Convention on the Recognition and Enforcement of Foreign Arbitral

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DOCUMENT INFO RMATION
FILE NAME
VOLUME
CHAPTER
TITLE
Ch XXII 1
VOL-2
Chapter XX II . Commercial Arbitration
1 . Convention on the Recognition and Enforcement of
Foreign Arbitral Awards. New York. 10 June 1958
UNITED NATIONS CONFERENCE
ON INTERNATIONAL COMMERCIAL ARBITRATION
CONVENTION
ON THE RECOGNITION AND ENFORCEMENT
OF FOREIGN ARBITRAL AWARDS
UNITED NATIONS
1958
CONVENTION ON THE RECOGNITION AND ENFORCEMENT
OF FOREIGN ARBITRAL AWARDS
Artick I
1. This Convention shall apply to the recog·
nition 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 8ought, and arising out of
differences between persons, whether physical
or legal. It shall also apply to arbitral awarda
not considered as domestic awards in the State
where their recognition and enforcement are
8Ought.
2. The term "arbitral awards" shall include
not only awards made by arbitrators appointed
for each case hut also those made by pennanent
arbitral bodies to which the parties have 8Ubmitted.
3. When signing, ratifying or acceding to
this Convention, or notifying extension under
article X 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 le,;al relationships, whether contractual or not, which are considered as commercial under the national law of the State
making such declaration.
Arrick II
I. Each Contracting State shall recognize an
a~reement 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 "a,;reement 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 tele·
grams.
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. shall, at the
request of one of the parties, refer the parties
to arbitration, unless it finds that the said agree·
ment is null and void, inoperative or incapable
of being performed.
Arrick 1Il
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 IV
l. To obtain the recognition and enforcement mentioned in the preceding article. the
party applying for recognition and enforce-
••
CONVENTION ON THE RECOGNITION AND ENFORCEMENT
OF FOREIGN ARBITRAL AWARDS
Artick I
1. This Convention shall apply to the recog·
nition 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 8ought, and arising out of
differences between persons, whether physical
or legal. It shall also apply to arbitral awarda
not considered as domestic awards in the State
where their recognition and enforcement are
8Ought.
2. The term "arbitral awards" shall include
not only awards made by arbitrators appointed
for each case hut also those made by pennanent
arbitral bodies to which the parties have 8Ubmitted.
3. When signing, ratifying or acceding to
this Convention, or notifying extension under
article X 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 le,;al relationships, whether contractual or not, which are considered as commercial under the national law of the State
making such declaration.
Arrick II
I. Each Contracting State shall recognize an
a~reement 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 "a,;reement 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 tele·
grams.
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. shall, at the
request of one of the parties, refer the parties
to arbitration, unless it finds that the said agree·
ment is null and void, inoperative or incapable
of being performed.
Arrick 1Il
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 IV
l. To obtain the recognition and enforcement mentioned in the preceding article. the
party applying for recognition and enforce-
••
ment shall, at the time of the application,
supply:
decisions on matters subm itted to arbitration
may be recognized and enforced; or
«(I) The duly authenticated ori ginal award
or a duly ccrtified co py thereo f ;
(d ) The composition of the arbitral authority or the arbitral procedure was not in accord·
anee with the agreement of the parties, or, failin g such agreement, was nut in accordan ce with
the law of the country where the arbitrati on
took place; or
~ b ) The orit;inal agreement referred to in
anide II or a duly certified copy thereof.
2 . If the sa id award or ae;reement is not
made in an official lan gua ge of the country in
which thf' award is relied UpOIl. the party appl y.
in ;! for rec o~llition and enforcement of the
award shall proJu t't' a translatiun of these docume nts i 1110 such J all{!Ua~e, 'rht' translation shall
be certified by an ollicial or sworn translator
or by a diplomati c IIr cOllsular agent.
