论文题目：电子商务的国际私法问题
作者简介:何其生，男，1974年04月出生，1999年09月师从武汉大学黄进教授，于2002年06月获博士学位。
摘
要
电子商务近年宋的迅速发展，受到了国际社会的普遍关注。但由于电子商务与既存的其他商务相比具有许多不同特点，因此，如何规制电子商务就成为人们所共同关心的问题。本文主要从冲突法的角度，对电子商务案件的管辖权、法律适用、以及外国法院判决与仲裁裁决的承认和执行三个方面进行了讨论，并对其中所涉及的许多问题提出了一些解决的思路和方案。
全文共分三个部分、七章，约240，000字。
文章的绪论主要对本文所称的“电子商务”出于行文的需要进行了界定，。并概括了电子商务与其他商务相比所具有的不同特点，
以及电子商务的运行平台——互联网对现行法律制度所带来的冲击。
文章第一部分即第一章至第三章讨论的是电子商务与管辖权问题。
第一章主要分析了互联网对现行管辖权体制的挑战。互联网不仅动摇了现行的管辖权标准，而且针对互联网的特点，目前许多学者提出了一些独立管辖体制理论。文章通过对这些理论的分析，论述了国家对网络案件管辖的合理性和必要性。
第二章通过对大量电子商务案件和相关立法的讨论，揭示了目前各国有关电厂商务案件管辖权实践的困境。作为电子商务最为发达的国家，美国法院的众多案例成为笔者考察的重点。之后，文章又就欧盟及其一些成员国、加拿大、澳大利亚和中国等司法实践中所面临的困惑进行了初步的探讨。并通过比较认为，美国法院的弹性管辖权标准更有利于电子商务案件管辖权的解决。
第三章针对电子商务管辖权所面临的挑战，就适合于电子商务的管辖权模式进行了探析，文章首先对一些新的管辖权根据如“网络服务器所在地”、“网址”等进行了博弈，并认为这些管辖权根据可以作为行使管辖权权衡因素之一，但不能单独构成一个立法管辖权的根据。鉴于海牙国际私法会议目前就电子商务管辖权方面达成国际条约的努力，文章对其在1999年的日内瓦会议和2000年加拿大渥太华会议上的讨论进行了详细地介绍。在此基础上，文章对管辖权基础从历史发展的角度全面反思，并通过对美国管辖权模式和欧洲管辖权模式的比较，认为管辖权基础从传统的领域体制向“联系说”的发展，是管辖权规
则为适应社会发展的不断扬弃，也是解决电子商务案件管辖权问题的出路所在。
在“联系说”的标准下，笔者认为确立电子商务管辖权所要权衡的因素有：物
理位置的关联性、目的性、损害相关性、权利衡平、契约选择、管辖权与中间人实体责任的交合、以及其他一些因素。当然，在确立电子商务案件管辖权标准时，还要注重整体上的国际协调。通过整合，文章认为电子商务管辖权将呈现如下趋势：(1)协议管辖将得到国际社会的一致认可；(2)消费者住所地这—管辖标准将会得到许多国家的首肯；(3)弹性管辖权标准将会得到更多国家认可：(4)传统属地性管辖权标准含义将多样化，许多新的管辖权标准将得以确立。
文章第二部分即第四章和第五章讨论的是电子商务的法律适用问题。
第四章主要讨论的是电子商务对冲突法的挑战。这种挑战主要表现为：电子商务对现行连结点的挑战、电子商务下准据法的落空和公法冲突的普遍性。在理论上，针对网络空间的特点，一些学者提出了网络空间自治的理论，但文
章认为这种理论存在着明显的误区。
第五章则就电子商务的法律适用以及冲突法即将发生的变化作以讨论。在电子合同的法律适用方面，文章分别从当事人的缔约能力、形式要件和实质要件进行了讨论。在电子合同实质要件的法律适用方面，文章认为：(1)意思自治原则仍将是调整电子合同法律适用的首要原则，对其的限制逐渐减少；(2)在当事人没有进行法律选择时，最密切联系原则将是支配电子合同法律适用的主要原则：(3)在具体的连结点的确定上，对电子合同的不同方面进行分割将进—步细化，对电子合同的不同部分或不同环节将会规定不同的连结点；(4)以消费者保护法律为代表的各国强行性法律，将在电子合同的法律选择上得以直接适用；(5)公共秩序保留依旧是各国在电子合同法律适用中的安全阀。
对于电：厂商务中侵权行为的法律适用，文章分别对侵权行为地法、法院地法、原始国规则、当事人意思自治原则和最密切联系原则进行逐个分析，并认为，考虑到侵权行为适用侵权行为地法得到了世界上大多数国家的认可，不排除许多国家通过扩大对侵权行为地的解释，来适用侵权行为地法。而作为当事人意思自治原则和最密切联系原则，将会在电子商务案件中得到越来越多地体现和适用。
