China: 关于仲裁裁决不予执行申请的实操解读——基于

Last Updated: 29 May 2019
Article by Wang Xiaoqian and Yucheng Hu
Most Read Contributor in China, July 2019

关于仲裁裁决不予执行申请的实操解读—— 基于《最高人民法院关于人民法院办理仲裁 裁决执行案件若干问题的规定》所带来的变化

不予执行仲裁裁决制度是当事人对于已生效仲裁裁决的一种救济手段,同时也是法院对于仲裁程序的一种事后监督方式。即在仲裁裁决的执行程序中,当事人通过提出证据证明仲裁裁决出现法律规定的不予执行事由并据此向法院作出不予执行的申请;人民法院经审理,认为仲裁裁决的确有不予执行的法定情形的,作出裁定支持不予执行仲裁裁决的申请,中止对该裁决的执行,从而否定整个仲裁裁决的效力。

长期以来,当事人申请不予执行仲裁裁决的法律依据为《中华人民共和国民事诉讼法》第二百三十七条及《中华人民共和国仲裁法》第六十三条。然而,上述法律规定虽然对于不予执行仲裁裁决的申请作出了原则性的规定,但由于缺乏具体的法条支持,使得多年来人民法院在审理当事人不予执行仲裁裁决的申请时,只能依据最高人民法院的相应回函与各地高院的解释,缺乏程序上的统一性和可操作性。

2018年2月23日,最高人民法院颁布了《最高人民法院关于人民法院办理仲裁裁决执行案件若干问题的规定》(以下简称《执行规定》,"法释〔2018〕5号")对申请仲裁裁决不予执行的程序进行了系统化的完善。此种完善的核心,在于将不予执行仲裁裁决的申请程序作为一个独立的审查程序从过往的执行异议程序中独立出来,归入仲裁司法审查类案件的范畴。为此,《执行规定》进行了一系列的制度设计,构成申请程序的规范与审查程序的明确两条主线。

一、规范仲裁裁决不予执行申请程序

1.拓展申请主体

在过往的法律规范及司法实践中,不予执行仲裁裁决的申请主体被限定为执行程序中的"被申请人",一般来说就是原仲裁程序的败诉方。而在《执行规定》中,最高人民法院首次明确规定了案外人有权对仲裁裁决提起不予执行申请。对于案外人申请不予执行的审查结果,同时赋予当事人、案外人进一步寻求救济的权利,以充分保障其权益,这也是我国法院对于仲裁相对性效力的一大突破。

然而,与被执行人提起申请不同,在案外人提起不予执行仲裁裁决的申请中,案外人的举证责任相较于被执行人而言负担更重。根据《执行规定》第十八条,欲得法院支持其申请,案外人需证明以下四个事实:

a.案外人系权利或者利益的主体;

b.案外人主张的权利或者利益合法、真实;

c.仲裁案件当事人之间存在虚构法律关系,捏造案件事实的情形;

d.仲裁裁决主文或者仲裁调解书处理当事人民事权利义务的结果部分或者全部错误,损害案外人合法权益。

北京市高级人民法院在《杨碧清等仲裁执行裁定书》中明确,案外人如欲证明其申请符合要求,需"同时满足以上四个条件"。换言之,凡上述要求中的任一条件不能得到案外人的有效证明,则其申请应被驳回。因此,也就不难解释为何在实践中对于案外人提起不予执行仲裁裁决申请较难得到法院支持。

2.收紧申请时限

在以往的司法实践中,法院对于提出不予执行仲裁裁决申请的时限往往较为宽松(根据民诉法相关司法解释,当事人在执行程序终结前提出申请即可)。本次《执行规定》对此项时限进行了大幅的收紧。针对被执行人,《执行规定》第八条规定了被执行人应当在执行通知书送达之日起十五日内提出书面申请;如存在裁决所根据的证据是伪造的或仲裁员在仲裁该案时有贪污受贿,徇私舞弊,枉法裁决行为的情形且执行程序尚未终结的,自知道或应当知道有关事实或案件之日起十五日内提出书面申请。针对案外人,《执行规定》规定其不予执行申请应自知道或者应当知道人民法院对该标的采取执行措施之日起三十日内提出。

对于当事人超过时限提出申请的处置,《执行规定》第十九条第一款明确,被执行人、案外人对仲裁裁决执行案件逾期申请不予执行的,人民法院应当裁定不予受理;已经受理的,应当裁定驳回不予执行申请。

