国际商事仲裁法(双语)教学内容.doc

CONTENTS ON NTERNATIONAL COMMERCIAL ARBITRATION LAW 国际商事仲裁法 双语 教学内容国际商事仲裁法 双语 教学内容 一一 课课 程程 说说 明明 课课 程程 性性 质质 选选 修修 课课 程程 语语 言言 中中 英英 双双 语语 授授 课课 对对 象象 法法 学学 本本 科科 学学 时时 3 6 学学 分分 2 授授 课课 教教 师师 中中 国国 人人 民民 大大 学学 法法 学学 院院 赵赵 秀秀 文文教教 授授 二二 双双 语语 教教 学学 教教 材材 1 2 21 1 世世纪纪国国际际法法学学系系列列教教材材 国国际际商商事事仲仲裁裁法法 中中英英双双语语教教材材 赵赵秀秀文文 编编著著 中国人民大学出版社 2004 年 该教材出版后得到好评 应人大出版社 的邀请 申请人于今年初又进行了修订 2008 年 5 月底第二版即将面世 2 国国际际商商事事仲仲裁裁案案例例解解析析 中中文文 赵赵秀秀文文主主编编 中国人民大学出版社 2005 年版 书中收集的案例 都出自于双语教材各章节后的案例 3 国国际际商商事事仲仲裁裁法法参参考考资资料料 中中英英文文对对照照 赵赵秀秀文文 谢谢菁菁菁菁编编著著 中国 人民大学出版社 2006 年版 书中收集了 纽约公约 等国际公约 联合国 贸法会的国际商事仲裁示范法 仲裁规则 中 美 法 德等各主要国家的仲裁法 以及中国国际经济法贸易仲裁委员会 国际商会国际仲裁院 伦敦国际仲裁院 美 国仲裁协会等国际主要仲裁机构的仲裁规则 CHAPTER 1 GENERAL INTRODUCTION OF INTERNATIONAL COMMERCIAL ARBITRATION LAW 第一章第一章 导论导论 课时 2 本章的教学目的是要求学生理解并掌握国际商事仲裁的起源与发展 国际商事仲裁法 的概念 性质和法律渊源 以及我国国际仲裁法的主要内容 Key Issues Definition and nature of arbitration Relations and difference between arbitration and other methods for the settlement of dispute Functions of the international conventions and model law in the unification and coordination of international commercial arbitration law Basic principles of international commercial arbitration law Chinese international commercial arbitration law Research method for the international commercial arbitration law Section 1 Arbitration and Other Methods for the Settlement of Dispute Origin and development of arbitration Arbitration is developed with the needs of commercial business It is the voluntary method for the settlement of dispute based on the parties agreement Nature and characteristics of arbitration Arbitration is contractual in nature basically as a method for the settlement of dispute No arbitration agreement no arbitration This method later incorporated into the legal system of the State The national court shall enforce the arbitration agreement as well as the arbitral awards in accordance with the local law In this regards it also carries out the judicial nature Relationship between arbitration and other methods for the settlement of dispute Arbitration law governing arbitration Arbitration incorporated advantages from both ADR and litigation It is more flexible as ADR as to the parties autonomy The arbitral award could be enforceable as the court judgement Section 2 International Commercial Arbitration Law Origin and development of international commercial arbitration law It origins from the national law and international conventions Parties for the international commercial arbitration law mostly between the parties with equal legal status that is the private parties Subject matters of the international commercial arbitration law relationship between the parties under the arbitration agreement relationship between the arbitration institution arbitration tribunal and the parties national courts supervision on the international commercial arbitration law Sources of international commercial arbitration law Domestic arbitration law International legislation bilateral judicial cooperation treaty international convention model law Section 3 Basic Principles of International Commercial Arbitration Law Parties autonomy the parties may select the arbitration institution applied rules arbitrators languages place of arbitration and so on Independent and impartial settlement disputes by the arbitral tribunal arbitrators are different from national judges as to the field of implementation of law The functions for the settlement of dispute are similar The only objective for the arbitrator is to render awards independently and impartially National courts supervision on the