国际商会仲裁若干制度研究
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摘要
二十世纪国际商事仲裁的空前发展推动成立了一批著名的国际商事仲裁机构。其中,国际商会仲裁院是被最广泛接受与使用的国际商事仲裁机构之一。本文即主要学习研究该仲裁机构的若干具体仲裁制度,以求对国际商会仲裁制度有一更深刻的认识,并试图提出该机构的仲裁理论与实践对我国的涉外仲裁制度可能产生的借鉴意义。
本文分五个部分。首先简单介绍国际商会以及国际商会仲裁院的成立背景、商会仲裁院的组织结构及其在仲裁过程中所起的作用。文章的第二、三、四部分主要从历史成因、优缺点及其实践操作等角度分析讨论国际商会仲裁院仲裁员的选任、审理范围书以及多方当事人仲裁这三项比较独特的制度。这三项具体制度的演变与完善也折射出国际商会仲裁院在保证仲裁质量的基础上,不断提高仲裁效率,使其仲裁规则与仲裁制度尽量适应现实需要的发展精神。最后,笔者在简要介绍中国涉外仲裁制度的基础上,就国际商会仲裁制度对我国的涉外仲裁制度的借鉴意义提出了个人的观点。
The development of international commercial arbitration during the 20th century promoted the foundation of a group of reputable international commercial arbitration establishments, among which the ICC Arbitration Court enjoys an exceptional popularity. The present thesis, composed of five parts, is dedicated to the study of the Court's arbitration practice in order to draw some insightful experiences to the development of China's international arbitration.The first part of the thesis makes a general survey of the history, structure, running and functions of the ICC Arbitration Court. The next three parts respectively deals with three arbitration procedures of the Court: appointment, confirmation and challenge of arbitrators, terms of reference and multi-party arbitration. The study of these arbitration mechanisms reflects the focus of the Court on assuring arbitration quality, promoting arbitration efficiency as well as making the ICC arbitration most adapted to the reality, hi the last part, the author makes a short introduction of the present situation of China's international commercial arbitration before pointing our main problems existing in China's actual international commercial arbitration and giving her independent thinking what experiences we should draw from the ICC arbitration.
本文分五个部分。首先简单介绍国际商会以及国际商会仲裁院的成立背景、商会仲裁院的组织结构及其在仲裁过程中所起的作用。文章的第二、三、四部分主要从历史成因、优缺点及其实践操作等角度分析讨论国际商会仲裁院仲裁员的选任、审理范围书以及多方当事人仲裁这三项比较独特的制度。这三项具体制度的演变与完善也折射出国际商会仲裁院在保证仲裁质量的基础上,不断提高仲裁效率,使其仲裁规则与仲裁制度尽量适应现实需要的发展精神。最后,笔者在简要介绍中国涉外仲裁制度的基础上,就国际商会仲裁制度对我国的涉外仲裁制度的借鉴意义提出了个人的观点。
The development of international commercial arbitration during the 20th century promoted the foundation of a group of reputable international commercial arbitration establishments, among which the ICC Arbitration Court enjoys an exceptional popularity. The present thesis, composed of five parts, is dedicated to the study of the Court's arbitration practice in order to draw some insightful experiences to the development of China's international arbitration.The first part of the thesis makes a general survey of the history, structure, running and functions of the ICC Arbitration Court. The next three parts respectively deals with three arbitration procedures of the Court: appointment, confirmation and challenge of arbitrators, terms of reference and multi-party arbitration. The study of these arbitration mechanisms reflects the focus of the Court on assuring arbitration quality, promoting arbitration efficiency as well as making the ICC arbitration most adapted to the reality, hi the last part, the author makes a short introduction of the present situation of China's international commercial arbitration before pointing our main problems existing in China's actual international commercial arbitration and giving her independent thinking what experiences we should draw from the ICC arbitration.
