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研究生:雷思望
研究生(外文):Tovyanskyy Vyacheslav
論文名稱:國際商務仲裁判斷在中國法院承認與執行之研究
論文名稱(外文):International Commercial Arbitration, Awards Enforcement procedure in People Republic of China
指導教授:張顯超張顯超引用關係
指導教授(外文):Hsien-chao Chang
學位類別:碩士
校院名稱:國立中山大學
系所名稱:中國與亞太區域研究所
學門:社會及行為科學學門
學類:區域研究學類
論文種類:學術論文
論文出版年:2009
畢業學年度:97
語文別:英文
論文頁數:153
外文關鍵詞:New York ConventionPeople Republic of ChinaInternational Commercial ArbitrationAwards Enforcement procedure
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Due to the globalization processes , international trade has increased dramatically, resulting in growing number of disputes between companies from different countries. Effective and convenient way both to prevent and solve the conflicts is international arbitration. But if failing party does not voluntarily accomplish the award, the other side must apply for a special international procedure - recognition and enforcement of the award. The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 1958 is the main international treaty to instruct the process of enforcement of arbitral awards and arbitral awards may be refused only under certain grounds laid down in the Convention.

This paper is mainly focused on the award enforcement procedure in one of the biggest commercial markets of the world - China. According to the previous research, enforcement procedure in China has improved recently, however it still can not meet international standards.

In this paper we examine the procedure of enforcement first, moving from the available form of arbitration and process of choosing arbitration rules to behavior of the state as a part in the process. Then we introduce the article V of United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 1958, as a most important document for practical implementation of enforcement.

In order to understand current situation in China, author thinks it is necessary to make a short review of historical development of arbitral award enforcement system and legal basis relevant to the main purpose of this research. Finally, we analyze the present legal situation in China within the mechanism of recognition and enforcement of arbitral awards and show what kind of problems exist when it comes to practical realization of enforcement in China.

Our analysis shows that the main problems with practical enforcement in China include: local protectionism and different understanding of the definition and purpose of Public Policy. These problems are also illustrated by practical cases, which happened between Chinese and international companies. Our conclusion shows that mentioned problems are not connected with international mechanism of arbitral awards, but with the complications of its implementation in China. Some of the problems can be solved if involving party prepares thoroughly for the process, but some of them can be solved if central and local government of China stops maintaining its policy of local protectionism.
Table of contents…………………………………………………………............................…………..i
List of acronyms…………………………………………………………………………….………….vi
Abstract……………………………….…………………………………………………………..……vii
Chapter I Introduction
1.1. The Topic……………………………………………..……………………………………...….1
1.2. Purpose and Delimitations…………………………………….……………………………….11
1.3. Method and Materials……………………………………………….…………………………13
1.4. Terminology…………………………………………………………………………….……...15
1.4.1. International arbitration………………………………………………………….…….15
1.4.2. Recognition and Enforcement ………………………………………….……………..17
1.5. Outline…………………………………………………..………………….………..…………18
Chapter II International Arbitral Awards
2.1. General Matters………………………………………………………………………...………20
2.2. Forms of Arbitration……………………………………………………………….……….….21
2.2.1. Institutional proceeding arbitration…………………………………………….………21
2.2.2. Ad hoc arbitration………………………………………………………………….…..22
2.3. Choosing Arbitration Rules………………….……………………………….………….…….24
2.4. Enforcement of Court Judgements and Arbitral Awards……………………………….….….29
2.5. Consequences of Refusal of Arbitral Awards…………………….…………………….……..31
2.6. A State as a Party to the Arbitration Agreement……….………………………………….…..32

