New York “Convention on the Recognition and Enforcement of Foreign Arbitral Awards” of 1958
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1
Sovereign Law Series
New York “Convention on the
Recognition and Enforcement of
Foreign Arbitral Awards” of 1958
Short-Form Reference:
1958 “Convention on Enforcement of Foreign Arbitral Awards”
In-Line Micro Reference:
1958 “Enforcement of Foreign Awards”
Ratification / Registration:
UN Diplomatic Conference, New York (10 Jun 1958)
© 2020 Sovereign Court of International Justice (SCIJ). All International Rights Reserved.
The 1979 “Berne Convention” fully protects this proprietary collection as a selection and arrangement of
works (Art. 2.5), and protects these documents as derivative works (Art. 2.3) and adaptations (Art. 12). All
unauthorized republication or distribution including online is illegal (Art. 9). “Fair Use” does not permit
infringement for unfair competition by another non-profit (17 USC 107), which is a criminal offense
punishable by 10 years imprisonment (18 USC 241; UK Copyright Act §107).
2
Introductory Notes by the Independent Judiciary
Download Sovereign Law Series – This “Sovereign Law Series” is presented by the
Sovereign Court of International Justice (SCIJ), as a proprietary system for standardized
reference and effective use of international law sources. It provides primary sources
of the modern framework of “conventional international law”, which contains
provisions to invoke “customary international law” which is the “Common Law”.
Download the “Intro & Index” (with links to all documents in the collection) here:
Introduction & Index
Independence from the UN – The United Nations (UN) is not a “world government”,
and has no authority for any type of “global governance”: The UN is prohibited to
interfere with self-determination of peoples or sovereignty of States (UN Charter,
Articles 1.2, 2.1, 2.7), and is liable for any of its own violations of international law and
rights (2012 Declaration on Rule of Law, Article 2). The UN is not a “world
parliament”, and has no authority to enact any form of “legislation”: The UN General
Assembly (GA) is only a forum for States to codify and declare general recognition of
rights and doctrines of international law (UN Charter, Article 13.1).
Reclaiming Law and Rights – The UN has no authority to “own” or “control”
international law: All the conventions actually belong to the Peoples of the Nations,
and the UN is only authorized to register and publish them (1969 Law of Treaties,
Articles 1(e), 76.1, 80; UN Charter, Article 102). Once a convention recognizes “rights”,
those “may not be revoked or modified” (1969 Law of Treaties, Articles 36.1, 37.2),
and “become binding upon” all States as “customary rules of international law” which
are “recognized” by that convention (Article 38). Therefore, all law and rights
evidenced in conventions belong to the People, and can be invoked by the People and
enforced by the Independent Judiciary, in perpetuity.
Words of Rights in Red – Operative words and phrases most effective for invoking and
enforcing Rights, which are the most used by Barristers and Judges, are printed in Red
font for ease of visual reference. Some key words may be underlined for emphasis.
Commentary in Green – [Expert commentary from Barristers and Judges may be
added in Green font, in Brackets, to guide effective use to assert and enforce rights.]
3
Official Text of this Law Source as Ratified
Convention on Enforcement of Foreign Arbitral Awards
Article 1
1.
This Convention shall apply to the recognition and enforcement of arbitral
awards made in the territory of a State other than the State where the recognition and
enforcement of such awards are sought, and arising out of differences between
persons, whether physical or legal. It shall also apply to arbitral awards not considered
as domestic awards in the State where their recognition and enforcement are sought.
2.
The term “arbitral awards” shall include not only awards made by arbitrators
appointed for each case but also those made by permanent arbitral bodies to which
the parties have submitted.
3.
When signing, ratifying or acceding to this Convention, or notifying extension
under Article 10 hereof, any State may on the basis of reciprocity declare that it will
apply the Convention to the recognition and enforcement of awards made only in the
territory of another Contracting State. It may also declare that it will apply the
Convention only to differences arising out of legal relationships, whether contractual
or not, which are considered as commercial under the national law of the State
making such declaration.
Article 2
1.