Article JI
1. Rf' co~nititln and enforcement of the
award may be refused, at the request of the
party a;ai llst " .. hom it is ill\'okecl, only if that
part y furlli !llu':-' tu thf' competent authority
where the reco{!nitiull and enforcement is
sou ght , proof th at :
(Il) The parti e!' to the ag;recment referred
to in article II werp, under the law applicable
to them. under sume incapacity, or the sa id
a~ reemen t is nut ,'alid under the law to which
the parties hal c suhj(,(·tcd it or, failin g any indi cation ther eon, und cr the law of the country
where the award was made ; or
( b) The part y against ..... hom the award is
im'oked was not ;.:;i ,'cn proper noti ce of the appointment of the arbit rator or of the arbitration proeeedin rs ur was otherwise unable to
present his (:ase ; ur
(c) The award deal s with a difference not
t'ontt"lllplateJ L) ur lillt fallin g with in th e terms
IIf th(' suhmiss ion to arhitration , ur it contain s
df' cisiulis un malters heyond th e scupe of til('
~ Ulll lliss ioll til arhitratioll , prO\"idpd that. if the
clf~c i s i o n s on matt('rs submittf'd to arbitratilUl can be separated from thuse not so suhmitt ed, th at pari of th e award which contains
,-,0
(e) The award has not yet become bindin g
on the parties, or has been set aside Oi- suspended by a ('oll1l)t' tcnt authori ty uf the country
ill whi ch, or ullder th e law of which, that award
was made.
2. Recognition and enforcement of an arbitral award may also be refused if the co mpet cnt
aut hority in the country where reCUi;llitioll and
enforcement is sought find s that:
( a ) The suLject matter of thc Jiffercnce is
1I0t capable of settlement by arbitration under
the law of that country; or
( b) The recognition or enforcement of the
award would be con trary to the public policy
of that country.
Article VI
1£ an application for the setti ng aside or suspe nsiun of the award has been made to a COIllpetent authority referred to in article V (l)
(e), the au thority befure which the award is
sought to be relied upon may, if it consi ders
it proper, adjourn the decisiun on the enforcement of the award and may also, on the application of the party claimin g enforcement of
the a ...... ard, tlrder the other party to give suitable security .
Article V II
1. The provi sion s uf tilt' presr III C0I1\'('nl illl!
shall not afrt'ct the validity of multilatera l or
hilatrral a;;rcements cuncerninl! the reco!!lIition and cnforp(,lUcl1t of arhi tral awards PIllercd into by the Contl'actin;; Statrs nor deprive
any interested party of any right he may have
to avail himscH of an arbitral award in the
m anner and t o the extent allowed by the l aw
or the treaties of the country where such award
is sou ght to be relied upon.
2. The Geneva Protocol on Arbitration
Clauses of 1923 and the Geneva Convention
on th~ Execution of Forei gn Arbitral Awards
of 1927 shall cease to have effect betwee n Conlr<!ctill g States on their becomin g bound and
to the extent that they become bound, by this
Convention.
it is responsible. Such a declarati on shall take
effect when the Convention enters iuto force
for the State con cerned .
2 . At any time thereafter any such extension
shall be made by notificati.on addressed to the
Secretary-General of the United Nations and
shall take effect as from the ninetieth day after
the d dy of receipt by the Secretary-General of
Ule United Nations of this n otification , or as
fr om the date of entry in to force of the Convention for the State concerned , whichever is
the later.
3. With respect to those territories to which
Arl.ide V III
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 an y other State which is or hereafter
l>ccum es 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 Ju stice, or an y other Slate to
which an invitation has been addressed by the
General Assembly of the Unite.d Nations.
2 . This Convention shall be ratified and the
instrument of ratifi cation shall be deposited
with ihe Secretary-General of the United
Nations.
Article IX
I . This Convention shall be open for accession to all States referred to in article VIIl.
2. _", ccession shall he effected by the deposit
of an instrument of accession with the Secretar y.Cc neral of the Unit ed Nations.
