仲裁司法审查实务研究(下篇):比较研究申请撤销仲裁裁决和申请不予执行仲裁裁决的异同及制度衔接问题
Practical Research on Arbitration Judicial Review (Part 3): A Comparative Study of the Similarities and Differences Between Applications for Revocation of Arbitration Awards and Applications for Non-Enforcement of Arbitration Awards, and Issues Concerning System Articulation
仲裁司法审查实务研究(下篇):比较研究申请撤销仲裁裁决和申请不予执行仲裁裁决的异同及制度衔接问题
Practical Research on Arbitration Judicial Review (Part 3): A Comparative Study of the Similarities and Differences Between Applications for Revocation of Arbitration Awards and Applications for Non-Enforcement of Arbitration Awards, and Issues Concerning System Articulation
引 言:
通常来说,国内仲裁分为商事仲裁和劳动争议仲裁。本期仲裁司法审查实务研究系列文章仅探讨商事仲裁,即《中华人民共和国仲裁法》(简称《仲裁法》)第二条所规定的“平等主体的公民、法人和其他组织之间发生的合同纠纷和其他财产权益纠纷”引发的仲裁。
本系列文章分为上中下三篇,上篇浅析当事人对国内商事仲裁裁决不服的救济途径,中篇重点探讨“双方有无仲裁协议”的司法审查标准,下篇(本篇)比较研究申请撤销仲裁裁决和申请不予执行仲裁裁决的异同及制度衔接问题。
一、制度的异同
(一)相同点
由上篇可知,《民事诉讼法》和《仲裁法》对申请撤销和不予执行仲裁裁决的法定事由可谓完全相同,除公共利益的审查外,都是裁决程序性审查,基本属于程序方面事实判断的问题,具体如下:
《仲裁法》 第五十八条 | 《民事诉讼法》 第二百四十八条 |
当事人提出证据证明裁决有下列情形之一的,可以向仲裁委员会所在地的中级人民法院申请撤销裁决: | 被申请人提出证据证明仲裁裁决有下列情形之一的,经人民法院组成合议庭审查核实,裁定不予执行: |
(一)没有仲裁协议的; | (一)当事人在合同中没有订有仲裁条款或者事后没有达成书面仲裁协议的; |
(二)裁决的事项不属于仲裁协议的范围或者仲裁委员会无权仲裁的; | (二)裁决的事项不属于仲裁协议的范围或者仲裁机构无权仲裁的; |
(三)仲裁庭的组成或者仲裁的程序违反法定程序的; | (三)仲裁庭的组成或者仲裁的程序违反法定程序的; |
(四)裁决所根据的证据是伪造的; | (四)裁决所根据的证据是伪造的; |
(五)对方当事人隐瞒了足以影响公正裁决的证据的; | (五)对方当事人向仲裁机构隐瞒了足以影响公正裁决的证据的; |
(六)仲裁员在仲裁该案时有索贿受贿,徇私舞弊,枉法裁决行为的。 | (六)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。 |
人民法院认定该裁决违背社会公共利益的,应当裁定撤销。 | 人民法院认定执行该裁决违背社会公共利益的,裁定不予执行。 |
(二)不同点
1. 申请主体
申请撤销仲裁裁决
《最高人民法院关于对崇正国际联盟集团有限公司申请撤销仲裁裁决人民法院应否受理的复函》【〔2001〕民立他字第36号】明确,“北京市高级人民法院:你院《关于案外第三人申请撤销仲裁裁决人民法院是否受理的请示》已收悉。经研究,答复如下:《中华人民共和国仲裁法》第七十条规定的“当事人”是指仲裁案件的申请人或被申请人,崇正国际联盟集团有限公司并非V19990351号仲裁案件的申请人或被申请人,该公司不具备申请撤销该仲裁裁决的主体资格,故对该申请人民法院不予受理”。
此外,在“仲裁机构、案外人能否申请撤销仲裁裁决”这一问题上,最高人民法院民事审判第一庭编的《民事审判实务问答》(法律出版社,2021年版,第417-418页)明确作出答复:“仲裁委员会申请撤销仲裁裁决无法律依据,况且其作为仲裁裁决的主体,不能再作为撤销其裁决的申请人。案外人,是专指除当事人以外,其法律上的权益因执行行为而可能受到侵害的人,即与执行标的有利害关系的人。由于《仲裁法》第五十八条仅将申请撤销仲裁裁决的权利赋予当事人而未授予案外人,故依据现行法律其也不能成为申请撤销仲裁裁决的主体”。
由此可知,现行法律之下,
撤销仲裁裁决的申请主体仅限于仲裁裁决的当事人。
申请不予执行仲裁裁决
依据前述《民事诉讼法》第二百四十八条规定,
申请不予执行仲裁裁决的权利主体为被申请执行人。
同时,《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》第九条规定,“案外人向人民法院申请不予执行仲裁裁决或者仲裁调解书的,应当提交申请书以及证明其请求成立的证据材料,并符合下列条件:(一)有证据证明仲裁案件当事人恶意申请仲裁或者虚假仲裁,损害其合法权益;(二)案外人主张的合法权益所涉及的执行标的尚未执行终结;(三)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。”由此可知,
符合条件的案外人也有权申请不予执行仲裁裁决。
2. 申请期限
申请撤销仲裁裁决
《仲裁法》第五十九条规定,当事人申请撤销裁决的,应当自收到裁决书之日起六个月内 提出。
申请不予执行仲裁裁决
