国际商事法庭的诉讼仲裁化及其限度

The Arbitralization of Litigation in International Commercial Courts and Its Limits

一般而言,欧洲大陆设立国际商事法庭主要是为了将争议从仲裁重新引向诉讼,而亚洲设立国际商事法庭主要是为了弥补仲裁的缺陷,并形成一种与仲裁互补的纠纷解决机制。尽管有目的和作用上的差异,但全球国际商事法庭都日益呈现出诉讼仲裁化的趋势。国际商事法庭诉讼仲裁化的本质是增强国际商事法庭中当事人的程序自治。商事诉讼和商事仲裁受理相同类型的纠纷,追求共同的实体法价值目标,基于此,二者在基本原则和程序规则上具有较高的契合度,具备相互借鉴发展的法理基础。虽然纳入仲裁的一些最具价值的特征可以改善司法职权主义主导下传统诉讼程序的刚性与僵化,但国际商事法庭诉讼仲裁化趋势有其限度。过度的仲裁化特征会损害程序正义和法院作为公共机构的职能,易导致判决得不到他国的承认与执行。国际商事法庭与传统涉外诉讼相比更侧重程序自治,但仍需以司法公正和公共利益为限,这也是其裁判获得承认与执行的必备条件。具体来说,保障第三方获得公平审判的权利,确保审判人员的中立性和公正性,维护法院诉讼程序的公共性,对于实现程序正义和维护公共秩序而言不可或缺,国际商事法庭诉讼仲裁化应恪守这些基本底线。

Generally speaking,the international commercial courts(ICCs)have been established in continental Europe primarily to redirect disputes from arbitration to litigation,while in Asia they have been established primarily to compensate for the shortcomings of arbitration and to form a dispute resolution mechanism complementary to arbitration.Despite the differences in purpose and role,the procedural systems of ICCs around the world are increasingly showing a trend towards arbitralization.The essence of arbitralization is to enhance the parties'procedural autonomy in ICCs.Commercial litigation and arbitration handle the same type of disputes and share the same substantive law value objectives,based on which they have a high degree of compatibility in terms of basic principles and procedural rules,and possess a juridical basis for mutual reference and development.Although the inclusion of some of the most valuable features of arbitration can improve the rigidity and inflexibility of traditional litigation procedures under the dominance of judicial authoritarianism,the trend of arbitralization of ICCs proceedings has its limits.Excessive arbitration features can undermine procedural justice and the functioning of courts as public institutions,and can easily lead to judgments not being recognized and enforced in other countries.While ICCs are more focused on procedural autonomy than traditional litigation,they are still subject to the limits of justice and the public interest,which is also a prerequisite for the recognition and enforcement of their decisions.Specifically,guaranteeing the right of third parties to a fair trial,ensuring the independence and impartiality of the judiciary,and safeguarding the public nature of court proceedings are indispensable to the realization of procedural justice and the maintenance of public order,and should not be affected by the trend towards arbitralization.