Article X
1. A.ny State may, at the time of signature,
ratificati on or accession, decl are that this Con"ention shall extend to all or an y of the territories for the international relati ons of which
this Convention is not extended at the time of
signature, ratification or accession, each State
concerned shan consider the possibility of tak·
ing the necessary stel)S in order to extend the
application of this Convention to such terri·
tories, subject , where necessary {or constitutional reasons, to the conse nt of the Governments of su ch territories .
A rticle X l
In the .o: ase of a federal or non-unitary State,
the fonowin g provisions shall apply :
(a) With respect to those ar ticles of this
Convention that come within t he legislative
jurisdiction of the federal authority, the obli gations of the fed eral Government shall to this
extent be the same as those of Contractin g
States which are not federal States ;
(b) With respect to those artides of this
Convention th at come within the legislative
jur isdict ion of constituent slates or provinces
which are not, under the constitution al system
of the federation , bound to tak e legislative action , the federal Gonrnment shall brin g such
art ides with a fa\'ourable recomme nd ation to
the noti ce of the appropriate authorities of constituent states or pr o ,· in r.e~ at the earliest possible moment ;
(c) A federal St ate P al'ty to thi!> Convention
shall , at the request of any other Contracting
51
State transmitted through the Secretary.Gen.
eral of the United Na tions, supply a statement
of the law and practi ce of the federation and
its cun stituent units in regard tu an)' particular
provision of this Co nven ti on, showin g the ex·
tent tu whi ch effect has been given to that pro·
vision by le gislati ve or other action.
Article XII
1. This Conventiun shall come into force on
the nillt'ti f' th day f~lll ow ill g the date of deposit
(If til{' third instrume nt of ratificati on or
accession.
2. For each Slate rati fyin g or acceeding to
thi s C(l nve ntion after the deposit of the third
in strum cnt (If ratification or accession , this
COII H' ntioll shall entcr into force 011 the nine·
tif'th dOl )' after de posit by such State of its in·
strument of ratification or accession,
recogmtIon or enforcement proceedings have
been instituted before the denunciation takes
effect.
Article XIV
A Contracti ng State sh all not be entitled to
avail itself of the prese nt Conventi.on aga inst
ot her Contracti n g States except to the extent
that it is itself bound to apply the Convention.
A rt icle XV
The Secretary.General of the United Nations
shall notify the States cuntempl ated in article
VUI of the following:
(ll) Signatures and ratificatiuns in accord·
ance wit h article VIll ;
( b) Accessions in accordance with article
IX;
Article XIII
I, AII )' COli tracti nf: Slate III a y denounce thi s
Convention b)' a wri tte n notifi ca ti on to the
Secretary·General of the United Nation s. De·
nunciation sh all take effect one year after the
date of rece ipt of th e notifi cation by the Secre·
tary.General .
2. Any State whi ch has made a declaration
01 ' notifi ca ti on under article X may, at any time
thereaft er, by nutifi cat io n to the Secretary.
(;eneral of the Unit ed Na ti ons, declare that this
Con\"(~ ntilJn shall rease to ex tend to th e terri.
tory co ncerned onl' yea r aft er the date of the
re('ei pt uf tIl(' notification by the Sec reta ry.
General.
:L This COII \'e lition sh all con tinue to be a p·
pli cahle 10 arbitral a\vards in resp('ct of whi ch
(c) Declarations and notifications under
articles [, X and X I;
(d ) T he date upun which thi s Convention
enters into force in accordan ce wit h article XII;
(e) Denun ciatiolls and Ilotifications in ac·
cordance wit h article XIII.
Article XVI
1. This Convent ion, of which the Chinese,
En:;lish, French , Hussian and Spa ni sh texts
shall be e<Juall y aut hentic, shall he deposited in
the archives of the United Nations.
2, The Secr etary.Genera l of the United
Nations shall transm it a cert ified co py of thi s
CUlI\'enti oll to the Stales ollliemplated in ar·
ticle VIII.