arbitration Since the national courts implement law in public field the arbitral awards are subject to the courts supervision The court may set aside national award or may refuse national and foreign awards at the request of the party according to national law Section 4 International Commercial Arbitration Law in China Domestic arbitration law Bilateral judicial cooperation treaty and international convention to which China is a party Section 5 Construction of the Course Arbitration institutions International arbitration agreement Arbitration tribunal Arbitration procedures The law governing the arbitration Award and remedies Court supervision Case Study German Zueblin v Wuxi Woco 本章教学要点 本章教学要点 1 仲裁是当事人之间通过协议约定的将他们之间的争议提交给独立的第三者裁断的解决 争议的方法 2 与解决争议的其它方法 包括诉讼的方法和 ADR 方法相比 仲裁既有诉讼解决争议的 终局性 又有 ADR 方法解决争议的自愿性和灵活性 它集当事人之间的自愿性与法律上 的强制性为一体 同时具有契约和司法的性质 3 由联合国主持制订的 纽约公约 和联合国贸法会主持制订的 示范法 对于协调和 统一各国有关国际商事仲裁的立法与实践 具有重要的指导作用 纽约公约 统一了 各缔约国对仲裁协议效力的承认和拒绝承认与执行外国仲裁裁决的条件 示范法 则 为各国制订调整本国国际商事仲裁关系的法律提供了参照系 4 国际商事仲裁的基本原则是协议仲裁原则 仲裁庭独立 公正地解决争议的原则和法 院对仲裁实施保障和监督的原则 5 中国有关国际商事仲裁的立法 经历了从无到有的过程 现已建立了由国内仲裁立法 与我国缔结或参加的国际公约为主体的比较完善的仲裁法体系 我国国际商事仲裁法包 括我国立法机关颁布的调整国际商事仲裁关系的法律规范 以及我国缔结或参加的双边 和多边调整国际商事仲裁关系的法律规范的总称 6 研究国际商事仲裁法要从我国相关的立法与实践出发 运用综合的和比较的方法 对 国际商事仲裁中所涉及的重大理论与实践问题 进行深入的比较研究 QuestionsQuestions andand CommentsComments 1 Arbitration refers to as a means for the settlement of dispute by a third person upon the arbitration agreement between the parties It differentiates from both ADR and litigation in a national court While ADR is also a voluntary method for the settlement of dispute but the agreement reached between the parties by ADR can not be enforced as judgment but a contract On the other hand the award made by the arbitration tribunal based on arbitration agreement could be enforced by the national court due to domestic law and New York Conventions 2 When the parties in international business transactions came across a dispute what methods they may turn to Why 3 What is ADR refers to Do you think arbitration is included or excluded arbitration Why 4 What are the main function of New York Convention and UNCITRAL Model Law 5 What are the basic principles for international commercial arbitration What is the basic requirement for the parties to choose the settlement of their dispute by arbitration Could you name some differences between arbitration and other means settlement of disputes 6 What value the arbitration pursue to justice efficiency economy or something else Why international businessmen prefer to settle their disputes by international arbitration instead of litigation in the national courts 7 How the Chinese law regulates arbitration involving foreign elements CHAPTER 2 INTERNATIONAL COMMERCIAL ARBITRATION INSTITUTIONS 第第二二章章 国际商事仲裁机构国际商事仲裁机构 课时 4 本章的教学目的是要求学生理解并掌握临时仲裁机构与常设仲裁机构之间的区别 常 设仲裁机构在通过仲裁解决争议中的作用 主要的国际商事仲裁机构 以及我国现行 国际仲裁制度 仲裁委员会及其作用 Key Issues Relations and difference between ad hoc and institutional arbitration Functions of international permanent arbitration institution Main international commercial arbitration institutions in the world International commercial arbitration institutions in China Section 1 General Introduction Ad hoc v Inst l Arbitration basic distinction between the ad hoc and institutional arbitration as followings Business place Administration staff Rules of arbitration Panel list Permanent arbitration institutions set in the State CIETAC AAA SCC SIAC LCIA set by international conventions ICSID Section 2 Functions of Institutional Arbitration Draft arbitration rules if a party that concluded the arbitration agreement has no capacity