益友视点 | 外国法院判决在中国的承认与执行
时间：2022-04-15 作者：益友天元
近期，我们接到越来越多的客户咨询对于外国法院作出的生效判决，需要中华人民共和国人民法院承认和执行的诉求。本文罗列了我国法院对外国判决的承认与执行的依据，并整理实操过程中遇到的焦点问题，辅以案例便于理解。但提请注意的是，本文不构成正式法律意见。
Recently, we have received more and more requests from clients that effective judgments made by foreign courts be recognized and enforced by people's court of the People's Republic of China. This article lists the basis for the recognition and enforcement of foreign judgments in our country, and sorts out the key issues encountered in practice, supplemented by one case to facilitate the understanding. Notwithstanding the foregoing, please kindly note that this article will not be construed as formal legal opinion.
一、承认与执行法律依据
Legal Basis for Recognition and Enforcement
1
法律法规 Laws and Regulations
（1）《民事诉讼法》
Civil Procedure Law of the People’s Republic of China
第二百八十八条
外国法院作出的发生法律效力的判决、裁定，需要中华人民共和国人民法院承认和执行的，可以由当事人直接向中华人民共和国有管辖权的中级人民法院申请承认和执行，也可以由外国法院依照该国与中华人民共和国缔结或者参加的国际条约的规定，或者按照互惠原则，请求人民法院承认和执行。
Article 288
If a legally effective judgment or written order made by a foreign court requires recognition and enforcement by a people’s court of the People’s Republic of China, the party concerned may directly apply for recognition and enforcement to the intermediate people’s court of the People’s Republic of China which has jurisdiction. The foreign court may also, in accordance with the provisions of the international treaties concluded or acceded to by that foreign country and the People’s Republic of China or with the principle of reciprocity, request recognition and enforcement by a people's court.
第二百八十九条
人民法院对申请或者请求承认和执行的外国法院作出的发生法律效力的判决、裁定，依照中华人民共和国缔结或者参加的国际条约，或者按照互惠原则进行审查后，认为不违反中华人民共和国法律的基本原则或者国家主权、安全、社会公共利益的，裁定承认其效力，需要执行的，发出执行令，依照本法的有关规定执行。违反中华人民共和国法律的基本原则或者国家主权、安全、社会公共利益的，不予承认和执行。
Article 289
In the case of an application or request for recognition and enforcement of a legally effective judgment or written order of a foreign court, the people’s court shall, after examining it in accordance with the international treaties concluded or acceded to by the People’s Republic of China or with the principle of reciprocity and arriving at the conclusion that it does not contradict the basic principles of the law of the People’s Republic of China nor violates sovereignty, security and social and public interest of the country, recognize the validity of the judgment or written order, and, if required, issue a writ of execution to enforce it in accordance with the relevant provisions of this Law; if the application or request contradicts the basic principles of the law of the People’s Republic of China or violates sovereignty, security and social and public interest of the country, the people's court shall not recognize and enforce it.
（2）《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》
Interpretations of the Supreme People’s Court on Application of the “Civil Procedural Law of the People’s Republic of China”
第五百四十四条
当事人向中华人民共和国有管辖权的中级人民法院申请承认和执行外国法院作出的发生法律效力的判决、裁定的，如果该法院所在国与中华人民共和国没有缔结或者共同参加国际条约，也没有互惠关系的，裁定驳回申请，但当事人向人民法院申请承认外国法院作出的发生法律效力的离婚判决的除外。
承认和执行申请被裁定驳回的，当事人可以向人民法院起诉。
Article 544
In the event that a party concerned applies to a competent intermediate people’s court of the People’s Republic of China for recognition and enforcement of a legally binding judgment/ruling rendered by a foreign court, in the absence of any international treaty concluded by and between the country of domicile of the foreign court and the People’s Republic of China or jointly acceded to by the said foreign country and the People’s Republic of China, and in the absence of any reciprocal relationship, the said intermediate people’s court shall render a ruling to dismiss the application, unless the party concerned applies to the people’s court for recognizing a legally binding divorce judgment rendered by the foreign court.