《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》(施行日期:2018年3月1日)第八条规定,被执行人向人民法院申请不予执行仲裁裁决的,应当在执行通知书送达之日起十五日内提出书面申请;有《民事诉讼法》第二百三十七条第二款第四、六项规定情形(现为前述所提及的《民事诉讼法》第二百四十八条第二款第四、六项)且执行程序尚未终结的,应当自知道或者应当知道有关事实或案件之日起十五日内提出书面申请。本条前款规定期限届满前,被执行人已向有管辖权的人民法院申请撤销仲裁裁决且已被受理的,自人民法院驳回撤销仲裁裁决申请的裁判文书生效之日起重新计算期限。
3. 管辖法院
申请撤销仲裁裁决
《仲裁法》第五十八条规定,“当事人提出证据证明裁决有下列情形之一的,可以向仲裁委员会所在地的中级人民法院申请撤销裁决:……”
申请不予执行仲裁裁决
《最高人民法院关于适用〈中华人民共和国仲裁法〉若干问题的解释》第二十九条规定,“当事人申请执行仲裁裁决案件,由被执行人住所地或者被执行的财产所在地的中级人民法院管辖”。相应地,不予执行仲裁裁决的申请应当向具体受理仲裁裁决执行案件的法院提交。
4. 申请费用
申请撤销仲裁裁决
《诉讼费用交纳办法》第十四条第(五)款规定,“申请撤销仲裁裁决或者认定仲裁协议效力的,每件交纳400元”。
申请不予执行仲裁裁决
目前没有明确规定需要交纳费用。司法实践中,法院一般不要求申请人交纳申请不予执行仲裁裁决的相关费用。
5. 审查期限
申请撤销仲裁裁决
《仲裁法》第六十条规定,“人民法院应当在受理撤销裁决申请之日起两个月内作出撤销裁决或者驳回申请的裁定。”
申请不予执行仲裁裁决
《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》(施行日期:2018年3月1日)第十二条规定,“人民法院对不予执行仲裁裁决案件的审查,应当在立案之日起两个月内审查完毕并作出裁定;有特殊情况需要延长的,经本院院长批准,可以延长一个月 。”
6. 申请后中止执行的条件
申请撤销仲裁裁决
依据《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》第七条第一款的规定,被执行人申请撤销仲裁裁决并已由人民法院受理的 ,执行法院应当裁定中止执行。
申请不予执行仲裁裁决
依据《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》第七条第一款的规定,被执行人、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。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;执行标的查封、扣押、冻结期限届满前,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。
7. 人民法院审查后能否通知仲裁庭重新仲裁
申请撤销仲裁裁决
法院对申请撤销仲裁裁决的审查结果有两种情形: (1)理由不成立的,裁定驳回申请; (2)理由成立的,根据情况,通知仲裁庭裁定撤销仲裁裁决或重新仲裁。
具体依据如下:
《最高人民法院关于适用〈中华人民共和国仲裁法〉若干问题的解释》第十九条规定,“当事人以仲裁裁决事项超出仲裁协议范围为由申请撤销仲裁裁决,经审查属实的,人民法院应当撤销仲裁裁决中的超裁部分。但超裁部分与其他裁决事项不可分的,人民法院应当撤销仲裁裁决。”又第二十一条规定,“当事人申请撤销国内仲裁裁决的案件属于下列情形之一的,人民法院可以依照仲裁法第六十一条的规定通知仲裁庭在一定期限内重新仲裁:(一)仲裁裁决所根据的证据是伪造的;(二)对方当事人隐瞒了足以影响公正裁决的证据的。人民法院应当在通知中说明要求重新仲裁的具体理由。”
同时,需要注意的是,依据《仲裁法》第六十四条的规定,“一方当事人申请执行裁决,另一方当事人申请撤销裁决的,人民法院应当裁定中止执行。人民法院裁定撤销裁决的,应当裁定终结执行。撤销裁决的申请被裁定驳回的,人民法院应当裁定恢复执行。”
申请不予执行仲裁裁决
法院对申请不予执行仲裁裁决的审查结果有两种情形: (1)理由不成立的,裁定驳回不予执行申请; (2)理由成立的,裁定不予执行仲裁裁决。
但无论是哪一种审查结果,裁定作出后,均不能再通知仲裁庭重新仲裁。
具体依据为:
《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》第十九条第二款规定,“被执行人、案外人对仲裁裁决执行案件申请不予执行,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。”
此外,特别注意的是,《仲裁法》第九条明确规定,“裁决被人民法院依法裁定撤销或者不予执行的,当事人就该纠纷可以根据双方重新达成的仲裁协议申请仲裁,也可以向人民法院起诉。”
8. 救济途径
申请撤销仲裁裁决
《民事诉讼法》第一百五十七条第一、二款规定,“裁定适用于下列范围:(一)不予受理;(二)对管辖权有异议的;(三)驳回起诉;(四)保全和先予执行;(五)准许或者不准许撤诉;(六)中止或者终结诉讼;(七)补正判决书中的笔误;(八)中止或者终结执行;(九)撤销或者不予执行仲裁裁决;(十)不予执行公证机关赋予强制执行效力的债权文书;(十一)其他需要裁定解决的事项。对前款第一项至第三项裁定,可以上诉。”
《最高人民法院关于适用《中华人民共和国民事诉讼法》的解释(2022修正)》第三百七十九条规定,“当事人认为发生法律效力的不予受理、驳回起诉的裁定错误的,可以申请再审。”
《最高人民法院关于审理仲裁司法审查案件若干问题的规定》第八条规定,“人民法院立案后发现不符合受理条件的,裁定驳回申请。前款规定的裁定驳回申请的案件,申请人再次申请并符合受理条件的,人民法院应予受理。当事人对驳回申请的裁定不服的,可以提起上诉。”又第二十条规定,“人民法院在仲裁司法审查案件中作出的裁定,除不予受理、驳回申请、管辖权异议的裁定外,一经送达即发生法律效力。当事人申请复议、提出上诉或者申请再审的,人民法院不予受理,但法律和司法解释另有规定的除外。”