引文
1、Yves Derains, Eric A. Schwartz, A Guide to the New ICC Rules of Arbitration, Kluwer Law International, 2000, p. 1
2、W. Laurence Craig, William W. Park, Jan Paulsson: International Chamber of Commence Arbitration, 3rd edition, Oceana Publications, 2000, p2
3、W. Laurence Craig, William W. Park, Jan Paulsson, A Guide to the 1998 ICC Arbitration Rules, Oceana Publications, 1998, p1
4、Gary B. Born, International Commercial Arbitration Commentary & Materials, Kluwer Law Intemational, 2001, p 13
5、Julian D. M. Lew, Loukas A. Mistelis, Stefan M. Kroll, Comparative International Commercial Arbitration, Kluwer Law International, 2003, p38
6、W. Michael Reisman…International commercial arbitration: cases, materials, and notes on the resolution of international business disputes, The Foundation Press, Inc. 1997, p562
7、W. Laurence Craig, William W. Park, Jan Paulsson, Annotated Guide to the 1998 ICC Arbitration Rules with Commentary, Oceana Publications, c1998, p. 117
8、Mauro Pubino-Sammartano, International Arbitration Law & Practice, Kluwer Law Intemational, 2001, p. 589
9、Derain Jarvin, Chronique des sentences arbitrales de la CCI, ICC Pub. S. A. , 1986, p. 1128
10、REVUE D'ARBITRAGE, 1987, pp. 498-502
11、Yves Derains, Chronique des sentences arbitrales de la CCI, ICC Pub. S. A. , c1990, p. 913
12、The arbitral process and the independence of arbitrators, ICC Publishing 1991, p9
13、Fouchard,Gaillard,Goldman,《国际商事仲裁》,中信出版社2004年版,第564页
14、池漫郊:《论多方仲裁时指定仲裁员的问题与对策》,载于《仲裁与法律》,法律出版社2004版第32页。
15、杨良宜:《国际商务仲裁》,中国政法大学出版社1997年版,第194页
16、丁建中编著:《外国仲裁法与实践》,中国对外经贸出版社,1992年版第340页
17、张斌生主编:《仲裁法新论》,厦门大学出版社2002年版,第164页。
18、宋连斌、林一飞译编:《国际商事仲裁新资料选编》,武汉出版社2001年版
1、Dominique Hascher, ICC Practice in Relation to the Appointment, Confirmation, Challenge and Replacement of Arbitration, ICC bulletin 4, Volume 6/No. 2, 1995
2、Gillis Wetter, The Present Status of the International Court of Arbitration of the ICC: An Appraisal, 1 AM. REV. INT. ARB Vol. 1/No. 1, 1990, p. 91
3、Sierk Bruna, Control of Time Limit by the International Court of Arbitration, ICC Bulletin No. 2 (1996)
4 Perret: " Les Conclusions et leur cause juridique au regard de la regie ", Etudes de Droit International en I'honneur de Pierre Lalive, Helbing & Lichtenhahn, 1993, p.594
5 Terms of Reference under the 1988 ICC Arbitration Rules- A Practical Guide, ICC Bulletin, Volume 3/No.2 (1992)
6 Eric Schafer, The ICC Arbitration Process, Part II: Terms of Reference in the Past and at present, ICC Bulletin, Volume 3/No.1, 1992
7 Andreas Reiner: Terms of Reference: The function of the International Court of Arbitration and Application of Article 16, ICC Bulletin, Volume7/No.2, 1996
8 1997 Statistical Report, Volume 9/No. 1, 1998
9 Platte, When should an Arbitrator Join Cases, Arbitrage International (2002), p.67
10 Anne Marie Whitesell et Eduardo Silva-Romero, L 'Arbitrage a Pluralite de Parties ou de Contrats : l'Experience Recente de la Chambre de Commerce Internaionale, Bulletin de la CCI, Supplement special 2003, p7