Where the application for recognition and enforcement is dismissed by a ruling, the party concerned may file a lawsuit to the competent people's court.
第五百四十九条
与中华人民共和国没有司法协助条约又无互惠关系的国家的法院，未通过外交途径，直接请求人民法院提供司法协助的，人民法院应予退回，并说明理由。
Article 549
Where a court of a country that has neither any judicial assistance treaty nor any reciprocal relationship with the People’s Republic of China directly requests a people’s court to provide judicial assistance without going through diplomatic channels, the people’s court shall return the request, and explain the reasons therefor.
2
国际公约 International Treaties
（1）双边条约或协定
Bilateral Treaties or Agreements
中国已经与39个国家签订了涉及民商事的双边司法协助协定或条约,其中已经生效的有38项。在这38项司法协助协定或条约中，有4项没有规定外国法院判决承认和执行的制度，涉及新加坡、韩国、泰国与比利时4个国家；除涉及塞浦路斯、老挝和匈牙利3个国家的协定或条约以直接列明承认和执行条件的方式作出规定外，其余均以列明拒绝承认和执行条件的方式就承认和执行作出了规定。通过签订具有约束力的双边条约，在一定程度上可以缓解承认和执行外国法院判决的困境，但是由于我国对外签订的此类双边条约或协定数量较少，且大多缔约国与我国经贸往来并不是特别频繁,因此双边条约的作用与优势尚未充分得以发挥。在缺乏相关国际条约的情况下，我国法院只能依据民事诉讼法规定的互惠原则来判断是否承认和执行外国法院的判决。
China has signed bilateral judicial assistance agreements or treaties involving civil and commercial matters with 39 countries, of which 38 have entered into force. Among the 38 mutual legal assistance agreements or treaties, there’re 4 agreements or treaties that do not mention the recognition and enforcement of foreign court judgments, involving 4 countries, including Singapore, South Korea, Thailand and Belgium; Except that the agreements or treaties involving Cyprus, Laos and Hungary which clearly set out the conditions for recognition and enforcement directly, the rest clearly set out the negative conditions for recognition and enforcement. Signing binding bilateral treaties can alleviate the dilemma of recognizing and enforcing foreign court judgments to a certain extent. However, due to the small number of such bilateral treaties or agreements signed by China, and the economic and trade exchanges between most contracting countries and China are not particularly frequent, the role and advantages of bilateral treaties have not been brought into full play. In the absence of relevant international treaties, Chinese courts can only judge whether to recognize and enforce the judgments of foreign courts according to the principle of reciprocity stipulated in the Civil Procedure Law.
（2）《承认与执行外国民商事判决公约》
Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters
2019年7月2日，海牙国际私法会议第二十二次外交大会闭幕，大会副主席、中国代表团团长、驻荷兰大使徐宏与其他各国代表团代表对《承认与执行外国民商事判决公约》谈判文本（亦即会议最后文件）进行了签署确认。当然，这与《承认与执行外国民商事判决公约》的正式生效还有一定的距离，中国的正式加入还需要时间和程序，但是，其作为我国积极推动国际私法协调的重要成果，对推动国际民商事纠纷解决机制建设、加强国际司法协作、减少跨境诉讼成本，增强缔约国司法体系在民商事审判领域的流通性、便利性与高效性，推动形成优质的国际法治环境具有非常重要的作用。
On July 2, 2019, the 22nd diplomatic conference of the Hague Conference on private international law closed. Xu Hong, vice president of the conference and head of the Chinese delegation Ambassador to the Netherlands, and representatives of other delegations signed and confirmed the negotiation text of the Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters (i.e., the final document of the conference). Of course, there’s still gap with the effective of the Convention. However, as an important achievement of China's active promotion of the coordination of private international law, it is of great significance to promote the construction of international civil and commercial dispute settlement mechanism, strengthen international judicial cooperation, reduce cross-border litigation costs, enhance the liquidity, convenience and efficiency of the judicial system of states parties in the field of civil and commercial trials, and play a very important role in promoting the formation of a high-quality international rule of law environment.