Each Contracting State shall recognize an agreement in writing under which the
parties undertake to submit to arbitration all or any differences which have arisen or
which may arise between them in respect of a defined legal relationship, whether
contractual or not, concerning a subject matter capable of settlement by arbitration.
2.
The term “agreement in writing” shall include an arbitral clause in a contract or
an arbitration agreement, signed by the parties or contained in an exchange of letters
or telegrams.
3.
The court of a Contracting State, when seized of an action in a matter in respect
of which the parties have made an agreement within the meaning of this Article
[‘arbitration clause’], shall, at the request of one of the parties, refer the parties to
arbitration, unless it finds that the said agreement is null and void, inoperative or
incapable of being performed.
4
Article 3
Each Contracting State shall recognize arbitral awards as binding and enforce them in
accordance with the rules of procedure of the territory where the award is relied
upon, under the conditions laid down in the following Articles. There shall not be
imposed substantially more onerous conditions or higher fees or charges on the
recognition or enforcement of arbitral awards to which this Convention applies than
are imposed on the recognition or enforcement of domestic arbitral awards.
Article 4
1.
To obtain the recognition and enforcement mentioned in the preceding Article,
the party applying for recognition and enforcement shall, at the time of the
application, supply:
(a)
The duly authenticated original award or a duly certified copy thereof;
(b)
The original agreement referred to in Article 2 [‘arbitration clause’] or a
duly certified copy thereof.
2.
If the said award or agreement is not made in an official language of the country
in which the award is relied upon, the party applying for recognition and enforcement
of the award shall produce a translation of these documents into such language. The
translation shall be certified by an official or sworn translator or by a diplomatic or
consular agent.
Article 5
1.
Recognition and enforcement of the award may be refused, at the request of
the party against whom it is invoked, only if that party furnishes to the competent
authority where the recognition and enforcement is sought, proof that:
(a)
The parties to the agreement referred to in Article 2 were, under the law
applicable to them, under some incapacity, or the said agreement is not valid under
the law to which the parties have subjected it or, failing any indication thereon, under
the law of the country where the award was made; or
(b)
The party against whom the award is invoked was not given proper notice
of the appointment of the arbitrator or of the arbitration proceedings or was
otherwise unable to present his case; or
5
(c)
The award deals with a difference not contemplated by or not falling
within the terms of the submission to arbitration, or it contains decisions on matters
beyond the scope of the submission to arbitration, provided that, if the decisions on
matters submitted to arbitration can be separated from those not so submitted, that
part of the award which contains decisions on matters submitted to arbitration may
be recognized and enforced; or
(d)
The composition of the arbitral authority or the arbitral procedure was
not in accordance with the agreement of the parties, or, failing such agreement, was
not in accordance with the law of the country where the arbitration took place; or
(e)
The award has not yet become binding on the parties, or has been set
aside or suspended by a competent authority of the country in which, or under the law
of which, that award was made.
2.
Recognition and enforcement of an arbitral award may also be refused if the
competent authority in the country where recognition and enforcement is sought
finds that:
(a)
The subject matter of the difference is not capable of settlement by
arbitration under the law of that country; or
(b)
The recognition or enforcement of the award would be contrary to the
public policy of that country.
Article 6
If an application for the setting aside or suspension of the award has been made to a
competent authority referred to in Article 5 (1) (e), the authority before which the
award is sought to be relied upon may, if it considers it proper, adjourn the decision
on the enforcement of the award and may also, on the application of the party
claiming enforcement of the award, order the other party to give suitable security.
Article 7
1.
The provisions of the present Convention shall not affect the validity of
multilateral or bilateral agreements concerning the recognition and enforcement of
arbitral awards entered into by the Contracting States nor deprive any interested party
of any right he may have to avail himself of an arbitral award in the manner and to the
extent allowed by the law or the treaties of the country where such award is sought to
be relied upon.
6
2.
The Geneva Protocol on Arbitration Clauses of 1923 and the Geneva Convention
on the Execution of Foreign Arbitral Awards of 1927 shall cease to have effect
between Contracting States on their becoming bound and to the extent that they
become bound, by this Convention.
