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  • 學位論文

國際商務仲裁證據法則與其所涉仲裁判斷之承認及執行

Rules of Evidence in International Commercial Arbitration and Its Effects on Recognition and Enforcement of Arbitral Awards

指導教授 : 羅昌發
共同指導教授 : 沈冠伶
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摘要


隨著國際貿易與金融市場的蓬勃發展,單純倚靠傳統民事訴訟已不足以應付跨國商務爭端的需求,因此,較迅速且具有彈性的國際商務仲裁機制逐漸受到重視,甚至成為國際商務契約的重要條款之一。相較於訴訟程序而言,國際商務仲裁以高度尊重當事人自治並允許較具彈性的程序為其特色,然而,也正由於仲裁並無一套必須強制進行之程序規範,當事人或仲裁庭如何在個案中依情況擇定適當之程序規則,即成為重要而複雜之課題。仲裁程序中,又以證據蒐集與調查程序最為耗費時間與成本,且與最終判斷結果休戚相關,因此,如何在個案中擇定並適用妥當之證據法則,實屬不可忽視之問題。 在實務上,許多因素皆可能影響前階段仲裁程序證據法規之擇定,包括仲裁各項準據法、貿易特性、締約與交易地點、當事人與仲裁人之法系背景,以及其他各種個案事實因素。然而,擇定不適當之證據法則更可能導致後階段仲裁判斷承認與執行產生障礙,影響仲裁制度之效率,進一步減低當事人使用仲裁之意願。 本文鑒於國際商務仲裁制度就跨國貿易紛爭之解決有相當之重要性,而證據法則在仲裁程序中又居於舉足輕重之角色,故藉由蒐集國際商務仲裁與證據法則相關之各國仲裁法、仲裁規則、實務案例與學說見解,針對目前國際商務仲裁證據程序之現況加以釐清,進一步探討是否有慣例或共識形成之可能,以某程度提供當事人預測之空間。此外,亦從商業成本分析之觀點,檢討目前對於各證據議題之見解妥當性,並對紐約公約第五條第一項第(b)與(d)款有關正當程序與折衷之仲裁地法原則等加以分析,進而提出解釋與修正之建議,試圖建立擇定適當仲裁程序規則法之基本架構與其應注意之要素,以避免仲裁判斷無法承認或執行之不利情事。最後,以國際商務仲裁架構為基礎,回顧檢討我國仲裁法制與實務判決,做為未來解釋與發展之借鏡。

並列摘要


As international business and financial market vigorously thrives, traditional civil litigation is not considered enough to meet the needs of transnational commercial disputes. International commercial arbitration hence becomes important with its special character of efficiency and flexibility. The arbitration agreement is also considered to be one of the most significant clauses in transnational contract. Comparing to civil litigation, international commercial arbitration is known as one system that allows more flexible procedure and highly respects the principle of party autonomy. However, it is just because arbitration does not impose a mandatory set of procedural rules that how to determine and conduct in the manner as parties and arbitral tribunals consider appropriate in each case remains to be an important and complex issue. Among arbitral proceedings, the procedure relating to evidence collection and investigation takes a lot of times and money, while closely influencing the final awards. As a result, how to decide and apply the appropriate rules of evidence in arbitration is a crucial question. In reality, there are many factors that may affect the determination of rules of evidence in arbitration, including the applicable laws, characteristic of the transaction in dispute, place of contract and performance, the background of parties and arbitrators, and so on. Nevertheless, inappropriate determination no matter made by parties or arbitral tribunal will lead to dispute at the stage of recognition and enforcement of arbitral awards, which eliminates incentives to use arbitration as an efficient dispute resolution method. With the acknowledgement of the significance of international commercial arbitration in the field of transnational trade dispute resolution, and the important role of the rules of evidence in arbitral proceedings, this paper aims to collect arbitration laws, procedural rules, cases and critic opinions relating to the evidential issues in international commercial arbitration, to analyze the current situation of the application of rules of evidence, and further figure out its tendency. In addition, this paper also tries to help assaying the current opinion on the application of evidential rules in the perspective of the cost control and management. International jurisprudence produced by case law also serves as a baseline of the fundamental procedural rights under the principle of due process, which closely related to grounds for refusal of enforcement under the New York Convention. This paper also addresses the appropriateness of lex loci arbitri imposed in the ground for refusal of enforcement and makes further suggestions on this matter to solve the existing problems. By analyze the above two grounds, it is hoped to establish a basic structure in selecting appropriate rules of evidence and raise some elements which are needed to be noticed, to avoid obstacle at the stage of recognition and enforcement of arbitral awards. Finally, this paper reviews the arbitration law and the practice of Taiwan on the basis of such structure to make suggestions on explanation and development of the arbitration system in the future.

參考文獻


呂綺珍(2005),「論民事證據法上之事實認定與證明責任」,國立台灣大學法律學研究所論文。
CODE OF CIVIL PROCEDURE (Fr.).
許士宦(2003),文書之開示與秘匿,台大法學論叢第23卷第4期,收錄於:氏,「證據蒐集與紛爭解決」,學林,2005年。
邱聯恭(2000),仲裁契約之妨訴抗辯效力—評最高法院八十一年度第三次民事庭會議決議,載於:氏,「程序選擇權論」。
LEW, JULIAN D.M. (1978), APPLICABLE LAW IN INTERNATIONAL COMMERCIAL ARBITRATION.

被引用紀錄


鍾小喬(2016)。兩岸投資保障協議下的商務糾紛解決機制-以商務仲裁為核心〔碩士論文,淡江大學〕。華藝線上圖書館。https://doi.org/10.6846%2fTKU.2016.00772

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