国际商事仲裁的社会基础
摘要
作为一个古老的制度，仲裁早在古罗马时代就已经崭露头角。至18世纪末、19世纪初，仲裁方式开始在国际上广泛采用。20世纪以为来，随着国际商事交往日益频繁以及国际商事活动向深度和广度发展，国际商事仲裁在可提交解决的争议事项范围、仲裁机构、对仲裁的司法支持与监督、仲裁国际立法与合作等方面都得到了长足发展。仲裁正日渐成为国际商事领域最为常用的纠纷解决机制，展示出蓬勃的生命力。本文试图从国际商事仲裁赖以立锥的社会因素入手，以其社会基础的经济、政治、文化几大侧面为视角，来追溯、探析国际商事仲裁的发端、延展的必然，确认其地位和价值，展望其相伴于国际经济的末来走向，期望能对我国更好回应国际商事仲裁发展趋势以及在国际舞台上有更优表现有所助益。
本文共四万余字，由四个方面分别探讨了国际商事仲裁的一般界定，构成国际商事仲裁社会基础中的经济、政治、文化的基本内容，以及这些基本层面如何驱动国际商事仲裁的存在、发展、未来趋向。
无论是国际商事仲裁或是社会基础，学界都尚无权槭明确的认定甚或是鲜有论及。笔者在第一部分意图从现有的理论成果和概念的本初语义进行尝试，从而在一个初步搭建的基本面上进行讨论。如此，难度显而易见，纰漏难以避免，甚至可能是一种失败的尝试，但以这种研究方法和研究视角做如上主题的探讨，自有其意义所在。
商品经济及其形态发展是国际商事仲裁的源生之本。从古代商品经济形态到现代市场经济体制，再到当今无可抗拒的经济全球化大潮，经济形态的发展变化一直是国际商事仲裁深深根植的社会生活的土壤，并从最本质的层面牵引着国际商事仲裁制度的壮大、推广与完善。第二部分以经济基础为主旨，从商品(市场)经济的必然需求、价值取向等等层面，剖析了经济发展历程与国际商事仲裁制度成长的内在联系，并着力从当今经济全球化趋势对国际商事仲裁的支持与依赖，分析现代国际商事仲裁迅猛发展、倍受青睐的必然。
国家主权及其演化为国际商事仲裁提供有保障的施展空间。本文以此作为第三部分，探讨国际商事仲裁的政治基础，试图从两方面论述国家主权理论及实践的发展对国际商事仲裁的辩证影响。一方面，经济全球化趋
势的冲击正在日益虚拟和模糊着传统意义上的国家边界，它使得一国主权
管辖的领域正面临挑战，也使得世界各国的相互依存日益加深，主权国家
不得不相应调整职能以实现斯良本坏口益或长远利益。作为这种调整的重要
手段之一，国际商事仲裁被赋予较从前更为宽松的法律环境与施展空间。
另一方面，无论国家主权受到如何冲击，就目前阶段而言，国家主权原则
仍是不可声乙越，也正是这种地位如初的国家主权原则成为国际商事仲裁的
最后保障，使仲裁当事人在享有极大的自由度的同时也拥有司法底线的安
全。
第四部分就法文化的衍生对国际商事仲裁的文化基础作初步的探讨。
社会文化，尤其是法律文化的发展演变是使国际商事仲裁地位独具的内部
驱动。文章试图寻找国际商事仲裁的法律文化传统，并以现代法律文化的
几个新思路如绷弋法治思潮、契约理论新发展、共同体主义等为切入点，
.念龙法律文化的流变带给国际商事仲裁制度理论及实践走向的影响。在这
一部分中，也纳入法律全球化的相关思考，以期从多一个视角描绘国际商
事仲裁的法律文耳搜劫出的轮廓。
As an age-old system, arbitration had appeared in ancient Rome. By the end of 18th century or the beginning of 19th century, arbitration had been adopted widely in many countries. With higher frequent intercommunion of international commercial bodies and more comprehensive and profound international commercial activities, international commercial arbitration has made quite great progress in several aspects since 20th century, such as the range of the acceptable issues, arbitration institutions, the judicial support and supervision, the international legislation and cooperation. The author take a visual angel of social foundation on which the international commercial arbitration bases, such as economy, politic, culture, trying to get at the root of the matter, explore the inevitability of its blossom, demonstrate its status and values, look forward to its optimistic future, so as to lend itself to China domestic legislation on international commercial arbitration.
The dissertation consist of four sections adding up to more than 40,000 words, which respectively discuss the economy, politic, and culture elements that constitute social foundation of international commercial arbitration, and how all of these drive its development and influence its future trend.
Neither the concept of international commercial arbitration nor that of social foundation can be clarified, illustrated or interpreted realizingly yet. In the first section, the author intent to get a preparatory basis from the existing theoretic fruit and the original meaning of the tow concept above, on which the argument carries on. It is a rough even probably unsuccessful attempt to choose such a thesis. However, there is significant value from such study angle by such research method on such subject.
