【作者】 张虎；

【导师】 李海；

【作者基本信息】 大连海事大学 ， 国际法学， 2014， 博士

【摘要】 近年来,受全球经济波动的影响,国际航运市场风波不断,海事争议频发。基于仲裁在解决争端方面所特有的保密性、高效性、中立性、专业性及在裁决执行方面的便利性,许多航运和外贸企业均倾向于将其经营过程中产生的争议提交仲裁解决。实践中,我国企业或个人在国外面临仲裁的情况亦时有发生,一旦仲裁失败,就可能会涉及到债权人在我国申请裁决承认与执行的问题。1987年我国加入《纽约公约》后,针对属于该公约项下的外国仲裁裁决的承认与执行,我国法院主要依据该公约进行审查；对于不属于该公约项下的裁决,我国法院则依互惠原则和我国国内法为审查依据。对于外国仲裁裁决在我国承认与执行,本文结合理论与实践进行了深入研究,具体内容如下：第一章,外国仲裁裁决的基本理论。本章分三节,首先通过对国际公约和其他国家界定“外国”标准的分析,引出并评述我国现行法律对“外国”的界定标准；其次分析“海事仲裁”的概念及其特征；最后,从裁决的种类和效力两方面对如何界定“裁决”进行了论述。第二章,承认与执行外国仲裁裁决的程序及依据。本章以我国现行立法为视角,对在我国申请承认与执行外国仲裁裁决的程序要求进行了阐释,主要包括立案程序、保全程序及法院的审查程序。从国内法和国际法的角度对我国法院审查外国仲裁裁决承认与执行申请的法律依据进行了探讨。第三章,《纽约公约》下拒绝承认与执行外国仲裁裁决的理由。本章专门对《纽约公约》第5条所规定的拒绝承认与执行外国仲裁裁决的事由逐一进行论述,指出了该公约在具体运用中的问题及应对,并结合我国法律规定,对在我国申请承认和执行外国海事仲裁裁决案件审查过程中,当事人的抗辩、法院的审查均进行了详细的研究,最后通过案例的实证分析,对我国法院审查承认和执行外国仲裁裁决案件时所持有的观察点和司法倾向进行了评价。第四章,国内法下拒绝承认与执行外国仲裁裁决的理由。本章总结了司法实务中依据国内法拒绝承认与执行外国仲裁裁决的特殊理由,并对每一理论分别进行了研究,包括时效、仲裁中间措施、未遵守仲裁前程序、当事人破产及主权豁免。第五章,外国仲裁裁决在我国承认与执行法律制度的缺陷与完善建议。本章以前四章的研究为基础,指出了我国审查外国仲裁承认与执行案件制度存在的缺陷,并提出了相应的完善建议。更多还原

【Abstract】 In recent years, affected by the global economic turmoil, unstable factors existed in the international shipping market arises mass of maritime disputes.Based on the arbitration’s confidentiality, efficiency, neutrality, specialism in solving disputes and convenience in the enforcement of the award, most of the shipping and foreign trade enterprises are tend to submit their disputes to arbitration. In practice, the situation that Chinese enterprises or individuals were involved in arbitration in foreign countries also happens constantly. Once the Chinese Party fails in arbitration, the foreign creditors would apply for recognition and enforcement of the arbitral award in our country. After New York Convention coming into effect in China in1987, concerning the recognition and enforcement of foreign arbitral award covered by this convention, Chinese courts shall mainly review the party’s application on the basis of the Convention; as for those not governed by this convention, Chinese courts shall take the reciprocity doctrine and our domestic law as the legal ground. From both theoretical and practical views, this paper will discuss the recognition and enforcement of the international arbitral awards in our country in detail. The specific contents are as follows.The first chapter, the basic theory of foreign arbitral award, which is divided into three sections, firstly draws forth the definition standards of "foreign country" under China’s existing statutes through the analyzing it’s definition standards under international conventions and foreign laws; secondly analyzes the definition and characteristics of "maritime arbitration"; finally defines "award" from two aspects:category and effect.The second chapter, the procedure and legal grounds for recognition and enforcement of foreign arbitral awards. It studies on the requirements of application for recognition and enforcement of foreign arbitral award in our country from the view of our national legislation, mainly including procedure for filling a case, preservation procedure and review procedure of the courts. Then it analyzes the legal grounds in reviewing the application for recognition and enforcement of foreign arbitral award from the perspective of domestic legislation and international legislation.The third chapter, the reasons to refuse recognition and enforcement of foreign arbitral award under New York Convention. This chapter specially discusses the reasons that are used to refuse recognition and enforcement of foreign arbitral award stipulated in article5of New York Convention one by one, and points out the problems and solutions when applying the reasons aforesaid. Meanwhile, it combines with the statutes of our country, making the further study on the defenses of the parties and the review of the courts in the procedure of application for recognition and enforcement of foreign awards. Finally it evaluates the observation points and judiciary tendency of the people’s supreme court when hearing cases of this kind.The fourth chapter, the reasons to refuse recognition and enforcement of foreign arbitral award under our national legislation. It studies on the reasons in judicial practice which can be used to refuse recognition and enforcement of foreign arbitral award according to domestic procedural law, such as time bar, arbitral interim measures, disobedience of the procedure requirements before the arbitration, bankruptcy of the parties and state immunity.The fifth chapter, the defects and improvement suggestions for Chinese legal system of recognition and enforcement of foreign arbitral award. Based on the studies in the previous five chapters, this chapter points out the defects existing in the Chinese legal system of recognition and enforcement of foreign maritime arbitral award, then brings forward the thorough suggestions aiming at these defects.更多还原