【摘要】：筆者就讀國際法專業(yè)研究生期間,在國內(nèi)某著名的仲裁委員會實習(xí)了半年多,在實習(xí)中接觸到我國一線的涉外商事仲裁實務(wù)并參與了一些案件,學(xué)習(xí)到很多知識,同時也對實踐中的一些問題有了自己的思考。商事仲裁證據(jù)規(guī)則相比于民事訴訟證據(jù)規(guī)則,有其自身的發(fā)展歷史和特點,卻長期沒有系統(tǒng)的成文法規(guī)定,而且各國司法實踐對這一問題的理論和實務(wù)又各不相同,所以導(dǎo)致我們在仲裁司法實踐中,不同的仲裁機(jī)構(gòu),甚至每個仲裁員都對仲裁證據(jù)規(guī)則的內(nèi)涵和外延有著不同的理解和標(biāo)準(zhǔn)。理論界對于仲裁證據(jù)方面的研究還留有很大的空間,這是一個非常值得探討的問題,也有著重要的現(xiàn)實意義。在我國目前的法制發(fā)展水平下,仲裁實務(wù)中的缺席裁決比例還是相當(dāng)高的。有些當(dāng)事人由于法律知識的匱乏、對司法公正缺乏信心,或者對仲裁結(jié)果的錯誤認(rèn)識等各種原因,最終缺席了仲裁答辯和庭審。當(dāng)仲裁庭作出對他們不利的裁決時,他們又覺得受到了不公平的待遇,再次到法院尋求救濟(jì),這種狀況不僅對被申請人不利、對申請人和仲裁庭也不利。特別是在一方缺席的情況下,仲裁庭如何認(rèn)定另一方單方面提交的證據(jù),又如何基于不完整的事實裁判案件,法律上并沒有給出更多的指引,這給仲裁庭帶來了更大的挑戰(zhàn)和風(fēng)險�；谝陨线@些法律上和實務(wù)中的現(xiàn)實問題,筆者提出了本文的論題,即在缺席裁決的情況下如何運(yùn)用國際商事仲裁證據(jù)規(guī)則來認(rèn)定證據(jù),才能保證更公正的程序和結(jié)果。從缺席審判制度的理論來看,不管是缺席判決主義還是一方辯論主義都已經(jīng)無法解決缺席裁決中的問題。仲裁相比于訴訟,國內(nèi)案件相比于涉外案件,都有其自身特點,但是這方面的理論研究卻非常少,導(dǎo)致了實踐中缺席裁決產(chǎn)生了很多的問題。筆者認(rèn)為,畢竟案件的裁決主要是基于法律事實,只有更合理地進(jìn)行舉證、取證與認(rèn)證,所推定的法律事實才能成為保證公正裁決的堅實基礎(chǔ),從證據(jù)規(guī)則的角度也可以探討解決缺席裁決問題的辦法。本文主要論述在國際商事仲裁中,當(dāng)一方當(dāng)事人缺席時,仲裁庭如何運(yùn)用國際商事仲裁證據(jù)規(guī)則做出缺席裁決的問題。國際商事仲裁區(qū)別于民事訴訟,是更適合于涉外商事糾紛的爭議解決方式,它具有靈活性、自治性、快捷性的優(yōu)勢。國際商事仲裁中的法律規(guī)則也呈現(xiàn)出多層次、多樣化的特點,不僅實體法和程序法可由當(dāng)事人選擇適用不同的法律規(guī)范,而且仲裁庭在裁決案件時可能會同時用到一國的仲裁法、民事訴訟法、法律適用法、仲裁規(guī)則以及當(dāng)事人選擇的法律等多層次的法律規(guī)范,使得法律適用問題特別復(fù)雜。所以本文第一章先對國際商事仲裁證據(jù)規(guī)則做了一個簡單的介紹,再進(jìn)一步分析仲裁庭在裁決一個國際商事仲裁案件時的法律適用問題,結(jié)合我國仲裁法律的規(guī)定,反映出國際商事仲裁法律適用的復(fù)雜性以及我國仲裁法律制度存在的問題。本文第二章對缺席裁決問題進(jìn)行了研究。缺席裁決區(qū)別于缺席判決,沒有系統(tǒng)的理論和制度構(gòu)建,但是在我國,缺席現(xiàn)象還是占了很大的比重。而缺席裁決理論的匱乏以及關(guān)于缺席裁決的法律規(guī)定過于簡單導(dǎo)致實踐中,仲裁庭在做出缺席裁決時面臨種種問題,也使得當(dāng)事人得不到充分的制度保障。第二章通過對民事訴訟中缺席判決理論的研究作為基礎(chǔ),再對比到仲裁,分析二者之間的聯(lián)系與區(qū)別,呈現(xiàn)出缺席裁決的基本特點和屬性。第三章在缺席裁決的大前提下,論述國際商事仲裁證據(jù)規(guī)則在運(yùn)用時會產(chǎn)生哪些問題,及與對席裁決的不同之處。通過分析發(fā)現(xiàn),缺席與對席,仲裁庭在運(yùn)用證據(jù)規(guī)則時會碰到不同的問題,雖然有些區(qū)別的研究并沒有得出什么結(jié)論性的成果,或歸納出規(guī)律,或創(chuàng)設(shè)一些法律規(guī)定,但是筆者覺得通過針對性的分析,仍然可以對證據(jù)規(guī)則運(yùn)用的問題做一些思考。最后一章是本文的結(jié)論部分,針對前三章中所討論的問題,分析我國國際商事仲裁實踐中法律適用體系和缺席裁決時證據(jù)規(guī)則運(yùn)用的問題,得出我國國際商事仲裁證據(jù)規(guī)則在基礎(chǔ)法律規(guī)定、仲裁證據(jù)規(guī)則和缺席法律制度方面的存在法律規(guī)定單薄、立法層次不清、操作性規(guī)定不足、缺席裁決法律制度缺失等問題,并就此問題提出自己的建議,比如在仲裁法中明確賦予當(dāng)事人選擇仲裁程序法的權(quán)利;增加更具仲裁特色和實際操作性的證據(jù)規(guī)則或是制定專門的國際商事仲裁證據(jù)示范法;建立缺席裁決時的仲裁制度,特別是證據(jù)規(guī)則,以原則性規(guī)定、指導(dǎo)性規(guī)定和具體操作規(guī)則構(gòu)成,全面系統(tǒng)建立我國國際商事仲裁法律多層次、多方位的制度構(gòu)建。本文的創(chuàng)新點非常清楚,就是從缺席裁決的角度來討論國際商事仲裁證據(jù)規(guī)則的運(yùn)用問題,再結(jié)合我國實際,提出筆者的一些拙見。另外,針對一些最新出臺的法律或規(guī)范,比如今年最高人民法院發(fā)布的民事訴訟法司法解釋和中國國際經(jīng)濟(jì)貿(mào)易仲裁委員會2015年3月1日起施行的“證據(jù)指引”。筆者非常幸運(yùn)在這些規(guī)范“新鮮出爐”的當(dāng)口可以在自己的畢業(yè)論文中對其進(jìn)行一些研究和解讀。由于仲裁的私密性,雖然筆者在仲裁委員會中有過較長時間的實習(xí),但是接觸到的案件畢竟是少數(shù),而基于仲裁的保密性以及保密承諾,筆者也不便在論文中講述實務(wù)中曾經(jīng)遇到過的案例,而仲裁案例又無法通過公共渠道獲得,所以難免缺乏實際案例的論述,實為一大遺憾。另外,雖然本文通過舉出其他國家仲裁法的相關(guān)規(guī)定來進(jìn)行比較研究,可是各國的法律制度不同,筆者僅憑一國的法條規(guī)定,無法準(zhǔn)確得到該國仲裁實務(wù)的真實面貌,難免有片面之嫌,希望在今后的研究中,繼續(xù)進(jìn)行這方面的探索。由于筆者才疏學(xué)淺、知識局限,所提出的觀點和分析肯定存在許多考慮不周到、不嚴(yán)密的地方,很多想法也許也過于簡單或欠缺實際操作性,筆者希望本文能起到一個拋磚引玉的作用,讓更多學(xué)者能夠關(guān)注國際商事仲裁證據(jù)規(guī)則與缺席裁決理論,做出更多更優(yōu)秀的研究,以解決我國仲裁實務(wù)中出現(xiàn)的問題。正如筆者在前文中提到的,關(guān)于“國際商事仲裁證據(jù)規(guī)則”和“缺席裁決”這兩者交叉的理論研究太少了,僅找到了極少相關(guān)主題的文獻(xiàn)資料,但是以筆者在仲裁委員會實習(xí)的經(jīng)歷來看,我國一線的仲裁實務(wù)領(lǐng)域,對這一問題的產(chǎn)生的分歧非常多,許多仲裁員之間、仲裁員和仲裁委員會之間會因為缺席裁決的各種證據(jù)問題產(chǎn)生分歧和爭論,足見我國法律規(guī)定的缺失和理論研究的匱乏,希望能有越來越多的學(xué)者關(guān)注到這一課題,為我國仲裁事業(yè)發(fā)展獻(xiàn)計獻(xiàn)策。
