内地与香港特别行政区发布相互执行仲裁裁决的典型案例(2)
法庭只会在强制执行仲裁裁决会与执行地的道德和公正的基本概念相抵触的情况下拒绝强制执行裁决。法庭尊重在进行调解地惯常的调解形式，不会仅因形式和本地不一样而轻易引用违反公共政策。
三、厦门新景地集团有限公司诉裕景兴业有限公司案
[2009] 4 HKLRD 353;
CACV 106/2008 & CACV 197/2008
Ⅰ.基本案情
第一和第二上诉人是两家香港公司，亦是利景兴业(香港)有限公司（“香港利景”）的唯一股东，同时是裕景集团的成员之一。香港利景全资拥有一家内地公司，该公司在厦门拥有一块土地（“该物业”）。
申请人（一家内地公司）同意向上诉人支付1.2亿元人民币，以获取开发、经营该物业的权利并从中获得利润。上诉人亦同意将其在香港利景中的股份转让给申请人，并将该物业交付给申请人（“该协议”）。该协议包含一项仲裁条款。
上诉人没有将该物业交付给申请人，并以履行该协议违反中国内地法律为由宣称终止该协议。因此，申请人于北京展开仲裁程序（ “第一次仲裁”），并获得了对其有利的裁决（“该裁决”），当中命令上诉人要继续履行该协议。申请人随后在香港单方面获得了强制执行该裁决的命令（“ 该命令”）。
上诉人申请了搁置该命令，认为根据香港法例第341章《仲裁条例》（“《仲裁条例》》”），强制执行该命令应该因为无法履行该协议致使强制执行该命令会与公共政策相抵触为理由被拒绝，其中原因包括：（a）有关该物业的施工已经展开；（b）裕景集团的重组已于第一次仲裁期间落实，而香港利景股份已在过程中被摊薄，当中部份已被转让了给其母公司。法官拒绝搁置该命令。
同时，上诉人向仲裁委寻求就该协议双方在协议下的责任是否已被解除的问题做出裁定（“第二次仲裁”）。仲裁委裁定上诉人败诉。
在本次聆讯以处理上诉人提出的有关法官拒绝搁置该命令的上诉之时，该物业的开发已经完成，而当中99％ 落成的单位亦已出售给第三方。上诉人认为，由于无法履行该协议，因此申请人实际上是申请“更进一步”的补救措施，例如损害赔偿或交出所得利润，而不是有关该物业本身的任何权益。上诉人亦承诺他们将展开下一轮的仲裁委仲裁，让仲裁庭决定采取什么替代补救措施（“该承诺”）。此外，上诉人提出法庭亦可以将此案发还仲裁委，以便得到其指示，或将上诉押后至仲裁委颁下其指示后。
Ⅱ.争议
1.上诉人是否无法履行该协议？（“争议1”）
2.鉴于争议1，是否有充分理由按公共政策理据拒绝强制执行该裁决？（“争议2”）
3.法庭是否有司法管辖权把案件发还仲裁委？（“争议3”）
Ⅲ.分析
争议1
法庭指出，上诉人有充分机会向仲裁委直接提出无法履行该协议的问题，但上诉人并没有这样做。因此，法庭认为该承诺毫无意义。由于有关的做法没有合理解释，法庭因此认为此做法很明显是上诉人刻意的决定。法庭拒绝接受上诉人以下论点：即该物业的施工已经展开；因裕景集团的重组导致香港利景股份在过程中被摊薄；以及大部分该物业的单位亦已出售给第三方，致使其无法履行该协议。法庭认为这都是上诉人计算过的风险，并且是其一手造成的，因此上诉人须承担后果。法庭亦指出，由于该命令没有规定任何强制执行时间，而且真正无法执行该命令的人不会干犯蔑视法庭罪，因此，因蔑视法庭而被判监禁的风险全属虚构。
争议2
法庭指出，法庭在考虑是否按公共政策理据拒绝强制执行该裁决时，不会考虑案件的是非曲直或案情所建基于的交易。法庭的角色仅限于决定是否存在因违反公共政策而拒绝强制执行裁决的理据。法庭在处理此问题的角色应尽可能为机械式。因此，法庭认为在注册该裁决的阶段，是否无法履行该协议并非有关的因素，亦并不是作为在公共政策理据上拒绝强制执行该裁决的充分理由。
争议3
法庭裁定法庭没有司法管辖权把案件发还仲裁委。根据《仲裁条例》, 法庭有权强制执行该裁决（或拒绝这样做），但没有司法管辖权发还案件。
Ⅳ.裁决
上诉被驳回。
Ⅴ.典型意义
法庭在考虑是否拒绝强制执行该裁决时，不会考虑案件的是非曲直或有关案情的交易。法庭的角色仅限于就拒绝强制执行该裁决的理据是否存在着问题作出判断。在此基础上，法庭裁定无法履行协议在强制执行仲裁裁决的注册或认可阶段并非有关的考虑因素。因此，它并不构成基于违反公共政策的理据而拒绝强制执行仲裁裁决的充分理由。
四、山东红日阿康化工股份有限公司诉中国石油国际事业（香港）有限公司案
[2011] 4 HKLRD 604
CACV 31/2011
Ⅰ.基本案情
作为买方的上诉人跟作为供应商的答辩人订立了合同，以获得3,937.448吨硫的供应，并以购买价3,051,522.20美元为交换条件。上诉人拒绝接收3,810,578吨硫，原因是所提供的硫的规格不正确。 因此，上诉人要求就该批硫退还一共为2,953,198美元购买价余额。
