本文選題：仲裁協(xié)議 + 效力擴(kuò)張　； 參考：《華東政法大學(xué)》2012年碩士論文

【摘要】：國(guó)際商事仲裁所具有的自治性、私密性及迅速解決糾紛等獨(dú)特優(yōu)勢(shì)，使其相比較訴訟而言，更為國(guó)際商事交易的主體所青睞。但隨著經(jīng)濟(jì)貿(mào)易的發(fā)展、電子通訊技術(shù)的普及，以及參與交易過程主體呈現(xiàn)出復(fù)雜和擴(kuò)大的趨勢(shì)，產(chǎn)生了合同權(quán)利義務(wù)主體的變更，導(dǎo)致了大量爭(zhēng)議糾紛的主體與合同當(dāng)事人并不總是相一致的情形。 而在傳統(tǒng)國(guó)際商事仲裁領(lǐng)域，書面仲裁協(xié)議是仲裁庭管轄權(quán)來源的基礎(chǔ)，即合同當(dāng)事人通過簽訂仲裁協(xié)議以示雙方具有仲裁的合意。在這樣傳統(tǒng)的仲裁理念下，只有簽訂仲裁協(xié)議的合同當(dāng)事人才可以參與仲裁，這就導(dǎo)致了在發(fā)生如下情況時(shí)，仲裁協(xié)議的非簽字方若不被準(zhǔn)許參與仲裁程序，將會(huì)損害合同當(dāng)事人的期待或?qū)е轮俨貌脹Q的不公：仲裁協(xié)議非簽字方實(shí)質(zhì)性地參與交易過程，或是由合同當(dāng)事人通過合同授予其利益，或是合同當(dāng)事人將合同項(xiàng)下的權(quán)利義務(wù)通過外在行為表示一并轉(zhuǎn)讓給該仲裁協(xié)議非簽字方等。在這些特殊的情況下，仲裁協(xié)議的非簽字方應(yīng)被賦予參與仲裁的權(quán)利。這種由仲裁實(shí)踐的客觀需要所引發(fā)的參與仲裁程序的第三人的討論及其制度構(gòu)建是仲裁發(fā)展過程中所必須面對(duì)和予以解決的問題。鑒于國(guó)際社會(huì)對(duì)于該問題也沒有達(dá)成一致的做法，而我國(guó)仲裁第三人制度仍未形成體系的背景下，，本文基于這樣一個(gè)比較前沿和具有實(shí)踐意義的問題，進(jìn)行了如下探討。 第一章在簡(jiǎn)要說明了國(guó)際商事仲裁協(xié)議效力的來源及認(rèn)定后，闡明了仲裁協(xié)議效力擴(kuò)張的障礙及已經(jīng)實(shí)現(xiàn)的理論上和實(shí)踐上的突破。第二章嘗試從法理上對(duì)仲裁協(xié)議效力擴(kuò)張的情形進(jìn)行解釋，充分說明了在一定情形下，適用這些支持仲裁協(xié)議效力擴(kuò)張的原則使得第三人得以參與仲裁程序是符合當(dāng)事人共同的期待、或是保障第三人的合法利益、或是為了維護(hù)社會(huì)公正和公平的價(jià)值，進(jìn)一步闡述了仲裁協(xié)議的效力不能在一切情形下僅僅局限于表面簽字人。 第三章在前兩章的基礎(chǔ)上，介紹了一些將仲裁協(xié)議擴(kuò)張適用的國(guó)際商事仲裁實(shí)踐，從中體現(xiàn)一些法院或仲裁機(jī)構(gòu)認(rèn)定仲裁協(xié)議效力擴(kuò)張的標(biāo)準(zhǔn)和適用的情形，并在判決中體現(xiàn)了仲裁協(xié)議效力擴(kuò)張與傳統(tǒng)仲裁理論并不是相互排斥的關(guān)系，而是相互協(xié)調(diào)，共同推進(jìn)仲裁制度的發(fā)展和完善。 第四章闡述了仲裁協(xié)議第三人與仲裁第三人之間的關(guān)系，通過正反兩方面觀點(diǎn)的對(duì)抗論證了設(shè)立仲裁第三人制度的必要性和可行性，并對(duì)有關(guān)仲裁第三人的各國(guó)立法和國(guó)際仲裁機(jī)構(gòu)仲裁規(guī)則進(jìn)行介紹、分析和比較，以此了解國(guó)際社會(huì)對(duì)仲裁第三人制度的立法模式及發(fā)展趨勢(shì)。 最后，第五章回歸到我國(guó)仲裁第三人制度的構(gòu)建上來，闡述了我國(guó)構(gòu)建仲裁第三人制度是仲裁實(shí)踐的需要和仲裁制度的完善所必須的，但是鑒于我國(guó)對(duì)仲裁特征和價(jià)值取向的選擇失衡，以及立法理念和技術(shù)的不完善等，給我國(guó)構(gòu)建第三人制度帶來一定的困難；另一方面，我國(guó)也存在一些對(duì)構(gòu)建仲裁第三人制度有利因素，因而我國(guó)應(yīng)該繼續(xù)發(fā)揚(yáng)這種優(yōu)勢(shì)，克服一些障礙，從而構(gòu)建適合我國(guó)的仲裁第三人制度。這對(duì)推動(dòng)和支持仲裁的發(fā)展是至關(guān)重要的。
[Abstract]:With the development of economic trade , the popularization of electronic communication technology , and the tendency of complicated and expanded participation in the main body of trade process , the main subject of contract rights and obligations is changed , which leads to the fact that the main body of the dispute is not always in agreement with the parties concerned .