3
互惠原则 Principle of Reciprocity
关于互惠关系的认定与互惠原则的适用，我国法律并无明确的规定。关于互惠关系，理论上主要有法律互惠、事实互惠和推定互惠3种分类。法律互惠要求两国法律关于承认和执行外国判决的条件基本对等，对外国法的查明提出了较高的要求；事实互惠要求对方国家存在承认和执行本国判决的事实；推定互惠认为只要对方国家没有拒绝承认和执行先例的，就推定两国之间存在互惠关系。我国司法实践长期以来采取较为保守的事实互惠立场，对于两国间司法实践中没有承认和执行对方国家法院判决先例的，即认定未成立相应的互惠关系。若此，不仅导致外国判决不易被我国法院承认和执行，也使得外国法院以互惠原则为由拒绝承认我国法院判决，同时派生出大量跨境平行诉讼的现象。
There are no clear provisions on the identification of reciprocal relationship and the application of the principle of reciprocity in Chinese laws. In theory, there are three categories of reciprocity: legal reciprocity, factual reciprocity and presumption reciprocity. Legal reciprocity requires that the conditions for the recognition and enforcement of foreign judgments in the laws of both jurisdictions are basically equal, so it puts forward higher requirements for the identification of foreign laws; Factual reciprocity requires that the other jurisdiction has the fact of recognizing and enforcing its own judgment; While presumption of reciprocity assumes that there is a reciprocal relationship between the two jurisdictions as long as the other country has no precedent of refusing recognition and enforcement. China's judicial practice has taken a more conservative position of factual reciprocity for a long time, which means that if there is no precedent for recognizing and enforcing the judgment of the other jurisdiction's court in the judicial practice between the two countries, it is determined that the corresponding reciprocal relationship has not been established. If so, it will not only make foreign judgments difficult to be recognized and enforced by Chinese courts, but also make foreign courts refuse to recognize Chinese court judgments on the basis of the principle of reciprocity, and derive a large number of cross-border parallel litigations.
除上述依据以外，实践中还通过参照法院之间签署的备忘录，以及【设立】国际商事法庭等途径，有效推进了外国判决在中国进行承认与执行。篇幅限制，不再赘述。
In addition, memoranda signed between courts in different jurisdictions and the establishment of international commercial courts have also promoted foreign judgments to be recognized and enforced in China. Due to the length limitation of the article, it will not be further elaborated here.
二、实务操作
Practices
1、管辖 Jurisdiction
就接受申请的中国法院而言，根据被执行人的不同来决定案件的管辖：
若被执行人是自然人，则由其户籍所在地或居住地的中级人民法院管辖；
若被执行人是法人，则由其主要办事机构所在地的中级人民法院管辖；
若被执行人在我国境内没有住所、亦无主要办事机构的，但有相应财产在我国境内的，则由其财产所在地的中级人民法院管辖。
For the governing Chinese courts for accepting the application concerned, different jurisdictions of courts will be determined according to the different executees:
If the person subjected to execution is a natural person, the intermediate people's court where his/her registered residence is located or where he/she lives will govern;
If the person subjected to execution is a legal person, the intermediate people's court in the place where its main office is located will govern;
If the person subjected to execution has no domicile or main office in China, but has corresponding property in China, the intermediate people's court where his/her property is located will govern.
2、送达 Judicial Service
案件中被申请人明确为境外主体且处于境外的，可以采取外交送达的方式完成；如果明确被申请人为境外自然人且处于中国境内，但却没有明确送达地址的，可以先采取限制出境的措施，再进行公告送达。
In case where the respondent is clearly an overseas subject and locates overseas, the delivery may be completed by diplomatic service; If it is clear that the respondent is an overseas natural person but stays in China, without clear service address for delivery, the court can take the measures to restrict the exit first, and then service by public announcement.
