【作者】 李莉；

【导师】 刘晓红；

【作者基本信息】 华东政法学院 ， 国际法， 2004， 硕士

【摘要】 随着国际经济交流的日益增多,国际商事仲裁制度作为一种解决国际贸易纠纷的常用方式,近年来在国际社会得到普遍认可和长足发展。国际商事仲裁司法监督是指法院依照法律赋予的监督权,对国际商事仲裁所作出的审查、控制与干预,主要包括确认国际商事仲裁协议无效、撤销国际商事仲裁裁决、不予执行国际商事仲裁裁决、通知仲裁庭重新仲裁等。本文主要论述了国际商事仲裁司法监督的含义、特征、法理基础以及运作模式,并结合我国的司法实践,阐述了我国对国际商事仲裁进行司法监督的立法与实践,表达了作者认为法院应对国际商事仲裁进行适度监督的观点。本文第一章论述了国际商事仲裁的概念、特征、性质和与国内商事仲裁的区别,对我国特有的“涉外商事仲裁”之含义作了剖析;着重论述了国际商事仲裁司法监督的本质与特征,作者认为国际商事仲裁司法监督形式上体现为法院对仲裁活动的审查与控制,实质上是国家意志对个人意志的监督和约束。第二章分析了国际商事仲裁司法监督的法理基础,既从仲裁的角度出发阐述了司法监督的必然性,又从法院的角度出发阐述了司法监督的必要性,同时论述了司法监督模式的理论和实践纷争,对全面监督论和适度监督论作了评述,并从英国国际商事仲裁司法监督的演变说明了适度监督的重要性。第三章从国际商事仲裁司法监督的管辖法院、司法监督的范围和方式、结果及法律效力等方面阐述了司法监督的具体运作模式,指出司法监督的方式包括对<WP=3>争议可仲裁性的审查、对仲裁协议(条款)有效性的审查、对程序公正性的审查以及对是否违背社会公共利益的审查等,而司法监督的结果有确认仲裁协议效力、撤销国际商事仲裁裁决、通知重新仲裁、不予执行仲裁裁决等。本章还介绍了国际商事仲裁司法监督在美国、法国、德国、日本、澳大利亚、我国香港特别行政区的运作实践。第四章结合我国的司法实践论述了我国对国际商事仲裁进行司法监督的立法与实践。我国国际商事仲裁司法监督的法律依据包括民事诉讼法、仲裁法、最高法院的有关司法解释及文件、我国缔结和参加的有关国际公约和司法协助条约以及地方法院制定的司法文件。我国法律规定的国际商事仲裁司法监督主要有确认涉外案件中的仲裁协议效力、撤销涉外商事仲裁裁决、裁定不予执行国际商事仲裁裁决和通知重新仲裁等形式,作者特地指出了我国司法监督中不予执行程序与撤销程序的区别。本章同时论述了我国司法实践对国际商事仲裁的监督概况,作者认为我国法院对国际商事仲裁行使宽松而审慎的司法监督,具体体现为对社会公共利益条款的严格控制和具有中国特色的“报告制度”,即法院作出裁定不予确认涉外仲裁协议效力、撤销涉外仲裁裁决、通知重新仲裁、裁定不予执行涉外仲裁裁决、拒绝承认和执行外国仲裁裁决必须逐级报告至最高法院。立足于实践中发现的问题,作者在第四章还指出了我国国际商事仲裁司法监督中的问题和缺陷,如立法的分散与不连贯性、法律规定在司法实践中缺乏可操作性、撤销程序与不予执行程序的矛盾等,并对此提出了完善我国国际商事仲裁司法监督的思考,一方面要完善我国关于国际商事仲裁司法监督的立法,建议仲裁法对国际商事仲裁司法监督专列一章,完善民事诉讼法相关内容并与仲裁法衔接,重新设置撤销裁决程序与不予执行程序;一方面要完善法院对国际商事仲裁司法监督的实践操作,尽早出台关于国际商事仲裁司法监督的司法解释,法院应坚持适度监督原则,加强对仲裁的支持。更多还原

【Abstract】 With the increase of international economical communications in recent decades, international commercial arbitration has gradually become one of the main methods for solving the international commercial disputes. The legal system of international commercial arbitration has been well developed in the international society since the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the "New York Convention") and the UNCITRAL Model Law were drawn up. Judicial Supervision over International Commercial Arbitration means a court exercised the power to review the international commercial arbitral awards or to intervene in the international arbitral procedures. Through the judicial supervision, the court has the right to deny recognition or enforcement, set aside the international commercial arbitral awards or refer the disputes to arbitration again.This article will discuss the meaning and the features of the judicial supervision over international commercial arbitration. It will also <WP=5>analysis its legal basis and operations in different countries. Based on Chinese legal practice, this article will emphasize the legislation and practice of judicial supervision in China. As a conclusion, this article will express the writer’s opinion that the court should take the proper judicial supervision over international commercial arbitration.Chapter one will examine the meaning, the features and the nature of international arbitration. It analyses the difference between international commercial arbitration and the domestic commercial arbitration and clarifies the special meaning of commercial arbitration concerning foreign affairs in China. This part of the article also explores the essence and the character of Judicial Supervision over International Commercial Arbitration.Chapter two will analysis the legal basis of Judicial Supervision over International Commercial Arbitration not only from the view of the arbitration itself, but also from the view of the court. At the same time this part will discuss the theoretical and practical disputes in the operation of the judicial supervision and give comments to the theory of merits supervision (substantial supervision) and the proper supervision (procedural supervision). It will draw a conclusion of the importance of the proper supervision from the development of the Judicial Supervision over International Commercial Arbitration in the United Kingdoms. Chapter three will specify the detailed operation of judicial supervision over international commercial arbitration. Through discussing the jurisdictional court and the scope of judicial supervision, this part will <WP=6>point out the way that judicial supervision operates includes the court’s review the arbitrability of the disputes, the validity of the arbitration agreement, the due process of the arbitration proceeding and the accordance to the public policy. As a result, the legal effects of judicial supervision will usually fall into four categories, which are recognition of foreign arbitral awards, setting aside the arbitral awards, referring to arbitration again and denying the enforcement of the arbitral awards. This part also introduces the practice of judicial supervision over international commercial arbitration in US, France, Germany, Japan, Australia and Hong Kong. Chapter four will make an overview on Chinese legislation and practice in judicial supervision over international commercial arbitration. The legal resources in China include the Civil Procedure Law, the Arbitration Law, the Judicial Interpretation released by the Supreme Court, the International Convention and the judicial documents from the courts. According to Chinese Law, the ways of judicial supervision in China mainly comprise recognition the validity of the arbitral agreement in foreign cases, setting aside the commercial arbitration awards, denying enforcement of foreign arbitral awards and referring to arbitration again. This part specially points out the difference between the deny更多还原