for civil acts or has limited capacity for civil acts or if one party coerced the other party into concluding the arbitration agreement Art 7 of the Judicial Interpretation on Invalid arbitration agreement The parties agreed either arbitration or litigation Unless one party applied for arbitration the other party failed to challenge of the validity of the arbitration agreement prior to the first hearing of the arbitration tribunal The parties failed to reach agreement on a definite arbitration institution Authority to decide the validity of the Arbitration Agreement CAL20 If a party challenges the validity of the arbitration agreement he may request an arbitration commission to make a decision or a People s Court to give a ruling If one party requests an arbitration commission to make a decision and the other party requests a People s Court to give a ruling the People s Court shall give a ruling A party s challenge of the validity of the arbitration agreement shall be raised prior to the first hearing of the arbitration tribunal Competent Court to decide validity of the Arbitration Agreement in the PRC Intermediate people s court where the agreed arb Commission located in case of no agreed definite arbitration commission where the agreement was signed or the parties domicile or place of business located Applicable Law for decision Judicial interpretation Art 16 Agreed by the parties Seat of arbitration if any Law of the national court In agreement with Art 5 1 a New York Convention Assignment of the Arbitration Agreement Judicial Interpretation by the Supreme Court of the PRC in 2006 The arb Agreement is binding on assignee while the parties merged or separated Successor s responsibility Assignment of credits and liabilities 案例分析 浙江诸暨外贸诉香港恺威 第 110 页 浙江诸暨外贸公司空白销售确认书 仲裁条款的效力 思考题 1 本案涉及的是中国外贸公司与香港公司之间的国际货物买卖合同中的仲裁条款的效 力问题的争议 你认为本案合同应当适用什么样的法律 为什么 2 如何认定国际货物买卖合同中的当事人意思表示一致 如何确定通过电报 传真等 方式订立的国际货物买卖合同的时间 根据应当适用的法律 你认为本案合同是什么时候 成立的 1 诸暨外贸公司的销售确认书中的条款对该公司有拘束力吗 2 法院认定本案交易有效 而该交易所依据的销售确认书中的仲裁条款无效 其依据 是什么 你对法院对此案的处理有何评论 本章教学要点本章教学要点 1 国际商事仲裁协议就其实质而言 具有契约的性质 因为它是当事人之间约定的将它 们之间的争议提交仲裁解决的契约 此项契约可以表现为争议发生之前的国际商事合 同中的仲裁条款 也可以表现为争议发生之后当事人之间达成的一项单独的协议 2 鉴于国际商事仲裁协议所具有的契约性质 国际合同适用法律的一般原则 同样也应 当适用于决定仲裁协议的有效性的适用法律 3 国际商事仲裁协议的转让 现行有关国际仲裁的国际立法和国内立法中均缺乏相关的 法律规定 当主合同转让时 合同中的仲裁条款是否约束被转让人 归根结底取决于 各相关国家的国内立法与实践 4 我国现行仲裁法对仲裁协议有效性的规定与联合国贸法会 1985 年 国际商事仲裁示范 法 相比 比较严格 中国仲裁法关于仲裁协议有效性条款的修订 势在必行 QUESTIONS AND COMMENTS 1 What is the nature of international commercial arbitration agreement 2 Is there any difference of the legal status between the arbitration clause and submission to arbitration 3 How to decide the applicable law to the arbitration agreement Do you think the law applied to the main contract could also be applied to the arbitration clause therein 4 What is your comment on the effect on the arbitration clause while the contract therein was transferred to a third person Is the third person bound by the arbitration clause of the transferred contract 5 What is your comment on China s present arbitration law and practice in respect of determination of the validity of international commercial arbitration agreement CHAPTER 4 ARBITRABLE SUBJECT MATTER IN THE INTERNATIONAL COMMERCIAL ARBITRATION 第四章第四章 国际商事仲裁中的可仲裁事项国际商事仲裁中的可仲裁事项 课时 2 本章的教学目的是要求学生理解并掌握可仲裁事项所涉及实质性问题 可仲裁事项的 适用法律 以及我国有关可仲裁事项的立法与实践 Key Issues Substantial issues relating to the arbitrability Rights and obligations of the State in the arbitration agreement Applicable law in the determination of arbitrability issues Legislation and practices in China Section 1 General Introduction Definition Whether the dispute