恪守《纽约公约》裁决执行义务,营造自贸试验区优质法治环境

——西门子国际贸易（上海）有限公司与上海黄金置地有限公司申请承认和执行外国仲裁裁决案

基本案情

2005年9月23日，黄金置地公司与西门子公司通过招标方式签订了一份货物供应合同，约定西门子公司应于2006年2月15日之前将设备运至工地，如发生争议须提交新加坡国际仲裁中心进行仲裁解决。双方在合同履行中发生争议。黄金置地公司在新加坡国际仲裁中心提起仲裁，要求解除合同、停止支付货款。西门子公司在仲裁程序中提出反请求，要求支付全部货款、利息并赔偿其他损失。2011年11月，新加坡国际仲裁中心作出裁决，驳回黄金置地公司的仲裁请求，支持西门子公司的仲裁反请求。黄金置地公司支付了部分款项，尚欠仲裁裁决项下未付款及利息合计人民币5133872.3元。西门子公司依据《承认与执行外国仲裁裁决公约》即《纽约公约》，向上海市第一中级人民法院请求承认和执行新加坡国际仲裁中心作出的仲裁裁决。黄金置地公司抗辩认为，应不予承认和执行该仲裁裁决，理由为：双方当事人均为中国法人，合同履行地也在国内，故案涉民事关系不具有涉外因素，双方约定将争议提交外国仲裁机构仲裁的协议无效，若承认和执行案涉裁决将有违中国的公共政策。

裁判结果

上海市第一中级人民法院经逐级报告至最高人民法院并获答复后，认为根据《纽约公约》的规定，裁定承认和执行涉案仲裁裁决。关于仲裁条款约定本案争议提交外国仲裁机构仲裁是否有效的问题，关键在于认定系争合同关系是否具有涉外因素，如有涉外因素则仲裁条款有效，反之则无效。综观本案合同所涉的主体、履行特征等方面的实际情况，根据《最高人民法院关于适用〈中华人民共和国涉外民事关系法律适用法〉若干问题的解释（一）》第一条第五项的规定，可以认定系争合同关系为涉外民事法律关系，具体理由为：

一是西门子公司与黄金置地公司虽然都是中国法人，但注册地均在上海自贸试验区区域内，且其性质均为外商独资企业，与其境外投资者关联密切。

二是本案合同的履行特征具有涉外因素，案涉设备系先从中国境外运至自贸试验区内进行保税监管，再根据合同履行需要适时办理清关完税手续、从区内流转到区外，至此货物进口手续方才完成，故合同标的物的流转过程也具有一定的国际货物买卖特征。故案涉仲裁条款有效。且仲裁裁决内容亦没有与中国公共政策抵触之处，因此承认与执行该仲裁裁决不违反中国的公共政策。

同时，该裁定还指出黄金置地公司实际参与全部仲裁程序，主张仲裁条款有效，并在仲裁裁决做出后部分履行了裁决确定的义务。在此情况下，其又以仲裁条款无效为由，主张拒绝承认与执行涉案仲裁裁决的申请，不符合禁止反言、诚实信用和公平合理等公认的法律原则，故对其主张不予支持。

典型意义

上海金沁律师师事务所陈红敏律师认为：上海自贸区内的外商独资企业之间的合同纠纷，法院在涉外因素认定上面应当给予了必要的重视；中国法院恪守国际公约，积极保护外商投资者的权益。

Enforcementon arbitralawardaccording to The New York Convention in China

SIEMENS international trade Shanghai Co., Ltd V. Shanghai Golden Landmark Co.,Ltd.

Factual background

SGLL signed a good sales contract with SITL in 2005 according to which SITL delivers the goods to construction spot beforeFeb. 15th2006 and if any dispute shall be submitted to Singapore International Arbitration Centre. Dispute arose during the performance of contract and the case was filed in Singapore International Arbitration Centre. SGLLwas required to pay 5133872.3 RMB to SITL by arbitralaward. SITL applied the enforcementto Shanghai first intermediate people's courtaccording to The New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards, short as TheNew York Convention. SGLL argued for denying the enforcement in China withthe reasonsthatboth parties areChinesecompanies and the contract was performed in China. So, there are not internationalelements in this case, the agreement on jurisdiction of Singapore International Arbitration Centreis void, it will againstthe public policy of China if the arbitralawardwas recognizedand enforced.

Analysis

Shanghai first intermediate people's courtagreed that the goods sale contract is a foreign related civil relationship. The arbitralaward was recognized and enforced by the court according to The New York Convention.The reasons are:

1.SGLL andSITL are Chinese companies registered in Shanghai Free Trade Test Zonewhich are wholly foreign-owned enterprises. They are highly related to foreign investors.

2.Performanceof the contact is foreign related. Delivery from overseas, proceduresof customs clearanceand delivery out of zone are characterized as foreigngoods sale.Also, no evidence shows that the content of the arbitral award is against the public policy.

Furthermore, the SITL presented the arbitration trial, claimed the arbitral clause was valid, and performedpartial duty of the award. It is against the basiclaw rules of estoppels,honestyand fairnessfor SITL claiming the arbitral clause is void and denying the recognitionand enforcementof the arbitral award.

Note

Lawyer chen hongmin of shanghai kingtham lawyers considers the disputes among wholly foreign-owned companiesin Shanghai Free Trade Test Zoneare highly recognized as foreign related civil relationship by Chinesecourt. Chinese courts perform conventions and treaties so well to protect foreign investors’right and interest.

研究生学历，上海市浦东新区律师青年联合会第三届委员会委员，中级职称。十多年法律工作，资金过亿企业法律顾问，公司运作、劳动纠纷、合同、婚姻、房地产诉讼及非诉讼有丰富的经验；曾就职于检察院担任公诉人5年。（Sherry Chen, lawyer of shanghai kingtham lawyers is member of Chinese Bar Association and the third committee of the Pudong New Area Lawyers Association）