【作者】 宋家法；

【导师】 余劲松；

【作者基本信息】 武汉大学 ， 国际法学， 2014， 博士

【摘要】 论文讨论了国际商事仲示司法审查的价值取向及主要内容,全文在结构上分为五章。写作思路是对国际商事仲裁司法审查的理论和实践进行实证和规范的考查,围绕国际商事仲裁司法审查制度的一个主要价值目标、四个关键环节展开论述,并结合每一章讨论的问题,对我国司法审查制度存在的相关问题和缺陷提出具有针对性的建构方案。第一章讨论国际商事仲裁司法审查的若干基本问题,围绕司法审查的价值目标,主要讨论三个问题。一是国际商事仲裁的概念,二是司法审查的概念,三是论述国际商事仲裁司法审查的正当性及适度性。写作进路是通过厘清一些与研究主题相关的概念和法理的问题,理顺司法与国际商事仲裁的相互关系,奠定司法审查制度价值取向的法理基础。本章的重点是从法经济学的角度分析论证司法审查的价值追求应该是支持仲裁,即法院或法官应倾向于尽可能由仲裁解决纠纷、倾向于认定仲裁协议有效；倾向于程序审查为主、实体审查为辅；倾向于承认与执行裁决为主、拒绝承认与执行仲裁裁决为辅。同时还对我国司法审查制度在立法理念方面的不足展开评述,提出我国应在国际、国内商事仲裁司法审查方面实行并轨,并在司法审查范围上实行适度监督模式的建构意见。第二章专题论述对国际商事仲裁协议有效性的司法审查。仲裁协议是国际商事仲裁的基础,也是司法审查的第一个关键环节,因此,本章作为研究司法审查的具体内容的第一章来考查对仲裁协议有效性的司法审查。从传统理论和各国的具体实践来看,主流的做法是奉行依据当事人意思自治的原则来确定仲裁协议的准据法,同时以其他方式作为补充。法院对国际商事仲裁协议有效性监督的具体内容包括：仲裁协议是否具备法定的形式要件和实质要件,仲裁协议有关内容是否符合可仲裁性的强制性规定等。在对我国司法审查制度进行比较分析的基础上,本章提出了合理构建有关仲裁协议的形式和实质性要件的机制,并适当拓展可仲裁性范围等立法建议。第三章讨论国际商事仲裁程序的司法审查问题。当事人在国际商事仲裁进行过程中也可能发生争议。由于仲裁的民间性特点,人们往往会寻求司法的干预来保障仲裁程序的顺利进行。本章主要讨论司法对国际商事仲裁程序进行的积极协助与支持。在对我国的有关制度进行比较评析的基础上,提出设立支持仲裁庭组成、合并仲裁制度、仲裁临时措施等机制的建议。第四章关于国际商事仲裁裁决的司法审查。仲裁裁决是司法审查的最重要焦点之一。一般来说,只有裁决地国法院才有权行使裁决的撤销这种追诉权。因此,撤销裁决涉及裁决的国籍识别问题。当前解决识别问题的主流标准是仲裁地标准,即仲裁地法院具有撤销仲裁裁决的管辖权。只有具备普遍认可的撤销条件,仲裁地法院才能撤销裁决。传统理论认为,已被撤销后的裁决不再具有法律效力而被执行,但一些区域协定已有创新规定,即对某些特殊的已被撤销的裁决仍然赋予执行力。本章对这些制度创新和实践创新进行了评述,并在此基础上,提出修改我国的仲裁裁决国籍识别制度、完善裁决撤销理由制度、重构裁决异议审查报告制度等立法建议。第五章关于承认与执行国际商事仲裁裁决的司法审查。是否承认与执行国际商事裁决是司法审查的最后环节,也是最重要的环节。一般说来,承认与执行裁决的司法审查权由被申请人国或者被执行财产所在地国法院行使。如同对国际仲裁裁决的司法审查一样,这也涉及裁决的国籍识别问题。比较通行的国籍判断标准是1958年《承认和执行外国仲裁裁决公约》(又称《纽约公约》)确定的裁决作成地标准和非内国裁决标准。我国司法实践日益趋近国际上的主流实践,但在制度层面还存在一些不足,主要表现在：我国国际商事仲裁国籍识别标准采用仲裁机构国籍标准,与国际主流标准有很大差异,在操作实务上容易出现相互矛盾的情况；缺乏对非《纽约公约》裁决的具体规制；也缺乏对公共秩序政策适用、司法审查裁定的上诉制度等方面的具体规制等。本章针对这些问题提出了相应的建议。论文的最后部分是结束语,也是对全文的总结。论文在这部分首先概括了各国关于国际商事仲裁司法审查的立法和司法实践理念,即对国际商事仲裁的全力支持与适度监督。接着勾勒了我国的司法审查制度应当引进的先进立法理念。最后,集中地对我国司法审查制度的几个重点部分提出了综合性的立法建议。更多还原

