China: 被撤销的国际商事仲裁裁决的承认和执行

Last Updated: 26 July 2019
Article by Wú Jiàn'ān
Most Read Contributor in China, July 2019

被撤销的国际商事仲裁裁决的承认和执行 ——以Putrabali案为例分析法国法院采取的绝对审查权态度

引言

在国际商事仲裁中,针对"被仲裁地法院撤销了的仲裁裁决能否在他国得到承认和执行"这一问题,目前国际层面上并没有统一的认识和做法。继以Pemex案为例探讨美国法院采取的"相对审查"态度后,在此,我们以著名的Société PT Putrabali Adyamulia c. SA Rena Holding et autre(以下简称Putrabali案)为例,分析法国法院对此问题采取的"绝对审查"态度,并进一步探讨该法院判决对于国际商事仲裁司法实践的影响。

一、Putrabali案情简介

在20世纪末,一家名为Putrabali的印度尼西亚公司与法国的Est Epices公司(即后来的Rena Holding公司)签订了一份辣椒销售合同,约定由Putrabali为Est Epices提供一批白色辣椒,Est Epices应向其支付相应的对价。合同中包含有仲裁条款,双方同意,一旦产生相关争议,应将其交由位于英国伦敦的国际综合生产协会(International General Produce Association,即IGPA)依照IGPA的规则进行仲裁。

随后,这批辣椒在运输途中因为货船失事而遗失。因此,Rena Holding拒绝向Putrabali支付购买辣椒的价款。Putrabali随即向IGPA提交了仲裁申请。于是,IGPA在伦敦组成了仲裁庭,专门审理此案。2001年4月,仲裁庭作出了有利于Rena Holding的裁决(以下简称"第一份裁决"),裁定Rena Holding无需向Putrabali支付货款。

Putrabali不服仲裁庭作出的第一份裁决,因而依据1996年的《英国仲裁法案》中法院可以对于仲裁裁决中的法律适用进行审查这一规定,上诉到仲裁地的伦敦高等法院。伦敦高等法院认为,Rena Holding拒绝付款的行为违反了它在销售合同中的义务,因此,2003年5月,伦敦高等法院以Rena Holding违约为由,部分撤销了仲裁庭作出的第一份判决。

之后,双方的争议再次交由IGPA重新审理。2003年8月,仲裁庭作出了新的裁决(以下简称"第二份裁决"),裁定Rena Holding应向Putrabali支付购买辣椒的货款。

然而,2003年9月,Rena Holding向巴黎大审法院请求承认和执行第一份裁决,并获得了法院的同意。换言之,尽管第一份裁决已经被仲裁地的伦敦高等法院撤销,巴黎大审法院依然决定承认和执行该裁决。

于是,Putrabali向巴黎上诉法院提起了上诉。Putrabali认为,Rena Holding在第二份裁决明明存在的情况下却请求法院承认第一份裁决,这种做法无异于欺骗法院。然而,2005年3月,巴黎上诉法院维持了大审法院的决定,宣布承认和执行第一份裁决。

有趣的是,Putrabali随即向巴黎大审法院请求承认和执行第二份裁决,而且也获得了法院的同意,因为巴黎大审法院认为,法院并没有足够的理由不承认和执行第二份裁决,因此同意了Putrabali的请求。

然而,2005年11月,巴黎上诉法院推翻了大审法院的决定。按照上诉法院的观点,鉴于第一份裁决已经在法国得到承认和执行,那么它便产生了既判力(res judicata),所以针对同一当事人之间同一争议而作出的其他裁判结果,法院不得再予以承认和执行。

最后,该案被上诉至法国最高法院。2007年6月,法国最高法院维持了巴黎上诉法院的裁定,宣布承认和执行Putrabali案中的第一份裁决,对该案的第二份裁决不予承认和执行。

二、法国法院承认和执行Putrabali案第一份裁决的理由分析

首先,作为《承认及执行外国仲裁裁决公约》(即《纽约公约》)的缔约国,法国需要受到《纽约公约》的约束。在Putrabali案中,被仲裁地法院撤销的第一份裁决依然能够在法国得到承认和执行的关键就在于法国法院对于《纽约公约》第5条和第7条规定的解释。