鉴于有学者提出的准据沾“落空”问题，文章进行了反驳，并认为在准据法的发展趋势上，趋同化和统一化的趋势更加明显，电子商务的自治规则将在电子商务活动方面发挥重要作用。另外，在准据法的选择中，公法适用的可能性增加。
至于冲突法对电子商务的回应与变革，文章认为，电子商务冲突法立法基础在从国家本位向国际社会本位的转换过程中，国际社会本位的观念将得到大大提升；在其价值取向方面，实质正义将备受关注；在冲突规则的发展趋向上，将会出现在现代灵活的法律选择方法内发展定型化的电子商务冲突规则；而且由于国际合作的加强，电子商务冲突规则的统一将会加强。考虑到因特网上查询资料的方便与快捷，外国法查明上将更加容易，“结果选择”的可能性增加。
文章第三部分即第六章和第七章主要讨论的是电子商务与外国法院判决和仲裁裁决承认与执行。
第六章论述的是电子商务对外国法院判决的承认与执行所带来的一些问题。这些问题有：如何界定“外国法院判决”，Internet技术、消费者保护以及公法冲突法所带来的判决承认与执行问题。在外国法院判决承认与执行的条件上，最主要的考验来自于执行管辖权和诉讼程序公正的要求。对于前者，文章认为最好通过制订有关国际条约，达成统一的标准。在具体的判断上，被请求国法院应对原审法院的管辖权进行核实，但应受原审法院所依据事实的约束，除非是缺席判决。对于后者，文章主要讨论的是对当事人的电子送达问题，并认为，对于电子送达合法有效性，原则上应以原判决国法律进行判断。被告未被及时有效地通知参加诉讼，各国可以拒绝承认与执行该判决。但如原审国法律允许被告就未被及时通知提出异议，而被告并未表示反对意见且出庭答辩的除外。另外，即使被告及时得到参加诉讼的通知，但通知方式与通知地法律或相关的国际条约的规定相违背的，被请求国也可拒绝承认与执行。
在外国电子商务判决承认与执行的程序上，文章主要就请求书的数据电文形式及请求书的电子送达进行了讨论，并认为通过一定的国际安排，这些并非构成承认与执行外国判决的障碍，相反还能够提高国际合作的效率。
第七章主要讨论的是电子商务与仲裁裁决的承认与执行。文章首先就在线仲裁的含义、技术支持和现状等进行了介绍，在仲裁裁决的承认与执行问题上，文章主要讨论的是电子仲裁协议的形式要件和实质要件问题、在线裁决的形式和国籍问题。文章的结论在总结全文的基础上就电子商务立法(实体法和冲突法)进行了讨论，认为电子商务立法应注意发现与创制、国际化和本土化、法律与其他社会规范及技术规范的互动关系。就现行中国电子商务的发展现状，文章认为不要盲目“追赶”立法潮流，仅在必要的范围内方才进行修订或新增法律。
关键词：电子商务
管辖权
法律适用
冲突法
Abstract
The
rapid development of the electronic commerce is paid universally attention by
international society in recent years. But because of its different
characteristics from other forms of commerce, how to regulate electronic
commerce has become the subject of people's common concern. Centering on the
conflict of laws, this dissertation discusses jurisdiction, application of law,
the recognition and enforcement of foreign court's judgments and arbitral awards
about the dispute of electronic commerce, and puts forward some thoughts and
proposals to resolve relative questions.
The
dissertation consists of three parts, 7 chapters, about 240,000 Chinese
characters.