11 Serge Gravel, Arbitrage Multipartite et Pluralite d'Arbitrages, Bulletin de la CCI, Vol 7/No.2 (1996)
12 Jean-Louis Devolve, RapportFinal sur les Arbitrages Multipartites approuve par la Commission de l'Arbitrage International de la CCI, Bulletin de CCI Vol.6/No. 1, 1995
13 Yves Derains , Observations Générates tirées de la Pratique Arbitrate, DOSSIER OF THE INSTITUTE OF INTERNATIONAL BUSINESS LAW AND PRACTICE /1991;
14 Mary Woollett, Monique Sasson, Multi-Party Arbitration, Stockholm Arbitration Report 2002-1
15 Julian Cohen, Practical Problems in Multi-Party Arbitration, Asian DR, Vol.2 (1999)
16 B. Hanotiau, Problems Raised by Complex Arbitrations Involving Multiple Contracts-parties Issues-an Analysis, Journal of International Arbitration, vol. 18, No.3,2001,pp253-360
17 Multi-party Arbitration, Dossiers of the Institut of International Business Law and Practice, Publication CCI No. 480/1, 1991
18 Serge Gravel, Arbitrage Multipartite et Pluralite d'Arbitrages, Bulletin de la CCI, Vol 7/No.2 (1996)
19 Jean-Louis Devolve, RapportFinal sur les Arbitrages Multipartites approuve par la Commission de l'Arbitrage International de la CCI, Bulletin de CCI Vol.6/No. 1, 1995
20 Stephen R. Bond, The Experience of the ICC International Court of Arbitration, ICC DOSSIER OF THE INSTITUTE OF INTERNATIONAL BUSINESS LAW AND PRACTICE /1991
21 Note du Secretariat de la cour International d'Arbitrage de la CCI au sujet de la Constitution de Tribunaux Arbitraux dans les Affaires Intéressant Plusieurs Parties, Bulletin de la CCI, Vol.4/No.2 (1993)
22 Anne-Marie Whitesell et Eduardo Silva-Romero, L 'Arbitrage a pluralite de parties ou de contrats : l'experience recente de la Chambre de commerce internaionale, Bulletin de la CCI, Supplement special 2003
23 Robert, Le Nouveau Règlement de Conciliation et d' Arbitrage de la Chambre de Commerce Internationale, Rev. Arb.(1976), pp83,84
24、Rapport statistique 2003, Bulletin de la CCI, Volume 15/No 1, 2004
25、Emmanuel Gaillard, L'Affaire SOFIDIF ou les difficultes de l'arbitrage Multipartie, a propos de l'arret rendu par la Cour d'Appel de Paris le 19 decembre 1986 de l'affaire O. I. A. E. T. I. c/. SOFIDIF, REV. ARB. (1987)
26、Christophe Imhoos: Les Mecanismes de Constitution du Tribunal Arbitral, Bulletin de la CCI, Vol. 2/No. 2, 1991
27、Stephen R. BOND: La constitution du Tribunal Arbitral, Le Reglement d'Arbitrage de la CCI de 1998, Bulletin de la CCI, Supplement Special, 1997
28、Eric Schafer: L'Acte de Mission-Hier et Aujourd'hui, Bulletin de la CCI, Vol. 3/No. 1, 1992
29、Michael E. SCHNEIDER: L'Acte de Mission, Le Reglement d'Arbitrage de la CCI de 1998, Bulletin de la CCI, Supplement Special, 1997
30、Serge Lazareff, Erik Schafer: The 1992 Practical Guide on Terms of Reference Revisited, ICC Bulletin, Vol. 10/No. 2, 1999
31、王一平,《论民间性国际商事仲裁机构》,载于《法学评论》1999年第6期
32、屈广清 周清华 吴莉婧:《论仲裁制度中的第三人》,载于《中国海商法年刊》第11卷。