CONFERENCE DES NATIONS UNIES
SUR L'ARBITRAGE COMMERCIAL INTERNATIONAL
CONVENTION
POUR LA RECONNAISSANCE ET L'EXECUTION
DES SENTENCES ARBITRALES ETRANGERES
NATIONS UNI£S
1958
demandc la reconnaissance et I'execution doit
fournir, en mcme temps que la demande:
(/ ) L'original dument authentifie de la sentence ou une copie de cet original rcunissant
les cond it ions requises pour son authenticite;
b) L'original de la convention "isee a l'article II, ou une copi e reunissanl les conditions
r('(luises pour son authell ticite_
2. Si ladite sentence ou ladite convention
n' I'sl pas r{-digee dans une langue officielle du
pays ou la sentence est invoquee, la ()artie qui
dcm~nde la reconnaissan ce et I'exeeutiun de la
sentence aura it produirc une traduction de ces
Ilij·ccs Jam ccttc langu(" La traduction devra
,:·trt' ct~ rlifi ec par un traducteur officiel ou un
traducteur .iun~ ou liar un agent diplomatique
ou consulaire.
Article V
I . La r('connaissance el I'execution de la
st'ntcnce ne seront refusees, sur requete de la
partie contre laqueUe elle est invoquee, que si
cette partie fuurnit it l' autorite competente du
pays ou la reconnaissance et I'execution sont
demandees la preuve;
a) Que les parties it la convention viset
a
I'article II etaient, en vertu de la loi a elies
apl)licable, frappees d'une incapacitc, ou que
ladile convention n 'est pas valable en vertu de
la loi a laquelle les parties 1'ont subordonnee
UII, a dt!faut d"une indication a cet egard, en
verlll de la loi du pays au la sentence a etc
1'(:lldue; ou
b) Que la partie contre laquclle la se ntence
est inyoqw::e n'a pas etc dument informCe de la
dCJo1il;ll:ltion de rarbitre au de la procedure
d ' arhitra~e. au qu ' il lui a ele impossihle, pour
line autre raison , de faire valoie ses moyens j ou
c) Que la sentence porte SUI' un rlifferend
lion visl~ dans Ie compromis ou n 'entrant pas
dans les previsions de b clause compromissoire,
au qu'elle contient des decisions qui depassent
56
les terrnes du compromis ou de la clause compromissoire; toutefois, 8i lea dispositions de la
sentence qui ont trait it des questions soumises
Ii l'arbitrage peuvent etre dissociees de ceUes
qui ont trait it des questions non soumises
l'arbitrage, les premieres pourront etre reconnues et executees; ou
a
d) Que la constitution du tribunal arbitral
ou la procedure d'arbitrage n'a pas ctc conforme a la convention des parties. OU, a dCfaut
de convention, qu'elle n'a pas etc conforme a
la loi du pays OU I'arbitrage a eu lieu; ou
e) Que la sentence n 'est pas encore devenue
obligatoire pour les parties ou a ete annulee ou
suspendue par une autorite competp.nte du pays
dans lequel, ou d'apres la loi duquel, la sentence a etc tendue.
2. La reconnaissance et l'execution d'une
sentence arbitrale pourront aussi etre refuaCes
si l'autorite competente du pays au la reconnaissance et l'execution sont requises constate:
a) Que, d'apees la loi de ce pays, l'objet du
differend n 'est pas susceptible d'etre regie par
voie d'arbitrage i ou
b) Que 1a reconnaissance ou l'execution de
Ja sentence serait contraire a l'ordre public de
ce pays.
Article VI
Si l'annulation ou la suspension de la sentence est demandee a l'autorite competente
visCe a . 'article V, paragraphe I , e, I'autorite
devant qui la sentenee est invoquee peut, si elle
l'estime approprie, surseoir a statuer sur I'execution de la sentence ; eIle peut aussi , a la
requete de 1a partie qui demande l'exeeution de
la !Ientence, ordonncr al'autre partie d", fournie
des suretes convenables.
