现行仲裁执行司法监督制度结构的反思与调整——兼论仲裁裁决不予执行制度

仲裁裁决不予执行制度试图实现被申请人的权利救济和国家对仲裁更全面监督的双重目的。但由于这一具有司法监督职能的制度被置于执行阶段,不予执行事由实质上成为一种被申请人针对执行请求的抗辩主张,从而与司法审查监督无关。且由于抗辩一旦成立即具有废除仲裁裁决执行力和既判力的双重后果,导致抗辩主张与实际效果的背离。现行制度的这一结构导致了审判权与执行权(执行裁决权)行使的混同。这一结构性缺陷的主要原因是人们在认识上误认为仲裁裁决当然具有执行力。但在仲裁和执行法理上,执行力专属于国家司法机关,仲裁作为民间裁决要具有可执行性,必须经过司法机关的审查确认。这一过程是审判权的运用,而非执行权的运用。有鉴于此,应当专门设置对仲裁裁决可执行性的审查程序,即由权利人向法院提出对仲裁裁决的确认申请,法院予以审查确认。法院的确认裁决与仲裁裁决共同成为执行根据。该程序是一种特殊的审理程序,兼具诉讼性和非讼性。该程序使国内仲裁裁决的执行与国外及我国港澳台地区仲裁裁决的执行保持了一致,也进一步实现了审执分离,使国家对仲裁执行的监督更为合理。

The Basic Structure and Jurisprudence of Judicial Supervision over Arbitration Enforcement:On the System of Non-enforcement of Arbitral Awards

The system of non-enforcement of arbitral awards is one of the main systems in the current judicial supervision over arbitration in China.This institutional arrangement attempts to achieve the purpose of remedy to respondent as well as the more comprehensive supervision of arbitration by the state.However,because this system,which has the function of judicial supervision,is placed in the stage of execution,the application of non-execution becomes essentially a defense claim of the respondent against the execution request,which therefore has nothing to do with judicial review and supervision.Moreover,once the plea is established,it will have the dual consequences of abolishing the enforcement and res judicata of the arbitral award,which leads to the deviation of the plea from the actual effect.This structure of the current system leads to the confusion between the exercise of judicial power and executive power(executive adjudication power).The main reason for this structural defect lies in the misunderstanding that arbitral awards are of course enforceable and are the basis for enforcement.However,according to arbitration and enforcement jurisprudence,arbitration,as a way of civil awards,has only res judicata,instead of enforcement force which is exclusive to the national judicial organs.To be enforceable,arbitral awards must be examined and confirmed by judicial organs.This process is under the domain of judicial power,not the executive power,and could not be assigned to the executive procedure.In view of this,at the time of the legislation of the Civil Enforcement Law,as an adjustment of the system structure,special review procedures should be set up for the enforceability of arbitral awards.Namely,the right holder shall submit an application to the court for confirmation of the arbitral award,and the court shall examine and confirm it.The confirmation award of the court and the arbitral award jointly become the basis for execution.This procedure is a special trial procedure,which is both litigious and non-litigious.Once this procedure is set up,it will make the enforcement of domestic arbitral awards consistent with that of foreign arbitral awards,including both confirmation(recognition or non-recognition)and execution,and further contribute to realize the separation of jurisdiction and execution,which makes the supervision of national arbitral execution more reasonable.