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UNCITRAL

UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAWUNITED NATIONS

UNCITRAL Secretariat

Guide on the Convention on

the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) T elefax: (+43-1) 26060-5813

Internet: www.uncitral.org

E-mail: uncitral@unc

itral.org

UNCITRAL Secretariat

Guide on the

Convention on the Recognition and

Enforcement of Foreign Arbitral Awards

(New York, 1958)

2016 Edition

UNITED NATIONS

New York, 2016UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW

UNITED NATIONS PUBLICATION

Sales No.: E.16.V.7

ISBN: 978-92-1-133851-5

e-ISBN: 978-92-1-058318-3 Symbols of United Nations documents are composed of capital leers com bined with gures. Mention of such a symbol indicates a reference to a United

Nations document.

© United Nations, September 2016. All rights reserved, worldwide. e Guide is a product of the work of the Secretariat based on expert input, and was not substantively discussed by the United Nations Commission on Interna- tional Trade Law (UNCITL). Accordingly, the Guide does not purport to reect the views or opinions of UNCITL member States and does not consti- tute an ocial interpretation of the New York Convention. e designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. Publishing production: English, Publishing and Library Section, United Nations

Oce at Vienna.

Contents

Preface

Introduction ............................................................ 1

Article I

............................................................. 5

Article I(1)

............................................................. 9 A. Meaning of “recognition and enforcement" .................... 9 B. Meaning of “arbitral awards" .................................. 11 C. Arbitral awards falling within the scope of the Convention ...... 18 D. Meaning of “arising out of dierences" ........................ 27

Article I(2)

............................................................. 28

Article I(3)

............................................................. 29 A. Reciprocity reservation ...................................... 29 B. Commercial reservation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Article II

............................................................. 37 Article II(1) ............................................................ 42 A. e obligation to recognize an agreement in writing ............ 42 B. Meaning of “agreement". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 C. Scope of the “agreement in writing" ........................... 48 Article II(2) ............................................................ 51 A. “Arbitral clause in a contract" versus “arbitration agreement" .... 52 B. e signature requirement ................................... 53 C. An arbitral clause or an arbitration agreement included in an exchange of documents ................................. 54 Article II(3) ............................................................ 57 A. General principles ........................................... 57 B. Enforcement of arbitration agreements under article II(3) ...... 62

Article III

............................................................. 75 A. General principles ........................................... 78 B.

Rules of procedure of the territory where

theawardis relied upon ...................................... 82 C. ere should not be imposed substantially more onerous conditions or higher fees or charges than are imposed on the recognition or enforcement of domestic arbitral awards .. 90

Article IV

............................................................. 95 A. Prima facie right to recognition and enforcement ............... 99 B. An exhaustive set of requirements ............................. 99 C. Whether applicants can supply some, but not all, article IV documents .................................................. 101 D. “[A]t the time of the application" ............................. 103

Article IV(1)

(a) ......................................................... 105 A. e requirement that the applicant provide the“award" ......... 105 B. Authentication and certication .............................. 108

Article IV(1)

(b) ......................................................... 113 A. e requirement that the applicant provide thearbitration agreement “referred to in article II" ........................... 114 B.

No requirement to prove the validity of

thearbitration agreement .................................... 115 C.

No requirement to authenticate

the arbitration agreement .................................... 116

Article IV(2)

............................................................ 117 A. Governing law .............................................. 117 B. Certication “by an ocial or sworn translator or by a diplomatic or consular agent" ............................ 118 C. e object of translation ..................................... 119

Article V

............................................................. 121 A. Court discretion under article V .............................. 125 B. Exhaustive character of grounds under article V ................ 126 C. Burden of proof under article V .............................. 128

Article V (1)

(a) ......................................................... 131 Incapacity of the parties .................................................. 134 A. Meaning of “the parties to the agreement referred to in article II" ................................................. 134 B. Concept of incapacity ........................................ 135 C. Meaning of the “law applicable to them" ....................... 138 D. Relevant time for incapacity .................................. 140

Invalidity of the arbitration agreement

..................................... 141 A. e choice of law rule under article V(1)(a) ................... 141 B. Meaning of “invalidity" ...................................... 144 C. Formal validity of an arbitration agreement .................... 145 Procedural issues arising in connection with article V(1) (a) ................ 146 A. Burden of proof ............................................. 146 B. Relevance of the ndings of arbitral tribunals orcourts ......... 148 C. Preclusion .................................................. 150

Article V (1)

(b) ......................................................... 153 A. e requirement that the parties be given “proper notice" ....... 157 B. Evidence that a party was “unable to present his case" ........... 163 C. Procedural hurdles to showing a breach of articleV(1)(b) ...... 168

Article V (1)

(c) .......................................................... 171 A. General principles ........................................... 174 B. Partial recognition of an award ................................ 181 C. Relationship with other articles in the Convention ............. 182 D. Procedural aspects .......................................... 184

Article V (1)

(d) ......................................................... 187 General principles ....................................................... 191 A. Prevalence of party autonomy ................................ 191 B.