Article 8
1.
This Convention shall be open until 31 December 1958 for signature on behalf of
any Member of the United Nations and also on behalf of any other State which is or
hereafter becomes a member of any specialized agency of the United Nations, or
which is or hereafter becomes a party to the Statute of the International Court of
Justice, or any other State to which an invitation has been addressed by the General
Assembly of the United Nations.
2.
This Convention shall be ratified and the instrument of ratification shall be
deposited with the Secretary-General of the United Nations.
Article 9
1.
This Convention shall be open for accession to all States referred to in Article 8.
2.
Accession shall be effected by the deposit of an instrument of accession with
the Secretary-General of the United Nations.
Article 10
1.
Any State may, at the time of signature, ratification or accession, declare that
this Convention shall extend to all or any of the territories for the international
relations of which it is responsible. Such a declaration shall take effect when the
Convention enters into force for the State concerned.
2.
At any time thereafter any such extension shall be made by notification
addressed to the Secretary-General of the United Nations and shall take effect as from
the ninetieth day after the day of receipt by the Secretary-General of the United
Nations of this notification, or as from the date of entry into force of the Convention
for the State concerned, whichever is the later.
3.
With respect to those territories to which this Convention is not extended at the
time of signature, ratification or accession, each State concerned shall consider the
possibility of taking the necessary steps in order to extend the application of this
Convention to such territories, subject, where necessary for constitutional reasons, to
the consent of the Governments of such territories.
7
Article 11
In the case of a federal or non-unitary State, the following provisions shall apply:
(a) With respect to those articles of this Convention that come within the
legislative jurisdiction of the federal authority, the obligations of the federal
Government shall to this extent be the same as those of Contracting States which are
not federal States;
(b) With respect to those articles of this Convention that come within the
legislative jurisdiction of constituent states or provinces which are not, under the
constitutional system of the federation, bound to take legislative action, the federal
Government shall bring such articles with a favourable recommendation to the notice
of the appropriate authorities of constituent states or provinces at the earliest
possible moment;
(c)
A federal State Party to this Convention shall, at the request of any other
Contracting State transmitted through the Secretary-General of the United Nations,
supply a statement of the law and practice of the federation and its constituent units
in regard to any particular provision of this Convention, showing the extent to which
effect has been given to that provision by legislative or other action.
Article 12
1.
This Convention shall come into force on the ninetieth day following the date of
deposit of the third instrument of ratification or accession.
2.
For each State ratifying or acceding to this Convention after the deposit of the
third instrument of ratification or accession, this Convention shall enter into force on
the ninetieth day after deposit by such State of its instrument of ratification or
accession.
Article 13
1.
Any Contracting State may denounce this Convention by a written notification
to the Secretary-General of the United Nations. Denunciation shall take effect one
year after the date of receipt of the notification by the Secretary-General.
2.
Any State which has made a declaration or notification under Article 10 may, at
any time thereafter, by notification to the Secretary-General of the United Nations,
declare that this Convention shall cease to extend to the territory concerned one year
after the date of the receipt of the notification by the Secretary-General.
8
3.
This Convention shall continue to be applicable to arbitral awards in respect of
which recognition or enforcement proceedings have been instituted before the
denunciation takes effect.
Article 14
A Contracting State shall not be entitled to avail itself of the present Convention
against other Contracting States except to the extent that it is itself bound to apply the
Convention.
Article 15
The Secretary-General of the United Nations shall notify the States contemplated in
Article 8 of the following:
(a)
Signatures and ratifications in accordance with Article 8;
(b)
Accessions in accordance with Article 9;
(c)
Declarations and notifications under Articles 1, 10 and 11;
(d)
The date upon which this Convention enters into force in accordance with
Article 12;
(e)
Denunciations and notifications in accordance with Article 13.
Article 16
1.
This Convention, of which the Chinese, English, French, Russian and Spanish
texts shall be equally authentic, shall be deposited in the archives of the United
Nations.
2.
The Secretary-General of the United Nations shall transmit a certified copy of
this Convention to the States contemplated in Article 8.
