Recognition and Enforcement of Chinese Judgments in England and Wales[1]
中国判决在英格兰及威尔士的承认与执行
[1] As this article talks about English law, some legal terms and conceptions under English law cannot be translated into Chinese in a very precise way, so we would suggest you read English and take Chinese version as a reference. 由于本文讨论的是英国法律，英国法律项下的一些法律词汇及概念并不能非常准确地翻译为中文，因此我们建议您阅读英文，中文仅做参考。
With Chinese clients getting more and more involved in international transactions, it has become increasingly necessary for Chinese lawyers to obtain recognition of Chinese judgments and have them enforced in overseas jurisdictions against foreign counterparties. As the law varies in different nations, this article will narrow down the discussion to the recognition and subsequent enforcement of Chinese judgments in England and Wales.
随着中国客户越来越多地参与国际交易，中国判决得以承认并在域外司法领域针对外方得到执行对中国律师而言已然越发必要。由于各国法律不同，本文将把讨论限制在中国判决在英格兰及威尔士的承认与后续的执行问题上。
This article assumes that: (i) proceedings in China have led to a judgment of the Chinese court; (ii)the judgment debtor has assets located in England and Wales which might be enforced against.
本文建立在如下假设之上：(i)在中国的程序已完成并已获得一份中国判决；(ii)判决被执行人在英格兰及威尔士拥有可执行的财产。
Four Regimes System
四大架构体系
According to the English law, there are generally four regimes, depending on where the judgments originating from, when it comes to the recognition and enforcement of foreign judgements. They are the UK regime[1],the European regime[2],the statutory regime[3]and common law regime[4].The recognition and enforcement of Chinese judgments falls under the common law regime with the procedure being set out in Part 74 of the (English) Civil Procedure Rules. Particular points which are of relevance from a Chinese client perspective are listed below in the form of Q&A:
[1] Dealing with judgements from Scotland or Northern Island.处理来自苏格兰及北爱尔兰的判决。
[2] Dealing with judgements from EU and certain EFTA countries.处理来自欧盟及某些欧盟自由贸易区国家的判决。
[3] Dealing with judgements from many Caribbean countries and former British dominions (such as BVI, Cayman Islands, Bermuda) and most common wealth countries(such as Australia, India, Jersey, Isle of Man).处理来自加勒比海和前英属地国家及地区（如英属维京群岛，开曼群岛和百慕大）的判决和来自英联邦国家（如澳大利亚，印度，泽西岛和马恩岛）的判决。
[4] Dealing with judgements from other countries such as the USA, China and Japan.处理来自其他国家的判决，如美国、中国及日本。
在英国法项下讨论外国判决在英格兰及威尔士的承认与执行时，根据出具判决的国家而异，存在四大架构体系。他们是大英体系，欧洲体系，立法体系及普通法体系。中国判决的承认与执行属于普通法体系，其程序规定在（英国）《民事程序规则》的第74部分。对中国客户而言，具有关联性的要点将在下面以提问和回答的方式呈现：
I. What is the relevant limitation period to recognize and enforce a Chinese judgment?
一、承认与执行中国判决的时限是怎样的？
Pursuant to section 24(1) of the Limitation Act 1980: “An action shall not be brought upon any judgment after the expiration of six years from the date on which the judgment became enforceable”. A Chinese client therefore needs to initiate the procedure of recognition and enforcement in England and Wales within six years of the Chinese judgement in order to enable the English court to take further steps.
根据《时限法案1980》第24条所述：“基于判决项下的行为不得在判决生效6年后提起”。因此，中国客户应在取得中国判决后的6年内申请在英格兰及威尔士的承认与执行程序，以便英国法院能采取进一步动作。
II. Whether the Chinese court which issued the judgment is a court of competent jurisdiction in the eyes of English court? What rules will apply in its assessment?
