作者：王永敬 王杨

1. Introduction

一、导语

Along with the increasing frequency of international communication in China such as external trade, overseas investment and international services, international disputes are gradually increasing. Parties prefer arbitration when choosing means of dispute settlement not only because arbitration has advantages like flexibility, confidentiality, rapidity and finality, but also because the convenience of enforcement of arbitral awards. China accepted the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“the New York Convention”) in 1978 with the aim to encourage the development of external economy and trade and ensure the recognition and enforcement of domestic arbitral awards in foreign countries. The New York Convention becomes the main legal basis to recognize and enforce foreign arbitral awards for people’s court of China.

随着我国对外贸易、海外投资、国际服务等国际间交往日益频繁，国际间纠纷也逐渐增多，在争议解决手段的选择上，当事人偏好选择仲裁，这不仅因为仲裁具有灵活性、保密性、快捷性、终局性等诸多好处，还因为仲裁裁决更方便执行。我国本着鼓励发展对外经济贸易、保障本国仲裁裁决在外国也能得到承认和执行的目的，在1987年加入了《承认和执行外国仲裁裁决公约》（以下简称《纽约公约》），该公约成为我国法院承认和执行外国仲裁裁决的主要法律依据。

According to the research data, the proportion of refusing to recognize and enforce foreign arbitral awards in China is about 30%. The proportion of refusal is relative low and the refusal is difficult in China.

据资料显示，我国对外国仲裁裁决拒绝承认和执行的比例约为30%，外国仲裁裁决在中国拒绝承认和执行的比例较小、难度较大。

This article intends to analyze the reasons for refusing to recognize and enforce foreign arbitral awards in China from the practical perspective under the background of the New York Convention, the Civil Procedure Law and the corresponding judicial interpretation, and an American arbitration case on recognition and enforcement represented by the author. On the one hand, it may bring certain reference significance to Chinese enterprises to choose reasonable and legitimate justifications when they act as a respondent in the cases of applying to recognize and enforce foreign arbitral awards. On the other hand, it may warn legal risks on the negative side for the foreign applicant who intends to acquire the ruling on recognition and enforcement of foreign arbitral awards in China to reduce and avoid the obstacles and risks when applying to recognize and enforce the foreign arbitral awards in China.

本文试从实务角度，以《纽约公约》、《民事诉讼法》及其司法解释及笔者代理的承认与执行美国仲裁案为背景，对外国仲裁裁决在中国拒绝承认和执行的理由进行分析。一方面，希望对中国企业被申请承认和执行外国仲裁裁决时选择合理合法的抗辩理由具有一定借鉴意义。另一方面，也为计划在中国获得承认与执行的外国仲裁案件的仲裁申请人提供反面之法律风险警醒，减少与避免该等外国仲裁裁决在中国申请承认与执行的阻碍及风险。

2. Brief Analysis of Reasons for Refusing to Recognize and Enforce Foreign Arbitral Awards

二、拒绝承认和执行外国仲裁裁决之事由简析

In accordance with Article 4 of Notice of the Supreme People’s Court on Implementing the Convention on the Recognition and Enforcement of Foreign Arbitral Awards Acceded to by China, people’s court having jurisdiction in China shall examine the arbitral awards of applying for recognition and enforcement after receiving the application of a party. If it is considered that there are no circumstances listed in the subparagraph 1 and 2 of article V of the New York Convention, the people’s court shall issue a ruling to recognize the validity of arbitral awards and enforce in accordance with procedures prescribed in the Civil Procedure Law. If it is considered that there is any circumstance listed in the subparagraph 2 of article V of the New York Convention, or the evidence provided by the party subjected to execution could prove that there is any circumstance listed in the subparagraph 1 of article V of the New York Convention, the people’s court shall issue a ruling to reject the application and refuse to recognize and enforce. Therefore, main reasons for refusing to recognize and enforce foreign arbitral awards in people’s court of China are foreign arbitral awards exist circumstances of refusal on recognition and enforcement prescribed in the New York Convention, and procedures do not accord with relevant provisions prescribed in the Civil Procedure Law and the corresponding judicial interpretation.