It's the commodity economy in which international commercial arbitration elementary root. From the ancient stage of commodity economy, the modem stage of market economy, till the economy globalization these days, the evolution of the economy modality always sets the groundwork for international commercial arbitration, leading along the pullulating, popularizing, and improving of the system essential impetus. The second section focuses on the economic basis,
elaborating the requirement and value pursuit of commodity economy, construing the inner relation of the economy growth and international commercial arbitration stepping course, and analyzing why the prompt developing and pleasing popularity of the system is inevitable.
It's the sovereignty and its evolvement offers practicing roomage for international commercial arbitration with judicial guarantee. The dissertation takes the politic basis of international commercial arbitration as the third section. The theoretic and practical evolving works on international arbitration system in two aspects. On one hand, the trend of economy globalization has stroke the nation sovereignty, blurred the traditional national boundaries. Such situation not only challenges the administrative domain, but also leads countries in the world relying on each other deeper. The nations are compelled to adjust their basic functions so as to ensure its elementary or long-term interest. As one of the important regulating measures, international commercial arbitration is lended more freedom upon legal environment and practicing roomage. On the other hand, no matter how the sovereignty is the stroke, as far as it goes, the principle of sovereignty can not be overtopped as before. It's the nation sovereignt
y backs international commercial arbitration as the bottom line, which guarantees the arbitral parties with great far-ranging freedom as well as judicial safety.
The forth section probes into the culture basis of international commercial arbitration. The developing of social culture, especially that of legal culture, is the inner energy which figures the distinct status of international commercial arbitration. The author attempts to ascertain the legal culture tradition, and take several advanced thoughts of the modern legal culture a
本文共四万余字，由四个方面分别探讨了国际商事仲裁的一般界定，构成国际商事仲裁社会基础中的经济、政治、文化的基本内容，以及这些基本层面如何驱动国际商事仲裁的存在、发展、未来趋向。
无论是国际商事仲裁或是社会基础，学界都尚无权槭明确的认定甚或是鲜有论及。笔者在第一部分意图从现有的理论成果和概念的本初语义进行尝试，从而在一个初步搭建的基本面上进行讨论。如此，难度显而易见，纰漏难以避免，甚至可能是一种失败的尝试，但以这种研究方法和研究视角做如上主题的探讨，自有其意义所在。
商品经济及其形态发展是国际商事仲裁的源生之本。从古代商品经济形态到现代市场经济体制，再到当今无可抗拒的经济全球化大潮，经济形态的发展变化一直是国际商事仲裁深深根植的社会生活的土壤，并从最本质的层面牵引着国际商事仲裁制度的壮大、推广与完善。第二部分以经济基础为主旨，从商品(市场)经济的必然需求、价值取向等等层面，剖析了经济发展历程与国际商事仲裁制度成长的内在联系，并着力从当今经济全球化趋势对国际商事仲裁的支持与依赖，分析现代国际商事仲裁迅猛发展、倍受青睐的必然。
国家主权及其演化为国际商事仲裁提供有保障的施展空间。本文以此作为第三部分，探讨国际商事仲裁的政治基础，试图从两方面论述国家主权理论及实践的发展对国际商事仲裁的辩证影响。一方面，经济全球化趋
势的冲击正在日益虚拟和模糊着传统意义上的国家边界，它使得一国主权
管辖的领域正面临挑战，也使得世界各国的相互依存日益加深，主权国家
不得不相应调整职能以实现斯良本坏口益或长远利益。作为这种调整的重要
手段之一，国际商事仲裁被赋予较从前更为宽松的法律环境与施展空间。
另一方面，无论国家主权受到如何冲击，就目前阶段而言，国家主权原则
仍是不可声乙越，也正是这种地位如初的国家主权原则成为国际商事仲裁的
最后保障，使仲裁当事人在享有极大的自由度的同时也拥有司法底线的安
全。
第四部分就法文化的衍生对国际商事仲裁的文化基础作初步的探讨。
社会文化，尤其是法律文化的发展演变是使国际商事仲裁地位独具的内部
驱动。文章试图寻找国际商事仲裁的法律文化传统，并以现代法律文化的
几个新思路如绷弋法治思潮、契约理论新发展、共同体主义等为切入点，
.念龙法律文化的流变带给国际商事仲裁制度理论及实践走向的影响。在这
一部分中，也纳入法律全球化的相关思考，以期从多一个视角描绘国际商
事仲裁的法律文耳搜劫出的轮廓。
As an age-old system, arbitration had appeared in ancient Rome. By the end of 18th century or the beginning of 19th century, arbitration had been adopted widely in many countries. With higher frequent intercommunion of international commercial bodies and more comprehensive and profound international commercial activities, international commercial arbitration has made quite great progress in several aspects since 20th century, such as the range of the acceptable issues, arbitration institutions, the judicial support and supervision, the international legislation and cooperation. The author take a visual angel of social foundation on which the international commercial arbitration bases, such as economy, politic, culture, trying to get at the root of the matter, explore the inevitability of its blossom, demonstrate its status and values, look forward to its optimistic future, so as to lend itself to China domestic legislation on international commercial arbitration.