双方就争议进行了由内地某仲裁委在内地的一个仲裁庭审理的仲裁。仲裁庭作出了对上诉人有利的裁决，当中裁定：
（a）上诉人须向答辩人退还3,810.578吨的硫；
（b）答辩人须向上诉人退还2,953,198美元（即就交易已收取的支付款项）；
（c）答辩人须向上诉人支付赔偿，杂项费用及上诉人的成本支出，加上利息（如有逾期支付情况）；
（d）答辩人对裁决的诠释则是，根据上述第(b)及(c)项，退还已收取之交易支付款项余额和支付其他款项的先决条件是，上诉人必须先退还拒绝接收的硫，且退还的硫的品质须要相等于供应予上诉人时的“状况和质量”。
为回应答辩人的书面申请和询问，仲裁委发出了3封信函（“仲裁委信函”）。前两封信函由仲裁委确认答辩人对裁决的诠释。第3封信函陈述了仲裁庭认为前述的两封信函是对裁决的“补充说明”，并构成该裁决的一部分观点。
答辩人发出的有关要求澄清以至颁发补充仲裁裁决的信函，以及仲裁委信函中的两封所载的回复都没有被抄送给上诉人。上诉人不同意答辩人对裁决的诠释, 并申请了许可在香港强制执行裁决第(b)及(c)项。答辩人反对其申请，并申请了许可强制执行裁决的第（a）项。法庭裁定答辩人胜诉。 随后，上诉人向上诉庭提出上诉。
Ⅱ.争议
1.鉴于香港法例第341章《仲裁条例》（已废除）（“《仲裁条例》”）第2GG（1）条，法庭应否“按仲裁裁决、命令或指示的条款而作出法庭判决”。（“争议1”）
2.鉴于仲裁裁决的措辞和强制执行法庭的义务，上述仲裁裁决第(b)及(c)项所提及的义务是否取决于上述仲裁裁决的第(a)项？（“争议2”）
3.基于归还原则适用的情况，上述仲裁裁决第(a)项下的义务是否独立于其第(b)项下的义务？（“争议3”）
4.根据《中华人民共和国仲裁法》（“仲裁法”）第56条及/或内地某仲裁委员会仲裁规则有关条款，仲裁委信函是否构成补充或附加仲裁裁决，即构成裁决的一部分？（“争议4”）
5.有关仲裁委信函的有效性应否由内地有关法院，而不是香港的强制执行法庭处理？（“争议5”）
Ⅲ.分析
争议1
法庭援引了权威判决，指出仲裁裁决的强制执行应“几乎是行政程序的事宜”；而基于重要的政策因素，法庭需要确保仲裁裁决能被有效且迅速地强制执行。法庭认为，法庭应该尊重仲裁裁决背后的清晰意图, 而无权摸索裁决背后的理由或猜测其意图。根据《仲裁条例》第2GG（1）条，法庭应在裁决的认受阶段“按仲裁裁决的条款”登录法庭判决。
争议2
法庭认为，撇开仲裁委信函的事宜，该仲裁裁决明显地没有指出上述裁决第(b)及(c)项下的付款义务取决于第(a)项。因此，在根据仲裁裁决作出的法庭判决以强制执行第(b) 至 (c)项的情况下，不应施加条件。否则，仲裁裁决将会被改变而不是被强制执行。按这道理，法庭没有理由对硫的状态和质量施加进一步的条件。
争议3
基于3个原因，法庭拒绝接纳答辩人有关上述仲裁裁决第(a)和第(b)项下的义务因为归还原则适用的情况而不会彼此独立的论点：首先，法庭不应猜测裁决背后的意图；此外，归还原则在不同的司法管辖区有所不同，有关的法律应该由仲裁庭应用；其次，即使假设仲裁裁决有关退还已付款项和退还货品的义务并不是彼此独立，法庭亦不能因此而断定有关的裁决必须取决于彼此。归还法下的权利和义务，不可以与为了对这些权利和义务给予实效所作的裁决和命令相混淆。
争议4
根据仲裁法第56条及/或 内地某仲裁委仲裁规则相关条款，仲裁委信函并不构成补充或附加裁决。因此，在香港的强制执行程序中，仲裁庭或仲裁委信函所表达的观点不可被接纳。
争议5
基于3个理由，法庭拒绝接纳答辩人有关应该由内地有关法院，而不是香港的强制执行法庭来处理仲裁委信函作为补充或附加裁决的有效性的论点：首先，如果法庭发现在所谓的仲裁裁决或补充裁决与相关法律或规则下的仲裁裁决或补充裁决之间的要求存在明显差异，强制执行法庭无须接受被描述为仲裁裁决或补充裁决的所有文件；此外，强制执行法庭有权考虑其有关强制执行外国或内地仲裁裁决的公共政策。在本案里，仲裁委信函其中的第2和第3封的事宜涉及到公共政策中的自然公义规则。
Ⅳ.裁决
上诉得直。
Ⅴ.典型意义
强制执行仲裁裁决应“几乎是机械式的程序”。强制执行法庭无权亦无须摸索有关仲裁裁决背后的理由或猜测其意图。作为强制执行法庭，香港法庭有权判断一份文件是否仲裁裁决或补充仲裁裁决，或其中的一部分。法庭亦有权按其有关强制执行外国或内地仲裁裁决的公共政策决定是否拒绝强制执行仲裁裁决。自然公义规则是否被恪守的问题（此乃本案的仲裁委信函涉及到的事宜）会被法庭纳入其考虑当中。
