译者 | 林雨弦 北京大学法学院
          应岳 复旦大学法学院
          朱哿 北京大学国际法学院
排版 | 陈远航 美国西北大学LL.M.
责编 | 陈逸漩 中国人民大学法学院
中美法律评论
编者按
本案为2023年美国法院承认与执行的首例中国国际经济贸易仲裁委员会裁决。本案仲裁裁决为缺席裁决，仲裁机构为保障被申请人的程序权利，曾先后向被申请人的四个送达地址进行送达。美国纽约南区联邦地区法院认为，被告Sunbird未能提出并证明《纽约公约》第5条第1款所列举的任一抗辩，该案所涉最终裁决没有违反公共政策、具有可仲裁性，送达程序不具有瑕疵，应予承认与执行。
中国贸仲委缺席裁决首次获美国法院承认与执行
High Hope Zhongtian Corporation (“High Hope”) seeks to enforce a final arbitration award (the “Final Award”) from the China International Economic and Trade Arbitration Commission (the “Arbitration Commission”) against defendant Sunbird USA Inc. (“Sunbird”). High Hope’s Complaint invokes the Convention on the Recognition and Enforcement of Foreign Arbitral Awards of June 10, 1958 (the “NY Convention”) and the implementing legislation, 9 U.S.C. §§ 201 et seq.
江苏汇鸿国际集团中天控股有限公司（High Hope Zhongtian）公司，以下简称为汇鸿（High Hope），希望执行中国国际经济贸易仲裁委员会（以下简称为仲裁委员会）对其与被告Sunbird美国公司（Sunbird USA Inc.），以下简称为Sunbird，作出的最终仲裁裁决（以下简称为最终裁决）。汇鸿的诉状援引了1958年6月10日签署的《承认及执行外国仲裁裁决公约》（以下简称为《纽约公约》）和美国执行该公约的立法，即《美国法典》第9章第201条及以下。
In this action, Sunbird was served with process on September 23, 2022, by service upon its statutory agent, the Secretary of State of the State of New York. Sunbird has neither responded to the complaint nor sought an extension of time to do so. On November 16, 2022, the Clerk of Court entered a Certificate of Default.
在本诉讼中，Sunbird于2022年9月23日通过向其法定代理人纽约州州务卿送达诉讼文件。Sunbird既没有对起诉作出答辩，也没有要求延长答辩期限。2022年11月16日，法院书记员出具了缺席证明书（Certificate of Default）。
High Hope now moves for a default judgment. The motion also has been served on Sunbird by service on New York’s Secretary of State.
现在，汇鸿提出了缺席判决的动议。该动议也已通过向纽约州州务卿送达的方式送达给了Sunbird。
The Second Circuit has held that “default judgments in confirmation……proceedings are generally inappropriate,” and the Court must review the pleading and accompanying record in accordance with the standard for granting summary judgment. D.H. Blair & Co., Inc. v. Gottdiener, 462 F.3d 95, 109 (2d Cir. 2006).
第二巡回法院在D.H. Blair & Co., Inc.诉Gottdiener案[462 F.3d 95, 109 (2d Cir. 2006).]中认为，“缺席判决在承认……（外国仲裁裁决）的程序中通常是不合适的”，法院必须按照批准简易判决的标准审查诉状和附带记录。
DISCUSSION
讨论
A final award will be recognized and enforced under the NY Convention provided the party seeking recognition and enforcement supplies the Court with duly certified copies of the final award and the underlying arbitration agreement, together with certified translations. Article IV, NY Convention. High Hope has met its burden of doing so. A party seeking to oppose enforcement must raise and prove one of the five defenses enumerated in Article V(1) of the NY Convention. Sunbird has failed to respond in any manner to either the Complaint or the present motion. 
根据《纽约公约》第4条的规定，如果申请仲裁裁决承认和执行的一方已向法院提供经正式认证的最终裁决与仲裁协议副本及经认证的译文，最终裁决将会得到承认和执行。汇鸿已经将前述义务履行完毕。申请不予执行的一方必须提出并证明《纽约公约》第5条第1款所列举的五项抗辩中至少有一项成立。Sunbird未能以任何方式回应诉状或本动议。
In addition to the five enumerated defenses, the Court may also refuse to enforce a final award if it violates “public policy” or the subject matter is not capable of resolution by means of arbitration in the place where enforcement is sought.
除上述五项抗辩外，法院也可以最终裁决违反“公共政策”或争议事项依执行地所在国法律不具有可仲裁性为由，拒绝承认及执行仲裁裁决。
Here, Sunbird entered into 21 contracts for the sale of bedding items. The contracts contained a clause providing for “final and binding” arbitration before the Arbitration Commission in Shanghai and conducted in accordance with its rules. High Hope duly commenced the arbitration and notice was transmitted to Sunbird by the Arbitration Commission. The first notice was mailed to a New York City address and returned, whereupon High Hope provided a second New York address for Sunbird. The mailing to that address was also returned. The Arbitration Commission sent the notice to a third address supplied by High Hope and the Arbitration Commission confirmed delivery on October 28, 2019. Sunbird, however, did not respond in any manner.
本案中，Sunbird签订了21份床上用品的买卖合同。上述合同包含了一个条款，该条款规定在上海的仲裁委员会有权按照其仲裁规则作出“最终和有约束力的”仲裁。汇鸿正式提起仲裁后，仲裁委员会向Sunbird发出了通知。第一个通知被邮寄到纽约市的一个地址后被退回，于是汇鸿又提供了Sunbird的第二个纽约地址。邮寄到该地址的邮件也被退回。仲裁委员会将通知寄往汇鸿提供的第三个地址，并于2019年10月28日确认送达。然而，Sunbird未以任何方式作出回应。
A three-person panel of arbitrators was appointed pursuant to the rules of the arbitral forum. A hearing was held on September 18, 2020. Sunbird was notified of the hearing but it neither appeared nor submitted evidence. On September 7, 2021, the arbitral panel issued the Final Award in writing.[1]  
根据仲裁规则，本案由三名仲裁员组成仲裁庭进行审理。2020年9月18日，听证会举行。Sunbird收到了听证会的通知，但其既没有出庭，也没有提交证据。2021年9月7日，仲裁庭以书面形式发布了最终裁决。[1]