由此可知,现行法律规定之下,对于撤销仲裁裁决的申请,人民法院经过实体审查后, 无论是裁定驳回申请,还是裁定撤销仲裁裁决或者通知仲裁庭在一定期限内重新仲裁,对于该裁定,当事人不得申请复议、提起上诉或者申请再审。
同时,需要特别注意区分的是,对于裁定驳回撤销仲裁裁决的申请,人民法院立案后发现该申请不符合受理条件从而裁定驳回申请的,就该裁定可以提起上诉 ;但是,人民法院立案且经过实体审查后再裁定驳回撤销仲裁裁决的申请,就该裁定不能提起上诉。
对此,最高人民法院2024年12月26日发布的《法答网精选答问(第十四批)——仲裁司法审查专题》中亦有专门提及:
问题2:人民法院以当事人超过申请撤销仲裁裁决的期限为由作出驳回申请的裁定,该类裁定能否上诉、能否申请再审?如允许上诉、申请再审,该类裁定同时包括撤裁事由审查内容的,应如何处理? 答疑意见:根据仲裁法第五十九条的规定,当事人申请撤销裁决的,应当自收到裁决书之日起六个月内提出。当事人超过六个月期限提出撤销仲裁裁决申请的,由于不符合人民法院受理申请撤销仲裁裁决案件的条件,应当裁定不予受理,已经受理的,应当裁定驳回申请。
此类裁定属于程序性驳回的裁定,不同于进入仲裁司法审查程序后人民法院根据仲裁法规定的应予撤销仲裁裁决的法定事由进行审查作出的裁定。 根据《最高人民法院关于审理仲裁司法审查案件若干问题的规定》第七条、第八条、第二十条的规定,对于不予受理的裁定、因不符合受理条件而驳回申请的裁定,申请人可以上诉,也可以申请再审。据此,对于因当事人超出申请撤裁期限而不予受理或者被驳回申请的裁定,当事人均可以上诉,也可以申请再审。
申请人申请撤销仲裁裁决,人民法院受理后认为已经超过六个月期限的,应当直接裁定驳回申请,无需对当事人提出的撤裁事由进行审查。如果人民法院同时进行了审查并裁定驳回申请的,人民法院在上诉、再审审查程序中仅限于审查原裁定对超出撤裁申请期限的认定是否正确,对申请撤销仲裁裁决理由是否成立等问题不需予以审查。
申请不予执行仲裁裁决
《民事诉讼法》第二百四十八条第五款规定,“仲裁裁决被人民法院裁定不予执行的,当事人可以根据双方达成的书面仲裁协议重新申请仲裁,也可以向人民法院起诉”。
《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》第二十二条规定,“人民法院裁定不予执行仲裁裁决、驳回或者不予受理不予执行仲裁裁决申请后,当事人对该裁定提出执行异议或者申请复议的,人民法院不予受理。人民法院裁定不予执行仲裁裁决的,当事人可以根据双方达成的书面仲裁协议重新申请仲裁,也可以向人民法院起诉。人民法院基于案外人申请裁定不予执行仲裁裁决或者仲裁调解书,当事人不服的,可以自裁定送达之日起十日内向上一级人民法院申请复议;人民法院裁定驳回或者不予受理案外人提出的不予执行仲裁裁决、仲裁调解书申请,案外人不服的,可以自裁定送达之日起十日内向上一级人民法院申请复议”。
最高人民法院2021年3月31日作出的(2021)最高法执监12号执行裁定书明确认定:民事诉讼法及其解释“仲裁裁决被人民法院裁定不予执行的,当事人可以根据双方达成的书面仲裁协议重新申请仲裁,也可以向人民法院起诉”的规定只是规定了当事人对不予执行仲裁裁决的裁定提出执行异议或者复议,人民法院不予受理,但并未禁止人民法院对该类裁定依法启动执行监督程序 。本案中,武汉百兴对恩施中院(2017)鄂28执9号执行裁定提起的是申诉而非执行异议或复议 ,湖北高院也是依照《最高人民法院关于人民法院执行工作若干问题的规定(试行)》第129条规定(该规定于2020年修正,现为第71条)的执行监督程序作出(2019)鄂执监16号执行裁定,在程序上并不违反上述司法解释的规定 。
《最高人民法院关于人民法院执行工作若干问题的规定(试行)(2020修正)》第71条规定,“上级人民法院依法监督下级人民法院的执行工作。最高人民法院依法监督地方各级人民法院和专门法院的执行工作”。
由于有权申请不予执行仲裁裁决的主体包括被申请执行人和符合条件的案外人。依据上述法律规定可知,救济途径分为以下3种情形:
(1)人民法院基于被执行人的申请而裁定不予执行仲裁裁决的 ,当事人可以根据双方达成的书面仲裁协议重新申请仲裁,也可以向人民法院起诉,还可以向上一级人民法院进行申诉,走执行监督程序。但是,当事人对该裁定提出执行异议或者申请复议的,人民法院不予受理。
(2)人民法院基于案外人的申请而裁定不予执行仲裁裁决或者仲裁调解书的 ,当事人不服的,可以向上一级人民法院申请复议;
(3)人民法院基于案外人的申请而裁定驳回或者不予受理案外人提出的不予执行仲裁裁决、仲裁调解书申请 ,案外人不服的,可以向上一级人民法院申请复议。
二、制度的衔接
《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》第二十条规定,“当事人向人民法院申请撤销仲裁裁决被驳回后,又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;当事人向人民法院申请不予执行被驳回后,又以相同事由申请撤销仲裁裁决的,人民法院不予支持。
在不予执行仲裁裁决案件审查期间,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;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;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;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。”