The
introduction of the dissertation defines the term“electronic
commerce”,summarizes
distinguishing features of electronic commerce compared with other forms of
commerce and the challenges to current legal system in force posed by Internet——the
operation platform of electronic commerce.
The
first part of the dissertation, from chapter 1 to chapter 3, expounds electronic
commerce and jurisdiction.
Chapter
1 analyses the challenges posed by Internet to jurisdiction system in effect.
Internet has shaken the current jurisdiction standards. Besides, due to its
distinguishing features, many scholars have raised various theories of
independent jurisdiction system. The dissertation proves the reasonableness and
necessity that the nations have jurisdiction over Internet case through the
analysis of these theories.
Chapter
2 makes a study on a lot of electronic commerce's cases and relative
legislations, and reveals the current dilemma on jurisdiction practices of
electronic commerce's cases in many countries. Great quantities of cases in the
U.S. court are the author's focus of investigation, for the U.S. is the most
developed country in electronic commerce. Then the dissertation talks initially
over some difficult positions in judicial practice in the European Union and its
members, Canada, Australia, China, etc. By comparison, the dissertation draws a
conclusion that flexible jurisdiction standards of American court are more
beneficial to resolving the questions on electronic commerce.
Chapter
3 explores jurisdiction model suitable to electronic commerce. The dissertation
weighs pros and cons of some jurisdiction basis, such as "the place of
internet server", "internet sites" and so on, and holds that
these jurisdiction basis can be taken as one factor of jurisdiction to
adjudicate, but not as an in dependent foundation of jurisdiction to prescribe.
In consideration of the great efforts made by the Hague Conference on Private
International Law in reaching an international convention on electronic
commerce's jurisdiction, the dissertation introduces the discussion of its
Geneva round table in 1999 and Ottawa conference in Canada in2000 in detail. on
this basis, the dissertation looks back into jurisdiction foundation with a view
of historical development. By a comparison between American and European
jurisdiction models, the dissertation believes the jurisdiction foundation
develops from traditional territorial system to contacts theory. It is the
continuous sublation of jurisdiction rule in order to suit social development,
and the way out for the problem of the jurisdiction of electronic commerce's
cases. The author thinks that to establish the jurisdiction of electronic
commerce, the following factors should be taken into consideration: the
relevance of physical location, targeting, damages correlation, power
parameters, contractual choice, the intersection between jurisdiction and
substantive liability for intermediaries, and others. Of course, the court
should lay stress on international coordination when it establishes the
jurisdiction of electronic commerce. Through summarization, the dissertation
holds that the jurisdiction of electronic commerce's disputes take on the
following tendencies: (1) contractual choice of forum will be accepted by
international society unanimously; (2) the place of consumer's domicile will be
approved by many countries; (3) flexible jurisdiction standards will be
confirmed by more countries; (4) the implications of traditional territorial
jurisdiction standards will be diverse. Many new jurisdiction standards will be
established.
The
second part of the dissertation, chapter 4 and chapter 5, expounds the
application of law of electronic commerce.
Chapter
4 elaborates on the challenges to the conflict of laws caused by electronic
commerce. The challenges are mainly displayed as: the challenges to the
connecting factor in effect, the falling through of lex causae and the
universality of the conflicts between public laws. In theory, some scholars put
forward self-government of cyberspace doctrines against the characteristic of
cyberspace. But the dissertation maintains that there are some obvious errors in
such theory.
Chapter
5 deliberates the application of law of electronic commerce and the innovations
in the conflict of laws that are about to take place. In aspect of the
application of law of electronic contract, the dissertation makes studies from
parties' contracting capacity, the contractual form and the substance. As for
the application of law of substantial factors of electronic commerce, the
dissertation holds: (1) the autonomy of will doctrine will still be the first
principle of the adjustment of the application of law of electronic commerce.
And the limitations of it will be reduce gradually; (2) when the party's choice
of the law is unavailable, electronic contract is governed by the law of the
place with which it has the closest connection in principle; (3) in order to
define the specific connecting factors, the electronic contract will be cut
apart delicately, and different connecting factors will be provided against
different parts and links of electronic contract; (4) the mandatory law on
behalf of the law of consumer protection will directly apply to electronic
contract; (5) the reservation of public order is still the safety valve in the
application of law of electronic contract in each country.
