国际商事仲裁协议形式要件有效性研究/The Formal Validity of International Arbitration Agreement
国际商事仲裁作为解决国际商事争议的重要方式,因其具有公平合理、快捷、经济等优势,已越来越成为人们普遍采用的争议解决方式。而在整个仲裁制度中,仲裁协议处于至关重要的地位,被人们誉为仲裁制度的基石。因此对仲裁协议进行研究便具有重要的理论价值及现实意义。
合法有效的仲裁协议是仲裁得以进行的基础,而一份有效的仲裁协议则必须具有合法有效的形式。对于这一问题各国的法律基本都有规定,但却也有差异,世界上大多数国家基本都规定了仲裁协议必须为书面形式。联合国《纽约公约》以及《国际商事仲裁示范法》规定了仲裁协议书面形式的统一规则。但是这一标准规定的比较概括,导致了实践中法院和仲裁庭对书面标准解释的不统一。这种不统一容易降低国际契约行为的可预见性和确定性。为了能够达到统一的解释,本文主张不仅要从当事人的意思自治原则出发,对实践中存在争议的仲裁协议的形式从宽解释而且认为改变这种状况的根本方法就是立法,从根本上加以清除阻碍仲裁发展的障碍。
本文第一部分首先廓清了国际商事仲裁协议的轮廓,对于迄今出现的几种仲裁协议的形式进行逐个分析,阐述了《纽约公约》和《国际商事仲裁示范法》对仲裁协议书面标准的规定,指出了两者在新的时代背景下的局限性。为了适应商业发展对仲裁的要求,联合国贸易法委员会修订了《示范法》关于书面标准的规定,扩大了对书面标准的解释,本文对此进行了评论。
文章的第二部分也就是本文的核心章节对实践中常见的也是引起争议较多的几种仲裁条款进行了讨论。在讨论提单中的仲裁条款时,联系提单的特性认为在此种特殊情况下,提单仲裁条款应该具有效力;在讨论合同转让中的仲裁条款效力时,分析仲裁条款的独立性适用的条件,并从这一适用条件出发认为仲裁条款独立性并不适用在合同转让时的仲裁条款,应随主合同一起转让并对受让人产生效力;在讨论代理中的仲裁条款时,从合同相对性理论出发,认为合同相对性理论发展到今天,同仲裁协议的形式要件一样,这一理论的外延已经扩展,合同在一定情况下可能对第三人产生效力。而适应当今支持仲裁的潮流,从当事人意思自治原则出发,代理中的仲裁协议效力适应合同相对性原则的发展,应该对第三人产生效力。本文同时也分析了中国《合同法》代理制度中仲裁协议的效力以及此制度下对于国内常见的外贸代理制度中仲裁条款的效力。在该部分的结束处作了小结,建议在国内出台统一的司法解释对实践中出现的各种仲裁协议形式进行规定,同时建议应本着当事人意思自治原则,在支持仲裁的前提下制订统一的司法解释。
本文的第三部分提出了仲裁协议形式要件的一些新发展,就目前来看主要是网上仲裁协议以及电子签名的效力。就此,文章对于实践中常见的几种仲裁协议的形式要件的有效性进行了分析,并且针对网上仲裁提出了三种解决方案,认为立法才是最根本也是最好的一种解决方法,接着影射出对于其他几种仲裁协议形式也应该采取这种方法。
The international arbitration is one of the most important ways to resolve international commercial dispute. Since it takes advantages of equality, swiftness and economy, arbitration gradually became the main solution toward dispute. Arbitration agreement, of which validity is the utmost important part of an arbitration process, is the heart of arbitration as a whole, so that the study of arbitration agreement itself will represent theoretical value.
A valid arbitration agreement bears a valid form which according to and is must be in writing. In recent years, with the increased emergence of modern means of communication, this so-called “writing requirement” has become one of the most controversial points of arbitration theory and practice. In order to resolve the interpretation problems of “writing requirement”, the self-governed spirit should be regarded as the guidance and the final solution is legislation.
Chapter one is about the question of what international arbitration agreement is and three kinds of arbitration agreement in general. It includes that parol agreement should be the indispensable supplement. Then Chapter one explains the definition of “writing” in and and indicates that the “writing requirement” in < Model Law> is interpreted more broadly than before in order to ensure a uniform interpretation of the form requirement.
Chapter two is the core part of the whole essay which discusses the validity of several arbitration agreements that are common in practice. The first form is the validity of arbitration agreement in bill of lading. In this part the essay discusses the characteristics of the bill of lading and cognizes that in that case, arbitration agreement in bill of lading is valid is fit for the ocean shipping practice; the second part is about the arbitration agreement under condition that contract has been transferred. Considering there is ex parte understanding over the separability principle, this part explains that an arbitration agreement is a separate agreement only in the sense that the invalidity or ineffectiveness of the agreement to which it relates does not entail that the arbitration agreement likewise fails. The arbitration agreement is therefore transferred to the assignee and the remaining party continues to be bound by that agreement unless special circumstances exist. The validity of arbitration agreement in agency contact is also considered in this part.
Chapter three represents a new development in this scope that is on-line arbitration. This part then shows three means to resolve the problem and indicates too that legislation should be the ultimate solution.
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