由此可知,申请撤销仲裁裁决和申请不予执行仲裁裁决两种制度的衔接规则如下:
(1)在撤销或不予执行仲裁裁决审查中,当事人在某一程序下的申请被驳回后,其又以相同事由启动另一救济程序的,人民法院不予支持;
(2)当两个救济程序同时启动时,撤销仲裁的诉讼审查程序具有优先性,此时受理不予执行申请的人民法院应当裁定中止审查不予执行;
(3)被执行人同时启动两个审查程序、又撤回撤销仲裁裁决申请的,应视为其一并撤回了不予执行仲裁裁决的申请,应终止对其提出的不予执行申请的审查。
司法实践中,曾有一种声音提出,撤销仲裁裁决和不予执行仲裁裁决两种仲裁司法审查制度在审查事由上存在重叠之处,难免被个别当事人恶意利用,成为其滥用程序、拖延债务的工具。希望能够简化当事人救济程序,对撤销、不予执行两种制度择一行使。
为此,最高人民法院2021年7月14日在《对十三届全国人大四次会议第6463号建议的答复》中明确指出:撤销仲裁裁决和不予执行仲裁裁决两种仲裁司法审查制度体现出对仲裁当事人救济权的周严保护,其存在相似之处,但目前仍不能互相替代。主要考虑在于:
(1)不予执行制度系否决仲裁裁决的执行力,即申请人的权利不能依据国家强制力保障实现,但并不否定该裁决在申请人与被申请人间的效力,与撤销仲裁裁决的效力并不完全相同。相应地,两者在申请主体、申请情形、申请时间、人民法院能否依职权启动等方面均有所差异,对不同主体的救济而言,可以形成互补。
(2)当仲裁裁决的执行违背社会公共利益时,人民法院可以依职权审查并裁定不予执行。而撤销仲裁裁决必须以裁决当事人申请撤销为前提。
(3)为打击和遏制司法实践中日益多发的以虚假仲裁向法院申请执行或影响其他债权人合法权益实现等行为,最高人民法院于仲裁裁决执行司法解释中创设了案外人申请不予执行虚假仲裁制度,为权益受侵害的案外人提供救济渠道,而该制度正是在民事诉讼法规定的不予执行仲裁裁决制度的基础上设立的。
而且,笔者认为,上述第二十条规定已经明确了两种制度的衔接规则,事实上已经显著降低了两种程序在适用过程中重复审查的可能性,能够在较大程度上防止被执行人滥用司法程序恶意拖延执行进度,尽可能保障申请执行人的合法权益。笔者也相信,随着社会主义市场经济深入发展和改革的变化,以及对外开放的进一步发展,这两种制度的内在冲突还会得到进一步的理顺,以更好适应社会形势发展和仲裁实践需要。
三、写在最后
仲裁是国际通行的纠纷解决方式,是我国多元化解纠纷机制的重要“一元”,在保护当事人的合法权益,保障社会主义市场经济健康发展,促进国际经济交往等方面发挥着不可替代的重要作用。
自2017年以来,最高人民法院相继出台了《关于仲裁司法审查案件归口办理有关问题的通知》《关于仲裁司法审查案件报核问题的有关规定》《关于审理仲裁司法审查案件若干问题的规定》《关于人民法院办理仲裁裁决执行案件若干问题的规定》等司法解释;2021年7月3日,司法部研究起草了《中华人民共和国仲裁法(修订)(征求意见稿)》及其说明,并向社会公开征求意见。这都充分体现了党中央、国务院对仲裁工作以及仲裁司法审查工作的高度重视。
由此,笔者结合现行法律规定和司法实践,形成本系列文章,从不同角度切入,分为上、中、下三篇,与各位读者共同探讨。笔者相信,随着仲裁制度的进一步完善、仲裁公信力的进一步提高,我国仲裁一定能迎来更高质量发展,仲裁制度也将在提升国家治理与社会治理能力方面发挥更大的作用。
Introduction:
Generally speaking, domestic arbitration is divided into commercial arbitration and labor dispute arbitration. This series of articles on practical research into arbitration judicial review only explores commercial arbitration, namely arbitration arising from “contract disputes and other property rights disputes between citizens, legal persons, and other organizations as equal subjects” as stipulated in Article 2 of the “Arbitration Law of the People’s Republic of China” (hereinafter referred to as the “Arbitration Law”).
This series of articles is divided into three parts: Part 1 provides a brief analysis of remedies available to parties dissatisfied with domestic commercial arbitration awards; Part 2 focuses on the judicial review standards for “whether the parties have an arbitration agreement”; and Part 3 comparatively studies the similarities and differences between applications for revocation of arbitration awards and applications for non-enforcement of arbitration awards, as well as issues concerning system articulation.