五、郭顺开诉永成化工有限公司案
[2013] 3 HKLRD 484
HCCT 35/2012
Ⅰ. 基本案情
根据申请人与答辩人在内地某仲裁委员会管理的仲裁，仲裁庭作出了裁决，裁定答辩人败诉（“该裁决”）。该裁决要求答辩人向申请人支付：（1）人民币29,195,470.58元的经济损失赔偿及相关利息人民币12,293,716.33元； （2）人民币500,000元的法律费用；及 （3）人民币675,473元的仲裁程序费用，以及人民币134,574元的仲裁员费用。
随后，申请人获得法庭发出的命令及许可，容许该裁决在香港予以强制执行（“该命令”）。
答辩人以该裁决超出了交付仲裁的范围，及仲裁程序与法律相抵触为理由，向内地某人民法院申请了搁置或撤销该裁决。香港法庭认为此申请的性质并非以案件所建基的争议的是非曲直为由提出上诉。
随后，答辩人根据香港法例第4A章《高等法院规则》第73号命令第10（6）条规则（“高院规则”）的规定，发出传票（“该传票”）以搁置或更改该命令。这正是本案中法庭要解决的问题。
Ⅱ.争议
1.有关强制执行内地仲裁裁决的案件，法庭是否有司法管辖权押后程序？（“争议1”）
2.法庭在押后有关申请搁置或更改该命令的聆讯时，一方申请保证时应考虑哪些因素？（“争议2”）
Ⅲ.分析
争议1
法庭指出，即使《仲裁条例》在强制执行内地仲裁裁决程序的部分并没有提及有关押后程序的条文，即等同于押后有关强制执行普通仲裁裁决或公约仲裁裁决程序的条文，并不代表法庭没有司法管辖权押后有关强制执行内地仲裁裁决程序。法庭认为其有一般及固有权力去管制其程序，包括押后程序；此权力已隐含在高院规则第73号命令第10A条规则当中。
争议2
法庭引述并参考了英国法庭在Soleh Boneh International Ltd 诉 Government of the Republic of Uganda [1993] 2 LLR 208一案中所列出的原则。在该案中，英国法庭决定押后聆讯，同时要求与讼的有关方提供相当于仲裁裁决金额的保证以待瑞典法庭裁定仲裁裁决是否具约束力。在该案上诉的程序中，法庭考虑了两项因素 – 经法庭简短审议，有关仲裁裁决无效的论点的可取性，以及强制执行仲裁裁决的难易程度，以及如果执行有延误，执行会否因为资产转移或不经意的交易而变得困难。有关仲裁裁决无效的论点越有力，或强制执行的困难程度会因为执行被延误而提升的情况越明显，法庭越有可能会命令与讼的有关方提供保证。
根据上述原则，法庭考虑了一系列与本案有关的因素，包括答辩人未有提供任何文件以列明它向内地某人民法院所提出的有关搁置或撤销该裁决的申请的是非曲直，从而支持它有关该裁决是“明显无效”的论点；答辩人更改了其注册办事处，答辩人出售了其工业物业，答辩人的财政状况在变差，而且答辩人公司股份（被形容为过时资产）被母公司于该裁决被颁下后的短时间内出售；还有，已公布的总资产（约4,504万港元）及未经审计的净负债（约1.435亿港元）。
Ⅳ. 裁决
基于上述因素，及在没有有关特定保证金额会超出答辩人能力范围的陈词的情况下，法庭押后该传票聆讯以待内地某人民法院裁定该裁决应否被搁置或撤销，及命令答辩人提供2,000万港元作为保证金，以保障该裁决在聆讯被押后的情况下能在香港成功予以强制执行的机会。
Ⅴ. 典型意义
香港特区高等法院有权押后有关强制执行内地仲裁裁决程序的聆讯并要求答辩人提供保证金。
关于应否命令答辩人提供保证以履行裁决，法院的考虑因素主要有两点。首先是裁决无效的论点。如果裁决明显无效，则应押后聆讯并不应发出命令要求提供保证；但是，如果该裁决明显有效，则应该立即发出强制执行命令或发出命令要求提供大量保证。其次，法院应考虑执行的难易程度以及任何延迟执行的影响，例如透过资产的转移或不经意的交易。
Cases of the people's courts of Mainland
CASE No.1： Application of Farenco Shipping Pte. Ltd. for Enforcement of Arbitration Awards made in Hong Kong
(2018)Yue 72 Ren Gang No. 1 of No. 1, (2019) Yue 72 Ren Gang No. 1
I. Basic facts