under the arbitration agreement could be settled by arbitration Why not arbitration Public interest consideration Different interpretation in different period of time even in the same state Sion Soleimany father v Abner Soleimany son p 118 Engaged in the export of Persian carpets from Iran in contravention of Iranian Revenue Laws and export controls Award Court procedures Section 2 Arbitrability and Applicable Law Non arbitrable Matters By statute By case Applicable law to decide the arbitrability issues Proper law of the contract 合同准据法 Proper law of the arbitration agreement Law of the place of arbitration Lex loci 法院地法 Authorities that decide the applicable law Arbitral tribunal National court the court with jurisdiction the court where the arbitration is taken place the court where the enforcement is sought SPA Italy v MOD Iraq p 129 Contracts to build ships for Iraq navy b w the parties with arbitration clause Effect of UN embargo in 1990 on the Ks SPA s claim for the frustration of Ks and damages before Ks were performed Ct of first instance no jurisdiction Ct of Appeal non arbitrability of the case according to Italian law Section 3 Parties to the International Arbitration Agreement and Their Capacity State s capacity to arbitration and applicable law ELF Aquitaine Iran France v National Iranian Oil Company NIOC p 135 K b w NIOC and ERAP French state agency Al brought lawsuit for damages to the cargo Diakan applied for stay the action for arbitration and apply for unpaid charter hire Arbitrated by sole arbitrator in favor of Diakan with default award Diakan applied for enforcement in US Court Section 2 Jurisdiction of the Arbitral Tribunal Tribunal s Authority To decide its own jurisdiction based on the competence competence doctrine To render an award Competence Competence Doctrine 仲裁庭自裁管辖原则 仲裁庭自裁管辖原则 The arbitral tribunal may rule on its own jurisdiction including any objections with respect to the existence or validity of the arbitration agreement Art 16 UNCITRAL Model Law The doctrine is universally recognized by the national legislation and arbitration rules Section 3 Rights and Obligations of the Arbitral Tribunal Qualification of the Arbitrators In general Panel system compulsory or elective IBA Ethics for Int l Arbitrators International arbitrators should be impartial independent competent diligent and discreet Disclose all facts or circumstances that may give rise to justifiable doubts as to his impartiality or independence IBA Duty of Disclosure 4 Past or present business relationship Nature and duration of any substantial social relationship with any party Nature of any previous relationship with any fellow arbitrator Extent of any prior knowledge of the dispute Extent of any commitments which may affect his availability to perform his duties Disclosure duty throughout the proceedings In writing and communicated to all parties and arbitrators Case for Failure in Disclosure Finish Supreme Court Case in 2005 Civil liability for the failure in disclosure private relationship with the party by the chairman of the arbitral tribunal Stockholm International Arbitration Review 2007 1 117 127 Section 4 Chinese Legislation and Practices on the Composition of the Arbitral Tribunal and its Authority Qualification being an arbitrator in China Art 13 CAL righteous upright persons at least one of the following item required engaged in arbitration work for at least eight years as a lawyer for at least eight years as a judge for at least eight years 2004 amended engaged in legal research or education and to have a senior title or have legal