国际商事仲裁的司法介入

【作者】 张帅梁；

【导师】 赵建文；

【作者基本信息】 郑州大学 ， 国际法学， 2004， 硕士

【摘要】 本文从法院与国际商事仲裁的关系入手，按照国际商事仲裁的运行过程对法院的司法介入作了详尽的论述。首先进行必要的基本理论铺垫，然后介绍有代表性的国家的国内立法以及国际立法与实践，总结出司法介入的一般性规律，并将之运用于我国商事仲裁的立法与司法实践。 本文除引言与结论外，共分为四章。 第一章“国际商事仲裁司法介入的一般理论问题”，主要论述了国际商事仲裁的概念和界定，法院介入国际商事仲裁的必要性，以及司法介入的含义及其模式选择。本文认为国际商事仲裁区别于一般仲裁的差异性就表现在仲裁的“国际性”和“商事性”两方面：国际性的认定标准是综合了地理因素与争议性质的复合标准，而《国际商事仲裁示范法》又提出了一个充分尊重当事人意思自治的任择性标准，但这一标准未免太脱离实际；对于商事的界定关系到争议的可仲裁性，本文认为在尊重公共秩序和社会利益的基础上，应尽量扩大对商事的解释。本文还从仲裁的性质、价值目标以及公共秩序的角度论述了法院司法介入仲裁的必要性：仲裁兼具司法与契约双重性质，并具有一定的自治性；仲裁的价值目标是效益与公正；争议的可仲裁性以及仲裁裁决的承认与执行会牵涉到一国的社会利益与公共秩序。从这些方面考虑，法院对仲裁进行适度的司法介入是完全必要的。关于国际商事仲裁司法介入的模式选择问题，本文认为应该摒弃过度司法介入，而采纳适度司法介入的模式，并对适度司法介入的内涵作了界定；既反对全面介入，也反对纯粹的程序介入，认为应以程序介入为主，辅之以必要的实体审查。国际商事仲裁的司法介入的涵义既包括法院对国际商事仲裁的支持和协助，也包括法院对国际商事仲裁的监督与审查。 第二章“法院对国际商事仲裁的支持和协助”，主要论述了在仲裁协议、仲裁程序以及仲裁裁决的承认与执行方面，法院给予仲裁的支持与协助。在仲裁协议方面，论述了仲裁协议的独立性以及仲裁庭的自裁管辖权，以及法院中止诉讼程序、强制执行仲裁协议等，这些都体现了法院对仲裁庭行使管辖权的支持。在国际商事仲裁的运行程序中，法院也给予仲裁很大的协助：比如在法院的干预下合并仲裁，使有关联的仲裁得以合并审理；法院协助当事人指定仲裁员和组成仲裁庭，充当对仲裁员异议的最终裁决者;在证据获取与保全措施方面，仲裁庭没有国家的司法主权权力作后盾，没有必要的权威来采取有效的保全措施，因此需要法院的支持与协助;仲裁庭作为解决争议的民间机构，在作出裁决后，使命即告完成，既无强制执行裁决的义务，更无强制执行裁决的权力和手段，因此，只有法院在执行仲裁裁决方面提供有力支持，败诉方未自觉履行的仲裁裁决才不至于落空。 第三章“法院对国际商事仲裁的监督和审查”，主要论述了法院对国际商事仲裁裁决的审查撤销和拒绝承认与执行裁决等问题。不同于对仲裁程序的事中介入，法院对国际商事仲裁的审查与控制的最主要的特点体现在对仲裁的事后监督上。本文认为在撤销程序性问题上，一方面，各国强调仲裁的管辖权和正当程序原则，对不当行使管辖权时作出的裁决和对严重违反正当程序原则以至有损裁决公正时作出的裁决，予以相应的撤销;另一方面，对裁决的某些形式缺陷和仲裁的某些程序不当，予以慎重的考虑，尽量通过事后修补、补裁等方式来弥补这些缺陷和不当，而并不轻易撤销这样的裁决，因为司法审查的目的不仅仅在于监督仲裁，还在于支持仲裁。拒绝承认与执行仲裁裁决和撤销仲裁裁决的理由基本一致，但是并不宜像有些学者所言可以废除拒绝承认与执行仲裁裁决制度，因为在内国未被申请撤销或虽经申请但未被撤销的仲裁裁决，在外国被申请承认与执行时，可能还会遇到拒绝承认与执行的后果。 第四章“我国国际商事仲裁司法介入评析”，总结了自上世纪80年代以来，各国法院在监督仲裁上越来越明显地表现出的倾向:第一，对仲裁态度的转变:各国均确立支持仲裁发展(pro一arbitration)的原则;第二，强化对仲裁的支持和协助，弱化消极的否定与控制;第三，对国际商事仲裁的介入，主要限于程序性事项，一般不实行实体审查或严格限制实体审查;第四，对国际商事仲裁的监督，从先前的以仲裁地国法院监督为主，转向以承认和执行仲裁地国法院监督为主;第五，法院监督仲裁的时间向后推移，有以事后监督为主的倾向。 本文对照这一趋势，指出我国国际商事仲裁的缺失，并力所能及地提出了改进的设想。比如我国仲裁法否认临时仲裁，而我国在加入《纽约公约》时，并没有对临时仲裁裁决的承认与执行提出保留，这会造成我国与外国临时裁决承认与执行方面的不对等，而且承认临时仲裁也是实践的需要;仲裁法还应谨慎肯定对仲裁机构约定不明确的仲裁条款的效力;应由仲裁庭而非仲裁委员会决定仲裁事项的管辖权;法院可以应当事人或仲裁庭的请求命令证人作证;在仲裁程序开始之前当事人就可以直接向人民法院申请保全措施等。 本文的创新之处主要表要在以下几个方面:第一，在国际商事仲裁的优点这一问题上，提出了“国际性”的说法，认为它能改变“择地行诉”的状况更多还原

