国际商事仲裁条款转让问题研究——基于国际商事合同转让

【作者】 顾华宁；

【导师】 唐青阳；

【作者基本信息】 西南政法大学 ， 国际经济法， 2003， 硕士

【摘要】 在支持国际商事仲裁的国际大趋势下，各国法院对国际商事仲裁从监督转向支持和协助，尽量使仲裁协议有效，实现当事人预期效力。在这种宽松的大环境下，承认和支持国际商事仲裁条款随合同转让而转让既符合国际商事仲裁的特性，也有利于发挥国际商事仲裁的独特优势。仲裁条款的转让包括多种情况，既有在合同转让等情况下由当事人自主进行的转让，也有在代位继承等情况下的法定转让，由于不同情况下的转让各有特色，本文难以——加以分析和概括，所以仅针对国际商事合同转让情况下，合同中包含的国际商事仲裁条款是否随之转让进行探讨，论证其理论基础和实践意义，并结合我国的现状，对相关问题进行论述。通常情况下，仲裁协议的目的在仲裁员解决当事人间争议后实现，但在仲裁条款作为一种特殊契约不直接实现其目的，而是发生转让的情况下，仲裁条款对受让人和非转让方合同当事人的约束力如何是本文关注的焦点。作者认为不论从仲裁条款本身的特性、国际商事仲裁的优越性、还是国际商业社会实际操作的需要出发，都有必要认同国际商事仲裁条款的可转让性。为了支持这一观点，本文从四个方面进行论述。 第一部分提出了国际商事仲裁条款转让的理论基础。作者首先对被用来排斥仲裁条款转让的仲裁条款独立性理论进行分析，从该理论的演进中得出结论：仲裁条款独立性并不排斥国际商事仲裁条款的转让，相反，仲裁条款独立性和国际商事仲裁条款转让具有目的趋同性。随后，作者从当事人意思自治理论、国际商事仲裁条款转让新理论、以及合同法相关理论这三方面充分阐述了国际商事仲裁条款转让的理论基础和依据，指出为了实现当事人暗含在仲裁条款中的合意，仲裁条款必须随合同转让而转让；同时，依据“长臂”仲裁协议理论，仲裁条款的效力能够延及没有在仲裁协议上签字的受让人；依据明示同意理论与自动转让理论，特别是得到广泛支持的自动转让理论，仲裁条款随合同转让而自动转让；依据合同法相关理论，从债之关系着手，立足于合同扩充解释，仲裁条款下的权利义务不因合同转让而消灭，而应扩展到受让人和非转让方合同当事人；最后，契约相对性的减弱和禁止翻供原则为仲裁条款转让奠定良好基础。 第二部分对国际商事仲裁条款转让的实践进行分析，从案例和立法规制这两个角度探讨国际商事仲裁条款的转让。法院从不同角度出发，借助仲裁条款独立性不影响其转让、自动转让、法，力图使国际商事仲裁条款转让生效;禁止翻供和利益分析等推理方商事仲裁条款转让强有力的法律支持，新的合同立法完全可以成为国际国《合同法》堪称楷模;1996年英国《仲裁法》，专门针对第三方权利的1999年英问题粤采取回避态度，而仲裁立法在这方面的表现却差强人意，不论是还是1 999年瑞典《仲裁法》都在仲裁条款转让而把这个棘手的问题留给司法机构自行解决改户抹.、白、甘，~ ~一~，，一，二，曰咬，，川7、。、‘、、r〕-而言，国际商事仲裁条款转让理论的不断完善促使国际商事仲裁条款转让品命晚口兴氏蔚在明确了国际商事仲裁条款转让的可行性之后，的效力出发，从仲裁管辖权、法院管辖权、第三部分从仲裁协议即双刀出反，洲甲裁管籍权、法院管辖权、仲裁程序和仲裁裁决的执行等四个方面分析国际商事仲裁条款转让面临的问题。指出虽然国际商事仲裁的整体发展态势有利于国际商事仲裁条款转让，但仍存在对国际商事仲裁条款转让的阻碍，如果不尽早确定转让后的仲裁条款对受让人和非转让方合同当事人的约束力，在实际操作中仲裁条款转让就难以顺利进行。 最后，作者立足于中国现行法律框架和实践，从仲裁协议形式、仲裁协议异议、合同法相关规定以及案例中分析国际商事仲裁条款转让在中国的现状、受到的阻碍和未来的发展。指出中国现行法律对仲裁协议的形式要求仍然过于僵化，只有对《仲裁法》相关规定作宽松解释，才符合当前国际商事仲裁发展的总体趋势;而在发生仲裁协议异议时仲裁机构和法院的处理模式也不符剖中裁特性和高效率解决争端的目标;相反，从《合同法》的相关规定中倒是可以找到对仲裁条款转让的有利支持。从相关的仲裁案例和法院判例中，我们不难看出中国现行实践是支持仲裁条款转让，但苦于没有得到法律的明确支持，仲裁条款转让仍面临重重难关。最，作者希望中国在加入世界贸易组织后，作为世界贸易大国。事仲裁这一重要领域尽快跟上国际形势，在国际商建立一流的国际商事仲裁中心，形成完善而先进的国际商事仲裁机制，真正实现有中国特色的现代“国际”商事仲裁体制。更多还原