Arlicle VII
1. Les dispositions de la presente Convention ne portent pas atteinte a la validite des
demandc la reconnaissance et I'execution doit
fournir, en mcme temps que la demande:
(/ ) L'original dument authentifie de la sentence ou une copie de cet original rcunissant
les cond it ions requises pour son authenticite;
b) L'original de la convention "isee a l'article II, ou une copi e reunissanl les conditions
r('(luises pour son authell ticite_
2. Si ladite sentence ou ladite convention
n' I'sl pas r{-digee dans une langue officielle du
pays ou la sentence est invoquee, la ()artie qui
dcm~nde la reconnaissan ce et I'exeeutiun de la
sentence aura it produirc une traduction de ces
Ilij·ccs Jam ccttc langu(" La traduction devra
,:·trt' ct~ rlifi ec par un traducteur officiel ou un
traducteur .iun~ ou liar un agent diplomatique
ou consulaire.
Article V
I . La r('connaissance el I'execution de la
st'ntcnce ne seront refusees, sur requete de la
partie contre laqueUe elle est invoquee, que si
cette partie fuurnit it l' autorite competente du
pays ou la reconnaissance et I'execution sont
demandees la preuve;
a) Que les parties it la convention viset
a
I'article II etaient, en vertu de la loi a elies
apl)licable, frappees d'une incapacitc, ou que
ladile convention n 'est pas valable en vertu de
la loi a laquelle les parties 1'ont subordonnee
UII, a dt!faut d"une indication a cet egard, en
verlll de la loi du pays au la sentence a etc
1'(:lldue; ou
b) Que la partie contre laquclle la se ntence
est inyoqw::e n'a pas etc dument informCe de la
dCJo1il;ll:ltion de rarbitre au de la procedure
d ' arhitra~e. au qu ' il lui a ele impossihle, pour
line autre raison , de faire valoie ses moyens j ou
c) Que la sentence porte SUI' un rlifferend
lion visl~ dans Ie compromis ou n 'entrant pas
dans les previsions de b clause compromissoire,
au qu'elle contient des decisions qui depassent
56
les terrnes du compromis ou de la clause compromissoire; toutefois, 8i lea dispositions de la
sentence qui ont trait it des questions soumises
Ii l'arbitrage peuvent etre dissociees de ceUes
qui ont trait it des questions non soumises
l'arbitrage, les premieres pourront etre reconnues et executees; ou
a
d) Que la constitution du tribunal arbitral
ou la procedure d'arbitrage n'a pas ctc conforme a la convention des parties. OU, a dCfaut
de convention, qu'elle n'a pas etc conforme a
la loi du pays OU I'arbitrage a eu lieu; ou
e) Que la sentence n 'est pas encore devenue
obligatoire pour les parties ou a ete annulee ou
suspendue par une autorite competp.nte du pays
dans lequel, ou d'apres la loi duquel, la sentence a etc tendue.
2. La reconnaissance et l'execution d'une
sentence arbitrale pourront aussi etre refuaCes
si l'autorite competente du pays au la reconnaissance et l'execution sont requises constate:
a) Que, d'apees la loi de ce pays, l'objet du
differend n 'est pas susceptible d'etre regie par
voie d'arbitrage i ou
b) Que 1a reconnaissance ou l'execution de
Ja sentence serait contraire a l'ordre public de
ce pays.
Article VI
Si l'annulation ou la suspension de la sentence est demandee a l'autorite competente
visCe a . 'article V, paragraphe I , e, I'autorite
devant qui la sentenee est invoquee peut, si elle
l'estime approprie, surseoir a statuer sur I'execution de la sentence ; eIle peut aussi , a la
requete de 1a partie qui demande l'exeeution de
la !Ientence, ordonncr al'autre partie d", fournie
des suretes convenables.