根据《纽约公约》第5条规定,缔约国法院在该条列出的情况下可以拒绝承认和执行一份仲裁裁决,其中包括"仲裁裁决被仲裁地法院撤销"这一情况。实际上,《纽约公约》具有多种语言版本,且具有同等法律效力。值得注意的是,在《纽约公约》的英语版本中,第5条规定使用的措辞是,在该条列出的情况下,缔约国法院"可以(may)"拒绝承认和执行该仲裁裁决;但是《纽约公约》的法语版本使用的措辞是,在该条列出的情况下,缔约国法院"不得(seront refusées)"承认和执行该仲裁裁决。所以,适用《纽约公约》英文版本的国家,如英国、美国,对于公约第5条是否赋予执行地法院自由裁量权这一问题存在争议还情有可原,法国则不必受此问题的困扰,因为法语版本明确说明,在《纽约公约》第5条列出的情况下,法国法院不得承认和执行相应的仲裁裁决。换言之,一般来说,一份仲裁裁决被仲裁地法院撤销后在法国将不会得到承认和执行。

那么,Putrabali案中的第一份裁决又为什么能够得到承认和执行呢?原因就在于法国法院对于《纽约公约》第7条规定的解释。该条规定,《纽约公约》的条文不得影响缔约国参加的有关承认和执行仲裁裁决的多边或双边协定的效力,也不得剥夺任何利益相关人在执行地的法律或条约许可的方式和范围内通过援引仲裁裁决所享有的权利。根据法国法院的解释,《纽约公约》的第7条允许各缔约国通过条约或国内立法,为仲裁裁决的承认和执行提供更加便利的条件。因此,如果执行地的法律更利于仲裁裁决的承认和执行,那么执行地法院即可依据相关法律承认和执行仲裁裁决,而不必适用《纽约公约》。

接下来,法国法院指出,法国《民事诉讼法典》第1520条规定了法国法院撤销仲裁裁决的5种情形,而根据法国《民事诉讼法典》第1525条的规定,法国法院仅可以在第1520条规定列出的这5种情形下对一项仲裁裁决不予承认和执行。但是,法国法下,不予承认和执行的法定情形并不包括仲裁裁决受到仲裁地法院撤销这一情况。也就是说,按照法国《民事诉讼法典》第1525条的规定,仲裁裁决被仲裁地法院撤销并不构成其在法国不能得到承认和执行的法定理由。所以,在本案中,即使第一份裁决已经被仲裁地法院伦敦高等法院撤销,它依然有可能在法国得到承认和执行。

根据法国《民事诉讼法典》第1514条的规定,在法国承认和执行国际商事仲裁裁决需要满足两个条件:一是存在国际商事仲裁裁决;二是承认和执行该裁决不会违背国际公共秩序(ordre public internationale)。所以,接下来法院需要考虑承认和执行第一份裁决是否会侵害国际公共秩序。鉴于目前国际社会并没有就"国际公共秩序"的内涵达成一致,所以国际公共秩序究竟包含哪些内容、是否受到了侵害,都有赖于各国法院自己的理解。在Putrabali案中,法国法院通过行使自由裁量权,判定承认和执行第一份裁决并不会与国际公共秩序相悖,因此,法国法院允许承认和执行该判决。

至于第二份裁决,虽然巴黎大审法院裁定予以承认和执行,但是巴黎上诉法院和法国最高法院均认为应当适用"一事不再理"的法律原则,既然第一份裁决已经对争议当事人之间的权利义务关系作出了调整且得到了法国法院的承认,那么第二份裁决将因第一份裁决产生的既判力而自动失去法律效力。所以,法国最高法院最终宣布承认和执行第一份裁决,不承认和执行第二份裁决。

三、对于法国法院"绝对审查"态度的法理探讨

在承认和执行被撤销的仲裁裁决这一问题上,美国法院近十多年来采取"相对审查"的态度,即优先适用"国际礼让"的原则,尊重并遵从仲裁地法院撤销仲裁裁决的决定,只有在特殊情况下(如不承认和执行仲裁裁决会侵害美国的公共政策)才会承认和执行该仲裁裁决。相比之下,法国法院采取一种"绝对审查"的态度,即仲裁裁决是否被仲裁地法院撤销并不影响其在法国得到承认和执行,法国法院不必遵从其他国家法院的决定,而是完全可以对该仲裁裁决的效力进行自由裁量。如果经过审查后,法国法院认为承认和执行该裁决符合本国的法律,那么该仲裁裁决就可以在法国得到承认和执行。