【Abstract】 Influenced by the international tendency of supporting international commercial arbitration, the domestic courts’ attitude towards international commercial arbitration is shifting from surveillance to support and assistance. Arbitration agreements are given as much force as possible to realize the expectant force of the parties. Under such a favorable background, the transfer of international commercial arbitration clauses is advocated in accordance with the specialties as well as the advantages of international commercial arbitration. Considering the transfer of arbitration clauses may happen under various circumstances, including the transfer under the parties’ will, such as arbitration clauses transferring along with the assignment of contracts, as well as the transfer under law, such as arbitration clauses transferring along with succession. Since different kinds of transfer have their own specialties, it is difficult to analyze and conclude all the transfer in one article. Therefore, focusing on the assignment of international commercial contracts, the article explores the theoretical foundation and practical meaning of the transfer of international commercial arbitration clauses while discussing corresponding issues in regard of the present status in China. Four parts are included herein.Part one is the theoretical foundation for the transfer of international commercial arbitration clauses. First, through analysis of the severability doctrine which is used to deny the transfer of arbitration clauses, the author concludes that the severability doctrine does not deny the transfer of arbitration clauses. Then, the author tries to find theoretical reasons and bases in party autonomy doctrine, contract principles and new theories for the transfer of international commercial arbitration clauses. Abundant theoretical reasons and basis are given in this partPart two analyzes the practices in the transfer of international commercial arbitration clauses with the presentation of relevant cases and legislation. The courts have adopted various grounds to valid the transferwhile the new contract laws could be regarded as a strong and powerful support But the arbitration laws have avoided the complex problem of such transfer. Anyway, the theories on the transfer of international commercial arbitration clauses are pushing forward corresponding practices.Since the feasibility of the transfer of international commercial arbitration clauses has been demonstrated, part three, with consideration of the force of arbitration agreements, shifts the focus to the implementing issues concerning the transfer of international commercial arbitration clauses, including the competence of arbitration courts, the jurisdiction of courts, arbitration procedures and the enforcement of arbitral awards. The author points out though the development of international commercial arbitration as a whole is favorable to the transfer of international commercial arbitration clauses, such transfer may still face various obstacles.To conclude, the author, from four aspects, that is, the form of arbitration agreements, the challenge to arbitration agreements, the relevant stipulations under the contract law and cases, analyzes the present condition, obstacles and future development of the transfer of international commercial arbitration clauses under the present legal system and practices in China. After China’s entry into WTO, China should follow the international tendency in international commercial arbitration and hold first-class international commercial arbitration centers to keep its essential role as the main world trade nation.更多还原