《海牙判决公约》下未决诉讼规则适用条件研究

The Applicable Conditions of Lis Pendens Rule under Hague Judgment Convention

国际未决诉讼规则的适用具有条件性。在适用条件的组成上,《海牙判决公约》第7条第2款除规定传统同一性条件和时间条件外,新增密切联系条件。争端与被请求国必须存在密切联系,否则其不得以未决诉讼为由拒绝承认与执行外国判决。然而,海牙未决诉讼规则禁止性适用条件缺失,有待修补。在适用条件尤其关于密切联系条件的认定上,根据形式审查原则,只要首先受诉法院的管辖标准出自公约第5条,非属于过度管辖依据,则可认定符合密切联系。我国国际民商事司法协助条约和《外国离婚判决承认规则(修订版)》将未决诉讼作为拒绝承认与执行外国民商事和离婚判决的理由,但未决诉讼规则适用条件存在冲突。为实现国内程序优先理念和外国判决优先理念的协调,防止未决诉讼规则的滥用,我国可借鉴海牙公约的经验,将同一性条件、时间条件和密切联系条件作为未决诉讼规则基础性适用条件,并将后受诉法院协议管辖、专属管辖、弱者管辖利益保护原则作为未决诉讼规则禁止性适用条件。

The application of lis pendens rule is conditional.In terms of the composition of applicable conditions,Article 7,Paragraph 2 of Hague Judgment Convention not only stipulates traditional conditions of identity and timing,but also adds the condition of significant relationship.There must be significant relationship between the dispute and the requested state,otherwise it shall not refuse to recognize and enforce foreign judgments on the ground of lis pendens.However,there is a lack of prohibitive applicable conditions of Hague lis pendens rule,which needs to be mended.With regard to the determination of applicable conditions,especially the significant relationship,and based on the principle of formal review,as long as the jurisdiction standard of the court first seised comes from Article 5 of the convention and does not belong to the basis of excessive jurisdiction,it can be deemed to be consistent with the close relationship.Lis pendens is regarded as the reason for refusing to recognize and enforce foreign civil,commercial and divorce judgments in China’s international civil and commercial judicial assistance treaties and rules on recognition of foreign divorce judgments(revised),but the applicable conditions of lis pendens rule are in conflict.In order to realize the coordination between the concept of domestic proceedings preference and the concept of foreign judgment preference,prevent the abuse of lis pendens rule,China can learn from the experience of the Hague convention,and take identity,timing and significant relationship as the basic applicable conditions of lis pendens rule.The prorogation of jurisdiction and exclusive jurisdiction of the court second seised and the principle of protecting jurisdictional interests of the weak should be regarded as the prohibitive applicable conditions of lis pendens rule.