Sovereign Law Series
New York “Convention on the
Recognition and Enforcement of
Foreign Arbitral Awards” of 1958
Short-Form Reference:
1958 “Convention on Enforcement of Foreign Arbitral Awards”
In-Line Micro Reference:
1958 “Enforcement of Foreign Awards”
Ratification / Registration:
UN Diplomatic Conference, New York (10 Jun 1958)
© 2020 Sovereign Court of International Justice (SCIJ). All International Rights Reserved.
The 1979 “Berne Convention” fully protects this proprietary collection as a selection and arrangement of
works (Art. 2.5), and protects these documents as derivative works (Art. 2.3) and adaptations (Art. 12). All
unauthorized republication or distribution including online is illegal (Art. 9). “Fair Use” does not permit
infringement for unfair competition by another non-profit (17 USC 107), which is a criminal offense
punishable by 10 years imprisonment (18 USC 241; UK Copyright Act §107).
2
Introductory Notes by the Independent Judiciary
Download Sovereign Law Series – This “Sovereign Law Series” is presented by the
Sovereign Court of International Justice (SCIJ), as a proprietary system for standardized
reference and effective use of international law sources. It provides primary sources
of the modern framework of “conventional international law”, which contains
provisions to invoke “customary international law” which is the “Common Law”.
Download the “Intro & Index” (with links to all documents in the collection) here:
Introduction & Index
Independence from the UN – The United Nations (UN) is not a “world government”,
and has no authority for any type of “global governance”: The UN is prohibited to
interfere with self-determination of peoples or sovereignty of States (UN Charter,
Articles 1.2, 2.1, 2.7), and is liable for any of its own violations of international law and
rights (2012 Declaration on Rule of Law, Article 2). The UN is not a “world
parliament”, and has no authority to enact any form of “legislation”: The UN General
Assembly (GA) is only a forum for States to codify and declare general recognition of
rights and doctrines of international law (UN Charter, Article 13.1).
Reclaiming Law and Rights – The UN has no authority to “own” or “control”
international law: All the conventions actually belong to the Peoples of the Nations,
and the UN is only authorized to register and publish them (1969 Law of Treaties,
Articles 1(e), 76.1, 80; UN Charter, Article 102). Once a convention recognizes “rights”,
those “may not be revoked or modified” (1969 Law of Treaties, Articles 36.1, 37.2),
and “become binding upon” all States as “customary rules of international law” which
are “recognized” by that convention (Article 38). Therefore, all law and rights
evidenced in conventions belong to the People, and can be invoked by the People and
enforced by the Independent Judiciary, in perpetuity.
Words of Rights in Red – Operative words and phrases most effective for invoking and
enforcing Rights, which are the most used by Barristers and Judges, are printed in Red
font for ease of visual reference. Some key words may be underlined for emphasis.
Commentary in Green – [Expert commentary from Barristers and Judges may be
added in Green font, in Brackets, to guide effective use to assert and enforce rights.]
3
Official Text of this Law Source as Ratified
Convention on Enforcement of Foreign Arbitral Awards
Article 1
1.
This Convention shall apply to the recognition and enforcement of arbitral
awards made in the territory of a State other than the State where the recognition and
enforcement of such awards are sought, and arising out of differences between
persons, whether physical or legal. It shall also apply to arbitral awards not considered
as domestic awards in the State where their recognition and enforcement are sought.
2.
The term “arbitral awards” shall include not only awards made by arbitrators
appointed for each case but also those made by permanent arbitral bodies to which
the parties have submitted.
3.
When signing, ratifying or acceding to this Convention, or notifying extension
under Article 10 hereof, any State may on the basis of reciprocity declare that it will
apply the Convention to the recognition and enforcement of awards made only in the
territory of another Contracting State. It may also declare that it will apply the
Convention only to differences arising out of legal relationships, whether contractual
or not, which are considered as commercial under the national law of the State
making such declaration.
Article 2
1.