On 1 February 2012, Farenco Shipping Pte. Ltd. (“Farenco”) of Singapore signed a contract of affreightment(“COA”) with Eastern Ocean Transportation Co., Ltd. (“Eastern Ocean”), agreeing that Eastern Ocean would transport the goods of Farenco, and all disputes arising from the COA would be submitted to arbitration in Hong Kong SAR with the application of the law of the United Kingdom (“UK law”). On 21 April of the same year, Farencosent an e-mail to Eastern Ocean to confirm that both parties had entered into a supplementary contract on the basis of the aforementioned COA, agreeing to add an additional lot of cargo to be transported, and that other terms and conditions of the COA would apply. Subsequently, a dispute over the performance of the supplementary contract arose between the parties, followed by its submission to arbitration in Hong Kong SAR by Farencoon 16 February 2016. According to the first final award and the final award on costs it handed down, the arbitral tribunal in Hong Kong SAR ruled that Eastern Ocean was to pay the corresponding damages and related arbitration fees.
After the arbitration awards came into effect, Farencoapplied to the Guangzhou Maritime Court for recognition and enforcement of the two arbitration awards. Eastern Ocean responded that the arbitration agreement submitted by Farenco had not been notarised and certified, nor had an officially certified Chinese translation been submitted. The freight in question was the subject matter of the supplementary contract, which was reached orally by both parties over the phone without having any arbitration clauses agreed on or any arbitration agreement concluded. Besides, Eastern Ocean had never recognised the jurisdiction of the arbitral tribunal. For these reasons, the enforcement of the arbitration awards would contravene the requirements under the Arbitration Law of the Mainland that arbitration agreement must be express and the relevant provisions of the General Rules of the Civil Law on the expression of intention, and would be contrary to the public interests.