Subsidiary role of the law of the country where

thearbitration took place ..................................... 193

Application

............................................................. 195 A. e requirement that the composition of thearbitraltribunal accord with the governing rules ............................... 195 B. e requirement that the arbitral procedure accord with the governing rules .............................................. 198 C.

Procedural issues in raising a challenge based on

article V(1)(d) ..............................................202

Article V (1)

(e) .......................................................... 205 A. e “binding" nature of an award ............................. 209 B. What is a “competent authority" of the country “in which, or under the law of which", the award was made? .................. 217 C. Award set aside or suspended ................................. 220

Article V (2)

(a) ......................................................... 225 A. Concept .................................................... 228 B. Application ................................................. 231

Article V (2)

(b) ......................................................... 237 A. Concept .................................................... 240 B. Application ................................................. 247 C. Procedural issues in raising the defence of article V(2)(b) ...... 256

Article VI

............................................................. 263 A. General principles ........................................... 266 B. e decision to grant or deny adjournment .................... 271 C. e decision to order suitable security ......................... 279

Article VII

............................................................. 287 Article VII (1) .......................................................... 289 A. General principles ........................................... 290 B. Interaction of the Convention with other treaties ............... 293 C. Interaction of the Convention with domestic law ............... 298 Article VII (2) .......................................................... 307

Article VIII

............................................................. 309

Article VIII(1)

.......................................................... 310

Article VIII(2)

.......................................................... 311 A. Procedure for becoming a party ............................... 311 B.

Depositary

.................................................. 312

Article IX

............................................................. 313

Article X

............................................................. 315

Article XI

............................................................. 317

Article XII

............................................................. 321

Article XIII

............................................................. 325

Article XIV

............................................................. 327

Article XV

............................................................. 331

Article XVI

............................................................. 333

Preface

From the Final Act of the United Nations

Conference on International Commercial

Arbitration of 10 June 1958

to General Assembly resolution 62/65 of 6 December 2007 1. e New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the “New York Convention" or the “Convention") is one of the most important and successful United Nations treaties in the area of international trade law. Although the Convention, adopted by diplomatic conference on 10 June

1958, was prepared by the United Nations prior to the establishment of the United

Nations Commission on International Trade Law (UNCITL), promotion of the Convention is an integral part of the work programme of UNCITL. e Convention is widely recognized as a foundational instrument of international arbi- tration and requires courts of contracting States to give eect to an agreement to arbitrate when seized of an action in a maer covered by an arbitration agreement and also to recognize and enforce awards made in other States, subject to specic limited exceptions. e Convention entered into force on 7 June 1959, and there are to date 156 States parties to the Convention. 2. e General Assembly adopted on 6 December 2007 resolution 62/65 in which it recognized the value of arbitration as a method of seling disputes in international commercial relations in a manner that contributes to harmonious commercial relations, stimulates international trade and development, and pro- motes the rule of law at the international and national levels. e General Assembly expressed its conviction that the New York Convention strengthens respect for binding commitments, inspires condence in the rule of law and ensures fair treat- ment in the resolution of disputes arising over contractual rights and obligations. It emphasized the necessity for further national eorts to achieve universal adher- ence to the Convention, together with its uniform interpretation and eective implementation. e General Assembly expressed its hope that States that are not yet parties to the Convention would soon become parties to it, which would ensure that the legal certainty aorded by the Convention is universally enjoyed, and would decrease the level of risk and transactional costs associated with doing busi- ness, thus promoting international trade. 3. e General Assembly requested the Secretary-General to increase eorts to promote wider adherence to the Convention and its uniform interpretation and eective implementation. e UNCITL Secretariat Guide on the New York Convention (the “Guide on the New York Convention" or the “Guide") has been prepared with the aim to full that request.