[Abstract]:During the period of the graduate student of international law, I practiced for more than half a year in a famous domestic arbitration commission. In the practice, I had come into contact with the foreign commercial arbitration practice of the first line of our country and participated in some cases, learned a lot of knowledge, and also thought about some problems in practice. The rules of commercial arbitration evidences compared to the people. The rule of litigation evidence has its own development history and characteristics, but there is no systematic statutory law for a long time, and the theory and practice of judicial practice in various countries are different from the theory and practice of this problem. There are different understandings and standards. There is still a lot of space for the theoretical circles to study the evidence of arbitration. This is a very worthwhile problem and also has important practical significance. Under the current legal development level of our country, the proportion of default adjudication in arbitration practice is quite high. Some parties are known by the law. The lack of knowledge, the lack of confidence in the justice of the judiciary, or the wrong understanding of the results of the arbitration in the final absence of arbitration and trial. When the arbitral tribunal made an adversely adjudicatory decision to them, they felt that they were treated unfairly and again to the court to seek salvation. This situation was not only adverse to the applicant, but also to the applicant. It is also unfavourable to the arbitral tribunal, especially in the absence of one party, how the arbitral tribunal identifies the evidence submitted by the other side, and how it is based on the incomplete factual referee cases, and does not give more guidance in law, which brings greater challenges and risks to the arbitral tribunal. Based on these legal and practical realities The question, I put forward the thesis, that is, how to use the rules of the international commercial arbitration evidence to identify the evidence in the absence of a verdict, and to ensure a more impartial procedure and result. From the theory of the system of trial by default, it is impossible to solve the problem in the default verdict, either by default or by one party's plea. Compared with the lawsuit, the domestic case has its own characteristics compared to the case related to foreign affairs, but the theoretical research in this respect is very small, which leads to a lot of problems in the practice. The author thinks that, after all, the verdict of the case is mainly based on the legal facts, and only a more reasonable proof, evidence and certification, presumed. Legal facts can be a solid foundation for ensuring a fair decision. From the point of view of the rules of evidence, a solution to the problem of absentee adjudication is also discussed. This article mainly discusses the question of how the arbitral tribunal uses the rules of evidence of international commercial arbitration in the absence of a party in International commercial arbitration. Different from civil litigation, it is more suitable for dispute settlement in foreign affairs. It has the advantages of flexibility, autonomy