33、闵森:《中国涉外仲裁业务的特点及效力》,载于《国际经济合作》1996年第12期以及《中国国际经济贸易仲裁委员会2003年度工作报告和2004年工作计划》
34、吴兴光:《国际商会仲裁规则与中国国际经贸仲裁规则之比较研究》,载于《国际经贸探索》2000年第5期。
35、钱炼:《北京市宣武区劳动争议仲裁建立预备庭制的探索》,载于《中国劳动》2004年4月
36、万学忠:《面向全球的ICC国际仲裁院》,www.legaldaily.com.cn
1、国际商会仲裁院章程
2、国际商会1998年仲裁规则
3、荷兰民事诉讼法典
4、伦敦国际仲裁院仲裁规则
5、美国仲裁协会国际仲裁规则
6、比利时仲裁与调解中心规则
7、世界知识产权组织仲裁规则
8、新加坡国际仲裁中心仲裁规则
9、斯德哥尔摩商会仲裁院仲裁规则
10、联合国国际贸易法委员会示范法
11、联合国国际贸易法委员会仲裁规则
12、欧洲—阿拉伯商会调解、仲裁和专家鉴定规则
13、北京市仲裁委员会2004年仲裁规则
14、中国国际经济贸易仲裁委员会仲裁规则
15、中国国际经济贸易仲裁委员会2005年仲裁规则
1、Consorts Ury c/S.A. des Gaieties Lafayette, REV. ARB 1975, p235
2、Universal Pictures v. Inex Films and Inter-Export, Rev. Arb. 1978, p501
3、Southern Pacific Properties Limited and Southern Pacific (Middle East) LTD. c/. Republique Arabe d'Egypte, Cour de Cassation (France), 1987
4、Societe Kis France c/. Societe A. B. S. et R. Maward, Cour d'Appel, Paris, le 19 mars 1987
5、Sansi Fruitgrowing Equipment Spa c/. Semena I Possadatchen Material, Cour d'Appel, Paris, le 25 fevrier 1993
6、Societe anonyme Rephor c/. S. A. R. L. Ploemeloise de financement de participation d'investissement, Cour d'Appel, Paris, le 12 fevrier 1988
7、Societe SOFIDIF et autres c/. OIEATI et autres, Cour d'Appel, Paris, le 19 decembre 1986
8、Westland Helicopters Limited v. the Arab Organization for Industrialization, the United Arab Emirates etc, Cour de Justice de Geneve, 26 novembre 1982
9、Siemens AG et BKMI Industriean Lagen GmbH c/Dutco Construction Co. , Cour de Cassation, Paris, le 7 janvier 1992
1、ICC官方网站http://www.iccwbo.org
2、W. Laurence Craig, William W. Park, Jan Paulsson: International Chamber of Commence Arbitration, 3rd edition, Oceana Publications, 2000, p2
3、W. Laurence Craig, William W. Park, Jan Paulsson, A Guide to the 1998 ICC Arbitration Rules, Oceana Publications, 1998, p1
4、Gary B. Born, International Commercial Arbitration Commentary & Materials, Kluwer Law Intemational, 2001, p 13
5、Julian D. M. Lew, Loukas A. Mistelis, Stefan M. Kroll, Comparative International Commercial Arbitration, Kluwer Law International, 2003, p38
6、W. Michael Reisman…International commercial arbitration: cases, materials, and notes on the resolution of international business disputes, The Foundation Press, Inc. 1997, p562
7、W. Laurence Craig, William W. Park, Jan Paulsson, Annotated Guide to the 1998 ICC Arbitration Rules with Commentary, Oceana Publications, c1998, p. 117
8、Mauro Pubino-Sammartano, International Arbitration Law & Practice, Kluwer Law Intemational, 2001, p. 589
9、Derain Jarvin, Chronique des sentences arbitrales de la CCI, ICC Pub. S. A. , 1986, p. 1128
10、REVUE D'ARBITRAGE, 1987, pp. 498-502
11、Yves Derains, Chronique des sentences arbitrales de la CCI, ICC Pub. S. A. , c1990, p. 913
12、The arbitral process and the independence of arbitrators, ICC Publishing 1991, p9
13、Fouchard,Gaillard,Goldman,《国际商事仲裁》,中信出版社2004年版,第564页
14、池漫郊:《论多方仲裁时指定仲裁员的问题与对策》,载于《仲裁与法律》,法律出版社2004版第32页。
15、杨良宜:《国际商务仲裁》,中国政法大学出版社1997年版,第194页