The dissertation consist of four sections adding up to more than 40,000 words, which respectively discuss the economy, politic, and culture elements that constitute social foundation of international commercial arbitration, and how all of these drive its development and influence its future trend.
Neither the concept of international commercial arbitration nor that of social foundation can be clarified, illustrated or interpreted realizingly yet. In the first section, the author intent to get a preparatory basis from the existing theoretic fruit and the original meaning of the tow concept above, on which the argument carries on. It is a rough even probably unsuccessful attempt to choose such a thesis. However, there is significant value from such study angle by such research method on such subject.
It's the commodity economy in which international commercial arbitration elementary root. From the ancient stage of commodity economy, the modem stage of market economy, till the economy globalization these days, the evolution of the economy modality always sets the groundwork for international commercial arbitration, leading along the pullulating, popularizing, and improving of the system essential impetus. The second section focuses on the economic basis,
elaborating the requirement and value pursuit of commodity economy, construing the inner relation of the economy growth and international commercial arbitration stepping course, and analyzing why the prompt developing and pleasing popularity of the system is inevitable.
It's the sovereignty and its evolvement offers practicing roomage for international commercial arbitration with judicial guarantee. The dissertation takes the politic basis of international commercial arbitration as the third section. The theoretic and practical evolving works on international arbitration system in two aspects. On one hand, the trend of economy globalization has stroke the nation sovereignty, blurred the traditional national boundaries. Such situation not only challenges the administrative domain, but also leads countries in the world relying on each other deeper. The nations are compelled to adjust their basic functions so as to ensure its elementary or long-term interest. As one of the important regulating measures, international commercial arbitration is lended more freedom upon legal environment and practicing roomage. On the other hand, no matter how the sovereignty is the stroke, as far as it goes, the principle of sovereignty can not be overtopped as before. It's the nation sovereignt
y backs international commercial arbitration as the bottom line, which guarantees the arbitral parties with great far-ranging freedom as well as judicial safety.
The forth section probes into the culture basis of international commercial arbitration. The developing of social culture, especially that of legal culture, is the inner energy which figures the distinct status of international commercial arbitration. The author attempts to ascertain the legal culture tradition, and take several advanced thoughts of the modern legal culture a
引文
1．刘力 章彰著：《经济全球化：福兮?祸兮?》，北京：中国社会出版社1999年版
2．杨心宇主编：《法理学研究：基础与前沿》，上海：复旦大学出版社2002年版
3．范愉主编：《ADR原理与实务》，厦门：厦门大学出版社2002年版．
4．高德步著：《世界经济史》，北京：人民出版社1994年版
5．肖永平著：《冲突法专论》，武汉：武汉大学出版社1999年版
