Arrangement of the Supreme People's Court on Mutual Enforcement of Arbitration Awards between the Mainland and the Hong Kong Special Administrative Region

最高人民法院关于内地与香港特别行政区相互执行仲裁裁决的安排

Promulgating Institution: Supreme People's Court

Document Number: Fa Shi [2000] No. 3

Promulgating Date: 01/24/2000

Effective Date: 02/01/2000

颁布机关: 最高人民法院

文    号: 法释[2000]3号

颁布时间: 01/24/2000

实施时间: 02/01/2000

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正文

(Fa Shi [2000] No. 3; adopted at the 1069th Meeting of the Judicial Committee of the Supreme People's Court on June 18, 1999; promulgated on January 24, 2000; and effective February 1, 2000)

(法释〔2000〕3号 1999年6月18日最高人民法院审判委员会第1069次会议通过 2000年1月24日公布 自2000年2月1日起施行)

In accordance with the provision of Article 95 of the Basic Law of the Hong Kong Special Administrative Region of the People's Republic of China and through mutual consultations between the Supreme People's Court and the Government of the Hong Kong Special Administrative Region (HKSAR), the Courts of the HKSAR agree to enforce the awards made pursuant to the Arbitration Law of the People's Republic of China by the arbitral authorities in the Mainland (the list to be supplied by the Legislative Affairs Office of the State Council through the Hong Kong and Macao Affairs Office of the State Council) and the People's Courts of the Mainland agree to enforce the awards made in the HKSAR pursuant to the Arbitration Ordinance of the HKSAR. The following arrangement is made in respect of mutual enforcement of arbitral awards by the Mainland and the HKSAR:

    根据《中华人民共和国香港特别行政区基本法》第九十五条的规定，经最高人民法院与香港特别行政区(以下简称香港特区)政府协商，香港特区法院同意执行内地仲裁机构(名单由国务院法制办公室经国务院港澳事务办公室提供)依据《中华人民共和国仲裁法》所作出的裁决，内地人民法院同意执行在香港特区按香港特区《仲裁条例》所作出的裁决。现就内地与香港特区相互执行仲裁裁决的有关事宜作出如下安排：

1. Where a party fails to comply with an arbitral award, whether made in the Mainland or in the HKSAR, the other party may apply to the relevant court in the place where the party against whom the application is filed is domiciled or in the place where the property of the said party is situated to enforce the award.

     一、在内地或者香港特区作出的仲裁裁决，一方当事人不履行仲裁裁决的，另一方当事人可以向被申请人住所地或者财产所在地的有关法院申请执行。

2. For the purpose of Article 1 above, "relevant court", in the case of the Mainland, means the Intermediate People's Court of the place where the party against whom the application is filed is domiciled or the place in which the property of the said party is situated and, in the case of the HKSAR, means the High Court of the HKSAR.

If the place where the party against whom the application is filed is domiciled or the place where the property of the said party is situated falls within the jurisdiction of different Intermediate People's Courts of the Mainland the applicant may apply to any one of the People's Courts to enforce the award. The applicant shall not file his application with two or more People's Courts.

If the place where the party against whom the application is filed is domiciled or the place where the property of the said party is situated is in the Mainland as well as in the HKSAR, the applicant shall not file applications with relevant courts of the two places at the same time. Only when the result of the enforcement of the award by the court of one place is insufficient to satisfy the liabilities may the applicant apply to the court of another place for enforcement of the outstanding liabilities. The total amount recovered from enforcing the award in the courts of the two places one after the other shall in no case exceed the amount awarded.