16、丁建中编著:《外国仲裁法与实践》,中国对外经贸出版社,1992年版第340页
17、张斌生主编:《仲裁法新论》,厦门大学出版社2002年版,第164页。
18、宋连斌、林一飞译编:《国际商事仲裁新资料选编》,武汉出版社2001年版
1、Dominique Hascher, ICC Practice in Relation to the Appointment, Confirmation, Challenge and Replacement of Arbitration, ICC bulletin 4, Volume 6/No. 2, 1995
2、Gillis Wetter, The Present Status of the International Court of Arbitration of the ICC: An Appraisal, 1 AM. REV. INT. ARB Vol. 1/No. 1, 1990, p. 91
3、Sierk Bruna, Control of Time Limit by the International Court of Arbitration, ICC Bulletin No. 2 (1996)
4 Perret: " Les Conclusions et leur cause juridique au regard de la regie ", Etudes de Droit International en I'honneur de Pierre Lalive, Helbing & Lichtenhahn, 1993, p.594
5 Terms of Reference under the 1988 ICC Arbitration Rules- A Practical Guide, ICC Bulletin, Volume 3/No.2 (1992)
6 Eric Schafer, The ICC Arbitration Process, Part II: Terms of Reference in the Past and at present, ICC Bulletin, Volume 3/No.1, 1992
7 Andreas Reiner: Terms of Reference: The function of the International Court of Arbitration and Application of Article 16, ICC Bulletin, Volume7/No.2, 1996
8 1997 Statistical Report, Volume 9/No. 1, 1998
9 Platte, When should an Arbitrator Join Cases, Arbitrage International (2002), p.67
10 Anne Marie Whitesell et Eduardo Silva-Romero, L 'Arbitrage a Pluralite de Parties ou de Contrats : l'Experience Recente de la Chambre de Commerce Internaionale, Bulletin de la CCI, Supplement special 2003, p7
11 Serge Gravel, Arbitrage Multipartite et Pluralite d'Arbitrages, Bulletin de la CCI, Vol 7/No.2 (1996)
12 Jean-Louis Devolve, RapportFinal sur les Arbitrages Multipartites approuve par la Commission de l'Arbitrage International de la CCI, Bulletin de CCI Vol.6/No. 1, 1995
13 Yves Derains , Observations Générates tirées de la Pratique Arbitrate, DOSSIER OF THE INSTITUTE OF INTERNATIONAL BUSINESS LAW AND PRACTICE /1991;
14 Mary Woollett, Monique Sasson, Multi-Party Arbitration, Stockholm Arbitration Report 2002-1
15 Julian Cohen, Practical Problems in Multi-Party Arbitration, Asian DR, Vol.2 (1999)
16 B. Hanotiau, Problems Raised by Complex Arbitrations Involving Multiple Contracts-parties Issues-an Analysis, Journal of International Arbitration, vol. 18, No.3,2001,pp253-360
17 Multi-party Arbitration, Dossiers of the Institut of International Business Law and Practice, Publication CCI No. 480/1, 1991
18 Serge Gravel, Arbitrage Multipartite et Pluralite d'Arbitrages, Bulletin de la CCI, Vol 7/No.2 (1996)
19 Jean-Louis Devolve, RapportFinal sur les Arbitrages Multipartites approuve par la Commission de l'Arbitrage International de la CCI, Bulletin de CCI Vol.6/No. 1, 1995
20 Stephen R. Bond, The Experience of the ICC International Court of Arbitration, ICC DOSSIER OF THE INSTITUTE OF INTERNATIONAL BUSINESS LAW AND PRACTICE /1991
21 Note du Secretariat de la cour International d'Arbitrage de la CCI au sujet de la Constitution de Tribunaux Arbitraux dans les Affaires Intéressant Plusieurs Parties, Bulletin de la CCI, Vol.4/No.2 (1993)
