Bibliographie sélective OHADA

法庭之友源于英美法系的国内诉讼制度，其在国际投资仲裁中的诞生并非制度的精心设计，而是实践先行，是国际投资仲裁对于透明度和民主性批评的回应。因此，法庭之友制度被赋予了提高国际投资仲裁透明度和加强民主参与，甚至是全球治理的价值期待。通过分析不同仲裁庭的实践，法庭之友制度的真正价值，仍然在于辅助仲裁庭解决投资争端，相关规则构建也应围绕这一根本目的展开。国际投资仲裁也应回归其宗旨，通过解决投资争端，同时对舆论有所回应，从而获得公众对其合法性的认同。 Amicus curiae originated from the domestic litigation system of the common law system. The birth of amicus curiae in international investment arbitration was not an elaborate design of the system, but a practice first, a response to criticism of transparency and democracy in international investment arbitration. Thus, the amicus curiae system has been given the value ex-pectation of enhancing transparency and strengthening democratic participation in international investment arbitration, and even global governance. By analyzing the practices of different arbitral tribunals, the real value of the amicus curiae system still lies in assisting arbitral tribunals to re-solve investment disputes, and the relevant rules should be constructed around this fundamental purpose. International investment arbitration should also return to its purpose of gaining public recognition of its legitimacy by resolving investment disputes and responding to public opinion at the same time.

投资者滥诉是一种复杂的法律现象，国际投资仲裁实践中仲裁庭法律解释权规制的缺失，东道国救济地位的弱化，第三方资助的推波助澜等因素是滥诉风险的重要诱因。双边投资条约的概括性、不确定性导致争端双方仲裁合意的缺失，投资者可以随时主动提起仲裁，而东道国只能被动应诉，投资仲裁的主动权始终掌握在投资者的手里。滥诉风险的防范是一项系统工程。对仲裁庭的法律解释权进行必要的规制是完善ICSID仲裁机制的首要任务，建立对投资者的仲裁请求的先行审查制度有利于滤去明显缺乏法律依据的诉求，增强国际投资仲裁的透明度是督促投资者谨慎提起仲裁的重中之重，对规制滥诉具有重要的积极意义。 Investors abuse is a complex legal phenomenon. The lack of legal interpretation power of arbitration tribunals in the international investment arbitration practice, the weakening of the relief status of the host country, and the influencing factors of third-party funding are important incentives for the abuse of risk. The generality and uncertainty of the bilateral investment treaty lead to the lack of agreement between the parties to the dispute. The investor can initiate arbitration at any time. The host country can only respond passively. The initiative to invest in arbitration is always in the hands of investors. The prevention of abuse of risk is a systematic project. The necessary regulation of the arbitral tribunal’s legal interpretation pow-er is the primary task of perfecting the ICSID arbitration mechanism. Establishing a pre-examination system for investors’ arbitration requests is conducive to filtering out claims that are obviously lacking in legal basis, and enhancing the transparency of international investment arbitration is of great positive significance to the regulation of abuses.

本文以《纽约公约》第五条第二款(乙)项为起点，结合国际实践与理论中的发展趋势，分析公共政策在国际商事仲裁司法审查中的运用。其中在发展过程中呼声最高的两种观点，一是质疑“公共政策”在实践层面的现实意义；二是主张以“国际公共政策”替代“区域性公共政策”。在本文中，笔者将逐一驳斥这两种观点，并且主张地域性公共政策应当长期存续，并且其与国际公共政策的差异性具有正当性，不应当一味、盲目地主张两者趋同。 Starting with Article V(2)(b) of the New York Convention, this article analyzes the application of public policy in judicial review of international commercial arbitration in light of the developing trends in international practice and theory. The two most vocal views in the process of development are those that question the practical significance of “public policy” in practice and those that advocate replacing “regional public policy” with “international public policy”. The second is that “international public policy” should replace “regional public policy”. In this article, author will refute each of these two views and argue that regional public policy should survive in the long term and that its differences with international public policy are justified, and that there should not be a blind convergence between the two.

本文以国际商会(ICC)仲裁规则为例，结合某企业的国际仲裁实践，从仲裁的一般程序和仲裁费用两个角度，对申请人(Claimant)和被申请人(Respondent)在国际仲裁中的程序和费用进行了阐述，帮助读者对国际仲裁程序获得整体了解，为是否选择进入仲裁程序提供基本背景及考量基础。 Under taking the arbitration rules of the international chamber of commerce (ICC), combined with an international arbitration practice of a China enterprise as well as from the perspective of the general arbitration procedure and arbitration cost, to make a detailed summary from the point of claimant and respondent. It will help reader to have an overall understanding of the ICC arbitration procedure and cost and provide a basic background and consideration for whether to choose to enter the arbitration procedure.