根据《最高人民法院关于执行我国加入的<承认及执行外国仲裁裁决公约>的通知》第四条的规定，我国有管辖权的人民法院接到一方当事人的申请后，应对申请承认及执行的仲裁裁决进行审查，如果认为不具有《纽约公约》第五条第一、二两项所列的情形，应当裁定承认其效力，并且依照民事诉讼法规定的程序执行；如果认定具有第五条第二项所列的情形之一的，或者根据被执行人提供的证据证明具有第五条第一项所列的情形之一的，应当裁定驳回申请，拒绝承认及执行。因此，中国法院不予承认和执行外国仲裁裁决的主要原因，是外国仲裁裁决存在《纽约公约》规定的可以拒绝承认和执行的情形，以及不符合《民事诉讼法》及其司法解释的相关规定。

2.1 Criteria of Judicial Review Established under Article V of the New York Convention

（一）《纽约公约》第五条确立的司法审查标准

In accordance with subparagraph 1 of Article V of the New York Convention, recognition and enforcement of the award may be refused, at the request of the party against whom it is invoked, only if that party furnishes to the competent authority where the recognition and enforcement is sought, proof that:

根据《纽约公约》第五条第一项的规定，在被申请执行人提出证明时，中国法院可以根据该当事人的请求，在下列情况下拒绝承认和执行该项外国仲裁裁决：

(a) The parties to the agreement referred to in article II were, under the law applicable to them, under some incapacity, or the said agreement is not valid under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award was made; or

（甲）签订仲裁协议的当事人依对其适用的法律存在无行为能力的情形；或者仲裁协议依所选定的准据法应被认定为无效；或者虽未选定准据法，但仲裁协议依裁决地所在国法律应被认定为无效的。

(b) The party against whom the award is invoked was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings or was otherwise unable to present his case; or

（乙）被执行人未接到关于指派仲裁员或关于仲裁程序的适当通知，或者由于其它原因未能对案件进行申辩的。

(c) The award deals with a difference not contemplated by or not falling within the terms of the submission to arbitration, or it contains decisions on matters beyond the scope of the submission to arbitration, provided that, if the decisions on matters submitted to arbitration can be separated from those not so submitted, that part of the award which contains decisions on matters submitted to arbitration may be recognized and enforced; or

（丙）仲裁裁决所处理的争议非为交付仲裁标的或不包括在仲裁协议规定之内；或者仲裁裁决载有超出仲裁协议范围以外事项的决定（但如关于交付仲裁事项的决定可与未交付仲裁事项的决定划分时，关于交付仲裁事项的决定可予以承认和执行）。

(d) The composition of the arbitral authority or the arbitral procedure was not in accordance with the agreement of the parties, or, failing such agreement, was not in accordance with the law of the country where the arbitration took place; or

（丁）仲裁庭的组成或仲裁程序与当事人之间的协议约定不符；或者当事人未协议约定，但仲裁庭的组成或仲裁程序与仲裁地所在国的法律不符的。

(e) The award has not yet become binding on the parties, or has been set aside or suspended by a competent authority of the country in which, or under the law of which, that award was made.

（戊）仲裁裁决对当事人还未产生拘束力，或者仲裁裁决已经由裁决作出地国家或裁决所依据法律的国家的主管机关撤销或停止执行的。

In accordance with subparagraph 2 of Article V of the New York Convention, recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that:

基于《纽约公约》第五条第二项的规定，中国法院认定有下列情形之一的，也可拒绝承认和执行该项外国仲裁裁决：

(a) The subject matter of the difference is not capable of settlement by arbitration under the law of that country; or

（甲）依照申请承认和执行地所在国的法律，争议事项不可以通过仲裁解决。

(b) The recognition or enforcement of the award would be contrary to the public policy of that country.