     二、上条所述的有关法院，在内地指被申请人住所地或者财产所在地的中级人民法院，在香港特区指香港特区高等法院。

    被申请人住所地或者财产所在地在内地不同的中级人民法院辖区内的，申请人可以选择其中一个人民法院申请执行裁决，不得分别向两个或者两个以上人民法院提出申请。

    被申请人的住所地或者财产所在地，既在内地又在香港特区的，申请人不得同时分别向两地有关法院提出申请。只有一地法院执行不足以偿还其债务时，才可就不足部分向另一地法院申请执行。两地法院先后执行仲裁裁决的总额，不得超过裁决数额。

3. The applicant shall submit the following documents in applying to the relevant court for enforcement of an award, made either in the Mainland or in the HKSAR:

i) An application for enforcement;

ii) The arbitral award;

iii) The arbitration agreement.

     三、申请人向有关法院申请执行在内地或者香港特区作出的仲裁裁决的，应当提交以下文书：

    (一)执行申请书；

    (二)仲裁裁决书；

    (三)仲裁协议。

4. An application for enforcement shall contain the following:

(1)Where the applicant is a natural person, his name and address; where the applicant is a legal entity or any other organisation, its name and address and the name of its legally authorised representative;

(2)Where the party against whom the application is filed is a natural person, his name and address; where the party against whom the application is filed is a legal entity or any other organisation, its name and address and the name of its legally authorized representative;

(3)Where the applicant is a legal entity or any other organisation, a copy of the enterprise registration record shall be submitted. Where the applicant is a foreign legal entity or any other foreign organisation, the corresponding notarisation and authentication material shall be submitted;

(4)The grounds for and the particulars of the application for enforcement; the place where the property of the party against whom the application is filed is situated and the status of the property.

Application for enforcement made in the Mainland shall be in the Chinese language. If the arbitral award or arbitration agreement is not in the Chinese language, the applicant shall submit a duly certified Chinese translation of it.

     四、执行申请书的内容应当载明下列事项：

    (一)申请人为自然人的情况下，该人的姓名、地址；申请人为法人或者其他组织的情况下，该法人或其他组织的名称、地址及法定代表人姓名；

    (二)被申请人为自然人的情况下，该人的姓名、地址；被申请人为法人或者其他组织的情况下，该法人或其他组织的名称、地址及法定代表人姓名；

    (三)申请人为法人或者其他组织的，应当提交企业注册登记的副本。申请人是外国籍法人或者其他组织的，应当提交相应的公证和认证材料；

    (四)申请执行的理由与请求的内容，被申请人的财产所在地及财产状况。

    执行申请书应当以中文文本提出，裁决书或者仲裁协议没有中文文本的，申请人应当提交正式证明的中文译本。

5. The time limit for an applicant to apply to the relevant court for enforcement of the arbitral award, whether made in the Mainland or in the HKSAR, shall be governed by the law on limitation period of the place of enforcement.

     五、申请人向有关法院申请执行内地或者香港特区仲裁裁决的期限依据执行地法律有关时限的规定。

6. Upon receipt of an application for enforcement from an applicant, the relevant court shall handle the application and enforce the award according to the legal procedure of the place of enforcement.

     六、有关法院接到申请人申请后，应当按执行地法律程序处理及执行。

7. The party against whom an application is filed may, after receiving notice of an arbitral award, whether made in the Mainland or in the HKSAR, adduce evidence to show any of the situations set out below. Upon such evidence being examined and any of the said situations being found proved, the relevant court may refuse to enforce the arbitral award:

(1)A party to the arbitration agreement was, under the law applicable to him, under some incapacity, or the arbitration agreement was not valid under the law to which the parties subjected it, or, failing any indication thereon, under the law of the place in which the arbitral award was made;

(2)The party against whom the application is filed was not given proper notice of the appointment of the arbitrator or was otherwise unable to present his case;

(3) The award deals with a difference not contemplated by or not falling within the terms of the submission to arbitration, or the award contains decisions on matters beyond the scope of the submission to arbitration. However, if the award contains decisions on matters submitted to arbitration that can be separated from those not so submitted, that part of the award which contains decisions on matters submitted to arbitration shall be enforced;

(4)The composition of the arbitral authority or the arbitral procedure was not in accordance with agreement of the parties or, failing such agreement, with the law of the place where the arbitration took place;

(5)The award has not yet become binding on the parties, or has been set aside or suspended by the court or in accordance with the law of the place where the arbitration took place;

If the relevant court finds that under the law of the place of enforcement, the dispute is incapable of being settled by arbitration, then the court may refuse to enforce the award

The enforcement of the award may be refused if the court of the Mainland holds that the enforcement of the arbitral award in the Mainland would be contrary to the public interests of the Mainland, or if the court of the HKSAR decides that the enforcement of the arbitral award in Hong Kong would be contrary to the public policy of the HKSAR.