异议权放弃规则既符合诚实信用原则，也尊重当事人的意思自治，契合国际商事仲裁对于效率价值的追求。正确运用异议权放弃规则，需要明确区分该规则的各种类型、细致分析其构成要件。我国现行仲裁法对于异议权放弃规则的规定范围较窄，虽然征求意见稿对此已有所突破，但仍可继续完善。 The waiver of objection right not only conforms to the principle of good faith, but also respects the autonomy of the parties’ will, which accords with the pursuit of efficiency value in international commercial arbitration. In order to use the rule correctly, it is necessary to clearly distinguish the types of the rule and carefully analyze its constituent elements. The current arbitration law of China has a narrow scope for the rule of giving up the right of objection. Although the draft for soliciting opinions has made a breakthrough, it can still be improved.

在国际仲裁中，临时措施和保全措施发挥着重要的作用。两者作为救济当事方的重要措施，其目的是保全证据、保护资产和维持待决裁决的现状。但在仲裁程序中以及执行仲裁裁决过程中，仲裁双方可能对指定仲裁员或者其他方面的事项存在大量分歧，争议不能快速解决，导致资产或证据很容易就会消失，如果获胜方没有在正确的时间获得必要的解决措施，他可能只会得到得不偿失的胜利。近年来，不同的仲裁机构旨在通过提供迅速和有效的准予紧急救济的机制，满足市场对商事仲裁的愿望，因此，国际上的主要仲裁机构适应时代发展创设了紧急仲裁员制度。然而，紧急仲裁员制度的有效性却成为一个争议话题。众多学者关注《纽约公约》下的紧急救济的可执行性以及紧急仲裁员和国内法院在授予临时措施的并行管辖权的风险。 Interim measures and preservation measures play an important role in international arbitration. Both serve as a measure of relief to the parties and are intended to preserve evidence, protect assets and maintain the status quo of pending awards. But in the arbitration procedure and execute in the process of the arbitration, the arbitration both parties may appoint arbitrators or other items; there are many differences in dispute cannot fast; result in assets or evidence is easy to disappear; if the winner didn’t at the right time to obtain the necessary measures, he may only get a pyrrhic victory. In recent years, different arbitration organizations aim to meet the market’s desire for commercial arbitration by providing a rapid and effective mechanism for granting emergency relief. Therefore, the main international arbitration organizations have established the emergency arbitrator system to adapt to the development of The Times. However, the effectiveness of the emergency arbitrator system has become a controversial topic. Many scholars have concerned themselves with the enforceability of emergency relief under the New York Convention and the risk of concurrent jurisdiction of emergency arbitrators and domestic courts in granting interim measures.

网络仲裁是运用科技手段将传统仲裁程序转移到网络进行的一种争端解决方式。不可否认网络仲裁凭借其无接触的特点解决了程序停滞和案件积压的问题，迎来了蓬勃的发展机遇，但网络仲裁庭审过程中也存在着程序不当风险、保密性问题和线上庭审秩序难以维护的法律挑战。然而，上述法律挑战并不能否认网络仲裁本身的合法性，也无法阻碍网络仲裁作为疫情时代争端解决的有效手段。为应对网络仲裁庭审过程中在理论和实践层面的法律挑战，应当从保障网络仲裁中当事人和律师的陈述权以维护程序正当、确立网络仲裁地、重视网络仲裁的保密性等方面稳步推进和完善网络仲裁制度。 Online arbitration is a kind of dispute settlement method, which uses technology to transfer the traditional arbitration procedure to the Internet. It is undeniable that online arbitration solves the problem of procedure stagnation and case backlog by virtue of its non-contact characteristic, ushered in the vigorous development opportunity. However, there are also some legal challenges in the process of online arbitration, such as risk of undue process, confidentiality, and difficulty in maintaining the order of online arbitration. But these legal challenges cannot deny the legitimacy of online arbitration itself, nor can they prevent it from being an effective means of dispute resolution in the era of COVID-19 pandemic. In order to cope with the legal challenges in the theoretical and practical aspects, the online arbitration system shall be steadily promoted and improved in terms of safeguarding the right for the parties and lawyers to fully present themselves in online arbitration so as to safeguard due process. Also, the rules of seat of online arbitration shall be determined and confidentiality of online arbitration should be paid attention to.