3、审查要点 Key Point(s) for Review
根据前述民诉法288条，人民法院承认和执行外国民商事判决有三项基本条件：
一是我国与外国缔结或参加了承认和执行民商事判决方面的国际条约，或者存在互惠关系；
二是外国民商事判决已经发生法律效力，即为确定判决；
三是承认和执行该外国民商事判决不违反法律的基本原则或者国家主权、安全、社会公共利益。
中国《民事诉讼法》外国判决的承认和执行制度只作了原则性规定。从中国目前对外签订的含有双边相互承认和执行法院裁判的条约规定来看，承认和执行的条件并不包括对法院裁判实质问题的审查，甚至部分双边条约中明确约定不得对请求承认和执行的外国法院判决进行实质审查，如中国与秘鲁、阿联酋、立陶宛等国签订的双边司法协助条约。因此，不难看出，中国立法和司法实践对外国民商事判决采取的非实质审查模式，并不实质审查该外国法院判决事实认定和法律适用是否存在错误。
According to Article 288 of the aforementioned Civil Procedure Law of the People’s Republic of China, there are three basic conditions for recognizing and enforcing foreign judgments:
First, China has concluded or participated in international treaties with foreign countries on the recognition and enforcement of judgments, or there is a principle of reciprocity;
Second, the foreign judgment has taken legal effect;
Third, the recognition and enforcement of foreign judgments do not violate the basic principles of law or sovereignty, security and social and public interests.
Subject to the above provisions, there’re the only principles for the recognition and enforcement system of foreign judgments stipulated in Civil Procedure Law. From the current treaties signed by China with foreign countries containing bilateral mutual recognition and enforcement of court decisions, the conditions for recognition and enforcement do not include the review of the substantive issues of court decisions, and even some bilateral treaties explicitly stipulate that substantive review of foreign court decisions requesting recognition and enforcement shall not be conducted, such as bilateral judicial assistance treaties signed with Peru, the United Arab Emirates, Lithuania and other countries by China. Therefore, it is not difficult to learn that in China's legislation and judicial practice for recognition and enforcement of foreign civil and commercial judgments, Chinese courts will not substantially review whether there are errors in facts and the application of law of the determination made by the foreign courts.
4、保全 Property Preservation
关于能否进行财产保全的问题在司法实践中存在过一定争议，有的法院认为承认和执行外国法院判决为特殊程序，不宜进行财产保全，现2022年会议纪要已明确可以。我们认为承认和执行外国判决的最终目的是为了权利保护，而如果无法及时采取保全措施，那么债务人很有可能会进行财产转移，从而架空判决书，所以我们认为法院应许可在此类案件中适用财产保全措施。
There were different opinions on the possibility of property preservation in judicial practice. A few courts believe that this is a special procedure and it is not suitable for property preservation. However, we believe that the purpose of recognizing and enforcing foreign judgments is to obtain the final interests protection. If no preservation measures can be taken timely, the debtor is likely to transfer the property, thus the judgment will be meaningless, therefore, we are of the opinion that the court should permit the application of property preservation measures in such cases.
5、诉讼费 Litigation Fees
实操中，由于外国判决承认与执行案件并不是一般的财产纠纷案件，所以不按照争议标的的金额来收取诉讼费，一般为按件收取，诉讼费用相对较低。
Practically, the case of recognition and enforcement of foreign judgments is not a general property dispute case, the litigation fee is not charged according to the amount of the subject matter of the dispute, which are generally charged on a case-by-case basis, and the litigation fees are relatively low.