I. Similarities and Differences Between the Two Systems
(I) Similarities
As known from Part 1, the statutory grounds for applications for revocation and non-enforcement of arbitration awards in the Civil Procedure Law and the Arbitration Law are substantially identical. Except for public interest review, all are procedural reviews of awards, basically consisting of factual judgments on procedural matters. Specifically as follows:
| Article 58 of the Arbitration Law | Article 248 of the Civil Procedure Law |
|---|---|
| If a party presents evidence proving that the award falls under any of the following circumstances, it may apply to the intermediate people’s court where the arbitration commission is located for revocation of the award: | If the respondent presents evidence proving that the arbitration award falls under any of the following circumstances, the people’s court shall, after review and verification by a collegial panel, order non-enforcement: |
| (1) There is no arbitration agreement; | (1) The parties have not included an arbitration clause in the contract nor reached a written arbitration agreement afterwards; |
| (2) The matters awarded are not within the scope of the arbitration agreement or the arbitration commission has no jurisdiction over the arbitration; | (2) The matters awarded are not within the scope of the arbitration agreement or the arbitration institution has no jurisdiction over the arbitration; |
| (3) The composition of the arbitration tribunal or the arbitration procedure violates statutory procedures; | (3) The composition of the arbitration tribunal or the arbitration procedure violates statutory procedures; |
| (4) The evidence on which the award is based is forged; | (4) The evidence on which the award is based is forged; |
| (5) The other party has concealed evidence sufficient to affect impartial arbitration; | (5) The other party has concealed from the arbitration institution evidence sufficient to affect impartial arbitration; |
| (6) The arbitrator has committed bribery, favoritism, or irregularities, or rendered the award by bending the law in arbitrating the case. | (6) The arbitrator has committed corruption, bribery, favoritism, or irregularities, or rendered the award by bending the law in arbitrating the case. |
| If the people’s court determines that the award violates social public interest, it shall order revocation. | If the people’s court determines that enforcement of the award violates social public interest, it shall order non-enforcement. |
(II) Differences
1. Applicants
· Application for Revocation of Arbitration Award
The “Reply of the Supreme People’s Court on Whether Chongzheng International Alliance Group’s Application for Revocation of Arbitration Award Should Be Accepted by People’s Courts” [[2001] Min Li Ta Zi No. 36] clearly states: “Beijing Higher People’s Court: Your court’s ‘Request for Instructions on Whether a Third Party Outside the Case May Apply for Revocation of Arbitration Awards’ has been received and studied. After research, the reply is as follows: The ‘party’ as stipulated in Article 70 of the ‘Arbitration Law of the People’s Republic of China’ refers to the applicant or respondent in the arbitration case. Chongzheng International Alliance Group is neither the applicant nor the respondent in arbitration case V19990351. The company does not have the subject qualification to apply for revocation of that arbitration award. Therefore, the people’s court shall not accept the application.”
Additionally, on the issue of “whether arbitration institutions and third parties outside the case can apply for revocation of arbitration awards,” the Civil Trial Division of the Supreme People’s Court’s “Civil Trial Q&A” (Legal Publishing House, 2021 Edition, pages 417-418) clearly provides an answer: “There is no legal basis for an arbitration commission to apply for revocation of arbitration awards. Moreover, as the subject of the arbitration award, it cannot be the applicant to revoke its award. A third party outside the case specifically refers to a person other than the parties whose legal interests may be harmed by the execution act—i.e., a person with an interest in the execution subject matter. Since Article 58 of the ‘Arbitration Law’ only grants the right to apply for revocation of arbitration awards to parties and does not grant it to third parties outside the case, based on current law, they also cannot become the applicant for revocation of arbitration awards.”
From this, it can be known that under current law, the applicant for revocation of arbitration awards is limited to the parties to the arbitration award.
· Application for Non-Enforcement of Arbitration Award
According to the aforementioned Article 248 of the Civil Procedure Law, the subject with the right to apply for non-enforcement of arbitration awards is the person against whom enforcement is applied.
Additionally, Article 9 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” stipulates: “If a third party outside the case applies to the people’s court for non-enforcement of an arbitration award or arbitration mediation document, it shall submit an application and evidence materials proving its request is established, and meet the following conditions: (1) There is evidence proving that the arbitration case party maliciously applied for arbitration or conducted false arbitration, damaging its legitimate rights and interests; (2) The legitimate rights and interests the third party outside the case claims involve execution subject matter that has not yet been fully executed; (3) The application is made within 30 days from the date the people’s court took execution measures on that subject matter.” From this, it can be known that qualified third parties outside the case also have the right to apply for non-enforcement of arbitration awards.
2. Application Time Limits
· Application for Revocation of Arbitration Award
Article 59 of the Arbitration Law stipulates that if a party applies for revocation of an award, it shall be made within six months from the date of receipt of the award.
· Application for Non-Enforcement of Arbitration Award
Article 8 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” (Effective Date: March 1, 2018) stipulates that if the person against whom enforcement is applied applies to the people’s court for non-enforcement of an arbitration award, it shall submit a written application within 15 days from the date of service of the execution notice; if there are the circumstances mentioned in items (4) and (6) of Paragraph 2 of Article 237 of the Civil Procedure Law (now the aforementioned items (4) and (6) of Paragraph 2 of Article 248 of the Civil Procedure Law) and the execution procedure has not yet concluded, it shall submit a written application within 15 days from the date of knowing or should have known the relevant facts or case. If the time limit mentioned in the first paragraph of this article has not expired, and the person against whom enforcement is applied has applied to the people’s court with jurisdiction for revocation of the arbitration award and such application has been accepted, the time limit shall be recalculated from the effective date of the people’s court’s ruling rejecting the application for revocation of the arbitration award.
3. Jurisdiction Court
· Application for Revocation of Arbitration Award
Article 58 of the Arbitration Law stipulates: “If a party presents evidence proving that the award falls under any of the following circumstances, it may apply to the intermediate people’s court where the arbitration commission is located for revocation of the award…”
· Application for Non-Enforcement of Arbitration Award
Article 29 of the “Interpretation of the Supreme People’s Court on Several Issues Concerning the Application of the Arbitration Law of the People’s Republic of China” stipulates: “If a party applies for enforcement of an arbitration award case, the intermediate people’s court in the domicile of the person against whom enforcement is applied or the location of the property to be enforced has jurisdiction.” Accordingly, the application for non-enforcement of arbitration awards should be submitted to the court that specifically accepts the arbitration award enforcement case.
4. Application Fees
· Application for Revocation of Arbitration Award
Article 14, Item (5) of the “Measures for Payment of Litigation Fees” stipulates: “For application for revocation of arbitration awards or confirmation of the validity of arbitration agreements, a fee of 400 yuan shall be paid per case.”
· Application for Non-Enforcement of Arbitration Award
Currently there is no clear regulation requiring fee payment. In judicial practice, courts generally do not require applicants to pay fees related to applications for non-enforcement of arbitration awards.
5. Review Period
· Application for Revocation of Arbitration Award
Article 60 of the Arbitration Law stipulates: “The people’s court shall make a ruling to revoke the award or reject the application within two months from the date of accepting the application for revocation of the award.”
