China: 被撤销的国际商事仲裁裁决的承认和执行 覧以Pemex案为例分析美国法院采取的

Last Updated: 24 July 2019
Article by W Ji瀟'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Pemex案为例分析美国法院采取的相对审查权态度

引言

在国际商事仲裁中,仲裁裁决的承认和执行是广受关注的问题,因为它不仅关系着争议当事人的权利能否在实质上得到救济,而且也决定着仲裁本身的法律效力。如果仲裁裁决在作出后不能得到有效的承认和执行,那么仲裁裁决存在的意义就将大打折扣,同时也会削弱仲裁作为主要争议解决方式的地位和影响。目前,针对"仲裁裁决被仲裁地法院撤销后能否在他国得到承认和执行"这一问题,无论是学术界还是实务界都无法给出定论。本文以著名的Corporación Mexicana De Maten- imiento Integral, S. De R.L. De C.V. v Pemex-Exploración Y Producción(以下简称Pemex案)为例,分析美国法院对此问题的态度和做法。

一、Pemex案情简介

Commisa是美国公司KBR在墨西哥设立的一家子公司,主要负责基础设施建设和维修。Pemex是墨西哥一家大型的国有石油公司。1997年,Pemex通过它的子公司PEP与Commisa签订了建筑工程合同,约定由Commisa为其在墨西哥湾建造并安装两座天然气平台。该合同中包含仲裁条款,约定一旦双方产生争议,应提交至国际商会(ICC)仲裁院并根据墨西哥法律进行裁决,仲裁地为墨西哥城。

2004年间,因为一系列状况的出现,Pemex和Commisa均指责对方违反了合同义务。经调解无效后,Commisa向ICC提交了仲裁申请。不久,Pemex宣称,由于Commisa违反了合同义务,所以Pemex要与其解除建筑工程合同。Commisa认为Pemex无权单方面解除合同,因此向仲裁所在地墨西哥当地法院寻求救济。在此过程中,墨西哥最高法院出具了一份司法意见并指出,Pemex是国有企业,因此其解除合同的行为属于具体行政行为,而非商业行为,对此争议应由对行政争议有管辖权的法院进行审理。正是这份指导意见,为后续仲裁裁决的承认和执行纷争埋下了伏笔。

但Commisa并没有向墨西哥主管行政争议的法院提起诉讼,而是向ICC仲裁庭主张Pemex应赔偿由其单方面解除合同而使Commisa受到的损失。2009年12月,仲裁庭作出了有利于Commisa的裁决结果,裁定Pemex应向Commisa支付3亿美元的赔偿。值得一提的是,在仲裁庭作出裁决之前,墨西哥通过了两项法律,规定如果当事人提出的争议涉及政府或国有企业签订的公共合同(public contracts),那么该争议只能由墨西哥税务及行政法院专属管辖,且诉讼时效为45天;此外,国有企业单方面解除公共合同的行政决定不具有可仲裁性。

在ICC仲裁庭作出裁决后,2010年1月,Commisa请求美国纽约联邦地区法院承认该裁决,并执行Pemex在美国的资产。与此同时,Pemex向墨西哥法院请求撤销仲裁庭作出的裁决。有趣的是,纽约联邦地区法院承认了该仲裁裁决,而墨西哥上诉法院则依据墨西哥最高法院之前出具的指导意见以及墨西哥新通过的法律,以相关争议不具有可仲裁性为由,撤销了该裁决。随后,纽约联邦地区法院重新考虑了是否应当承认和执行这个已经被仲裁地法院(即墨西哥法院)撤销了的仲裁裁决。2013年8月,纽约联邦地区法院仍然决定承认和执行该裁决,但Pemex进行了上诉。2016年8月,美国第二巡回法院维持了地区法院的判决结果,宣布在美国承认并执行Pemex案的仲裁裁决。

二、美国法院承认和执行Pemex案仲裁裁决的理由分析

在考虑是否应当承认和执行Pemex案仲裁裁决时,美国纽约联邦地区法院首先参考了《1975年美洲国家间国际商事仲裁公约》(即《巴拿马公约》),该条约适用于美洲国家组织各成员国,因此对于美国和墨西哥都具有约束力。《巴拿马公约》针对缔约国法院承认和执行在另一缔约国作出的仲裁裁决进行了专门规定,这些规定与《纽约公约》中的相关条文非常接近。因此,Pemex案仲裁裁决是否能在美国得到承认和执行,取决于美国法院对于《巴拿马公约》及《纽约公约》有关条文的解释。

首先,美国纽约联邦地区法院指出,《巴拿马公约》的第5条第1款(也即《纽约公约》的第5条第1款)规定,缔约国法院"可以"在该条款列出的一些情况下拒绝承认和执行仲裁裁决。美国纽约联邦地区法院据此宣称,公约的措辞表明美国法院在是否承认和执行仲裁裁决的问题上具有自由裁量权。其次,法院认为,从公约的文本上看,该自由裁量权的范围包括已经被仲裁地法院撤销的仲裁裁决;换言之,即使一份仲裁裁决已经被仲裁地法院撤销,美国法院依然可以自行决定是否承认和执行该裁决。

