本书作者长期从事国际商事仲裁的研究和双语教学，为适应法学教育国际化，满足各校法学专业开展双语教学之需要，在总结多年教学实践经验基础上潜心编撰了本教材。教材涵盖了国际商事仲裁各个阶段和各个方面的基本法律制度，内容详实。全书分绪论、仲裁协议、仲裁员和仲裁庭、仲裁程序、仲裁裁决、对仲裁裁决的异议、外国仲裁裁决的承认与执行七章，结构简明，逻辑清晰。行文结构均先归纳总结国际社会的一般做法与实践，再比较分析中国的相关立法及与国际立法通例之差异，寓繁于简，风格独特。
本书既可作为本科生和研究生学习国际商事仲裁课程的双语教材，亦可供研究人员作为国际商事仲裁相关领域的参考书籍。
石现明，先后获四川外国语大学英语语言文化专业学士学位、西南政法大学法理学专业硕士学位和国际法学专业博士学位，并曾在牛津大学法学院作访问学者(2010年5月~2011年5月)。现为云南财经大学法学院教授、教授委员会主任，主要从事法律方法论和国际法，特别是国际商事仲裁法的教学与研究，已出版国际商事仲裁学术专著2部，发表中英文国际商事仲裁学术论文近30篇。
吕涛，先后获吉林大学法律专业学士学位和云南大学民商法专业硕士学位。现为云南财经大学法学院副教授，主要从事商法、国际商法和国际商事仲裁法的教学与研究，已在多个领域出版专著多部，发表学术论文约20篇
Chapter ⅠAn Overview of International Commercial Arbitration
Section 1Arbitration in General
1.Definition and features of arbitration
2.Legal nature of arbitration
3.Types of arbitration
Section 2International Commercial Arbitration and the Merits
1.Definition of international commercial arbitration
2.Merits of international commercial arbitration
Section 3Sources of international Commercial Arbitration Law
1.National arbitration laws
2.International arbitration conventions
3.Arbitration rules
4.Sources of arbitration law in China
Section 4International Commercial Arbitration Institutions
1.Leading arbitration institutions in foreign jurisdictions
2.Foreignrelated arbitration institutions in China
Chapter ⅡArbitration Agreement in International Commercial Arbitration
Section 1Arbitration Agreement in General
1.The importance of arbitration agreement
2.Definition of arbitration agreement
3.Types of arbitration agreement
4.Subjects of arbitration agreement
5.Objects of arbitration agreement
Section 2Form and Contents of Arbitration Agreement
1.Form of arbitration agreement
2.Contents of arbitration agreement
3.Form and contents of arbitration agreement in China
Section 3Validity of International Arbitration Agreement and the Applicable Law
1.Validity of international arbitration agreement
2.Applicable law of international arbitration agreement
3.Defective arbitration agreement
Section 4Effects,Enforcement and Termination of Arbitration Agreement
1.Effects of arbitration agreement
2.Enforcement of arbitration agreement
3.Termination of arbitration agreement
Section 5Autonomy of Arbitration Agreement
1.The principle of autonomy of arbitration agreement
2.The principle of competencecompetence
Chapter ⅢArbitrator and Arbitral Tribunal in International Commercial Arbitration
Section 1Arbitrator in General
1.Status of arbitrator
2.Qualifications of arbitrator
3.Independence and impartiality of arbitrator
Section 2Appointment of Arbitrator and Constitution of Arbitral Tribunal
1.Number of arbitrators
2.Selection and appointment of arbitrator
Section 3Challenging and Replacing Arbitrator
1.Challenging arbitrator
2.Replacing arbitrator
Section 4Powers,Rights,Duties and Liabilities of Arbitrator
1.Powers of arbitrator
2.Rights of arbitrator
3.Duties of arbitrator
4.Liabilities of arbitrator
Chapter ⅣProcedures of International Commercial Arbitration
Section 1Procedural Rules of International Commercial Arbitration
1.Diminishing roles of the law of the arbitral seat
2.Determination of procedural rules in international commercial arbitration
3.Determination of procedural rules in China
Section 2Procedural Steps of International Commercial Arbitration
1.Commencement of the arbitral proceedings
2.Constitution of the arbitral tribunal
3.Written submissions
4.Hearing
5.Deliberation of the arbitral tribunal
6.Closing and termination of the arbitral proceedings
7.Making and publication of award
8.Procedural steps of arbitration in China
Section 3Evidence in International Commercial Arbitration
1. The parties’ autonomy and the arbitral tribunal’s discretion to determine rules of evidence
2.Categories of evidence
3.Sources of evidence
4.Discovery of evidence
5.Admission of evidence
6.Evidentiary rules in arbitration in China
Section 4Provisional Measure in International Commercial Arbitration
1.Definition and objectives of provisional measure
2.Types of provisional measure
3.Prerequisites for ordering provisional measure
4.Authorities to order provisional measure
5.Enforcement of provisional measure ordered by the arbitral tribunal
6.Provisional measure in arbitration in China
Section 5Other Procedural Issues in International Commercial Arbitration
1.Seat of arbitration
2.Consolidation and Joinder
3.Defaulting proceedings
4.Language of arbitration
5.Presentation in arbitration
Chapter ⅤArbitral Award of International Commercial Arbitration
Section 1Arbitral Award in General
1.Definition of arbitral award
2.Types of arbitral award
3.Form and Contents of arbitral award
Section 2The Law Applicable to the Substance of the Dispute
1.Sources of substantive law
2.Determination of substantive law
Section 3Rules of Making International Commercial Arbitral Award
1.Time limit for making arbitral award
2.Mechanism of making arbitral award
3.Notification and deposit of arbitral award
Section 4Effects of International Commercial Arbitral Award
1.Termination of the arbitrators’ jurisdiction
2.Res Judicata of the award
3.Enforceability of the award