· Application for Non-Enforcement of Arbitration Award
Article 12 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” (Effective Date: March 1, 2018) stipulates: “The people’s court’s review of cases of non-enforcement of arbitration awards shall be completed and a ruling shall be made within two months from the date of filing; if special circumstances require extension, it may be extended for one month upon approval of the court’s president.
6. Conditions for Suspending Enforcement After Application
· Application for Revocation of Arbitration Award
According to Paragraph 1 of Article 7 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts,” if the person against whom enforcement is applied has applied for revocation of the arbitration award and such application has been accepted by the people’s court, the execution court shall order suspension of enforcement.
· Application for Non-Enforcement of Arbitration Award
According to Paragraph 1 of Article 7 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts,” if the person against whom enforcement is applied or the third party outside the case has applied for non-enforcement and provided appropriate guarantee, the execution court shall order suspension of enforcement. During suspension of enforcement, the people’s court shall stop disposal measures, except where the applicant for enforcement provides sufficient and effective guarantee and requests continued enforcement; before the expiry of the sealing,扣押 (seizure), or freezing period for the execution subject matter, the people’s court may, based on the party’s application or ex officio, handle procedures for continuing sealing, seizure, or freezing.
7. Whether People’s Courts Can Notify Arbitration Tribunals to Re-Arbitrate After Review
· Application for Revocation of Arbitration Award
There are two possible outcomes for the court’s review of an application for revocation of arbitration awards: (1) If the reason is not established, order dismissal of the application; (2) If the reason is established, depending on the circumstances, notify the arbitration tribunal to order revocation of the arbitration award or re-arbitration.
The specific basis is:
Article 19 of the “Interpretation of the Supreme People’s Court on Several Issues Concerning the Application of the Arbitration Law of the People’s Republic of China” stipulates: “If a party applies for revocation of an arbitration award on grounds that the award matters exceed the scope of the arbitration agreement, and upon examination this is confirmed to be true, the people’s court shall revoke the over-reach part of the arbitration award. However, if the over-reach part is inseparable from other award matters, the people’s court shall revoke the arbitration award.” Article 21 further states: “If a party’s application for revocation of a domestic arbitration award falls under one of the following circumstances, the people’s court may, according to Article 61 of the Arbitration Law, notify the arbitration tribunal to re-arbitrate within a specified period: (1) The evidence on which the award is based is forged; (2) The other party has concealed evidence sufficient to affect impartial arbitration. The people’s court shall explain the specific reasons for requiring re-arbitration in the notification.”
Additionally, it should be noted that according to Article 64 of the Arbitration Law: “If one party applies for enforcement of the award and the other party applies for revocation of the award, the people’s court shall order suspension of enforcement. If the people’s court orders revocation of the award, it shall order termination of enforcement. If the application for revocation of the award is dismissed, the people’s court shall order restoration of enforcement.”
· Application for Non-Enforcement of Arbitration Award
There are two possible outcomes for the court’s review of an application for non-enforcement of an arbitration award: (1) If the reason is not established, order dismissal of the non-enforcement application; (2) If the reason is established, order non-enforcement of the arbitration award.
However, regardless of which review outcome, after the ruling is made, the arbitration tribunal cannot be notified to re-arbitrate.
The specific basis is:
Paragraph 2 of Article 19 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” stipulates: “If the person against whom enforcement is applied or the third party outside the case applies for non-enforcement of the arbitration award, upon examination the reason is established, the people’s court shall order non-enforcement; if the reason is not established, it shall order dismissal of the non-enforcement application.”
Additionally, it should be particularly noted that Article 9 of the Arbitration Law clearly stipulates: “If an award is revoked or non-enforcement is ordered by the people’s court’s ruling according to the law, the parties may, based on the arbitration agreement they have newly reached, apply for arbitration, or file a lawsuit with the people’s court regarding the same dispute.
8. Remedies
· Application for Revocation of Arbitration Award
Articles 157, Paragraphs 1 and 2 of the Civil Procedure Law stipulate: “Rulings apply to the following scopes: (1) Non-acceptance; (2) Objection to jurisdiction; (3) Dismissal of prosecution; (4) Preservation and advance execution; (5) Permission or refusal of withdrawal of prosecution; (6) Suspension or termination of litigation; (7) Correction of errors in judgment documents; (8) Suspension or termination of enforcement; (9) Revocation or non-enforcement of arbitration awards; (10) Non-enforcement of creditor’s rights documents with compulsory enforcement effect certified by notary institutions; (11) Other matters requiring ruling resolution. Appeals may be filed against rulings in items (1) through (3) of the preceding paragraph.”
Article 379 of the “Interpretation of the Supreme People’s Court on Several Issues Concerning the Application of the Civil Procedure Law of the People’s Republic of China (2022 Amendment)” stipulates: “If a party believes that a non-acceptance or dismissal of prosecution ruling that has taken legal effect is erroneous, it may apply for retrial.”
Article 8 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Hearing of Arbitration Judicial Review Cases” stipulates: “If the people’s court, after filing, discovers the application does not meet acceptance conditions, it shall order dismissal of the application. If the case where the ruling dismissing the application falls under the preceding paragraph, and the applicant applies again and meets acceptance conditions, the people’s court shall accept. If a party is dissatisfied with the ruling dismissing the application, it may file an appeal.” Article 20 stipulates: “Rulings made by the people’s court in arbitration judicial review cases, except rulings on non-acceptance, dismissal of applications, and jurisdictional objections, become legally effective upon delivery. Parties applying for reconsideration, filing appeals, or applying for retrial shall not be accepted by the people’s court, except as otherwise provided by laws and judicial interpretations.”
From this, it can be known that under current law, for applications for revocation of arbitration awards, after the people’s court’s substantive review, regardless of whether the ruling is to dismiss the application or to revoke the arbitration award or notify the arbitration tribunal to re-arbitrate within a specified period, parties cannot apply for reconsideration, file appeals, or apply for retrial against that ruling.