     七、在内地或者香港特区申请执行的仲裁裁决，被申请人接到通知后，提出证据证明有下列情形之一的，经审查核实，有关法院可裁定不予执行：

    (一)仲裁协议当事人依对其适用的法律属于某种无行为能力的情形；或者该项仲裁协议依约定的准据法无效；或者未指明以何种法律为准时，依仲裁裁决地的法律是无效的；

    (二)被申请人未接到指派仲裁员的适当通知，或者因他故未能陈述意见的；

    (三)裁决所处理的争议不是交付仲裁的标的或者不在仲裁协议条款之内，或者裁决载有关于交付仲裁范围以外事项的决定的；但交付仲裁事项的决定可与未交付仲裁的事项划分时，裁决中关于交付仲裁事项的决定部分应当予以执行；

    (四)仲裁庭的组成或者仲裁庭程序与当事人之间的协议不符，或者在有关当事人没有这种协议时与仲裁地的法律不符的；

    (五)裁决对当事人尚无约束力，或者业经仲裁地的法院或者按仲裁地的法律撤销或者停止执行的。

    有关法院认定依执行地法律，争议事项不能以仲裁解决的，则可不予执行该裁决。

    内地法院认定在内地执行该仲裁裁决违反内地社会公共利益，或者香港特区法院决定在香港特区执行该仲裁裁决违反香港特区的公共政策，则可不予执行该裁决。

8. The applicant, in applying to the relevant court to enforce an arbitral award, whether made in the Mainland or in the HKSAR, shall pay the enforcement fees prescribed by the court of enforcement.

     八、申请人向有关法院申请执行在内地或者香港特区作出的仲裁裁决，应当根据执行地法院有关诉讼收费的办法交纳执行费用。

9. Applications made after 1st July, 1997 for enforcement of arbitral awards, whether made in the Mainland or in the HKSAR, shall be enforced according to this Arrangement.

     九、1997年7月1日以后申请执行在内地或者香港特区作出的仲裁裁决按本安排执行。

10.In respect of applications for enforcement made between 1st July, 1997 and the coming into force of this Arrangement, both parties agree that:

Where the applications for enforcement cannot, for some reasons, be made to the court of the Mainland or the court of the HKSAR between 1st July, 1997 and the coming into force of this Arrangement, then, in the case of the applicant being a legal entity or any other organization, the application for enforcement may be made within six months after this Arrangement comes into force and, in the case of the applicant being a natural person, the application for enforcement may be made within one year after this Arrangement comes into force.

Parties to cases which the court of the Mainland or the HKSAR had, between 1st July, 1997 and the coming into force of this Arrangement, refused to handle or to enforce the award, shall be allowed to make fresh application for enforcement.

     十、对1997年7月1日至本安排生效之日的裁决申请问题，双方同意：

    1997年7月1日至本安排生效之日因故未能向内地或者香港特区法院申请执行，申请人为法人或者其他组织的，可以在本安排生效后六个月内提出；如申请人为自然人的，可以在本安排生效后一年内提出。

    对于内地或香港特区法院在1997年7月1日至本安排生效之日拒绝受理或者拒绝执行仲裁裁决的案件，应允许当事人重新申请。

11. Any problem arising in the course of implementing this Arrangement and any amendment to this Arrangement shall be resolved through consultations between the Supreme People's Court and the Government of the HKSAR.

     十一、本安排在执行过程中遇有问题和修改，应当通过最高人民法院和香港特区政府协商解决。