二、在英国法院眼中出具判决的中国法院是否享有管辖权？在其审查中会适用什么规则？
Generally speaking, there are two requirements that both need to be met in order to satisfy an English court on this issue:
一般而言，要获得英国法院在该问题上的认可需同时满足两个条件：
(1) According to the law of People's Republic of China, the Chinese court which issued the judgment had jurisdiction to do so;
(1) 根据中国法律规定，该中国法院在该案上享有管辖权；
(2) The Chinese court must have had jurisdiction on a territorial or consensual basis.
(2) 中国法院在基于地域或协议基础上享有管辖权。
(a) In terms of what is meant by territorial jurisdiction, this means the person against whom the judgment was given was, at the time the proceedings were instituted, present in China[1].
(a)地域管辖权要求判决下达的对象在诉讼程序启动时位于中国境内。
(b) In terms of what is meant by consensual jurisdiction, this could be shown either because:
(b)协议管辖权要求其中一种情况被满足：
(i) there was a contractual clause or agreement whereby the relevant person submitted to the jurisdiction of the Chinese court,or the person against whom the judgment was given agreed to submit to the jurisdiction of the Chinese court, before the commencement of those proceedings; or
(i) 相关方存在协议条款或协议将争议交由中国法院管辖，或判决下达对象在诉讼开始前同意将争议交由中国法院管辖；或者
(ii) the person against whom the judgment was given voluntarily submitted to the jurisdiction of the Chinese court,either by means of initiating the proceedings as claimant or raising a counterclaim in them as a defendant, or voluntarily appearing in the Chinese proceedings(which, so far as the English court is concerned, would preclude the person appearing from later contesting the jurisdiction of the Chinese court).
(ii) 判决下达对象自愿将管辖权交给该中国法院，该自愿行为可以是以原告身份向该法院提起诉讼或以被告身份在该案中提起反诉，或者是自愿进入该诉讼程序的方式（但对英国法院而言，诉讼主体进入程序是为提出管辖权异议的不得认为是上述自愿行为）。
[1] For more information on territorial jurisdiction, please refer to Adams V Cape Industries plc [1990] Ch 433.
III. What requirements must a Chinese judgment satisfy in order to be recognised and enforceable in England and Wales?
三、中国判决应满足什么要求才能获得在英格兰及威尔士的承认与执行？
The Chinese judgment must be:
该中国判决应是：
(1) Final, binding and conclusive on the merits (and not just the result of a procedural default);and
(1)依据法律得到的最终的、具有约束力的、结论性的判决（而非程序瑕疵得到的判决结果）；同时
(2) For a sum of money, i.e. monetary obligation, but not for things like taxes or a fine. This means injunctions or interim orders issued by a Chinese court cannot be enforced under English common law.
(2)负有金钱给付义务，但不得是税收或罚款等金钱给付义务。这意味着中国法院下达的禁令或临时措施则无法在英国普通法项下得到执行。
V. On what grounds can recognition/enforcement of a Chinese judgment be challenged?
四、基于何种理由中国判决的承认／执行可能受到挑战？
In addition to the challenges which may arise in respect of the matters set out above, there are other challenges below which may also be raised by the defendant:
除了基于前文所述事项而来的挑战外，被告方还可能提出如下挑战：
(1) The procedures of the original proceedings in China breached the rules of natural justice as identified by English law, for example, the defendant was not given due notice or was deprived of the opportunity to be heard;
(1)该案在中国的诉讼程序违反了英国法认可的基本正义原则，例如，没有给予被告适当的通知或者剥夺了被告的诉讼权利；
(2) The judgment was obtained by fraud. However, conscious and deliberate dishonesty must be established.
(2)该判决是基于欺诈获得的。但是，需要证明存在主观欺诈的故意。
(3) The judgment is contrary to the public policy or the European Convention on Human Rights.
(3)该判决与公共政策或《欧洲人权公约》相冲突。
(4) The judgment conflicts with an existing final and binding judgment between the two parties on the same subject matter. This existing judgment may be that of another Chinese court or an English court or, indeed, any other jurisdiction.