At the same time, it should be particularly noted that regarding rulings dismissing applications for revocation of arbitration awards, if the people’s court, after filing, discovers the application does not meet acceptance conditions and therefore rules dismissal of the application, appeals may be filed against that ruling; however, if the people’s court has filed the case and after substantive review rules dismissal of the application for revocation of arbitration awards, appeals cannot be filed against that ruling.
Regarding this, the Supreme People’s Court’s “Selected Q&A from Fatiewang (Fourteenth Batch)—Arbitration Judicial Review Special Topic” published on December 26, 2024 also specifically mentions:
“Question 2: If a people’s court makes a ruling dismissing an application on grounds that the party exceeded the time limit for applying for revocation of arbitration awards, can such rulings be appealed or applied for retrial? If appeal and retrial are permitted, and such rulings simultaneously include review content on grounds for award revocation, how should this be handled?
Answer: According to Article 59 of the Arbitration Law, if a party applies for award revocation, it shall be made within six months from the date of receipt of the award. If a party applies for revocation of the arbitration award after the six-month period, because it does not meet the conditions for the people’s court to accept an application for revocation of an arbitration award case, it shall order non-acceptance; if already accepted, it shall order dismissal of the application.
Such rulings belong to procedural dismissal rulings, different from rulings made after the people’s court enters the arbitration judicial review procedure and conducts review based on statutory grounds for revocation of arbitration awards as stipulated in the Arbitration Law.
According to Articles 7, 8, and 20 of the ‘Provisions of the Supreme People’s Court on Several Issues Concerning the Hearing of Arbitration Judicial Review Cases,’ for rulings on non-acceptance and rulings dismissing applications that do not meet acceptance conditions, applicants may file appeals and may apply for retrial. Accordingly, for rulings of non-acceptance or dismissal due to parties exceeding the award revocation application time limit, parties may file appeals and may apply for retrial.
If a party applies for revocation of the arbitration award, and after the people’s court accepts it believes the six-month period has been exceeded, it shall directly rule dismissal of the application without reviewing the grounds for award revocation raised by the party. If the people’s court simultaneously conducts a review and rules dismissal of the application, in the appeal and retrial review procedure, the people’s court shall only review whether the original ruling’s determination that the award revocation application exceeded the time limit is correct, and does not need to review whether the grounds for applying for revocation of the arbitration award are established.”
· Application for Non-Enforcement of Arbitration Award
Article 248, Paragraph 5 of the Civil Procedure Law stipulates: “If an arbitration award is ordered non-enforcement by the people’s court’s ruling, the parties may, based on the written arbitration agreement they have newly reached, apply for arbitration, or file a lawsuit with the people’s court.”
Article 22 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” stipulates: “After the people’s court rules non-enforcement of an arbitration award, dismisses, or non-accepts an application for non-enforcement of an arbitration award, if a party raises an execution objection or applies for reconsideration against that ruling, the people’s court shall not accept. If the people’s court orders non-enforcement of an arbitration award, the parties may, based on the written arbitration agreement they have newly reached, apply for arbitration, or file a lawsuit with the people’s court. If the people’s court, based on a third party’s application, orders non-enforcement of an arbitration award or arbitration mediation document, and a party is dissatisfied, it may apply for reconsideration to the people’s court at the higher level within 10 days from the date of ruling delivery; if the people’s court rules dismissal or non-acceptance of a third party’s application for non-enforcement of an arbitration award or arbitration mediation document, and the third party is dissatisfied, it may apply for reconsideration to the people’s court at the higher level within 10 days from the date of ruling delivery.”
The Supreme People’s Court’s execution ruling (2021) Zui Gao Fa Zhi Shen No. 12 made on March 31, 2021 clearly determines: The Civil Procedure Law and its interpretation’s provision that “if an arbitration award is ordered non-enforcement by the people’s court’s ruling, the parties may, based on the written arbitration agreement they have newly reached, apply for arbitration, or file a lawsuit with the people’s court” only stipulates that if a party raises an execution objection or applies for reconsideration against a non-enforcement ruling, the people’s court shall not accept, but does not prohibit the people’s court from initiating execution supervision procedures for such rulings according to the law. In this case, Wuhan Baixing filed a complaint rather than an execution objection or reconsideration against Enshi Intermediate Court’s (2017) E 28 Zhi No. 9 execution ruling. Hubei Higher Court also made (2019) E Zhi Jian No. 16 execution ruling through the execution supervision procedure according to Article 129 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Execution Work of People’s Courts (Trial)” (which was amended in 2020, now Article 71), which does not procedurally violate the above judicial interpretation’s provisions.
Article 71 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Execution Work of People’s Courts (Trial) (2020 Amendment)” stipulates: “Higher-level people’s courts shall supervise lower-level people’s courts’ execution work according to the law. The Supreme People’s Court shall supervise local各级 (all levels of) people’s courts and specialized courts’ execution work according to the law.”
Because the subjects with the right to apply for non-enforcement of arbitration awards include persons against whom enforcement is applied and qualified third parties outside the case. According to the above legal provisions, remedies are divided into the following three situations:
(1) If the people’s court, based on the application of the person against whom enforcement is applied, orders non-enforcement of the arbitration award, the parties may, based on the written arbitration agreement they have newly reached, apply for arbitration, or file a lawsuit with the people’s court, and may also file a complaint to the people’s court at the higher level through the execution supervision procedure. However, if a party raises an execution objection or applies for reconsideration against that ruling, the people’s court shall not accept.
(2) If the people’s court, based on a third party’s application, orders non-enforcement of an arbitration award or arbitration mediation document, and a party is dissatisfied, it may apply for reconsideration to the people’s court at the higher level;
(3) If the people’s court, based on a third party’s application, rules dismissal or non-acceptance of a third party’s application for non-enforcement of an arbitration award or arbitration mediation document, and the third party is dissatisfied, it may apply for reconsideration to the people’s court at the higher level.
