论非内国仲裁项下的浮动裁决与《纽约公约》项下的非本国裁决——兼论旭普林公司案项下ICC裁决的性质

On the Floating Award under DelocalizedArbitration and Award not Considered asDomestic under New York Convention—Also on the Nature of the ICCAward in Zueblin Case

本文结合国际商事仲裁的一般理论与实践,特别是我国现行仲裁立法与实践,论述了非内国仲裁项下的浮动裁决与《纽约公约》项下的非本国裁决的性质,指出了两者之间的本质区别。作者认为,非内国仲裁是国际商事仲裁的一种虚拟理论,其核心内容是国际商事仲裁裁决的法律效力不必由仲裁地国的法律赋予,任何国家法院均无权撤销此裁决。而《纽约公约》项下的非本国裁决则有其特定的含义,它是指裁决地与裁决执行地同属一个国家的情形:法院根据当地法律认为在法院地国作出的裁决不是当地的裁决,即非本国裁决。非内国仲裁项下的裁决为浮动裁决或者无国籍裁决,而《纽约公约》项下的非本国裁决则不是无国籍裁决,因为按照《纽约公约》的规定,不是裁决地国法院无权撤销此裁决,而是裁决地和执行地国法院根据当地的法律不认为此裁决是当地裁决,因而拒绝对此裁决行使撤销权。当此裁决向此裁决地和执行地国以外的《纽约公约》缔约国法院申请承认与执行时,后者仍然会根据《纽约公约》的规定,将此裁决认定为在裁决地国作出的'外国裁决'。旭普林公司向我国法院申请执行的ICC裁决,是ICC仲裁庭适用ICC规则在我国上海作出的裁决,此裁决对于我国而言,根据我国现行法律不是我国裁决,按照《纽约公约》的规定也不是外国裁决,而是《纽约公约》项下的非本国裁决。

The paper studied the nature of floating awards under delocalized arbitration doctrine and awards not considered as domestic awards under New York Convention in accordance with the general theory and practices of international commercial arbitration,especially combined with international arbitration legislation and practices in China.It is the author?s view that delocalized arbitration is a kind of invented theory in international commercial arbitration.The key issue of that doctrine is that the binding force of the international arbitral award is not granted by the national law but the intention of the parties.As a result,no national courts are entitled to set aside such awards.The award not considered as domestic under New York Convention has its special meaning.It refers to the award which was made and being sought for enforcement in the same state,while the national court grants no local status as to such award in accordance with the local law.The delocalized arbitration results in floating or un-national awards while awards not considered as domestic under New York Convention are not floating or un-national awards.The later could have been granted local status according to the general principle of international commercial arbitration law.It is the local law that refused to grant such status.In the meantime,when such an award is applied for recognition and enforcement in the territory of other contracting states of the New York Convention,those states may,in accordance with the Convention,consider that award as foreign award of the state where it was made.The ICC Award,which was made in Shanghai in accordance with the ICC Rules and which Zueblin applied for enforcement in the Chinese court,is just the award not considered as domestic(Chinese)award under New York Convention.