(4)该判决与双方基于同一主体获得的现有的，终局性且具有约束力的另一判决相冲突。另一判决可能是中国另一法院或英国法院或其他司法领域法院做出的。
VI. Enforcement procedure under the common law regime.
五、普通法体系项下的执行程序
In order to recognise and enforce a judgment at common law, the party seeking enforcement must commence a new claim as one would for any other English claim.The proceedings take the form of a debt claim with the claimant (judgment creditor) filing and serving short “particular of claim” on the defendant (judgment debtor), explaining the judgment and why it should be recognised by the English court. However, rather than requiring a trial the claimant could then apply for summary judgment on the basis that there is no defence to the claim. The summary judgment procedure under Part 24 of the Civil Procedure Rules is relatively straight forward. Of course, if the defendant raises challenges under Section I to V, the application for summary judgment may fail and trigger the ordinary process where a full hearing is needed. In the event of a need to file a Claim Form or attending a hearing, we would advise our client to engage an English law firm to deal with the mechanics of the litigation in England and,perhaps, an English barrister.
为了使一个判决能够在普通法项下得到承认与执行，寻求执行方应当启动全新的诉讼程序，就好比启动任何其他英国法项下的诉讼程序一样。新的程序以债权为诉由，要求原告（执行人）立案后向被告（被执行人）提交简要的“诉讼请求详情”，解释该判决并阐明其应被英国法院承认的理由。但是，原告通常可以以该诉讼请求被告无可抗辩的理由为由申请简易判决而避免开庭审理。《民事程序规则》第24部分规定的简易判决程序相对更直接。当然，若被告基于上述第一至第四项提出挑战的，该简易判决程序申请可能失败并触发普通程序，普通程序则需要完整的庭审流程。在需要拟定起诉书或出席庭审的情况下，我们会建议客户聘请一家英国律师事务所或者出庭律师来处理诉讼相关问题。
Once the judgment has been recognised and respected via English court order, the monetary obligation can be enforced as if it were as English judgement.
判决一旦通过法院令得以承认及认可的，该金钱给付义务就如英国判决一样可以获得执行。
Following up on the notes above, we would like to make some observations on trends that we have noticed on the enforcement of judgments in overseas jurisdictions. Firstly, we believe it will become increasingly easy and cost-effective for a Chinese judgment to get recognised and enforced in another jurisdiction as global and bilateral cooperation improves, such as with the recent conclusion of the Convention on the Recognition and Enforcement of Foreign Judgments in Civil and Commercial Matters[1]on 2 July 2019 in The Hague. It is reported that delegates of People’s Republic of China attended the 22nd Diplomatic Session of the conference and participated in the formation of the final act[2],which indicates China may join this global system when the Convention is signed and ratified. Secondly, professionals experienced in international practice are becoming ever more used to dealing with issues involving Chinese parties and judgments, which makes those cross-border actions more accessible and affordable.
[1] For full text, please refer to 全文参考链接
https://www.hcch.net/en/instruments/conventions/full-text/?cid=137
[2]http://nl.china-embassy.org/chn/xwdt/t1677904.htm
接着上述要点，在此我们想就判决在域外司法领域的执行趋势发表几点观察意见。首先，我们相信中国判决在其他司法领域得到承认与执行将变得越发容易且具有经济效益，其原因是全球及双边合作的进步，例如2019年7月2日在海牙形成的《承认与执行外国民商事判决公约》。据报道中国代表出席了海牙国际私法会议第22届外交大会并参与到公约最终文本的形成，这意味着中国在签署并批准该公约后将加入该公约的全球体系。其次，拥有国际事务执业经验的专业人士也越发熟悉处理涉及中方的事务和判决，这使得这些跨国行为变得更加方便且经济实惠。
In the end, Tahota would like to take this opportunity to convey our sincere gratitude to Erskine Chambers for hosting our lawyer Ms. Lanyu Yang for a privileged internship in London and to Mr. Nigel Dougherty, a barrister at Erskine Chambers, for his personal guidance on this article.
最后，泰和泰希望借此机会向Erskine律师事务所表达诚挚的感谢，感谢他们为我所杨岚羽律师提供在伦敦实习的宝贵机会，也特别感谢该所出庭律师Nigel Dougherty先生对本文的指导。