Arlicle VII
1. Les dispositions de la presente Convention ne portent pas atteinte a la validite des
accorJs multilateraux ou bilateraux concIus
par lea Elats contractants en matiere de recon·
naissance et d'execution de sentences arbitrales
et ne privent aucune partie intereasee du droit
qu'elle pourrait avair de se prevaloir dOune
sentence arhitrale de la maniere et dans la
mesure admises Ilar 1a legislation Otl les traites
du pays ou 1a sen tence est invoquee.
2. Le Protocole de Gf'neve de 192:{ rc1 atif
aux clauses d 'arbitra ge et la COlwention de
Geneve de 1927 pour I'exccution dcs sentences
arbitralcs ctrangercs celiscront de produire
leu rs cffets entre les Etats contractants du jour,
et dans la mesure, OU ceuxoci dev iendront lies
par la prcsente Convent ion .
A rticle VlI/
]. La presente Convention cst ouvert c
jusqu'au 31 dccembre 1958 a la signature de
tout Etat Membre des Nations Uoics, ainai que
de tout autre E tat qui est, ou devicndra pa r la
(luite. membrc d'one ou plusicurs in stitutions
spt;ciali sees des Nations linies au partie au
Statui de la Cour internationale de Justice, au
qui aura ete invite par I' Assemblee generale
des Nations U nics.
2. La presente Convention doi t etre rati6ce
et les instruments de ratiJicati on deposes au pres
du Secretaire gem!ral de I'Organisation des
Nations Unies.
Article IX
1. Tous les Etats vises a l'article VIII
peuvcnl adherer ala presente Convention.
2. L'adhesion se (era par Ie depot d'un
instrument d 'adhesion auprcs du Secretaire
;!cneral d,. l'Orl;anisation des Nation s ODies.
Article X
1. Tout Etat pouna, au moment de la
!iignaturf', d e la ratification on de I'adhesion ,
declarer que la prestnte Convention s'etendra
a l'ensemble des territoires qu'il represente sur
Ie pl an intern ational , ou a l'un ou plusieun
d'entre eux. Ceue declaration produira ses
effets au moment de l'entree en vigueur de la
Convention pour ledit Etat.
2. Par la suite, toute extension de ceUe
nature 8C fera par notifi cation adressee au
Secrctaire general de l'Organisation des
Nations Vnies et produira BeS effets a partir du
qualre-vingt-dixieme jour qui suivra la date a
laqueUe Ie Secretaire general de I'Or ganisation
des Nations Vnies aura rec.;u la notification, ou
a la date d'entree en vigueur de la Convention
pour ledit Etat si ceUe derniere date est
posterieure.
3. En ce qui concerne les territoires auxquels la presente Con vention ne s' applique pas
a la date de la signature, de la ratification ou
de l'adhesion, chaque Etal interesse examinera
]a possibiJite de prendre les mesures voulues
pour ctendre Ia Convention aces territoires,
sous reserve Ie cas echeant, lorsque des motifs
constitution nels l'exigeront, de l'assentiment
des gou vernements de ces territoires.
Article Xl
Les dispositions ci-aprcs s'appliqueront aux
Etats federatifs ou non nnitaires :
a) En ce qui cancerne les articles de Ia
prcsente Conven tion qui relcvent de Ia competence legislative du ponvoir federal, les
obli gations du gouvernement federalseront lee
memes que celles des Etate contractants qui ne
sont pas des Etats fCllcratifs;
b) En ce qui concerne les articles de la
presentc Convention qui relc\'cnt de la com·
petence legislative de chacun des Elats ou
provinces cOllstituants, qui ne sont pas, en
vertu du eystcrne constitutionnel de la federation, tenus de prendre des mesures legislatives,
Ie gou vernement federal portera Ie plus tot
57
possible, et aVec son avis favorable, lesdita
articles a la connaissance des autorites compctentes des Etats ou provinces constituants i
c) Un Etat federatif Partie a Ia presente
Convention communiquera, a la demande de
tout autre Eta1 contractant qui lui aura ete
tran smisc par l"interm ediaire du SecrCla irc
general de l'Organisation des Nations Uoies, un
expose de la legislation et des pratiques en
viJ.!ueur dans la federation et ses unites constituantes, en ee qui concerne telle ou telle
dispositiun de la Convention, indiquant la
mesllrc dans laquelle effct a Cit: donne, par unc
action ICifislati ve Oll autre, a ladite disposition.
laqueUe Ie Secrctaire general aura re~u cette
notification.