22 Anne-Marie Whitesell et Eduardo Silva-Romero, L 'Arbitrage a pluralite de parties ou de contrats : l'experience recente de la Chambre de commerce internaionale, Bulletin de la CCI, Supplement special 2003
23 Robert, Le Nouveau Règlement de Conciliation et d' Arbitrage de la Chambre de Commerce Internationale, Rev. Arb.(1976), pp83,84
24、Rapport statistique 2003, Bulletin de la CCI, Volume 15/No 1, 2004
25、Emmanuel Gaillard, L'Affaire SOFIDIF ou les difficultes de l'arbitrage Multipartie, a propos de l'arret rendu par la Cour d'Appel de Paris le 19 decembre 1986 de l'affaire O. I. A. E. T. I. c/. SOFIDIF, REV. ARB. (1987)
26、Christophe Imhoos: Les Mecanismes de Constitution du Tribunal Arbitral, Bulletin de la CCI, Vol. 2/No. 2, 1991
27、Stephen R. BOND: La constitution du Tribunal Arbitral, Le Reglement d'Arbitrage de la CCI de 1998, Bulletin de la CCI, Supplement Special, 1997
28、Eric Schafer: L'Acte de Mission-Hier et Aujourd'hui, Bulletin de la CCI, Vol. 3/No. 1, 1992
29、Michael E. SCHNEIDER: L'Acte de Mission, Le Reglement d'Arbitrage de la CCI de 1998, Bulletin de la CCI, Supplement Special, 1997
30、Serge Lazareff, Erik Schafer: The 1992 Practical Guide on Terms of Reference Revisited, ICC Bulletin, Vol. 10/No. 2, 1999
31、王一平,《论民间性国际商事仲裁机构》,载于《法学评论》1999年第6期
32、屈广清 周清华 吴莉婧:《论仲裁制度中的第三人》,载于《中国海商法年刊》第11卷。
33、闵森:《中国涉外仲裁业务的特点及效力》,载于《国际经济合作》1996年第12期以及《中国国际经济贸易仲裁委员会2003年度工作报告和2004年工作计划》
34、吴兴光:《国际商会仲裁规则与中国国际经贸仲裁规则之比较研究》,载于《国际经贸探索》2000年第5期。
35、钱炼:《北京市宣武区劳动争议仲裁建立预备庭制的探索》,载于《中国劳动》2004年4月
36、万学忠:《面向全球的ICC国际仲裁院》,www.legaldaily.com.cn
1、国际商会仲裁院章程
2、国际商会1998年仲裁规则
3、荷兰民事诉讼法典
4、伦敦国际仲裁院仲裁规则
5、美国仲裁协会国际仲裁规则
6、比利时仲裁与调解中心规则
7、世界知识产权组织仲裁规则
8、新加坡国际仲裁中心仲裁规则
9、斯德哥尔摩商会仲裁院仲裁规则
10、联合国国际贸易法委员会示范法
11、联合国国际贸易法委员会仲裁规则
12、欧洲—阿拉伯商会调解、仲裁和专家鉴定规则
13、北京市仲裁委员会2004年仲裁规则
14、中国国际经济贸易仲裁委员会仲裁规则
15、中国国际经济贸易仲裁委员会2005年仲裁规则
1、Consorts Ury c/S.A. des Gaieties Lafayette, REV. ARB 1975, p235
2、Universal Pictures v. Inex Films and Inter-Export, Rev. Arb. 1978, p501
3、Southern Pacific Properties Limited and Southern Pacific (Middle East) LTD. c/. Republique Arabe d'Egypte, Cour de Cassation (France), 1987
4、Societe Kis France c/. Societe A. B. S. et R. Maward, Cour d'Appel, Paris, le 19 mars 1987
5、Sansi Fruitgrowing Equipment Spa c/. Semena I Possadatchen Material, Cour d'Appel, Paris, le 25 fevrier 1993
6、Societe anonyme Rephor c/. S. A. R. L. Ploemeloise de financement de participation d'investissement, Cour d'Appel, Paris, le 12 fevrier 1988
7、Societe SOFIDIF et autres c/. OIEATI et autres, Cour d'Appel, Paris, le 19 decembre 1986
8、Westland Helicopters Limited v. the Arab Organization for Industrialization, the United Arab Emirates etc, Cour de Justice de Geneve, 26 novembre 1982
9、Siemens AG et BKMI Industriean Lagen GmbH c/Dutco Construction Co. , Cour de Cassation, Paris, le 7 janvier 1992
1、ICC官方网站http://www.iccwbo.org