【Abstract】 A discussion has been made on the value and main contents of judicial review on international commercial arbitration in this thesis which comprises5chapters, in which discussion respectively goes to five topics which mean the value pursuit of review, the review on the legal force of the agreement of arbitration,the review on some elements of the arbitration procedure,the review on the legal effect of the arbitral award and the review on the enforcement of the arbitration award,while relevant perfect measures to modify the rules of China’s judicial review system have been put forward accordingly in every chapter.Chapter I is the introduction to the basic issues of judicial review on international commercial arbitration.With clarification of some essential conception and ideas as the basis for further study,this chapter involves debates on three objects which contain the basic concepts of international commercial arbitration, the notion of judicial review and the necessity and rationality of judicial review on international commercial arbitration.The focal point in this part is the conclusion that the value pursuit of judicial review institution is supporting arbitration from judicial system as far as possible after the profound study on the function of judicial review mechanism by the application of the principles of the economics of law.Chapter II goes to the discussion of the judicial review on effectiveness of arbitral agreement.This chapter discusses the function of arbitration agreement which is thought as the cornerstone of the arbitration system.Then it focuses on the effect of the arbitration agreement,demonstrating that effective arbitration agreement can not only restrain the parties concerned, but also endow the arbitration institution with jurisdiction, excluding the jurisdiction of the courts.Finally,this chapter discourse upon the right of the parties to appeal the court to check the effectiveness of arbitration agreement,which can be exercised before the beginning of the arbitration, in the arbitration process, or after the arbitration award made according to the relevant international treaties and national laws, with an application for court to review the substantive elements and the formal requirements of the agreement. Chapter III goes to the topic of the judicial review on international commercial arbitral proceedings. It is normal that there is some clauses which are insufficiently comprehensive or incomplete in an arbitral agreement for various reasons when the parties agree to make submission of their dispute to arbitration.The defective clauses will cause new conflict between two parties,which may affect the normal advance of the arbitral process.When the parties can not achieve resolution on these issues or disputes, it is necessary for court to take some judicial measures to envolve in the procedure of the arbitration, which may include terminating judicial process, designating or appointing or even removing the arbitrator according to the agreement of the parties or the arbitratl rules; On request of one party, the court may take interim measures on the property, evidence or the conduct of the opposite side. The study on the judicial review on international commercial arbitral proceedings focuses on the active judicial support and judicial supervision from the judicial system in this chapter.Chapter IV goes to the judicial review on legal effect of international commercial arbitral award.Since the finality of arbitral awards is bound to carry out the corresponding execution of the res judicata effect, the judicial system is authorized to check its legal force by judicial review on it, in which the revocation of the arbitral award is the main way of recourse. Differences among countries on the legislation and judicial practice of revocation of the arbitral award will be introduced and reviewed while some suggestion on China’s rules of revocation of the arbitral award is brought out upon in this chapter.Chapter V goes to the argument of the judicial review on recognition and enforcement of arbitral awards. How to make a judge about the nationality of an international commercial arbitration award is the precondition for its recognization and enforcement.The standard adopted in The "New York Convention"(1958) is the cornerstone both for convenient recognition and enforcement of arbitral awards and refusal to recognition and enforcement of international commercial arbitration awards. The innovation and development in this issue is the judicial systems in a few countries have enforced some arbitral awards revoked by foreign courts, although the mainstream opinion in this area is that there is no power of enforcement for a revocatory award. It has been pointed out that there is some weekness in China’s legislation and judicial practice on admission and enforcement of international commercial arbitral awards, and correspondent advice for modification has followed.The coda of this paper is a brief summary that comprises three arguments.It begins with the summative evalution on the trend of contemporary legislation and judicial practice of judicial review on international commercial arbitration in the world, which shows moderate supervision on and full support to the greatest extent to international commercial arbitration. Then it is followed that the mainstream value mentioned above should be transplanted into Chinese arbitration law system because the tendency is based on the economics of law. Finally, it ends at some legislative proposals to amend Chinese arbitration law system.更多还原