事实上,法国法院并不是在Putrabali案中第一次采取"绝对审查"的态度。之前的判例(如Société Pabalk Ticaret Limited Sirketi c. Société Norsolor、Société Hilmarton Ltd v. Société Omnium de traitement et de valorisation(OTV)、République arabe d'Egypte v. Société Chromalloy Aero Services等)都可以证明法国法院一贯采取"绝对审查"的态度。但是这种态度的法理依据来自于哪里呢?

实际上,"绝对审查"的态度源自法国法院对于国际商事仲裁的理解和定位。在法国法院看来,国际商事仲裁裁决的正当性和有效性来自于国际社会对于公平、正义的共同追求。因此,国际商事仲裁裁决是国际正义的体现,它反映了世界上诸多国家共同的法律秩序,而不单单是某个国家的法律秩序。所以,国际商事仲裁裁决独立于任何国家的法律秩序,即使是仲裁地所在国的法院撤销了该仲裁裁决,也不会影响它在其他国家得到承认和执行。正如法国法院在Chromalloy案中指出的那样,"在埃及(即Chromalloy案中的仲裁地)作出的仲裁裁决是一项国际裁决,那么根据定义,该裁决并未被纳入埃及本国的法律秩序中。因此,即使它被仲裁地埃及法院撤销,该仲裁裁决也依旧存在。"因此,在Putrabali案中,法国法院延续了之前的做法,继续采取"绝对审查"的态度自主决定是否承认和执行该仲裁裁决。

四、对于法国法院承认和执行Putrabali案第一份裁决的反思

1.法国法院对于《纽约公约》第7条规定的解释

首先,法国法院承认和执行Putrabali案中第一份裁决的原因在于其对于《纽约公约》第7条规定的理解。根据法国法院的解释,该条规定在承认和执行仲裁裁决方面赋予了缔约国一定的权力和自由,如果执行地所在国签订的条约或国内立法更有利于承认和执行一份仲裁裁决,那么执行地法院可以直接援引该条约或国内立法,承认和执行该仲裁裁决。但问题在于,法国法院对于《纽约公约》第7条规定的理解是否符合公约文本的原义呢?

通过阅读《纽约公约》的文本,我们可以看出,《纽约公约》的起草者希望促进仲裁裁决的承认和执行,以保障仲裁的有效性和影响力,因此它在通过公约第5条协调各国撤销仲裁裁决的法律基础之后,又专门撰写了第7条规定,使得当事人在请求法院承认和执行仲裁裁决时可以享受更多的权利。可是,从《纽约公约》第7条使用的措辞来看,该条所指的仲裁裁决是否包括被撤销的仲裁裁决尚不明确。我们并不知道《纽约公约》起草者的本意只是想推动正常存在的仲裁裁决在各缔约国之间得到承认和执行,还是希望促进一切仲裁裁决的承认和执行,即使某份仲裁裁决已经被撤销也在所不问。法国法院的解释显然倾向于后者,对于第7条规定中的"仲裁裁决"采取了扩大解释,而这种解释方法是否合适仍有待商榷。

2.承认和执行Putrabali案中第一份裁决可能产生的问题

(1)对于善意原则的侵害

首先,法国法院承认和执行Putrabali案中第一份裁决可能会侵害善意原则(bona fide)。善意原则不仅应当适用于实体法律问题上,而且也应体现在法律程序之中。在Putrabali案中,Rena Holding在明知伦敦IGPA仲裁庭已经作出第二份裁决的情况下,请求法国法院承认第一份裁决,这种做法是否构成对于程序善意的侵害?而法国法院同意承认第一份裁决是否会助长当事人罔顾善意原则的意图?