（乙）承认或执行裁决有违该国公共政策者。

2.2 Reasons for Refusing Established under Other Provisions of the New York Convention

（二）《纽约公约》其他条款确立的拒绝事由

In practice, people’s court of China have not limit the judicial criteria of refusal on recognition and enforcement of foreign arbitral awards to the provisions of article V of the New York Convention. As the core provisions of the New York Convention, article I, II, III, and IV also prescribe issues about the qualification of the parties, the form of arbitration agreement and relevant procedures, which seems a premise for review procedure of article V of the New York Convention. Other main reasons to refuse the recognition and enforcement are as follows:

实践中，我国法院并未将不予承认和执行外国仲裁裁决的标准局限在《纽约公约》第五条之规定，《纽约公约》第一、二、三、四条作为公约的核心条款，也对当事人主体资格、仲裁协议之形式和相关程序性事宜加以规制，是公约第五条审查程序的前提。其他主要的拒绝承认和执行事由如下：

2.2.1 Parties without the capacity for civil rights.

1.当事人无民事权利能力。

2.2.2 No written arbitration agreement.

2.不存在书面仲裁协议。

2.2.3 Application documents without notarization, authentication and translation.

3.申请文件未经公证、认证或翻译。

2.2.4 Beyond the time limit for the submission of an application for execution.

4.超出申请执行期限。

2.2.5 Failure to prove that the respondent or his property is located within the territory of China.

5.未能证明被申请人或其财产位于中国。

2.3 Relevant Regulations under the Civil Procedure Law and the Corresponding Judicial Interpretation of China

（三）中国《民事诉讼法》及相关司法解释的相关规定

If foreign arbitral awards could be applied for, recognized and enforced in China, the application and awards shall not only exist no circumstances of refusal on recognition and enforcement prescribed in the New York Convention, but also accord with relevant provisions prescribed in the Civil Procedure Law and the corresponding judicial interpretation.

外国仲裁裁决在中国申请并获得承认与执行，除不应存在《纽约公约》规定的可拒绝承认与执行情形外，也应同时符合《民事诉讼法》及相关司法解释的规定。

2.3.1 Issues on Time Limit for the Submission of an Application for Execution

1.申请执行的期限问题

In accordance with Article 547 of Interpretation on the Application of the Civil Procedure Law, the time period for a party concerned to apply for recognition and enforcement of a legally binding judgment/ruling rendered by a foreign court or a foreign arbitration award shall be governed by Article 239 of the Civil Procedure Law.

《民事诉讼法司法解释》第五百四十七条的规定，当事人申请承认和执行外国法院作出的发生法律效力的判决、裁定或者外国仲裁裁决的期间，适用民事诉讼法第二百三十九条的规定。

In accordance with Article 239 of the Civil Procedure Law, the time limit for the submission of an application for execution shall be two year. The suspension and discontinuation of limitation for the submission of application for execution is governed by the relevant legal regulations of suspension and discontinuation of extinctive prescription. The above-mentioned time limit shall be calculated from the last day of the period of performance specified by the legal document. If the legal document specifies performance in stages, the time limit shall be calculated from the last day of the period specified for each stage of performance. If there is no time limit specified by the legal document, the time limit shall be calculated from the day of the effectiveness of the legal document.

《民事诉讼法》第二百三十九条的规定，申请执行的期间为二年。申请执行时效的中止、中断，适用法律有关诉讼时效中止、中断的规定。前款规定的期间，从法律文书规定履行期间的最后一日起计算；法律文书规定分期履行的，从规定的每次履行期间的最后一日起计算；法律文书未规定履行期间的，从法律文书生效之日起计算。

Therefore, the time limit for the submission of an application for recognition and enforcement of foreign arbitral awards shall be two year. The foreign arbitral awards shall be refused to recognize and enforce if beyond the two-year time limit for the submission of an application.

因此，申请承认和执行外国仲裁裁决的期间为二年，超出二年期间申请的应拒绝承认和执行。

2.3.2 Level and Jurisdiction of the People’s Court

2.向何地的、哪一级法院申请执行

In accordance with Article 3 of Notice of the Supreme People's Court on Implementing the Convention on the Recognition and Enforcement of Foreign Arbitral Awards Acceded to by China, in accordance with Article IV of the New York Convention, an application to a people's court of China for recognition and enforcement of an arbitral award made in the territory of another contracting state is filed by a party to the arbitral award. The application shall be under the jurisdiction of the intermediate people's court at the following place:(1) If the party against whom the award is invoked is a natural person, the place of his or her household registration or the place of his or her residence.(2) If the party against whom the award is invoked is a legal person, the place of his principal office.(3) If the party against whom the award is invoked has no domicile, residence or principal office but property within the territory of China, the place of property located.