II. System Articulation
Article 20 of the “Provisions of the Supreme People’s Court on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts” stipulates: “If a party applies to the people’s court for revocation of an arbitration award and the application is dismissed, and the party subsequently raises a non-enforcement application based on the same circumstances in the execution procedure, the people’s court shall not support this; if a party applies to the people’s court for non-enforcement and the application is dismissed, and the party subsequently applies for revocation of the arbitration award based on the same circumstances, the people’s court shall not support this.
During the review period of a non-enforcement arbitration award case, if a party applies to the people’s court with jurisdiction for revocation of the arbitration award and such application is accepted, the people’s court shall order suspension of the review of the non-enforcement application; if the arbitration award is revoked or decided to re-arbitrate, the people’s court shall order termination of enforcement and termination of the review of the non-enforcement application; if the application for revocation of the arbitration award is dismissed or the applicant for enforcement withdraws the application for revocation of the arbitration award, the people’s court shall restore the review of the non-enforcement application; if the person against whom enforcement is applied withdraws the application for revocation of the arbitration award, the people’s court shall order termination of the review of the non-enforcement application, except for third parties’ applications for non-enforcement of arbitration awards.”
From this, the articulation rules for the two systems of applying for revocation of arbitration awards and applying for non-enforcement of arbitration awards are as follows:
(1) During the review of revocation or non-enforcement of arbitration awards, if a party’s application in one procedure is dismissed and the party subsequently initiates another remedy procedure based on the same circumstances, the people’s court shall not support this;
(2) When both remedy procedures are simultaneously initiated, the litigation review procedure for revoking arbitration has priority. At this time, the people’s court that accepted the non-enforcement application shall order suspension of the review of non-enforcement;
(3) If the person against whom enforcement is applied simultaneously initiates both review procedures and withdraws the application for revocation of the arbitration award, this shall be deemed as the party has withdrawn the application for non-enforcement of the arbitration award, and the review of the non-enforcement application shall be terminated.
In judicial practice, there has been a voice proposing that the two arbitration judicial review systems of revoking and non-enforcing arbitration awards overlap in review grounds, and may inevitably be maliciously used by some parties as tools to abuse procedures and delay debt payment. It is hoped that the parties’ remedy procedures can be simplified and the two systems of revocation and non-enforcement can be exercised at the party’s choice.
To this end, the Supreme People’s Court clearly pointed out in its “Reply to Suggestion No. 6463 of the Fourth Session of the 13th National People’s Congress” on July 14, 2021: The two arbitration judicial review systems of revoking and non-enforcing arbitration awards reflect thorough protection of arbitration parties’ remedy rights, and have similarities, but currently still cannot replace each other. The main considerations are:
(1) The non-enforcement system denies the enforceability of arbitration awards. That is, the applicant’s rights cannot be guaranteed through state compulsory force, but this does not negate the award’s effect between the applicant and the respondent, which is not exactly the same as the effect of revoking an arbitration award. Accordingly, the two differ in terms of applicants, application circumstances, application time, and whether the people’s court can initiate ex officio, which can form complementary救济 (remedies) for different subjects.
(2) When enforcement of an arbitration award violates social public interest, the people’s court can review ex officio and order non-enforcement. However, revocation of an arbitration award must be based on the premise of the award party applying for revocation.
(3) To combat and curb the increasingly frequent acts in judicial practice of applying for enforcement or affecting other creditors’ legitimate rights and interests through false arbitration, the Supreme People’s Court created the system of third parties applying for non-enforcement of false arbitrations in the judicial interpretation on arbitration award enforcement, providing remedy channels for third parties whose rights have been infringed, and this system was established based on the non-enforcement arbitration award system stipulated in the Civil Procedure Law.
Moreover, the author believes that the aforementioned Article 20 has clarified the articulation rules for the two systems, which has in fact significantly reduced the possibility of duplicate review during the application of the two procedures. This can largely prevent persons against whom enforcement is applied from maliciously using judicial procedures to delay enforcement progress and尽可能 (as much as possible) protect the legitimate rights and interests of applicants for enforcement. The author also believes that with the further development of the socialist market economy and changes in reform, as well as the further development of opening up, the internal conflicts between the two systems will be further straightened out to better adapt to social development and arbitration practice needs.
III. Concluding Remarks
Arbitration is an internationally common dispute resolution method, an important “element” in China’s diversified dispute resolution mechanism, and plays an irreplaceable important role in protecting parties’ legitimate rights and interests, ensuring the healthy development of the socialist market economy, and promoting international economic exchanges.
Since 2017, the Supreme People’s Court has successively issued judicial interpretations such as the “Notice on Several Issues Concerning the Centralized Handling of Arbitration Judicial Review Cases,” “Relevant Provisions on the Reporting and Approval of Arbitration Judicial Review Cases,” “Provisions on Several Issues Concerning the Hearing of Arbitration Judicial Review Cases,” and “Provisions on Several Issues Concerning the Handling of Arbitration Award Enforcement Cases by People’s Courts.” On July 3, 2021, the Ministry of Justice drafted and publicly solicited opinions on the “Arbitration Law of the People’s Republic of China (Revised) (Draft for Comments)” and its explanation. All of these fully reflect the Central Committee of the Communist Party of China and the State Council’s high importance on arbitration work and arbitration judicial review work.
Accordingly, the author, combining current legal provisions and judicial practice, has formed this series of articles, cutting in from different angles, divided into three parts, to explore together with readers. The author believes that with the further improvement of the arbitration system and the further improvement of arbitration credibility, China’s arbitration will surely usher in higher-quality development, and the arbitration system will also play a greater role in improving national governance and social governance capabilities.