and shortcut. The legal rules in international commercial arbitration also show a multilevel and diversified characteristic. Not only the substantive law and the procedural law can choose different legal norms for the parties, but also the arbitration tribunal is tailored to the arbitration court. In the case of a case, the Arbitration Law of a country, the civil procedure law, the law applicable to the law, the rules of arbitration and the law of the parties selected may be used at the same time. The application of the law is particularly complicated. So the first chapter of this paper makes a brief introduction to the rules of the international commercial arbitration evidence and further analyses the arbitration. The question of the application of the law in the decision of an international commercial arbitration case, which reflects the complexity of the application of the International Commercial Arbitration Law and the existing problems in the legal system of arbitration in our country. The second chapter of this article has studied the issue of absentee adjudication. The default decision is different from the default judgment and has no system. The theory and system are constructed, but in our country, the absence of the phenomenon is still a large proportion. But the lack of the theory of absentee award and the too simple legal provisions on the default adjudication cause the arbitration tribunal to face all sorts of problems in the absence of adjudication, and also make the parties do not have sufficient institutional guarantee. The second chapter passes through On the basis of the study of the theory of default judgment in civil litigation, it is compared to arbitration and analyzes the relations and differences between the two parties, and presents the basic characteristics and attributes of the default adjudication. The third chapter discusses the problems in the application of the rules of international commercial arbitration evidence under the precondition of the absence of adjudication, and the difference between the adjudication and the adjudication. Through the analysis, it is found that there will be different problems in the use of the rules of evidence by the arbitral tribunal. Although some of the different studies do not produce any conclusive results, or conclude the laws, or create some legal provisions, the author thinks that the problem of the application of evidence rules can still be done through the pertinent analysis. The last chapter is the conclusion part of this article. Aiming at the problems discussed in the first three chapters, it analyzes the problems of the application of the system of law in the practice of international commercial arbitration and the application of the rules of evidence in the absence of adjudication, and draws a conclusion that the rules of evidence in the international commercial arbitration are stipulated in the basic law, the rules of arbitration evidence and the absence of the legal system. The existence of legal provisions is thin, the legislative level is not clear, the operational provisions are insufficient, the absence of the legal system of the default adjudication, etc., and put forward their own suggestions on this issue, such as the right to give the parties a clear choice of the arbitration procedure law