Each Contracting State shall recognize an agreement in writing under which the
parties undertake to submit to arbitration all or any differences which have arisen or
which may arise between them in respect of a defined legal relationship, whether
contractual or not, concerning a subject matter capable of settlement by arbitration.
2.
The term “agreement in writing” shall include an arbitral clause in a contract or
an arbitration agreement, signed by the parties or contained in an exchange of letters
or telegrams.
3.
The court of a Contracting State, when seized of an action in a matter in respect
of which the parties have made an agreement within the meaning of this Article
[‘arbitration clause’], shall, at the request of one of the parties, refer the parties to
arbitration, unless it finds that the said agreement is null and void, inoperative or
incapable of being performed.
4
Article 3
Each Contracting State shall recognize arbitral awards as binding and enforce them in
accordance with the rules of procedure of the territory where the award is relied
upon, under the conditions laid down in the following Articles. There shall not be
imposed substantially more onerous conditions or higher fees or charges on the
recognition or enforcement of arbitral awards to which this Convention applies than
are imposed on the recognition or enforcement of domestic arbitral awards.
Article 4
1.
To obtain the recognition and enforcement mentioned in the preceding Article,
the party applying for recognition and enforcement shall, at the time of the
application, supply:
(a)
The duly authenticated original award or a duly certified copy thereof;
(b)
The original agreement referred to in Article 2 [‘arbitration clause’] or a
duly certified copy thereof.
2.
If the said award or agreement is not made in an official language of the country
in which the award is relied upon, the party applying for recognition and enforcement
of the award shall produce a translation of these documents into such language. The
translation shall be certified by an official or sworn translator or by a diplomatic or
consular agent.
Article 5
1.
Recognition and enforcement of the award may be refused, at the request of
the party against whom it is invoked, only if that party furnishes to the competent
authority where the recognition and enforcement is sought, proof that:
(a)
The parties to the agreement referred to in Article 2 were, under the law
applicable to them, under some incapacity, or the said agreement is not valid under
the law to which the parties have subjected it or, failing any indication thereon, under
the law of the country where the award was made; or
(b)
The party against whom the award is invoked was not given proper notice
of the appointment of the arbitrator or of the arbitration proceedings or was
otherwise unable to present his case; or
5
(c)
The award deals with a difference not contemplated by or not falling
within the terms of the submission to arbitration, or it contains decisions on matters
beyond the scope of the submission to arbitration, provided that, if the decisions on
matters submitted to arbitration can be separated from those not so submitted, that
part of the award which contains decisions on matters submitted to arbitration may
be recognized and enforced; or
(d)
The composition of the arbitral authority or the arbitral procedure was
not in accordance with the agreement of the parties, or, failing such agreement, was
not in accordance with the law of the country where the arbitration took place; or
(e)
The award has not yet become binding on the parties, or has been set
aside or suspended by a competent authority of the country in which, or under the law
of which, that award was made.
2.
Recognition and enforcement of an arbitral award may also be refused if the
competent authority in the country where recognition and enforcement is sought
finds that:
(a)
The subject matter of the difference is not capable of settlement by
arbitration under the law of that country; or
(b)
The recognition or enforcement of the award would be contrary to the
public policy of that country.
Article 6
If an application for the setting aside or suspension of the award has been made to a
competent authority referred to in Article 5 (1) (e), the authority before which the
award is sought to be relied upon may, if it considers it proper, adjourn the decision
on the enforcement of the award and may also, on the application of the party
claiming enforcement of the award, order the other party to give suitable security.
Article 7
1.
The provisions of the present Convention shall not affect the validity of
multilateral or bilateral agreements concerning the recognition and enforcement of
arbitral awards entered into by the Contracting States nor deprive any interested party
of any right he may have to avail himself of an arbitral award in the manner and to the
extent allowed by the law or the treaties of the country where such award is sought to
be relied upon.
6
2.
The Geneva Protocol on Arbitration Clauses of 1923 and the Geneva Convention
on the Execution of Foreign Arbitral Awards of 1927 shall cease to have effect
between Contracting States on their becoming bound and to the extent that they
become bound, by this Convention.