In the field of traditional international commercial arbitration , the written arbitration agreement is the basis of the jurisdiction of the arbitration tribunal , that is , the parties of the contract can participate in the arbitration by signing the arbitration agreement . In such special cases , the non - signatory parties of the arbitration agreement can participate in the arbitration . In the special circumstances , the non - signatories of the arbitration agreement should be given the right to participate in the arbitration .

In the first chapter , the source and the conclusion of the validity of the arbitration agreement are briefly described , the obstacles to the validity of the arbitration agreement and the breakthrough of the theory and practice have been realized . The second chapter tries to explain the validity of the arbitration agreement from the legal theory . The second part tries to explain the validity of the arbitration agreement in a certain situation , and the third party ' s participation in the arbitration procedure is in accordance with the common expectation of the parties or the value of the social justice and fairness , and the validity of the arbitration agreement cannot be limited to the surface signatory in all circumstances .

The third chapter introduces some international commercial arbitration practice to expand the arbitration agreement in the first two chapters , which reflects the standard and the applicable situation of the validity of the arbitration agreement by some courts or arbitration institutions , and reflects the relationship between the validity of the arbitration agreement and the traditional arbitration theory not mutually exclusive , but rather the development and perfection of the arbitration system .

The fourth chapter expounds the relationship between the third party and the third party of the arbitration agreement , demonstrates the necessity and feasibility of establishing the third party system through the confrontation between the two sides of the arbitration agreement , and introduces , analyzes and compares the national legislation of the third party concerned and the arbitration rules of the international arbitration institution , so as to understand the legislative pattern and the developing trend of the international community to the third party arbitration system .

Finally , the fifth chapter returns to the construction of the third party system of arbitration in our country , expounds the necessity of constructing the third party system of arbitration in our country and the perfection of arbitration system , but in view of our country ' s choice imbalance of arbitration characteristic and value orientation , as well as the imperfection of legislative idea and technology , it brings some difficulties to the construction of the third party system in our country ;
On the other hand , there are some favorable factors for the establishment of the third party system of arbitration , so our country should continue to promote this advantage and overcome some obstacles , so as to construct the third party system that suits our country ' s arbitration . This is very important to promote and support the development of arbitration .
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D997.4

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