II. Rulings
The Guangzhou Maritime Court held that: First, the instruments Farenco submitted in its application for recognition and enforcement of the arbitration awards conform to the requirements on the necessary documents under the Supreme People’s Court’s Arrangement Concerning Mutual Enforcement of Arbitral Awards between the Mainland and the Hong Kong Special Administrative Region (“the Arrangement”). Second, whether an arbitration agreement is tenable falls within the scope of its validity review and, in view of the lack of an agreement between the two parties on the applicable law for ascertaining the validity of the arbitration agreement, pursuant to Article 7(1) of the Arrangement, whether an arbitration agreement in question is tenable should be decided in accordance with the law of the place of arbitration, i.e. the law of Hong Kong SAR. According to the law of Hong Kong SAR, the incorporation terms set out in the subject email constitutes a valid arbitration agreement. Third, violation of relevant provisions of the law of the Mainland is not equivalent to breach of the public interests of the Mainland unless the recognition and enforcement of the arbitration awards will seriously damage the basic principles of the law of the Mainland. The requirements for express arbitration agreement under the Arbitration Law of the Mainland and expression of intention under the General Rules of the Civil Law are outside the ambit of the basic principles of the law of the Mainland. In view of the above reasons, it was held that the two arbitration awards should be recognised and enforced. Besides, in response to Farenco’s application, the Guangzhou Maritime Court had frozen Eastern Ocean’s deposit at the China Merchants Bank (Shenzhen Branch) before handing down a ruling on the case.
III. Significance
First, the case has clarified that whether an arbitration agreement is tenable falls within the scope of validity review. An arbitration agreement is an essential instrument for the application by a party for recognition and enforcement of an arbitration award. It has a direct implication on the jurisdiction of the relevant arbitral tribunal. A review of the validity of an arbitration agreement is obligatory prior to the recognition and enforcement of a relevant arbitration award. In this connection, Article 7(1) of the Arrangement stipulates that the court may refuse to enforce an arbitral award if the arbitration agreement was invalid. In practice, however, there is controversy over whether a broad or strict interpretation should be adopted for invalid arbitration agreements and whether the case of failing to prove the existence of an arbitration agreement should be included. In this case, the court looked beyond the literal meaning for the intent of the provision of the Agreement and ruled that the proof of existence of the arbitration agreement was a prerequisite for it to be valid, which falls within the scope of review of its validity. Agreements that are invalid should cover those cases where their existence cannot be proved.
Secondly, interim measures are granted upon application before an arbitration award is recognised and enforced. The Arrangement is silent on whether the court can, before or after handling an application for recognition and enforcement of an arbitration award, grant interim measures against the property of the party against whom the application is filed. Besides, there is inconsistent interpretations of the Arrangement when it comes to implementation. By reference to the Arrangement Concerning Mutual Recognition and Enforcement of Arbitral Awards between the Mainland and the Macao Special Administrative Region, and according to the provisions of the Civil Procedure Law of the People’s Republic of China and its relevant judicial interpretations, it was held that in the present case upon application by the party concerned, pre-trial interim measures could be granted before the party concerned applied for recognition and enforcement of the arbitration awards and that after such application was filed, the court could, before recognising and enforcing the awards, grant preventive remedies to facilitate the smooth enforcement of the awards for the better protection of the legitimate rights and interests of the party concerned.
CASE No.2： Application for Enforcement of a Hong Kong Arbitration Award by the Applicant Ennead Architects International LLP of the United States
(2016) Su 01 Ren Gang No. 1
I.Basic facts
On 29 March and 15 May 2013, Ennead Architects International LLP (hereinafter referred to as “Ennead”) of the United States and R&F Nanjing Real Estate Development Co. Ltd. (hereinafter referred to as “R&F”) signed a land lot design contract and agreed on the arbitration clauses stipulating that any disputes shall be submitted to the China International Economic and Trade Arbitration Commission (hereinafter referred to as “CIETAC”) for arbitration in accordance with its prevailing arbitration rules at the time of application for arbitration, and that the place of arbitration shall be the Hong Kong Special Administrative Region. In the wake of a dispute over contract performance, Ennead applied to the CIETAC Hong Kong Arbitration Center for arbitration, seeking an arbitration award ordering R&F to, among others, pay the outstanding design fees and bear the liability for breach of contract.
