internationaltreaties and national laws，before the start of the arbitration，during the arbitrationprocess，and after the arbitration award，the parties can appeal the court to review theeffectiveness of arbitration agreement. The review of the effectiveness includes thesubstantive elements and the formal requirements of the agreement， and theArbitrability.Chapter Ⅲ： The judicial envolvement on international commercialarbitration proceedings. For various reasons，when the parties agreed to arbitrationin the matter，there are often not sufficiently comprehensive or incomplete arbitrationclause in the agreement. It affects the normal advance of the arbitration proceedings.When the parties can not reach agreement on these issues or a dispute， the judicialenvolvement on the procedure of the arbitration would become necessary. Such asfollowing measures：1、If a party violated the arbitration agreement and put forwardthe dispute to the courts， the other party may apply to the court to terminate judicialproceedings.2、the Court may designate or appoint or remove the arbitrator accordingto agreement of the parties or the arbitration rules；As requests of the parties， thecourt may take interim measures on the property，evidence，In particular，the conductof the parties. This chapter will mainly study the judicial envolvement of international commercial arbitration proceedings，including the active judicial supporton arbitration proceedings，and also including some judicial supervision.Chapter Ⅳ： The judicial envolvement on international commercialarbitration award. The finality of arbitration awards is bound to bring out thecorresponding execution of the res judicata effect，National legislation not onlyrecognizes it through judicial support and assistance， but also affects it appropriatechecks and balances by judicial envolvement. In the judicial envolvement，therevocation of the arbitral award is the main way of recourse. As the national political，economic， social， legal and cultural differences，especially judicial tradition，revocation of an arbitral award in the system of national legislation and practice is notuniform，even in some respects，there are significant differences. This chapter willmainly study the revocation of international commercial arbitration awards，on theabove basis，will also discuss the practice in this area and set forth some suggestion inChina.Chapter Ⅵ：The judicial envolvement on recognition and enforcement ofinternational commercial arbitration awards. It is a precondition on recognitionand enforcement of international arbitration award that how to identify the nationalityof an international commercial arbitration award. The standard adopted by "New YorkConvention" greatly solved the problems，the standard has been adopted by a numberof domestic arbitration legislation to simplify the problem."New York Convention"provides the reasons for refusal of recognition and enforcement to foreign awards inpractice，this legislative method has been adopted by most countries. Currently，thereis few country to recognize and enforce arbitral awards which has been revoked bythe foreign court. The Chinese legislation and judicial practice also have someproblems and should make some legislative modification to solve it in this area.Meanwhile，on the base of systematic study，the paper also sets forth thelegislative proposed on Chapter VII of the Arbitration Law of China，“SpecialProvisions of foreign-related arbitration". It is an attempt to improve China’s judicialenvolvement rules on international commercial arbitration.更多还原