6．张斌生主编：《仲裁法新论》，厦门：厦门大学出版社2002年版
7．周八骏著：《迈向新世纪的国际经济一体化 理论·实践·前景》，上海：上海人民出版社1999年版
8．[美]哈罗德·J．伯尔曼著：《法律与革命——西方法律传统的形成》，贺卫方等译，北京：中国大百科全书出版社1996年版
9．朱克鹏蓍：《国际商事仲裁的法律适用》，北京：法律出版社1999年版
10．李虎著：《国际商事仲裁裁决的强制执行：特别述及仲裁裁决在中国的强制执行》，北京：法律出版社2000年版
11．刘想树著：《中国涉外仲裁裁决制度与学理研究》，北京：法律出版社2001年版
12．刘杰著：《经济全球化时代的国家主权》，北京：长征出版社2000年版
13．乌杰主编：《经济全球化与国家整体发展：系统范式下的思考》，北京：华文出版社1999年版
14．张碧琼著：《经济全球化：风险与控制》，北京：中国社会出版社1999年版
15．徐元旦著：《全球化热点问题聚集》，上海：学林出版社2001年版
16．杨泽伟著：《宏观国际法史》，武汉：武汉大学出版社2001年版
17．陈信勇著：《法律社会学教程》，杭州：浙江大学出版社2000年版
18．田成有著：《法律社会学的学理与运用》，北京：中国检察出版社2002年版
19．九班杜拉著：《思想和行动的社会基础》，林颖等译，上海：华东师范大学出版社2001版
20．武经伟方盛举著：《经济人·道德人·全面发展的社会人——市场经济的体制创新与伦理困惑》，北京：人民出版社2001年版
21．崔永东著：《道德与中西法治》，北京：人民出版社2002年版
22．王玉棵主编：《理想、信念、信仰与价值观》，西安：陕西人民出版社2001年版
23．[美]埃尔曼著：《比较法律文化》，贺卫方，高鸿钧译，北京：清华大学出版社2002年版
24．宋航著：《国际商事仲裁裁决的承认与执行》，北京：法律出版社2000年版
25．赵健著：《国际商事仲裁的司法监督》，北京：法律出版社2000年版
26．赵秀文著：《国际商事仲裁及其适用法律研究》，北京：北京大学出版社2002年版
1. Gray B. Born, International Commercial Arbitration in the United States: Commentary & Materials, Kluwer, 1994
2. Alan Redfren and Martin Hunter, Law and Practice of International Commercial Arbitration, 2nd edition, Sweet & Maxwell, 1986
3.Stefan N. Frommel, Barry A.K. Rider, Conflicting Legal Cultures in Commercial Arbitration:Old-issues and New trends, LondonKluwer international lawc 1999
4. Edited by Emmanuel Gaillard, John Savage, Fouchard, Guillard, Goldman on International Commercial Arbitration, LondonKluwer international Lawc1999
5.Mohie Eldin I. Alam Eldin, Aritrial Awards of The Cairo Regional Centre For International Commercial Arbitration, The Hagueklrwer Law Internationalc2000
2．杨心宇主编：《法理学研究：基础与前沿》，上海：复旦大学出版社2002年版
3．范愉主编：《ADR原理与实务》，厦门：厦门大学出版社2002年版．
4．高德步著：《世界经济史》，北京：人民出版社1994年版
5．肖永平著：《冲突法专论》，武汉：武汉大学出版社1999年版
6．张斌生主编：《仲裁法新论》，厦门：厦门大学出版社2002年版
7．周八骏著：《迈向新世纪的国际经济一体化 理论·实践·前景》，上海：上海人民出版社1999年版
8．[美]哈罗德·J．伯尔曼著：《法律与革命——西方法律传统的形成》，贺卫方等译，北京：中国大百科全书出版社1996年版
9．朱克鹏蓍：《国际商事仲裁的法律适用》，北京：法律出版社1999年版
10．李虎著：《国际商事仲裁裁决的强制执行：特别述及仲裁裁决在中国的强制执行》，北京：法律出版社2000年版
11．刘想树著：《中国涉外仲裁裁决制度与学理研究》，北京：法律出版社2001年版
12．刘杰著：《经济全球化时代的国家主权》，北京：长征出版社2000年版
13．乌杰主编：《经济全球化与国家整体发展：系统范式下的思考》，北京：华文出版社1999年版
14．张碧琼著：《经济全球化：风险与控制》，北京：中国社会出版社1999年版
15．徐元旦著：《全球化热点问题聚集》，上海：学林出版社2001年版
16．杨泽伟著：《宏观国际法史》，武汉：武汉大学出版社2001年版
17．陈信勇著：《法律社会学教程》，杭州：浙江大学出版社2000年版
18．田成有著：《法律社会学的学理与运用》，北京：中国检察出版社2002年版
19．九班杜拉著：《思想和行动的社会基础》，林颖等译，上海：华东师范大学出版社2001版
20．武经伟方盛举著：《经济人·道德人·全面发展的社会人——市场经济的体制创新与伦理困惑》，北京：人民出版社2001年版
21．崔永东著：《道德与中西法治》，北京：人民出版社2002年版
22．王玉棵主编：《理想、信念、信仰与价值观》，西安：陕西人民出版社2001年版
23．[美]埃尔曼著：《比较法律文化》，贺卫方，高鸿钧译，北京：清华大学出版社2002年版
24．宋航著：《国际商事仲裁裁决的承认与执行》，北京：法律出版社2000年版
25．赵健著：《国际商事仲裁的司法监督》，北京：法律出版社2000年版
26．赵秀文著：《国际商事仲裁及其适用法律研究》，北京：北京大学出版社2002年版
1. Gray B. Born, International Commercial Arbitration in the United States: Commentary & Materials, Kluwer, 1994
2. Alan Redfren and Martin Hunter, Law and Practice of International Commercial Arbitration, 2nd edition, Sweet & Maxwell, 1986
3.Stefan N. Frommel, Barry A.K. Rider, Conflicting Legal Cultures in Commercial Arbitration:Old-issues and New trends, LondonKluwer international lawc 1999
4. Edited by Emmanuel Gaillard, John Savage, Fouchard, Guillard, Goldman on International Commercial Arbitration, LondonKluwer international Lawc1999
5.Mohie Eldin I. Alam Eldin, Aritrial Awards of The Cairo Regional Centre For International Commercial Arbitration, The Hagueklrwer Law Internationalc2000