knowledge to be engaged professionally in fields such as economic relations and trade etc and to have a senior title or attained an equivalent professional level Panel System in the PRC CAL Art 11 4 commission should have appointed arbitrators Each arbitration commission keep its own panel list Composition of the tribunal Appointment by the parties Appointment of the permanent arbitration institution including ad hoc Appointment by the court in other countries Jurisdiction of the Tribunal Decides its own jurisdiction in accordance with competence competence doctrine Trial the dispute and make an award in accordance with the applied arbitration rules and law Challenge to the Arbitrators in the PRC CAL Art 34 as a party in the case or a close relative of a party or of an agent in the case has a material interest in the case has another relationship with a party or agent in the case which may affect the impartiality of the arbitration or privately met with a party or agent or accepted an invitation or gift from a party or agent case for Tianjin Requesting party could be reasonably successful Tribunal considered appropriate Section 3 Interim Measures of Protection in Some other States Court ordered IM A court shall have the same power of issuing an interim measure in relation to arbitration proceedings irrespective of whether their place is in the territory of this State as it has in relation to proceedings in courts The court shall exercise such power in accordance with its own procedures in consideration of the specific features of int l arbitration Sundaram v NEPC 教科书第 教科书第 214 页 页 Yearbk Comm Arbitration 1999 Hire purchase agreement NEPC delayed in payment Apply to the court to take custody of the generators Whether IMP could be taken before arbitration procedure Section 4 Legislation and practices in the PRC 民诉法民诉法 Art 256 of CPL 2007 If a party has applied for property preservation measures the arbitral commission of the PRC handling cases involving foreign element shall refer the party s application for a decision to the intermediate people s court where the party against whom the application is made has his domicile or where his property is located Art 46 Arbitration Law Under circumstances where evidence may be destroyed or lost or be difficult to obtain later a party may apply for interim measures of protection of evidence If a party applies for interim measures of protection of evidence the arbitration commission shall submit his application to the basic level People s Court of the place where the evidence is located Practices in China Provisional Rules of FTAC 15 Art 13 of CPL 试行 1982 1988 Rules to confirm with CPL Art 258 of CPL 1991 Art 256 2007 临时性保全措施的发布与执行临时性保全措施的发布与执行 当事人将保全措施的申请提交仲裁委员会 仲裁委员会将此申请提交相关法院 法院依法做出裁定并予以执行 国际上的做法 中国政府向联合国国际贸易法委员会提交的意见中国政府向联合国国际贸易法委员会提交的意见 中国法律并没有赋予仲裁庭作出有关保全措施的权力 也未赋予仲裁庭命令采取 临时措施和初步命令的权力 因此现有案文与中国民事诉讼法 仲裁法的相关规定不 符 我国法院缺乏承认与执行外国仲裁庭作出的临时措施 初步命令的法律依据 本章教学要点 1 国际商事仲裁中的临时性保全措施 就其实质而言 为了防止当事人在裁决作出之前转 移其所占有或拥有的财产 保障仲裁裁决作出后能够得到顺利执行 2 仲裁庭均可以依据相关法律和仲裁所适用的仲裁规则 对仲裁协议项下的事项作出采取 特定的临时性措施的决定 3 临时性措施的执行 属于执行地法院的专属权力 仲裁庭和仲裁地的法院则无此项权力 执行临时性措施的法院在执行此项措施时 只适用执行地的法律 4 中国在对现行仲裁法和相关法律进行修订时 可以考虑借鉴联合国贸法会的 国际商事 仲裁示范法 和 仲裁规则 中的有关规定 以及其他一些国家的有关立法与实践 在不 影响法院对争议标的作出临时性措施的裁定的情况下 也应当允许仲裁庭对此作出裁定 Q QU UE ES ST TI IO ON NS S A AN ND D C CO OM MM ME EN NT TS S 1 What is the nature and the functions of the interim measures of protection in international commercial arbitration 2 Which institution is entitled to make decision on the interim measures of protection While making such decision what law should be applied 3 How to enforce the