Chapter ⅥChallenge to Award in International Commercial Arbitration
Section 1General Introduction
1.Meaning and purpose of challenge
2.Conditions of challenge
3.Place of challenge
4.Time limit of challenge
5.Exclusion and waiver of the right to challenge
Section 2Grounds for Challenging International Arbitral Award
1.Grounds under the Model Law
2.Grounds wider than those under the Model Law
3.Grounds narrower than those under the Model Law
Section 3Means,Remedies and Consequences of Challenging Arbitral Award
1.Means of challenge
2.Remedies and legal consequences
Section 4Challenging ForeignRelated Arbitral Award in China
1.The statutory provisions on challenge of foreignrelated arbitral award
2.The problems of the regimes of challenging foreignrelated arbitral award
Chapter ⅦRecognition and Enforcement of Foreign Arbitral Award
Section 1General Introduction
1.Meaning of foreign award
2.Deference between recognition and enforcement
3.Prerequisites for recognition and enforcement
4.Procedures and methods of recognition and enforcement
Section 2Conventions on Recognition and Enforcement of Foreign Award
1.The New York Convention
2.Other conventions
Section 3Refusing Recognition and Enforcement of Foreign Award
1.Grounds to refuse recognition and enforcement
2.Waiver and preclusion of the defenses to recognition and enforcement
3.Consequence of refusal of recognition and enforcement
Section 4Recognition and Enforcement of Foreign Award in China
1.The legal framework for enforcement of foreign award
2.The legal rules on enforcement of foreign award
3.Recognition and enforcement in the Mainland of award made in Hong Kong,Macao and Taiwan
With the development of economic globalization and the enhancement of comprehensive strength,the economic connection of China with other countries and areas is getting closer and closer.In 2014,the total value of import and export of China reached 26.43 trillion RMB,direct investment actually made in China by foreign investors reached 119.6 billion USD,and direct investment made in foreign countries and areas by Chinese investors reached 102.9 billion USD.All these have made China the most active and important participant in world economy.With such a circumstance,it is beyond doubt that the demand for foreignrelated legal talents will increase considerably.
To foster qualified foreignrelated legal talents,it is essential that foreignrelated legal courses be taught in foreign languages.As early as in 2001,the Ministry of Education required that 5-10 percent of courses in major of finance,law and the like,should be taught in English or other foreign languages.Since then,many law schools in China offered some bilingual or English legal courses.In our teaching practice,we have perceived the unsuitability of using original English textbooks in Chinese classes.So we have long been planning to edit and publish our own English textbooks on international or foreignrelated legal subjects,and this textbook is the first one.
Arbitration is the best and most frequently used method to resolve international commercial disputes,and international commercial arbitration is one of the most internationalized legal branches.In the past two decades,many jurisdictions reformed their arbitration legislation based upon the Model Law,which reflects the modern trend of the practice of international commercial arbitration,and in accordance with the requirements of the New York Convention.This textbook generalizes the common practices of modern international commercial arbitration,with references to the New York Convention,the Model Law,the newest arbitration legislation of major jurisdictions,the newest arbitration rules of leading international arbitration institutions and many updated academic literatures,and especially with Chinese laws and practice on foreignrelated arbitration being compared.
To cater for various demands of different schools and students at different levels,this textbook focuses on introducing the fundamental legal rules and general practice of international commercial arbitration,instead of discussing pure theoretical issues.The structure of this textbook is simplified and thus very concise,but is logically complete,covering every aspect of international commercial arbitration,including arbitration agreements,arbitrators and arbitral tribunals,arbitral proceedings,arbitral awards,challenge to arbitral awards,and recognition and enforcement of foreign arbitral awards.This textbook can,therefore,be used either in law schools which are the training bases of outstanding foreignrelated legal talents approved by the Ministry of Education or in other law schools,either for undergraduate students or for postgraduate students.
Because of limitation of the ability and proficiency of the authors,there must be some mistakes and errors in this textbook.We sincerely hope that the users and readers would be generous enough to feedback us with any comments,suggestions and corrections,which will be highly appreciated.
Professor Shi Xianming
December,2015