《最高人民法院关于执行我国加入的<承认及执行外国仲裁裁决公约>的通知》第三条规定，根据《纽约公约》第四条的规定，申请我国法院承认和执行在另一缔约国领土内作出的仲裁裁决，是由仲裁裁决的一方当事人提出的。对于当事人的申请应由我国下列地点的中级人民法院受理：1.被执行人为自然人的，为其户籍所在地或者居所地；2.被执行人为法人的，为其主要办事机构所在地；3.被执行人在我国无住所、居所或者主要办事机构，但有财产在我国境内的，为其财产所在地。

In accordance with Article 283 of the Civil Procedure Law, if an award made by a foreign arbitral organ requires the recognition and enforcement by a people's court of the People's Republic of China, the party concerned shall directly apply to the intermediate people's court of the place where the party subjected to enforcement has his domicile or where his property is located. The people's court shall deal with the matter in accordance with the international treaties concluded or acceded to by the People's Republic of China or with the principle of reciprocity.

《中华人民共和国民事诉讼法》第二百八十三条规定，国外仲裁机构的裁决，需要中华人民共和国人民法院承认和执行的，应当由当事人直接向被执行人住所地或者其财产所在地的中级人民法院申请，人民法院应当依照中华人民共和国缔结或者参加的国际条约，或者按照互惠原则办理。

Therefore, the party who apply for recognition and enforcement of foreign arbitral awards shall apply to the intermediate people's court of the place where the party subjected to enforcement has his domicile or where his property is located. The foreign arbitral awards shall be refused to recognize and enforce if the applicant fail to provide evidence to prove that his domicile or property is within the territory of China.

因此，申请承认和执行外国仲裁裁决应向被执行让住所地或者财产所在地的中级人民法院申请，未能提供证据证明被申请人或其财产位于国内的，应拒绝承认和执行。

2.3.3 Criteria of Judicial Review by People’s Court  

3．法院审查的标准

The review of recognition and enforcement of foreign arbitral awards by people’s court is mainly formality examination. The main criteria of judicial review by people’s court is whether the foreign arbitral awards exist circumstances of refusal on recognition and enforcement under the New York Convention, whether the differences are not arising out of “Legal relationships, whether contractual or not, which are considered commercial” under Notice of the Supreme People's Court on Implementing the Convention on the Recognition and Enforcement of Foreign Arbitral Awards Acceded to by China, whether the foreign arbitral awards are not in accordance with the international treaties concluded or acceded to by the People's Republic of China, not limited to the New York Convention, or with the principle of reciprocity, or whether the application conform to enforcement procedures under national regulations.

我国法院对于承认和执行外国仲裁裁决的审查主要是形式审查，法院审查标准主要是外国仲裁裁决是否存在《纽约公约》规定的拒绝承认和执行情形，是否不属于《最高人民法院关于执行我国加入的<承认及执行外国仲裁裁决公约>的通知》规定的“契约性和非契约性商事法律关系”的仲裁裁决，是否不符合我国参加的国际公约（不限于《纽约公约》）的规定或者不符合互惠原则的，或者申请是否不符合国内执行程序的相关规定等。

3. Case Analysis on Recognition and Enforcement of an American Arbitral Award

三、申请承认与执行美国仲裁裁决案的诉辩解析

[Case Introduction]

A (applicant and a famous law firm in America) has signed two Service Contract separately with B (one of the respondent and an enterprise in America) and C (the other respondent and an enterprise in Hong Kong). Service Contracts stipulated that A provides legal services on capital market for B and C respectively. Later, due to disputes over the settlement of attorney fees, B and C failed to pay the attorney fees in accordance with the bill listed by A. A submitted an application for arbitration to International Centre for Dispute Resolution (“ICDR”), however B and C failed to receive any formal notice about the arbitration. ICDR made a final award in the absence of B and C on July 30th, 2014. A submitted an application on recognition and enforcement of the arbitral award to an intermediate people’s court of China on May 25th, 2017.