接下来,法院开始具体分析是否应当承认和执行Pemex案的仲裁裁决。为此,法院援引了两个重要的判例:Baker Marine (Nig) Ltd v Chevron (Nig) Ltd.,(2d Cir1999) 和TermoRio SA ESP v Electranta, (DC Cir 2007)。Baker Marine案确立了"国际礼让"(international comity)的原则,即如果仲裁地所在国的法院撤销了当地作出的仲裁裁决,那么美国法院应当尊重并遵从仲裁地法院的判决,不予承认和执行已被撤销了的仲裁裁决,除非美国法院有足够的理由不这样做。相比之下,TermoRio案则进一步澄清和发展了"国际礼让"原则。在TermoRio案中,美国法院认定,当且仅当外国法院撤销仲裁裁决的行为与美国所认知的公平、正义等根本概念相悖时,美国法院才可以承认并执行被撤销的仲裁裁决。在Baker Marine案和TermoRio案中,美国法院均认为没有足够的理由不遵守"国际礼让"的原则,所以对于这两个案件中被撤销的仲裁裁决都不予承认和执行。因此,根据这两个重要判例,如无特殊情况,美国法院原则上不应承认和执行被仲裁地法院撤销的仲裁裁决。

但是,美国纽约联邦地区法院进一步指出,Pemex案与上述两个判例不同,因为不承认和执行Pemex案中的仲裁裁决将会损害美国社会对于公平、正义等根本概念的认知,从而侵害美国的公共政策。法院给出的理由主要包括以下几点。

其一、墨西哥在Pemex案提交仲裁后通过了新法律,其中规定,国家或国有企业通过行使行政解除权单方面解除合同,由此产生的争议不可以通过仲裁解决。该新法律不应当追溯适用于Pemex案,否则就违背了基本的公平原则,因为Commisa在和Pemex签订建筑工程合同时根本无法预见相关争议会丧失可仲裁性。

其二、墨西哥新通过的法律规定,只有墨西哥税务及行政法院才能够对国有企业行使行政解除权而产生的争议享有专属管辖权,且诉讼时效为短短的45天。而Pemex案早已过了45天的诉讼时效,Commisa已经无法再向墨西哥税务及行政法院寻求救济。因此,墨西哥法院撤销Pemex案仲裁裁决的做法,实际上剥夺了Commisa能够得到司法救济的权利,而这与美国所认知的每个人都应当享有寻求司法救济的均等权利相悖,从而严重损害了美国的公共政策。

基于上述理由,美国纽约联邦地区法院认为,Pemex案的具体情况足以构成不适用国际礼让原则的例外情形,从而应当承认和执行Pemex案中被仲裁地法院撤销的仲裁裁决。美国第二巡回法院维持了地区法院的判决,依据的理由大体相似。

三、对美国法院承认和执行Pemex案仲裁裁决的反思

Pemex案仲裁裁决在美国得到承认和执行的关键在于美国法院对于《纽约公约》第5条规定(也即《巴拿马公约》第5条规定,因为二者在实质上高度一致)的解读。该条文第1款规定:"只有被申请执行的当事人向申请承认和执行地的主管机关提供证据证明有下列情形之一时,被援引的仲裁裁决才可以被拒绝承认和执行:......(e)该仲裁裁决对于当事人还未产生约束力,或者被裁决作出地所在国或者准据法所属国有管辖权的机关撤销或中止执行。"第5条第2款规定:"如果申请承认和执行地的主管机关发现......承认和执行仲裁裁决会与本国的公共政策相悖,那么该主管机关可以拒绝承认和执行该裁决。"

按照美国法院的逻辑,《纽约公约》第5条中使用的措辞"可以"明确给予了执行地法院自由裁量权,而该自由裁量权的范围包括自行决定是否承认和执行一份被撤销的仲裁裁决。然后基于各种考量,最终美国法院决定承认和执行Pemex案的判决。但是问题在于,美国法院对于《纽约公约》第5条的解释符合该国际条约的文本原意吗?

仔细研读《纽约公约》,我们可以发现,该国际条约的起草者希望能够协调缔约国对于仲裁协议的认识、促进仲裁裁决的承认和执行,从而推动仲裁成为国际商事争议的主要解决方式。因此,《纽约公约》的总体精神是支持仲裁裁决得到承认和执行,仅是在第5条列明的特殊情况下,允许缔约国对其不予承认和执行。但是,《纽约公约》第5条并没有明确规定仲裁裁决被撤销后的情况。换言之,《纽约公约》第5条允许缔约国对于一项正常存在的仲裁裁决不予承认和执行,而美国法院将其解释成允许缔约国承认和执行一项被撤销的仲裁裁决。由此可见,二者的意义并不完全相同。因此,美国法院对于《纽约公约》第5条规定的扩张解释值得商榷。

四、总 结

由于世界上很多公司在美国都有资产,所以美国法院对于承认和执行仲裁裁决的态度将对这些公司产生重大影响。目前来说,美国法院对于是否承认和执行被撤销的仲裁裁决还是持审慎态度的。一方面,美国法院强调国际礼让原则,认为如无特殊情况应当尊重他国法院撤销仲裁裁决的决定,不予承认和执行该仲裁裁决;但另一方面,美国法院没有放弃对于仲裁裁决的掌控,它声称对于裁决的承认和执行拥有自由裁量权,如果被撤销的仲裁裁决不能得到承认和执行将会侵害美国的公共政策,那么美国法院可以对该裁决予以承认和执行。

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