Article 8
1.
This Convention shall be open until 31 December 1958 for signature on behalf of
any Member of the United Nations and also on behalf of any other State which is or
hereafter becomes a member of any specialized agency of the United Nations, or
which is or hereafter becomes a party to the Statute of the International Court of
Justice, or any other State to which an invitation has been addressed by the General
Assembly of the United Nations.
2.
This Convention shall be ratified and the instrument of ratification shall be
deposited with the Secretary-General of the United Nations.
Article 9
1.
This Convention shall be open for accession to all States referred to in Article 8.
2.
Accession shall be effected by the deposit of an instrument of accession with
the Secretary-General of the United Nations.
Article 10
1.
Any State may, at the time of signature, ratification or accession, declare that
this Convention shall extend to all or any of the territories for the international
relations of which it is responsible. Such a declaration shall take effect when the
Convention enters into force for the State concerned.
2.
At any time thereafter any such extension shall be made by notification
addressed to the Secretary-General of the United Nations and shall take effect as from
the ninetieth day after the day of receipt by the Secretary-General of the United
Nations of this notification, or as from the date of entry into force of the Convention
for the State concerned, whichever is the later.
3.
With respect to those territories to which this Convention is not extended at the
time of signature, ratification or accession, each State concerned shall consider the
possibility of taking the necessary steps in order to extend the application of this
Convention to such territories, subject, where necessary for constitutional reasons, to
the consent of the Governments of such territories.
7
Article 11
In the case of a federal or non-unitary State, the following provisions shall apply:
(a) With respect to those articles of this Convention that come within the
legislative jurisdiction of the federal authority, the obligations of the federal
Government shall to this extent be the same as those of Contracting States which are
not federal States;
(b) With respect to those articles of this Convention that come within the
legislative jurisdiction of constituent states or provinces which are not, under the
constitutional system of the federation, bound to take legislative action, the federal
Government shall bring such articles with a favourable recommendation to the notice
of the appropriate authorities of constituent states or provinces at the earliest
possible moment;
(c)
A federal State Party to this Convention shall, at the request of any other
Contracting State transmitted through the Secretary-General of the United Nations,
supply a statement of the law and practice of the federation and its constituent units
in regard to any particular provision of this Convention, showing the extent to which
effect has been given to that provision by legislative or other action.
Article 12
1.
This Convention shall come into force on the ninetieth day following the date of
deposit of the third instrument of ratification or accession.
2.
For each State ratifying or acceding to this Convention after the deposit of the
third instrument of ratification or accession, this Convention shall enter into force on
the ninetieth day after deposit by such State of its instrument of ratification or
accession.
Article 13
1.
Any Contracting State may denounce this Convention by a written notification
to the Secretary-General of the United Nations. Denunciation shall take effect one
year after the date of receipt of the notification by the Secretary-General.
2.
Any State which has made a declaration or notification under Article 10 may, at
any time thereafter, by notification to the Secretary-General of the United Nations,
declare that this Convention shall cease to extend to the territory concerned one year
after the date of the receipt of the notification by the Secretary-General.
8
3.
This Convention shall continue to be applicable to arbitral awards in respect of
which recognition or enforcement proceedings have been instituted before the
denunciation takes effect.
Article 14
A Contracting State shall not be entitled to avail itself of the present Convention
against other Contracting States except to the extent that it is itself bound to apply the
Convention.
Article 15
The Secretary-General of the United Nations shall notify the States contemplated in
Article 8 of the following:
(a)
Signatures and ratifications in accordance with Article 8;
(b)
Accessions in accordance with Article 9;
(c)
Declarations and notifications under Articles 1, 10 and 11;
(d)
The date upon which this Convention enters into force in accordance with
Article 12;
(e)
Denunciations and notifications in accordance with Article 13.
Article 16
1.
This Convention, of which the Chinese, English, French, Russian and Spanish
texts shall be equally authentic, shall be deposited in the archives of the United
Nations.
2.
The Secretary-General of the United Nations shall transmit a certified copy of
this Convention to the States contemplated in Article 8.