6、申请人案件材料准备 Materials Preparation for Application
除申请书外，申请人应同时向有权管辖的法院提供被申请人的主体信息和送达地址。
证据方面需要关注两方面：一是境外形成的证据，如为公文书证的，需要完成证据产生地的公证手续，外文证据需要进行翻译；另一方面是外国判决书生效的证明也需一并提供。
参考最高人民法院关于适用《中华人民共和国民事诉讼法》的解释第五百四十三条规定，申请人向人民法院申请承认和执行外国法院作出的发生法律效力的判决、裁定，应当提交：
外国法院作出的发生法律效力的判决、裁定正本或者经证明无误的副本以及中文译本。
外国法院判决、裁定为缺席判决、裁定的，申请人应当同时提交该外国法院已经合法传唤的证明文件，但判决、裁定已经对此予以明确说明的除外。
In such cases, besides of the application letter, the subject information and service address of the respondent shall be also provided to the competent court.
In terms of evidences, two aspects should be paid attention to:
First, the notarization procedures of the place where the evidences (for official document evidence) are generated should be completed for the evidences formed abroad, and the evidences in foreign language needs to be translated;
On the other hand, the proof for the effectiveness of the foreign judgment also needs to be provided.
Take Article 543 of Interpretations of the Supreme People’s Court on Application of the “Civil Procedural Law of the People’s Republic of China” as reference, to apply to the competent people’s court for recognition and enforcement of a legally binding judgment/ruling rendered by a foreign court, an applicant shall submit a written application, and attach thereto the original of the legally binding judgment/ruling rendered by the foreign court or the duplicate thereof that is proved as correct and the Chinese translations thereof. If the judgment/ruling rendered by the foreign court is a default judgment/ruling, the applicant shall also submit documents proving that the foreign court has summoned the relevant party pursuant to the law, except where the judgment/ruling has provided clear explanations in this regard.
The provisions prescribed in the international treaties concluded or acceded to by the People’s Republic of China on the submission of documents shall prevail.
If the judgment or ruling of a foreign court is a judgment or ruling by default, the applicant shall submit the supporting documents that the absent party has been legally summoned by the foreign court, unless it has been clearly stated in the judgment or ruling.
三、益友案例
Y & T’s Case
申请人均系乌克兰公司，被申请人为苏州一家材料公司。2017年3月，乌克兰A公司与B公司分别与被申请人签订合同，购买钢卷，并分别支付了79235美元与171250美元预付款，但被申请人一直未交货。
因此，两申请人依据双方合同中约定的争议解决条款分别向乌克兰争议解决机构提出申请。机构对此分别作出裁决：苏州某材料公司分别向A公司与B公司退还79235美元与171250美元预付款并支付争议解决费。随后，两申请人向苏州市中级人民法院申请承认和执行上述两份乌克兰法律文书，益友律师代理申请人并全程参与本案。案件依据国际条约的规定，由苏州国际商事法庭当庭裁定承认和执行外国法律文书。这是苏州国际商事法庭成立以来作出的首批承认和执行外国判决或仲裁裁决的裁定。
Applicant A and B are two companies from Ukraine. The respondent is a material company in Suzhou. In March 2017, A and B signed a contract with the respondent to purchase steel coils and paid an advance payment of US $79235 and US $171250 respectively, but the respondent had not delivered products accordingly.
Therefore, the two applicants respectively applied to the dispute settlement institution of Ukraine in accordance with provisions agreed in the contract. The dispute settlement institution made a ruling on this: the material company in Suzhou shall return the advance payment of US $79235 and US $171250 to A and B respectively, and shall pay the dispute settlement fee. Subsequently, the two applicants applied to Suzhou Intermediate People's Court for recognition and enforcement of the above two Ukrainian legal documents, and Y&T lawyers represented the Ukraine applicant and participated in the whole case. In accordance with the provisions of international treaties, Suzhou International Commercial Court ruled to recognize and enforce foreign legal instruments. This is the first ruling on the recognition and enforcement of foreign judgments or arbitration awards made by the Suzhou International Commercial Court since its establishment.
张海燕
高级合伙人
sara.zhang@yiyou.com.cn
项 伟
合伙人
tracy.xiang@yiyou.com.cn
胡雁来
执业律师
yl.hu@yiyou.com.cn
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