3. La prcsente Convention demeurera appli ca ble <lux sentences arbitrales au 8ujet desqueUes une procedure de reconnaissance ou
d'execution aura ele cntamee avant I'entree en
vigueur de la dcnonciation .
Article XIV
Un Etat contractant ne peut se reclamer des
dispositions de la presente Convention eonlre
d'autres Etats contract ants que dans la mesure
ou il est lui-meme tenu d'appliquer celie convention.
Article XII
1. La prt:sente Convention entrera en
Ie qllatre . \'in~t.dixicme jour qui suivra
Ia date du depot du troisicme instrument de
ratifi cation ou d·adhesion.
A rt.icle XV
vi~uellr
2. Pour chaeun des Etats qui ratifieront la
Convention ou y adhereront aprcs Ie d ePOI
du troi sieme instrument de ratification ou
d'adhesion, elle entrera en vigueur Ie quatre·
vingt-dixieme jour qui suivea la date du depot
par cet Etat de son instrument de ratification
ou d'adhesion.
Article Xl/I
1. Tout Etat contraetant pourra denoncer
la presente Convention par notification t:crite
adressee au Secrctaire general dt: I'Orga nisation des Nations Unies. La denonciation prenlira eITet un an aprcs la date oil Ie Secretaire
f!encral or- rOrr::anisation des Nations D nies
aura r t'~u la I:olification.
2. TOllt Etat qui aura fait line declaration
ou une notification cO llformement a l'article X
pourra notifier ulteri eurement au Seeretaire
p:eneral de l'Orga ni sation des Nations Unies
que la Convention eessera de s'appliquer au
territoire en question un an apres la date a
58
Le Seeretaire general de l'Organisation des
Nations Un ies notifiera a tous les Etats vises .it.
l'article VIII:
a) Les signatures et ratifications visees
l'article VIII;
a
b) Les adhesions Vi8eeS ii l'article IX;
c) Les declarations et notifications visees
aux articles premier, X el XI;
d) La date OU la presente Convention
entrera en vigueur, en application de I'article
XII;
e) Les denonciations et notifications visees
a l'artide XIfi.
Article XVI
l. La prcsente Conve-ntion, dont les lextes
an~lai s. chinois, espagnol, franc;ais et russe
font egalement foi . sera deposee dans It's
archi ,·es de l'Organisation des Nations Unies.
2. Le Seerelaire general de l'Organisation
des Nations Unies remettra une copie certifiee
con forme de la presente Convention aux Etats
vises iii I'article VIII.
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CONFERENCIA DE LAS NACIONES UNlDAS
SOBRE ARBITRAJE COMERCIAL INTERNACIONAL
CONVENCION
SOBRE EL RECONOCIMIENTO Y LA EJECUCION
DE LAS SENTENCIAS ARBITRALES EXTRANJERAS
NACIONES UNIDA S
J958
CONVENCION SOBRE EL RECONOCIMIENTO Y EJECUCION
DE LAS SENTENCIAS ARBITRALES EXTRANJERAS
Articulo I
1. La presente Convenci6n Be aplicara al
reconocimiento y la ejecuci6n de las sentencias
arbitrales dictadas en el territorio de un Estado
distinto de aquel en que Be pide el reconocimiento y la ejecuci6n de dichas sentencias. y
que ten gan IIll origen en diferencias entre personas naturales 0 juridicae. Se aplicara tambicn
a las sentencias arbitrales que no sean consi·
deradas como sentencias nacionales en el
Estado en el que se pide 8U reconocimiento y
ejecuci6n.