【案情简介】

甲（申请人，美国某知名律师事务所）与乙（被申请人一，美国公司）、丙（被申请人二，香港公司）签署了两份独立的《聘用合同》，约定由甲为乙、丙分别提供资本市场法律服务。后，由于律师费结算问题产生争议，乙、丙未能按甲方列式的费用清单支付法律服务费用，甲遂向美国仲裁协会争议解决中心国际仲裁庭（以下简称“ICDR”）提请仲裁，但乙、丙均未收到有关仲裁程序的正式通知。2014年7月30日，ICDR在乙、丙缺席的情况下作出最终仲裁裁决。甲于2017年5月25日向国内某中级人民法院请求承认和执行该仲裁裁决。

[Case Analysis]

The author, as the lawyer of the respondent in the case, considers that the foreign arbitral award shall be refused to recognize and enforce mainly based on following five reasons:

【案例解析】

笔者在该案中代理被申请人，主要基于以下五个理由提出该仲裁裁决应予拒绝承认和执行：

3.1 Application for Recognition and Enforcement beyond the two-year Time Limit

（一）申请承认和执行期限已超出二年期限

In accordance with relevant regulations of the Civil Procedure Law and Interpretation on the Application of the Civil Procedure Law, the time limit for the submission of an application for recognition and enforcement of foreign arbitral awards shall be two year. The arbitral award was made on July 30th, 2014, however A submitted the application for recognition and enforcement of the arbitral award to the people’s court on May 25th, 2017. Therefore, the time limit of submission of application has already far exceeded two year, and the arbitral award shall be refused to recognize and enforce.

根据《民事诉讼法》及《民事诉讼法司法解释》的规定，申请承认和执行外国仲裁裁决的期间为二年。仲裁裁决于2014年7月30日作出，但甲于2017年5月25日才向法院提起申请承认和执行该裁决，申请期限已远远超出二年，该裁决应拒绝承认和执行。

3.2 ICDR Having No Jurisdiction over the Dispute

（二）ICDR对案涉争议无管辖权

ICDR is the international division of the American Arbitration Association (“AAA”) and mainly deal with the international disputes involving cross-border transactions. However, due to A and B are both American enterprises and disputes arising from the Service Contract also occurred in America, the dispute is not an international dispute and ICDR has no jurisdiction over the dispute between A and B.

ICDR为美国仲裁协会（以下简称“AAA”）的国际业务部，主要处理跨国贸易等国际纠纷。但是甲、乙均为美国公司，《聘用合同》项下的争议事项也发生在美国，案涉争议并非国际争议，ICDR对甲、乙之间的争议无管辖权。

In addition, according to the Service Contract between A and B and the Service Contract between A and C, arbitration agreements specified that method of disputes settlement is to submit the disputes to AAA for arbitration under the rules for commercial disputes. Arbitration has the nature of contractual and autonomous of the party’s will. The dispute governed by ICDR violates not only the regulations of jurisdiction of ICDR under International Dispute Resolution Procedures, but also the arbitration clause agreed by the parties. Therefore, ICDR has no jurisdiction over the dispute between A and B and the dispute between A and C.

此外，甲、乙之间及甲、丙之间的《聘用合同》均明确约定争议解决方式为提交AAA且根据《商事仲裁规则》进行仲裁。仲裁拥有契约性与当事人意思自治性，案涉争议由ICDR进行仲裁不仅违反《国际仲裁规则》关于ICDR管辖范围的规定，也违反当事人之间仲裁条款的约定。故，ICDR对甲、乙之间及甲、丙之间的争议均无管辖权。

In accordance with subparagraph 1(d) of Article V of the New York Convention, the arbitral award shall be refused to recognize and enforce.

根据《纽约公约》第五条第一项（丁），该裁决应拒绝承认和执行。

3.3 No Basis on Consolidated Trial

（三）案涉争议不存在合并审理的基础

Under circumstances that there is no common arbitration agreement or clause between A, B and C, and no agreement of consolidated trial made by B and C, and no written notice about the decision of consolidated trial sent by arbitral tribunal, the arbitral tribunal tried the two separate cases concurrently into a common arbitration procedure arbitrarily, which violates the relevant procedure and conditions of consolidated trial under the American Uniform Arbitration Act and arbitration rules.