The CIETAC Hong Kong Arbitration Center accepted the case pursuant to the CIETAC Arbitration Rules, which came into effect on 1 January 2015, and made the arbitration award (2015) Zhong Guo Mao Zhong Gang Cai Zi No. 0003 on 28 November 2015.On 7 June 2016, Ennead applied to the Intermediate People’s Court of Nanjing City, Jiangsu Province for enforcement of Item 3 of the arbitration award, i.e. the part on payment of interest. R&F did not raise any objection.
II.Rulings
The Intermediate People's Court of Nanjing City, Jiangsu Province held upon examination that R&F had raised no objection to the arbitration award concerning the present case and had performed the part of the award on the principal amount of design fees as determined, failing only the part on payment of overdue interest under Item 3. The arbitration award in the case also would not be contrary to the public interests of the Mainland. Therefore, pursuant to Articles 1 and 7 of theSupreme People’s Court’s Arrangement Concerning Mutual Enforcement of Arbitral Awards between the Mainland and the Hong Kong Special Administrative Region (hereinafter referred to as “the Arrangement”), it was held that Item 3 of the arbitration award should be enforced.
III.Significance
This case marks the first time an arbitration award made by a Hong Kong branch of a Mainland arbitration institution in an arbitration seated in Hong Kong SAR has been enforced by a Mainland court. The case clarifies and confirms that the criterion for determining the origin of an arbitration award is the place of arbitration, and accordingly holds that the arbitration award involved in the case is a Hong Kong arbitration award, meeting the applicable conditions of the Arrangement.
Mainland laws impose different examination standards for different types of arbitration awards, and generally use the location of the arbitration institution as the basis for determining the origin of an arbitration award. According to the Notice of the Supreme People’s Court on Issues Relating to the Enforcement of Hong Kong Arbitration Awards in the Mainland (hereinafter referred to as “the Notice”), any ad hoc arbitration awards made in Hong Kong SAR or any arbitration awards made by foreign arbitration institutions in Hong Kong SAR should be examined by the people’s court in accordance with the provisions of the Arrangement. In effect, this clarifies that the criterion for determining the origin of an arbitration award should be the place of arbitration rather than the location of the arbitration institution. Nevertheless, the Notice has no express provision on whether an arbitration award made by a Mainland arbitration institution in an arbitration seated in Hong Kong SAR is a Hong Kong arbitration award. The determination in the present case of the origin of an arbitration award made by a Hong Kong branch of a Mainland arbitration institution according to the place of arbitration is in line with both the spirit of the Notice and prevailing international standards.
CASE No.3： Application for Recognition and Enforcement of a Hong Kong Arbitration Award by the Applicants David Dein Consultancy Limited and Bramley Corporation Ltd
(2020) Jing 04 Ren Gang No. 5 (1)
I.Basic facts
On 24 August 2018, David Dein Consultancy Limited (hereinafter referred to as “David Dein) and Bramley Corporation Ltd (hereinafter referred to as “Bramley”) each signed with Beijing SinoboGuoan Football Club (hereinafter referred to as “Guoan”) a copy of the same Consultancy Agreement agreeing that any disputes should be submitted to the Hong Kong International Arbitration Centre (hereinafter referred to as “HKIAC”) for settlement by arbitration, with English law as the applicable law. Accordingly, Guoan submitted a notice of arbitration to the HKIAC on 21 November 2018. Subsequently, David Dein and Bramley filed a counterclaim. On 5 March 2020, the HKIAC made an award (case number: HKIAC/A18211) ruling that Guoan had committed a repudiatory breach of the Consultancy Agreement and should pay the relevant fees and interest to David Dein and Bramley.
After the arbitration award had taken effect, David Dein and Bramley applied to the Beijing Fourth Intermediate People’s Court for recognition and enforcement of the award. The respondent Guoan contended that the People’s Court should rule against recognition and enforcement of the arbitration award. The reasons stated included invalidity of the arbitration agreement involved, composition of the arbitral tribunal being contrary to the agreement between the parties and the law of the Hong Kong Special Administrative Region, arbitral proceedings not being in accordance with the agreement between the parties, violation of social and public interests, and that recognition of the amount awarded should be refused.