Chapter III The Convention on the Recognition and Enforcement of Foreign Arbitral Awards
3.1. Grounds for Refusal in General……..……………………………………………...………….39
3.1.1. Convention’s scope of application………………………………………...…………...39
3.1.2. Legal obligations of ratifying……………………………………………..….……..40
3.1.3. The duty of national courts……………………………………………….…..……...41
3.1.4. Main aspects of the grounds for refusal……….………………………………..….…..42
3.1.5. Interpretation of the language………………………………………………………….44
3.1.6. Choice-of-law framework………………………………………..................................45
3.2. Invalidity of the Arbitration Agreement…………………………………………………….....48
3.2.1. Capacity of a party and an invalidity of the arbitration agreement…………….…..…..48
3.2.2. Different opinions about Article V (1)(a) …………………………………….……….50
3.2.3. The doctrine of separability…………………………………………………….……...52
3.3. Violation of Due Process……………………………………………………………………....53
3.4. Excess by Arbitrator of his Authority……….…………………………………………..….….57
3.5. Irregularity in the Composition of the Arbitral Tribunal or the Arbitral Procedure…………...59
3.6. Award not Binding……………………………………………………………………..…..…..60
3.7. Ex Officio Grounds…………………………………………………………………………….62
3.7.1 Public policy concept………………………………………………...………………...62
3.7.2 The non-arbitrability matters……………………………………………..…………...63
Chapter IV Development of the Chinese law
4.1. Historical stages of Chinese Law…………………………………………………………….67
4.1.1. Non -Western legal systems period……………………………………………..……..67
4.1.2. Based on Western legal systems period…………………………………………..........70
4.2. Current Judicial System of the PRC……………………………………………………..….…71
4.2.1. Legal base for judicial system of the PRC……………………………………….........71
4.2.2. Court’s hierarchy………………………………………………………………….…...71
4.2.3. The independence of courts………………………………………………………........73
4.3. General sources of Law in China……………………………………………………….…..…74
4.4. Reform of Chinese legal system……………………………………………………...………..78
4.5. Case law in Chinese legal system…………………………………….……………………….81
4.6. Alternatives for Commercial Dispute Resolution…………………………………………...…82
4.7. CIETAC and Arbitration Law in China…………………...…………………………………...84
4.8. The Revision of CIETAC Rules…………………………………………………….………...86
4.9. The civil procedure law and arbitration……….…………………………………….…………88
4.10. The historical stage for Enforcement of Arbitral Awards in PRC…………………………….89
4.10.1. Related-Legislation Blank……………………………………………………..89
4.10.2. Domestic Legislation Established and International Conventions Acceded…..89
4.10.3. Domestic Legislation to be Further Improved…………………………..……..95
a. Obstacles from “local-protectionism”…………………………………………….95
b. “Double Report System”established: to overcome the“local-protectionism”……97
c. Domestic Legislations need to be further improved………………………….....101
Chapter V The Enforcement Procedure in China
5.1. Procedural Requirements…………………………………………………………………..103
5.1.1. Requirements from SPC…………………………………………………….……….103
5.1.2. Requirements from courts…………………………………………….………………105
5.1.3. Litigation Fees………………………………………………………………………..106
5.2. Practical Issues………………………………………………………………………...……..107
5.2.1. Supreme People''s Court’s web-based database………………………………..….….108
5.2.2. R. Peerenboom and Arbitration Research Institute (ARI) surveys…………..….……109
5.2.3. Other problems…………………………………………………………………..….111
5.3. Internal Review……………………………………………………………………………….113
5.3.1. The goals of pre-reporting system……………………………………………………113
5.3.2. The problems of pre-reporting system……………………………………………….115
5.4. Local Protectionism……………………………………………...…………………………...116
5.4.1. Personal relationships (guanxi)…………………………………………………….…116
5.4.2. Revpower case and Food Industries Planning and servicing case……………………117
5.4.3. Other criticism of local protectionism………………………………………………..119
5.5. Public Policy…………………………………………………………………………..……..121
5.5.1. Social and public interests…………………………………………………….……...121
5.5.2. Substantive approach or a procedural approach…………….......................................123
5.6. State Entity as a Party……………………………………………………………………….124
5.7. Obtaining Remedies included in the Award………………………………………………...126
ChapterVI Conclusions………………………………………………………………………128
References
International instruments……………………………………………………………………………136
Law and regulations…………………………………………………………………………………137
Bibliography…………………………………………………………………………………………140
Government documents……………………………………………………………………………..146
Cases…………………………………………………………………………………………………149
Internet resources…………………………………………………………….....................................150
References
International Instruments
Convention on the Recognition and Enforcement of Foreign Arbitral Awards Done at
New York, 10 June 1958; entered into force, 7 June 1959 United Nations, Treaty Series, vol. 330, p. 38, No. 4739 (1959).
International Convention on the Settlement of Investment Disputes between States and Nationals of Other States (The Washington Convention). Submitted to Governments by the Executive Directors of the International Bank for Reconstruction and Development, Submitted: March 18, 1965, Washington. Entered into Force: October 14, 1966.
The Convention on the Law applicable to Contractual Obligations of 19 June 1980. Opened for signature in Rome on 19 June 1980.
The UNCITRAL Arbitration Rules, approved by GA Resolution 31/98, 8 UNCITRAL YB 7, published in 1976.
The UNCITRAL Model Law on International Commercial Arbitration, UN Doc A/40/17, published in 1985.
Laws and Regulations
China
Arbitration Law of the People s Republic of China, promulgated August 31, 1994; effective September 1 1995.