(2)造成仲裁裁决法律效力的不确定性

法国法院以第一份裁决已经产生了既判力为由不予承认第二份裁决的做法并不完全令人信服。在本案中,Putrabali曾请求巴黎大审法院承认和执行第二份裁决,并且也得到了大审法院的同意。而第二份裁决最终没有被上诉法院和最高法院承认的原因,仅仅在于法国法院已经先承认了第一份裁决,由于第一份裁决已经产生了既判力,第二份裁决的法律效力只能被否认。从这个角度来看,法国法院对于这两份互相矛盾的仲裁裁决的审查并不是基于仲裁裁决的内容,而更像是基于当事人提出申请的时间。我们有理由相信,如果Putrabali可以在Rena Holding请求承认第一份裁决前,向法国法院请求承认和执行第二份裁决,那么整个Putrabali案的结果会完全不同,法国法院将承认和执行第二份裁决,并以第二份裁决产生了既判力为由否认第一份裁决的法律效力。因此,到底哪一份裁决能够在法国得到承认和执行,不再依据法院对于双方权利义务关系的实际审查,而是变成了双方当事人在申请法院承认裁决的时间上和行动速度上的比拼,这对于仲裁乃至法律的确定性和可预测性都将造成损害。

而且,事实上,Putrabali曾向法国法院提出过一个非常精彩的论点:在第一份裁决被仲裁地法院撤销后,IGPA仲裁庭重新审理本案并作出第二份裁决,这一系列过程实际上相当于仲裁庭只作出了一份仲裁裁决,即第二份裁决,因为第一份裁决已经被仲裁庭作出的第二份裁决所"取代"。那么第一份裁决也就不能再正常存在,只有第二份裁决才是真正意义上的仲裁裁决。因此,无论法国法院是否承认和执行仲裁裁决,都应当是对于第二份裁决作出的决定,并不应当涉及已经不可以再被视作裁决的第一份裁决。遗憾的是,法国法院并没有对于Putrabali的这一论点进行实质性反驳,而是仅仅依据"既判力"理论否认了第二份裁决的法律效力。所以,法院对于第二份裁决法律效力的判定或许需要更加充分的论据作为支撑。

(3)对于国际商事仲裁的有效性和确定性的消极影响

此外,执行地法院的自由裁量权和绝对审查的做法可能损害国际商事仲裁的有效性(effectiveness)和确定性(certainty)。

例如,在《纽约公约》的缔约国间,一份仲裁裁决在被作出后,如无特殊情况,应当在其他缔约国得到承认和执行,但是一旦执行地法院决定行使自由裁量权,对裁决进行重新审查,那么最终很有可能拒绝承认和执行该裁决,这实际上大大削弱了仲裁的有效性和权威性。同样,如果一份仲裁裁决被撤销,尤其是被仲裁地法院撤销,那么一般来说,该裁决很难再得到其他国家的承认和执行。但是如果执行地法院拥有不受约束的自由裁量权,那么它很可能承认和执行该裁决,进而威胁到仲裁的确定性。

由此可见,在上述情况下,仲裁裁决在被作出后,是否正常存在或者被撤销实际上已经毫无意义了,因为无论裁决结果正常存在或者被撤销都不会对于它的承认和执行产生实质性的影响,执行地法院的自由裁量和绝对审查才是仲裁裁决得以承认和执行的关键。从这个意义上说,执行地法院的自由裁量和绝对审查对于仲裁本身的有效性和确定性都造成了消极影响。

五、总 结

针对被撤销的仲裁裁决能否得到承认和执行这一问题,相比于美国法院的审慎态度,法国法院则采取了较为激进的"绝对审查"态度。在法国法院看来,国际商事仲裁裁决是国际正义的体现,其有效性和正当性并不依附于任何一个国家的法律秩序。因此,即使一份国际商事仲裁裁决被仲裁地的法院撤销也不会使其在法国自动丧失得到承认和执行的可能性。法国法院将依据本国的法律,对于仲裁裁决进行审查,并对符合法律的裁决予以承认和执行。

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Mondaq Free Registration
Gain access to Mondaq global archive of over 375,000 articles covering 200 countries with a personalised News Alert and automatic login on this device.
Mondaq News Alert (some suggested topics and region)
Select Topics
Registration (please scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

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.

By clicking Register you state you have read and agree to our Terms and Conditions