II. Rulings
The Beijing Fourth Intermediate People’s Court held upon examination that first, the parties in the present case agreed only on the application of substantive English law as the governing law of the agreement, without stating explicitly the law to be applied in confirming the validity of the foreign-related arbitration agreement. As both the location of the arbitration institution and the seat of arbitration were in Hong Kong SAR, the Arbitration Ordinance of Hong Kong should apply in the conduct of the examination, and the agreement was valid under the relevant provisions. Second, according to the 2018 HKIAC Administered Arbitration Rules in force during the arbitration, the composition of the arbitral tribunal was not in breach of the rules. The fact that the arbitrator and the directors of the two companies held office in the English Football Association did not necessarily mean that the arbitrator had conflict of interest with the two companies. As the parties had knowledge of the public information held by the arbitral tribunal, no disclosure was needed and no procedural impunity was involved. Third, some copies of the arbitration documents produced by the applicant and the amount of expenses in his bill did not serve to prove that the arbitral proceedings were inconsistent with the agreement. Such information was public information of the arbitral proceedings and was not in breach of the confidentiality clause. Fourth, public interests, which concerned the interests of the entire community, should be enjoyed by the general public and were different from the interests of the contract parties. Although part of Guoan’s assets were state-owned, it did not follow that all matters relating to those assets should be deemed as public interests. In light of the above, it was held that the arbitration award HKIAC/AC18211 made by the HKIAC of the Hong Kong Special Administrative Region should be recognised and enforced.
III. Significance
1. The present case clarifies that where a party relies on the clause “[t]he composition of the arbitral tribunal or the arbitral proceedings was not in accordance with the agreement between the parties” in Article 7 of the Arrangement to contend that there are procedural issues of disclosure and withdrawal on the part of an arbitrator, the Court should make a reasonable judgment on the basis of both the arbitration rules and life experience in examining whether the issues are sufficient to affect the impartiality and independence of the arbitration. In the present case, the arbitrator’s connection and interaction with others for the purposes of work, daily living, study and other social activities, and his holding of office in the same organisation with the people concerned did not necessarily constitute any conflict of interest affecting the impartiality of the arbitration procedure under the withdrawal rules. Arbitrators may choose not to disclose matters not relating to their independence or the impartiality of the arbitration.
2. Elaborating on the issue of public interests, the present case is of considerable reference value. Public interests, which concern the interests of the entire community, should be enjoyed by the general public and are essential for the development and survival of the society as a whole, thus having a public and social nature and are different from the interests of the contract parties. The arbitration involved in this case dealt with a contractual dispute between civil subjects of equal status. The outcome would only affect the contract parties and have nothing to do with public interests. Although part of the assets of the respondent, Guoan, were state-owned, it did not follow that all matters relating to those assets should be deemed as public interests.
CASE No.4： Applicant Raffles International Limited Application for the Enforcement of a Hong Kong International Arbitration Centre Arbitral Award by Applicant Raffles International Limited
(2016) Jin 01 Ren Gang no.1
I.Basic facts
On 15 January 2007, Raffles International Limited（hereinafter “Raffles”）and Haihang Tianjin Center Development Co., Ltd.（hereinafter “Haihang”）entered into a Licence Agreement on the use of logo “Raffles” and trade mark “Raffles”. On the same day, Raffles Hotel Management (Beijing) Company Limited (a connected company of the Raffles conglomerate) (hereinafter “Raffles -Beijing”and Haihang entered into a Hotel Management Agreement on the collaboration on hotel management and operation. The Licence Agreement provides that any disputes, issues or controversies arising from or in connection with the contract shall be submitted to arbitration before the Hong Kong International Arbitration Centre (hereinafter"HKIAC") for final resolution pursuant to the arbitration rules valid at the time of making the application for arbitration. The seat of the arbitration is Hong Kong SAR. The Licence Agreement also provides that, if the Hotel Management Agreement or any other transaction agreements are terminated for any reasons, the Licence Agreement shall be terminated immediately. The Hotel Management Agreement stipulates that relevant disputes shall be submitted to arbitration before the China International Economic and Trade Arbitration Commission Shanghai Sub-Commission (hereinafter “CIETAC Shanghai”).