也即是说,根据案件受理与否,人民法院对于超期申请不予执行仲裁裁决的处置应当是不同的。然而,实践中我国法院对何时裁定不予受理、何时裁定驳回申请似乎依然存在一定的混淆。在《洪旭东、于晖民间借贷纠纷执行审查类执行裁定书》中,浙江省金华市中级人民法院在受理被执行人申请并组庭审查后发现被执行人所提起的不予执行仲裁裁决申请已超过了《执行规定》规定的期限,依照《执行规定》应驳回其申请。但该院最终认定被申请人"不予执行仲裁裁决申请不符合不予执行仲裁裁决受理条件",并据此裁定对于被执行人的有关申请"不予受理"而非根据《执行规定》驳回。

虽然究竟是"不予受理"还是"驳回申请"在实践中还存在不统一之处,但从现有的判例来看,超过规定期限所提起不予执行仲裁裁决之申请不能得到法院支持,已是确凿无疑的,这一点,无疑需引起拟提起此类申请的当事人的重视。

3.严格申请形式。

不予执行申请可产生阻碍一方当事人仲裁权利顺利实现的重大影响,因此《执行规定》中对申请形式做了较为严格规定。除必须进行书面申请、提出具体的申请事由和相应证据外,为避免被执行人恶意拖延执行程序,《执行规定》第十条规定了申请不予执行事由应当一并提出,再次提出申请的,除裁决所根据的证据是伪造的或仲裁员在仲裁该案时有贪污受贿,徇私舞弊,枉法裁决行为的情形外,人民法院不予审查。

4.明确申请效力

根据《执行规定》第七条,执行人、案外人对仲裁裁决执行案件提出不予执行申请并提供适当担保的,执行法院应当裁定中止执行。具体而言,中止执行期间,人民法院应当停止处分性措施,但申请执行人提供充分、有效的担保请求继续执行的除外。

需要注意的是,此处人民法院在收到申请人不予执行仲裁裁决的申请后,仅应当停止"处分性措施",对于执行标的查封、扣押、冻结并不应解除。相应期限届满前,人民法院可以根据当事人申请或者依职权办理续行查封、扣押、冻结手续。这一点,在实践中亦是如此,在《山东福宽生物工程有限公司、武汉美味源生物工程有限公司承揽合同纠纷执行审查类裁定书》中,山东省泰安市中级人民法院明确,在"本院已经裁定中止本案执行。在中止执行期间,本院已停止处分性措施,但不应解除对福宽公司银行存款的冻结措施。福宽公司请求解除该公司银行账户的冻结于法无据,本院不予支持。"

二、明确仲裁裁决不予执行审查程序

1.明确审查程序

根据《执行规定》第二条,规定了此类案件应由中级人民法院对不予执行仲裁申请组成合议庭另行立案审理;如执行案件已指定基层人民法院管辖的,应当于收到不予执行申请后三日内移送原执行法院另行立案审查处理。通过此种制度设计,《执行规定》将不予执行仲裁裁决程序与执行异议程序进行了区分。

在此之前,根据2014年《最高人民法院印发《关于执行案件立案、结案若干问题的意见》的通知》,被执行人对仲裁裁决或者公证机关赋予强制执行效力的公证债权文书申请不予执行的,往往按照执行异议案件予以立案及审理。但在《执行规定》颁布后,根据新法优于旧法原则,此类实践当有所变化。

这一点,在广西壮族自治区高级人民法院《王玉生、林金荣、柳州市竹裕环保科技有限公司等建设工程合同纠纷执行审查类执行裁定书》中得到了体现。该裁定书中,广西壮族自治区高级人民法院明确,申请不予执行仲裁裁决类案件,"应当属于仲裁司法审查案件,即首先以仲裁司法审查案件立案并依法组成合议庭进行审查,经审查理由成立的,人民法院应当裁定不予执行;理由不成立的,应当裁定驳回不予执行申请。"故此,广西壮族自治区高级人民法院依法撤销了柳州市中级人民法院依照执行异议程序所做出的裁定。

但是,如果由于程序选择的错误导致不予执行仲裁裁决申请被驳回,势必产生被执行人再度申请不予执行仲裁裁决将会超出《执行规定》所规定时限的问题,此种后果应该由谁承担,《执行规定》并未明确。就该问题,《王玉生、林金荣、柳州市竹裕环保科技有限公司等建设工程合同纠纷执行审查类执行裁定书》中,广西壮族自治区高级人民法院同时裁定了由柳州市中级人民法院对被执行人申请不予执行仲裁裁决书案重新审查,从而避免了这一问题。同样的,在《王保田、平鑫商品房销售合同纠纷执行审查类执行裁定书》中,磁县人民法院裁定将其无权审理的不予执行仲裁裁决申请移送相应中级人民法院另行立案审查,保证了被执行人相应申请不受《执行规定》中时限的限制。