High Hope was awarded $1,150,650.97 in damages against Sunbird for failure to pay for the goods sold and delivered. High Hope was also awarded RMB 150,000.00 in attorney’s fees, RMB 4,870.00 in a notarial fee and RMB 209,695.00 as the arbitration fee that had been prepaid by High Hope.
因为Sunbird未能支付所销售和所交付的货物，仲裁庭裁决汇鸿获得1,150,650.97美元赔偿金、150,000.00元人民币的律师费、4,870.00元人民币的公证费和209,695.00元人民币的仲裁费（此费用已由汇鸿预付）。
The Final Award addresses matters that are capable of submission to arbitration. The dispute was submitted to the arbitral tribunal pursuant to a written arbitration clause in the parties’ agreements and the party against whom the award is sought to be enforced was provided with notice and an opportunity to be heard. The proceedings fully accord with the NY Convention, the Final Award does not violate public policy and there is no other defense to enforcement appearing on the face of the record. The Final Award will be enforced.
最终裁决所涉的事项具有可仲裁性。该争议根据双方签订的合同中的书面仲裁条款提交仲裁庭，并且被要求执行裁决的一方已经被通知，也被提供了听证的机会。该程序完全符合《纽约公约》的规定，最终裁决不违反公共政策，根据记录，也不存在其他反对执行的答辩意见。最终裁决将被执行。
Converted at the current exchange rate posted by the Federal Reserve,[2] the portion of the award rendered in yuan or renminbi (RMB) is converted to $53,823.84, which when combined with the balance of the award of $1,150,650.97, equals $1,204,474.81.

根据美联储公布的现行汇率，[1]以人民币为单位作出的裁决部分折算为53,823.84美元，与裁决余额1,150,650.97美元相加，为1,204,474.81美元。

CONCLUSION
结论
The motion (ECF 17) is GRANTED and the Final Award is enforced and recognized. The Clerk shall enter judgment for High Hope against Sunbird in the total amount of $1,204,474.81, terminate the motion and close the action.
该动议（ECF17）被批准，最终裁决被执行和承认。书记员将出具汇鸿向Sunbird索赔共计1,204,474.81美元的判决，终止该动议并结束该诉讼。
SO ORDERED.
判决如上。
P. Kevin Castel
United States District Judge
Dated: New York, New York February 9, 2023
美国地区法院法官
日期：纽约州，纽约市，2023年2月9日
注释：
[1] This action was timely commenced on September 5, 2022, within three years of the Final Award. 9 U.S.C. § 207.
2022年9月5日，本诉讼程序在最终裁决作出的三年内及时启动，符合《美国法典》第9章第207条的规定。
[2] https://www.federalreserve.gov/releases/h10/current/ (last updated Feb. 6, 2023).（最后更新于2023年2月6日）。

原文链接：
https://jusmundi.com/en/document/decision/en-high-hope-zhongtian-corporation-v-sunbird-usa-inc-order-of-the-united-states-district-court-for-the-southern-district-of-new-york-thursday-9th-february-2023#decision_44839 
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