With
regard to the application of law of torts in electronic commerce, the
dissertation analyses separately lex loci delicti, lex fori, lex voluntatis, and
law of the place of the most significant relationship.
And considering that the overwhelming majority countries approve that the
lex loci delicti applies to torts, the dissertation doesn't rule out the
possibility that many countries apply lex loci delicti by means of expanding the
explanation of lex loci delicti. However, the doctrine of autonomy of will and
the most connection will be reflected and applied more and more in the case of
electronic commerce.
On
the question of the falling through of lex causae raised by some scholars, the
dissertation rebuts it, and holds the development tendency of lex causae is more
obvious trends toward convergence and unification, and the self-government rule
will take an important role in regulating the activity of electronic commerce.
In addition, the possibility of applying public laws is on the rise in the
choice of lex causae.
As
for the reactions and innovations of the conflict of laws to electronic
commerce, the dissertation thinks the idea of the departmentalism of
international society will be promoted during the process of legislative
foundation of the conflict of laws of electronic commerce shifting from the
departmentalism of nation to the one of international society. In aspect of
value tendency, the substantive justice will be more followed with interest. On
the development tendency of conflict rules, those of electronic commerce will
fall into a pattern in modem flexible approaches of choice of laws.
Owing
to the strengthening of the international cooperation, the unification of
conflict rules of electronic contract will be enhanced. Considering convenience
and swiftness in inquiries about materials by Internet, the ascertainment of
foreign law will become much easier, therefore, and the possibility of the
result-selecting rules increases.
The
third part of the dissertation, chapter 6 and chapter 7, concentrates on
electronic commerce and the recognition and enforcement of foreign court's
judgments and arbitral awards.
Chapter
6 discusses the problems electronic commerce brings to the recognition and
enforcement of foreign court's judgments. They are how to define "the
foreign court's judgments", the problems raised by Internet technology,
consumer protection and the conflict of public law. As concerns the condition of
the recognition and enforcement of foreign court's judgments, the biggest
difficulty comes from jurisdiction to enforce and the requirement of procedural
justice. For the former, the dissertation believes the best way is to reach
consistent standards by drafting international conventions. In verifying the
jurisdiction of the court of origin, the court shall be bound by the findings of
fact on which the court of origin based its jurisdiction, unless the judgment
was given by default. For the latter, the dissertation mainly talks over
electronic service to parties, and holds the law of the state of origin governs
the effect and legality of electronic service. If the defendant was not notified
in sufficient time and in effective way to take part in lawsuits, there
cognition or enforcement of a judgment may be refused, unless the defendant
entered an appearance and presented his case with contesting the matter of
notification in the court of origin, provided that the law of the court permits
objection to the matter of notification and the defend did not object. Even if
the defendant was notified in sufficient time, but the way to notify violated
the domestic rules of law of the state where such notification took place or
relative international convention, the requested country may refuse to recognize
and enforce the judgment, too.
On
the procedure for the recognition and enforcement of foreign judgments of
electronic commerce, the dissertation discusses the data message form of the
request and the transmission by electronic means, and advocates with some
international arrangements they are not obstacles to the recognition and
enforcement foreign judgments, but on the contrary, they can improve the
efficiency of international cooperation.
Chapter
7 expounds electronic commerce and the recognition and enforcement of arbitral
awards. The dissertation firstly introduces the definition, technology and
status quo of online arbitration. As to the recognition and enforcement of
arbitration awards, the dissertation discusses the formal and substantial
factors of electronic arbitral agreements, the form and the nationality of
online awards.
The
conclusion of the dissertation makes a study on the legislation of electronic
com merce, including substantial law and the conflict of laws, on the basis of
summarizing the full text. The dissertation suggests that attention be paid to
the interactive relationships between discovering and creating,
internationalization and nationalization, the law, other social regulations and
technological norms. As far as the present situation of electronic commerce in
china is concerned, the dissertation stands for not following the legislative
tide blindly, and revising or making laws only within necessary scopes.
Key
words: electronic commerce
jurisdiction
the
application of law
the conflict of laws