【Abstract】 The dissertation begins with the relationship between court and arbitration and addresses fully the legal intervention along the process of the whole arbitration. The first part is to introduce some fundamental theories, then to illustrate the legislation and practice of some leading nations and international convention or rule, at the same time to conclude the general principle and trend of the legal intervention, the final effort is to apply the trend to promote the arbitration legislation and judicature of China.The dissertation consists of four sections besides introduction and conclusion part.Chapter one: The General Theory of Judicial Intervention in International Commercial Arbitration. It gives a brief introduction of the concept and definition of international arbitration, and demonstrates the necessity of the judicial intervention in international arbitration, the meaning of legal intervention and the choice of the intervention models .The dissertation asserts that the difference between the international commercial arbitration and the common arbitration lies in the concept of "international" and "commercial". The definition of "international" is based on both material connecting factors and the nature of the disputes, which is a multiplex test. While at the same time, UNCITRAL Model Law on International Commercial Arbitration (1985) advances a new "opt-in" test, although it is an additional method and respects party autonomy fully, it is not practicable. As for the definition of "commercial", it is connected with whether a dispute could be settled by arbitration, so the essay deems that it should expand the definition to the most extent on the base of respecting public order and social interest. The dissertation demonstrates the necessity of the judicial intervention in international arbitration from the view of the inbeing, value and object of the arbitration and the view of public order. It deems that the nature of arbitration is dual and mixed, containing contractual and jurisdictional inbeing, the value and object of the arbitration is impartiality and efficiency, the arbitrateblity of disputes and recognition and enforcement of the arbitration award is involved in public order and social interest. So, it is essentially necessary that the court intervene in the arbitration. With regard to the choice of the intervention models, the essay refuses to take for the exorbitant intervention as correct and is apt to accept the moderateintervention model; it opposes either across-the-aboard or pure procedural intervention and upholds that the intervention should be mainly on procedure, with the necessary substantive intervention as the subsidiary one. The meaning of judicial intervention in international arbitration contains both assistance and supervision.Chapter two: Legal Assistance in International Commercial Arbitration. It illustrates the assistance to arbitration in the jurisdiction, the assistance to the procedure of the arbitration and the assistance to the recognition and enforcement of the foreign arbitration award. In the field of arbitration agreement, it demonstrates the separability of arbitration agreement and the doctrine of competence/competence, and sometimes the court terminates the sue proceeding and put teeth in the arbitration agreement .As for the arbitration procedure, the court affords much assistance such as combined arbitration, the composition of the arbitration tribunal, interim measures of protection, order the witness to attest. As a civil body of settling differences, the arbitral tribunal has finished its task at the moment of making its tribunal award .Not only does it not have the duty to enforce the tribunal award, but also it does not have the power and measure to enforce it. So, the tribunal award which the loser confuses to fulfill will be in a dangerous condition of being overturned if the court does not afford help to enforce it.Chapter three: Judicial Supervision on International Commercial Arbitration. It mainly tells how an international commercial arbi更多还原