在国际商事仲裁制度的发展中，部分国际商事仲裁规则对指定仲裁员情形下的独任或首席仲裁员有中立 (第三)国籍要求。对于该问题在各个仲裁规则中的认识并不一致。从国家一侧出发分析国籍问题的法律 意义，则仲裁员国籍是其属人管辖的问题，我国适用于仲裁员的主管规则有修正的余地；从仲裁员一侧 看，认为其影响仲裁员的独立公正性理由不足，在很多场合，对其独立公正行使职权甚至是有益的；从 当事人和仲裁机构一侧出发，本国仲裁员有利于增加当事人信心，但仅应被视为仲裁员的一种中性条件。 仲裁机构试图利用中立国籍来保障仲裁裁决的顺利执行，其没有正当理由且效果存疑。正确处理该问题 的路径应当是认识到以实质国籍为代表的仲裁员属人联系，确保仲裁员的属人因素在选任过程中被当事 人考虑，摈弃中立国籍，并灵活利用属人因素在仲裁中的积极效用。 In the development of the international commercial arbitration, when appointing arbitrators, some of the arbitration rules have the requirement of neutral (third) nationality on the sole or presiding arbitrator’s nationality. The understanding of this issue is not consistent in various ar bitration rules. By analyzing the legal significance of the nationality from view of the nation, it is the matter of ratione personae of the arbitrator, the rules applicable to arbitrators in China can be further consistent with international standards. From the point of the arbitrator, there is not enough ground for the arbitrator’s nationality affecting his/her independency and impartiality; from the view of the parties and the arbitration institution, the domestic arbitrator is conducive to the increase of the confidence of the parties, but it should only be regarded as a condition of the arbitrator in a neutral way, and the arbitration institution tries to use neutral nationality to en sure the enforcement of the arbitral award being successfully, but there is no ground and its effect is doubtful. The correct way dealing with this issue is to recognize the personal connections of ar bitrators by symbol of substantive nationality, to ensure that the legal personal factors of arbitra tors are considered by the parties during the selection, renounce the rule of neutral nationality and to make flexible use of the positive effects of personal factors.

受新冠疫情的影响，远程开庭成为当下许多仲裁庭采取的庭审方式，多家仲裁机构也出台相关指引。尽管远程仲裁在一定程度上能提高案件的效率，缓解疫情带来的影响，但远程庭审也存在诸多争议，例如当事人意思自治与远程开庭之间的冲突、程序正当、保密性与安全性、仲裁地的确认等问题。通过梳理各仲裁机构的仲裁规则、相关指引、以及案例等材料，远程仲裁庭审的适用的确顺应时代需求，在未来具有可适用性，但仍需进一步完善其适用条件、优化远程庭审技术与设备。 By many arbitral tribunals, and several arbitration institutions have issued guidelines in this regard. Although remote hearing can, to a certain extent, improve the efficiency of cases and mitigate the impact of the epidemic, there are also many controversies surrounding remote hearings, such as the conflict between party autonomy and remote hearings, procedural due process, confidentiality, and security, and the confirmation of the place of arbitration. By reviewing the arbitration rules, guidelines, and cases of various arbitral institutions, it is clear that the application of remote hearings is in line with the needs of the times and maybe applicable in the future, but further improvement of the conditions for its application and optimization of remote hearing technology and equipment are still needed.

近年来，争端解决的数字化转型和人工智能的全面应用一直是国际仲裁界热烈讨论的话题。学者和仲裁 从业者普遍关注人工智能技术具体如何在仲裁程序中使用，以及从司法角度，人工智能技术的运用可能 对仲裁程序乃至法律制度产生什么潜在影响。作为一项新技术，人工智能对仲裁领域的总体影响是向好 发展的。首先，人工智能将提高立案、庭审、裁决和执行各个环节的效率，降低人力、时间和经济成本， 促进仲裁向新的市场领域扩展，并改善客户的满意度。当然，新技术的兴起与传播将不可避免地改变旧 有机制，出现一些意料之外的问题。探索人工智能技术对仲裁机构的影响，即是要从技术的“双面性” 出发，衡量人工智能在仲裁中的运用可能带来的增益和风险。 In recent years, the digital transformation of dispute resolution and the overall application of ar tificial intelligence have been the subject of lively discussion in the international arbitration com munity. Scholars and arbitration practitioners have generally focused on how AI technology spe cifically can be used in arbitration proceedings and what potential impact the use of AI technology may have on arbitration proceedings and even the legal system from a judicial perspective. As a new technology, the overall impact of AI on the field of arbitration is a positive development. First, AI will improve efficiency in all aspects of filing, hearing, adjudication and enforcement, reduce human, time and economic costs, facilitate the expansion of arbitration into new market segments, and improve customer satisfaction. Of course, the rise and spread of new technologies will inevit ably change old mechanisms and create some unanticipated problems. Exploring the impact of AI technology on arbitral institutions is a matter of weighing the potential gains and risks associated with the use of AI in arbitration in light of the “double-sided” nature of the technology.