in the Arbitration Law, and to increase the rules of evidence that have more arbitral characteristics and practical operation, or to make special special rules. The evidence demonstration law of international commercial arbitration, the establishment of the arbitration system in the absence of adjudication, especially the rules of evidence, the principles, the guiding rules and the specific rules of operation, set up a comprehensive and systematic establishment of the International Commercial Arbitration Law in a comprehensive and systematic way. The innovation point of this article is very clear, that is, from the angle of the default adjudication To discuss the application of the rules of evidence for international commercial arbitration and to put forward some of my humble opinions on the basis of the reality of our country. In addition, some of the latest laws and regulations, such as the judicial interpretation of the civil procedure law issued by the Supreme People's Court of the year and the "evidence" implemented by the China International Economic Trade Arbitration Commission in March 1, 2015 As a result of the privacy of arbitration, the author has a long period of internship in the Arbitration Commission, but the case in contact with the arbitration is a minority, based on the confidentiality and insurance of the arbitration. It is inconvenient for the author to tell the cases that have been encountered in the practice in the paper, and the case of arbitration can not be obtained through public channels, so it is hard to avoid the lack of practical cases, and it is a great pity. In addition, this article makes comparative research on the relevant provisions of other countries' Arbitration Law, but the legal system of various countries. According to the law of one country, the author is unable to get the true face of the arbitration practice in the country. It is unavoidable that there is a one-sided suspicion. I hope that in the future research, we will continue to explore this aspect. It may be too simple or lack of practical operability. I hope this article can play a role in attracting more scholars to pay more attention to the rules of evidence of international commercial arbitration and the theory of default adjudication, and make more and more excellent research to solve the problems in the practice of arbitration in our country. As I mentioned in the previous article, There are few theoretical studies on the intersecting between the rules of evidence for international commercial arbitration and the absence of adjudication, and only a few related documents have been found. However, the author's experience in the practice of the Arbitration Commission shows that there are many differences in the field of arbitration practice in China and many arbitrators. Between the arbitrators and the Arbitration Commission, there will be differences and disputes between the various evidence problems of the arbitral award, the lack of legal provisions and the lack of theoretical research in our country. It is hoped that more and more scholars will be able to pay attention to this subject and offer suggestions for the development of arbitration in our country.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2015
【分類號】：D997.4

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