Arrangement Regarding the Mutual Recognition and Enforcement of Arbitral Awards between the Hong Kong Special Administration Region and Mainland China. Effective February 1, 1999, allowing retroactive implementation to July 1, 1997.
Bankruptcy Code of PRC was adopted in 2006.8.27, and became effective since 2007.6.1
Civil Procedure Law of the People s Republic of China, adopted April 9, 1991.
Contract Law of the People s Republic of China, effective 1 October, 1999.
Law on Industrial Enterprises Owned by the Whole People, adopted April 13, 1988.
Methods for Collecting Litigation Fees by the People s Court, issued June 1989.
Notice on the Implementation of China s Accession to the Convention on the Recognition
and Enforcement of Foreign Arbitral Awards (1987 Notice).
Notice on Courts Handling of Issues in Relation to Matters of Foreign-Related Arbitration and Foreign Arbitration, effective August 28 1995 (1995 Notice).
Stipulations on Several Issues in respect of Enforcement Work of the People s Court, issued June 1998.
Stipulations on the Questions with Respect to the Charging Fees and the Time Limit for
Examination in Recognition and Enforcement of Foreign Arbitral Awards, issued October 1998.
Several Questions Concerning the Applicability of the PRC Civil Procedural Law Opinion.

France
The French Decree Law no. 81-500 of May 12, 1981.
Portugal
The Code of Civil Procedure (1986).
Sweden
The Swedish Arbitration Act (1999:116).
Ukraine
Act on Arbitration Tribunals on 11 May 2004
Act on Private International Law on 23 June 2005 in Ukraine.
England
Arbitration Act 1979 of England
Arbitration Act 1996 of England
Indonesia
Civil Procedure Law of Indonesia
Australia
New South Wales 1984 Commercial Arbitration Act Australia
Switzerland
Private International Law Act of Switzerland
Bibliography
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Cases
China
China Nanhai Oil Joint Service Cpn v Gee Tai Holdings Co. Ltd. Volume XX (1995) Yearbook Commercial Arbitration, p. 671.
Dongfeng Garments Factory of Kai Feng City and Tai Chu International Trade (HK)
Company Ltd. v. Henan Garments Import and Export (Group) Company (China). The case is not officially reported.
Revpower Ltd. versus the Shanghai Far East Aero-Technology Import and Export Corporation (SFAIC). The case is not officially reported.
Italy
Corte di cassazione, 9 March 1996, no 4342, Société Arabe des Engrais Phosphates et Azotes SAEPA (Tunisia) and Société Industrielled Acide Phosphoriqueetd Engrais-SIAPE (Tunisia) v Gemanco Srl Italy (YBCA 737 (1997) 74).
Germany
Oberlandesgericht of Munich, June 20, 1978 (F.R. Germ. No. 14).
Oberlandesgericht of Bremen. The case is not officially reported.
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www.bcecc.be/docs/200706043644_enforcement%20of%20a%20foreign%20arbitral%20award.doc available on 12-05-09.
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