论国际商事仲裁机构程序管理权扩张的正当性

The Legitimacy on the Expansion of the Procedural Power of the International Commercial Arbitral Institution

国际商事仲裁机构程序管理权扩张现象,以通过当事人无法合意排除或修改的仲裁规则授予自身多项主动管控、干预仲裁庭及仲裁程序的权力为典型表现,受到了国内外学者的普遍关注。反对观点对其正当性提出质疑,认为该现象与作为国际商事仲裁基本原则的意思自治存在冲突,且聚焦于仲裁机构程序管理权扩张过程中纳入的具体权力,其对仲裁庭组成及仲裁裁决起草的干预均与国际商事仲裁传统原则或理念相悖。但事实上,从规范主义视角,基于仲裁机构与当事人间的契约关系,仲裁机构程序管理权的扩张与意思自治原则的冲突只是虚假的表象,亦与《纽约公约》第5条第1款(d)项相适配;从功能主义视角,仲裁机构程序管理权的扩张有利于解决仲裁系统效益所面临的困境,亦与仲裁机构的功能演变相顺应。不论从规范主义还是功能主义视角,国际商事仲裁机构程序管理权扩张的正当性均可证成。

The expansion of procedural power of international commercial arbitration institutions,which is typical of granting them a number of powers to actively control and intervene in arbitral tribunals and arbitral proceedings through arbitration rules that cannot be excluded or modified by the parties’agreement,has attracted widespread attention from scholars at home and abroad.The opposing view challenges its legitimacy,arguing that this phenomenon conflicts with the principle of autonomy as the basic principle of international commercial arbitration,and focuses on the specific powers incorporated in the process of expanding the procedural management power of arbitration institutions,and its interference in the composition of arbitral tribunals and the drafting of arbitral awards are contrary to the traditional principles or concepts of international commercial arbitration.But in fact,from the normative perspective,based on the contractual relationship between the arbitration institution and the parties,this expansion does not violate the party autonomy and is also compatible with Article 5(1)(d)of the New York Convention;from the perspective of functionalism perspective,the expansion of the procedural power of arbitral institutions is conducive to solving the dilemma of the system’s effectiveness,and also conforms to the evolution of the institution functions.Whether from a normative or functionalist perspective,the legitimacy of the expansion of procedural management power of international commercial arbitration institutions can all be justified.