Promoting uniform interpretation

of UNCITRAL instruments 4. UNCITL, in accordance with its mandate, has undertaken the preparation of the tools necessary for a thorough understanding of the instruments it develops and for their uniform interpretation. 5. One of these instruments, the website www.newyorkconvention1958.org, has been established by Shearman & Sterling LLP, e Columbia Law School and UNCITL in order to make the information gathered in preparation of the Guide on the New York Convention publicly available. e site contains an electronic version of the Guide in all ocial languages of the United Nations, a signicant corpus of judicial interpretation of the New York Convention by States Parties, information on the ratication of the Convention, the , as well as a bibliography, that is a comprehensive directory of publications relating to the application and interpretation of the Convention. is website provides legislators, judges, practitioners, parties and academics with a wealth of information that is dynamic and ever-growing. It oers an interactivity between contents and an index- ing that enables the various elements of the site to link to one another, in a unique canvas. e search engine of the website allows a thorough search among the deci- sions, and enables searching the Guide, the , the case law and the bibliography. In relation to each case, it contains the full text of the decision, a translation of the decision in English where relevant, as well as a summary of the cases. It supplements the cases collected in the CLOUT (Case Law on

UNCITL

Texts) database and serves as a primary reference tool underlying the Guide on the New York Convention. 6. e Guide on the New York Convention presents the information on the Con- vention by article. Each section contains a synopsis of the relevant case law for the relevant article, highlighting common views and reporting any divergent approach. e Guide was prepared using the decisions cited in the website www.newyork convention1958.org as well as other decisions, fully cited in the footnotes. 7. e Guide on the New York Convention does not constitute an independent authority indicating the interpretation to be given to individual provisions but rather serves as a reference tool collating a wide range of decisions from a number of jurisdictions. e purpose of the Guide is to assist in the dissemination of infor- mation on the New York Convention and further promote its adoption as well as its uniform interpretation and eective implementation. In addition, the Guide is meant to help judges, arbitrators, practitioners, academics and Government ocials use more eciently the case law relating to the Convention.

Acknowledgement of contributions

e Guide is the result of the cooperation between Professor Emmanuel Gaillard and Professor George Bermann, their research teams, and the UNCITL Secre tariat. Dr. Yas Banifatemi contributed as executive director and coordinator of the newyorkconvention1958.org website. e rst edition of the Guide, prepared in 2013-2016, greatly beneted from con tributions by: e research team set up at Shearman & Sterling LLP, and the network of

CLOUT correspondents

e following institutions and individual contributors: Arbitration Institute of the Stockholm Chamber of Commerce (SCC); Associação Brasileira de Estudantes de Arbitragem (ABEArb); Cairo Regional Centre for Interna- tional Commercial Arbitration (CRCICA); Centre of Documentation of the Italian Supreme Court; Deutsche Institution für Schiedsgerichtsbarkeit e.V. (DIS); DSP Publishing; Federal Court of Australia; High Court of Australia; Incorporated Council of Law Reporting (ICLR); New York International Arbitration Center (NYIAC); Permanent Secretariat, OHADA (Organisa- tion pour l"Harmonisation en Afrique du droit des aaires); Republica e Cantone Ticino; Supreme Court of South Australia; Supreme Court of Tasmania; e People"s Court Press (Supreme People"s Court of the People"s

Republic of China) (

Paulo; Domenico Di Pietro (Freshelds Bruckhaus Deringer LLP); Anna- Maria Tamminen (Hannes Snellman Aorneys Ltd); Niki K. Kerameus (Kerameus & Partner); Justinas Jarusevicius (Motieka & Audzevicius); Pro- fessor Jie (Jeanne) Huang, S.J.D., Associate Professor of Law, Director of Foreign Aairs Department at the Shanghai Institute of Foreign Trade School of Law; Professor Liza Chen, Dean of Law School, Shanghai Institute of Foreign Trade School of Law; Sophie Tkemaladze (MCIArb, ADR Advisor for the Judicial Independence and Legal Empowerment Project (JILEP) implemented by the East-West Management Institute, Georgia); Christoph Liebscher (Wolf eiss, Vienna, Austria); Charles Poncet (ZPG Avocats); Deyan Draguiev (CMS Cameron McKenna LLP-Bulgaria Branch); Grant Herholdt (ENS (Edward Nathan Sonnenbergs) South Africa); Duarte

Gorjão

Henriques (BCH Advogados).

Introduction

1. e Convention on the Recognition and Enforcement of Foreign Arbitral Awards was adopted by the United Nations following a diplomatic conference held in May and June 1958 at the United Nations Headquarters in New York. 1 e New York Convention entered into force on 7 June 1959. 2

At the date of this Guide,

the Convention has 156 Contracting States. 3 2. UNCITL considers the New York Convention to be one of the most important United Nations treaties in the area of international trade law and the cornerstone of the international arbitration system. 4

Since its inception, the Con

vention"s regime for recognition and enforcement has become deeply rooted in the legal systems of its Contracting States and has contributed to the status of inter- national arbitration as today"s normal means of resolving commercial disputes. 3. States adhering to the New York Convention undertake to give eect to an agreement to arbitrate when seized of an action in a maer covered by an arbitra- tion agreement, and to recognize and enforce awards made in other States, subject to specic limited exceptions. 4.quotesdbs_dbs1.pdfusesText_1

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