然而,从实践中看,亦不能就此认为申请人可高枕无忧,事实上,成都市双流区人民法院就在《王其与邓金平、彭某某国内非涉外冲裁裁决纠纷执行审查类执行裁定书》直接裁定驳回了被执行人错误依照执行异议程序提起的不予执行仲裁裁决之程序,但未裁定移送,此种情况下,被执行人再行依照《执行规定》提起不予执行申请的显然会遭遇时限规定的阻碍,因而影响其实体权利。

2.规定审查时限

《执行规定》还规定了审查时限,其第十二条规定,人民法院对不予执行案件的审查应当在立案之日起两个月内审查完毕并作出裁定;有特殊情况可经本院院长批转,延长一个月。该时限进一步明确了实践中对于不予执行仲裁裁决审理的时限。

3.明确两种救济程序之间的关系

除去申请不予执行仲裁裁决的救济方式外,根据《中华人民共和国仲裁法》的规定,不满仲裁裁决的当事人有权在收到仲裁裁决书之日起六个月内提出申请撤销仲裁裁决,且法定提起撤销仲裁裁决之理由与法定提起不予执行仲裁裁决之理由近似。考虑到在当事人收到仲裁裁决书六个月内,胜诉方极有可能申请法院根据仲裁裁决执行败诉方之财产,故实践中撤销仲裁裁决与不予执行仲裁裁决程序存在并行之可能,针对这一点,《执行规定》作出了较为细化的处置规定,具体可分类讨论如下:

a.当事人先提起撤销仲裁裁决申请被驳回的,在执行程序中以相同事由提出不予执行申请的,人民法院不予支持;

b.当事人先提起不予执行申请被驳回后,又以相同事由申请撤销仲裁裁决的,人民法院不予支持;

c.当事人先提起不予执行申请但尚在审查期间内的,当事人向有管辖权的人民法院提出撤销仲裁裁决申请并被受理的,人民法院应当裁定中止对不予执行申请的审查;

d.在上述c情形中,仲裁裁决被撤销或者决定重新仲裁的,人民法院应当裁定终结执行,并终结对不予执行申请的审查;

e.在上述c情形中,撤销仲裁裁决申请被驳回或者申请执行人撤回撤销仲裁裁决申请的,人民法院应当恢复对不予执行申请的审查;

f.在上述c情形中,被执行人撤回撤销仲裁裁决申请的,人民法院应当裁定终结对不予执行申请的审查,但案外人申请不予执行仲裁裁决的除外。

三、总结

根据对于上述程序的实践归纳,可见《执行规定》通过对申请与审查程序的完善,将申请不予执行仲裁裁决的程序从实践层面进行了完善。在此种完善过程中,有如下几点需要特别引起执业律师的注意:

1.申请主体的拓展带来的程序复杂性需要特别引起重视。综合上文的分析,可知《执行规定》将案外人纳入可申请不予执行仲裁裁决的范畴中并不仅仅是增加了一个申请主体那么简单。事实上,与过去的被执行人申请不予执行仲裁裁决程序相比,案外人申请不予执行仲裁裁决程序无论是从时限、举证责任、以及与其他救济途径的关系,都有许多的不同之处。因此,在带来程序复杂性的同时,也使得对于相关案件的救济,有了更多样性的选择与可能。

2.申请时限收紧对当事人及代理人提出了更高的要求。从上文分析可知,申请时限的收紧对审查程序中的一系列设计,如管辖、举证等均存在影响,极易影响当事人的实体权利。故此,为了保障当事人的权益,实践中对于不予执行仲裁裁决申请的规划与搜证势必要提前,对于当事人及代理人在此范畴的预判提出了更高的要求,其相应策略也应发生变化。

3.与其他救济途径间关系的明确带来个案抗辩思路的多样化。《执行规定》与随之的司法实践将不予执行仲裁裁决申请与撤销仲裁裁决申请,执行异议等救济途径之间做了程序上的区分,在不同的抗辩思路下,上述程序彼此之间的影响将会完全不同,因而不可避免地要求当事人与代理人在设计抗辩思路时,将此种影响纳入考虑,从而实现当事人利益的最大化。

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Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

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