在甲、乙、丙三者之间无任何共同的仲裁协议或条款，及乙、丙未同意合并审理，仲裁庭也未发送有关合并审理决定书面通知的情形下，仲裁庭擅自将完全独立的两个案件放在同一仲裁程序中合并审理，违反《美国统一仲裁法》及仲裁规则有关合并审理的程序及条件。

In accordance with subparagraph 1(b), (d) of Article V of the New York Convention, the arbitral award shall be refused to recognize and enforce.

根据《纽约公约》第五条第一项（乙）、（丁），该裁决应拒绝承认和执行。

3.4 Methods of Service by Tribunal Violating the Arbitration Rules

（四）仲裁庭送达方式违反仲裁规则的规定

In accordance with the Commercial Arbitration Rules, where all parties and the arbitrator agree, notices may be transmitted by e-mail or other methods of communication. However, the tribunal delivered the notice of arbitration procedure by e-mail arbitrarily without the agreement of B and C, which violates the arbitration rules.

《商事仲裁规则》规定采取电子送达方式须经全部当事人和仲裁员同意，但是仲裁庭在未经过乙、丙同意的情形下，擅自采取电子邮件方式送达仲裁程序的通知，电子送达方式违反仲裁规则。

In addition, in accordance with the Commercial Arbitration Rules, notices served by mail shall be addressed to the party at the last known address. A concealed the actual office address of B and C before the commencement of the arbitration procedure although A was fully aware the actual address. Consequently, B and C failed to receive the arbitration notice and lost important procedural and substantive rights.

此外，《商事仲裁规则》规定邮寄送达须送达至被送达方最后为人所知的地址，但是甲明知乙、丙的实际办公地址，却在仲裁程序开始前隐瞒实际可送达的地址，致使乙、丙无法收到仲裁事项的通知而丧失重要的程序及实体权利。

In accordance with subparagraph 1(b) of Article V of the New York Convention, the arbitral award shall be refused to recognize and enforce.

根据《纽约公约》第五条第一项（乙），该裁决应拒绝承认与执行。

3.5 Arbitral Procedures of Application and Acceptance Violating Local Laws

（五）仲裁的申请及受理程序违反当地法律

The California Business and Professions Code stipulate the Attorney/ Client Fee Dispute Program, which means B and C have priority to submit a fee arbitration to the Bar Association according to the Attorney/ Client Fee Dispute Program. However, due to the methods of service violating the arbitration rules and B, C fail to receive the notice of arbitration, B and C lost the priority to submit fee arbitration. Procedures of application and acceptance of arbitration violate local laws.

《加州商业及职业法案》规定了律师/委托人费用争议解决的前置性程序，乙、丙有权优先向律师协会依据律师/委托人费用争议程序提起费用争议仲裁，但是由于送达方式违反仲裁规则的规定，导致乙、丙未收到通知而丧失前置权利，仲裁的申请及受理程序违反当地法律。

In accordance with subparagraph 1(d) of Article V of the New York Convention, the arbitral award shall be refused to recognize and enforce.

根据《纽约公约》第五条第一项（丁），该裁决应拒绝承认与执行。

4. Conciusion

四、结语

As a principal method of dispute settlement for international commercial affairs, international arbitration has been adopted by parties increasingly and the status of judicial practice on recognition and enforcement of foreign arbitral award has also been gradually improved. However, considering the principle of convenient for execution, international reciprocity and procedural requirements that a ruling of refusing to recognize and enforce foreign arbitral awards needs to acquire a reply of the Supreme People's Court, people’s court of China always make cautious decision about refusing to recognize and enforce foreign arbitral awards. Therefore, when defending, the respondent shall fully consider the reasons for refusing to recognize and enforce under the New York Convention and national enforcement procedures and procedures of arbitration under laws and arbitration rules of the place of arbitration, and then choose reasonable and legitimate justifications.

作为国际商事中最重要的争议解决方式，国际仲裁已被越来越多的当事人所采纳，承认和执行国际仲裁裁决司法实践的地位也逐步提升。但是考虑到有利于执行、国际互惠等理念，以及裁定不予承认和执行须待最高院答复的程序性要求，我国法院对于不予承认和执行外国仲裁裁决的决定慎之又慎。因此，被申请人在抗辩时，应紧密结合《纽约公约》确立的拒绝承认和执行事由，同时结合国内的执行程序、仲裁地国家法律及仲裁规则规定的仲裁程序，选择合理合法的抗辩理由。