2. La expresion "sentencia arbitral" no solo
comprendera las sentencias dictadas por los
irbitr08 nombrados para caso! determinado8,
sino tambicn las sentencias wctadas por 108
organo8 arbitrales permanente8 a 108 que las
partes se hayan 8Ometido.
hayan surgido 0 puedan surgir entre ellall
rellpecto a una determinada relacion juridica,
contractual 0 n o contractual, concerniente a
un asuuto que pueda sec resuelto por arbitraje.
2. La expresion "acu erdo por escrilo"
denotara una clausula compromisoria incluida
en un contrato 0 un compcomiso, firm ados por
las partes o'contenidos en un canje de cartas 0
telegramas.
3. EI tribunal d e uno de los Estados Contratantes al que se someta un Iitigio respecto
del cu atlas partes hayan concluido un acuerdo
en el sentido del presente articulo, remitira a
las partes al arbitraje, a instancia de ulla de
ellas, a menos que compruebe que dicho
aeuerdo es nulo, ine6caz 0 inaplicable.
Articulo III
3. En el momenta de firmar a de ratilicar la
presente Convencion, de adherirse a ella 0 de
hacer la notificacion de IIll extension previsla
en el articulo X, todo Estado podra, a base de
reciprocidad, declarar que aplicara la prt'scnle
Convencion al reconocimiento y a la ejecuci6n
de las senlencias arbitrales dictadas en el territorio de otro Estado Contratante unicamente.
Podra tambien declarar que sOlo aplicara la
Convencion a loslitigios surgidos de relaciones
juridic-as. sean 0 no contractuaIes, consideradas
comercialcs Ilor su derecho interno.
Cada uno de los Estados Contratantes r eo
con ocera Ia autoridad de Ia sentencia arbitral y
concedera su ejecuci6n de conformidad con las
normas de procedimiento vigcnles en el terriIorio donde la sentencia sea illvocada, con
arreglo a las condiciones que se establecen en
los articulos siguientes. Para el reconocimiento
o la ejecucion de las sentencias arbitrales a que
Be aplica Ia presente Convencion, no se impolldran condiciones apreciablemellte mas ri gurosas, ni honorarios 0 costas mas elevados, que
los aplicables al reconocimien to 0 a la ejecuci6n
de las sentencias arbitrales nacionales.
Articulo 11
Articulo IV
1. Cada uno de los Estados Contralantes
reconocera el acuerdo por eserilo conforme al
euallas partes se obliguen a someler a arbitraje
todas las diferencias 0 ciertaa diferencias que
1. Para obtener el reconocimiento y la
ejecucion previstos en el articulo anteri or, 13
parte que pida el reconocimiento y la ejecucion
debera presentar, j unto con Ia demanda:
7'
a) El original debidamente autenticldo de
la se nten~ia 0 una copia de ese original que
reiina las condiciones requeridas para 8U
autenticidad;
b) El original del acuerdo a que se refiere
el articulo 11, U IIlla copi.a que reuna las condiciones requeritlas para su autenticidad.
2. Si csa senten cia 0 esc acuerdo no cstu,"ieran en un idioma aficial del pais en que se
invoca la sentencia. la parte que pida el recunocimiento y Ia ejecucion ele esta ultima debera
prf"scntar una traduccion a ese idioma de
dichas documentus. La traduccion debera ser
certificada por un traductor oticial 0 un
traductor jurado. 0 pOl' un agente diplomati co
II consular.
Articulo V
1. Solo se }lodra denegar el reconocimiento
y la ejecucion de la sentencia, a instancia de la
parte cootra .... ('ual es invocada , si esta parte
prucha ante Ia autoridad competente del pais
en que se pide el reconocimiento y Ia
cjccucion:
a) Que las partes en el acuerdo a que
St!
refiere el articulo n estaban sujetas a al guna
incapacidad en virtud de la ley queM't es apIica ble a que di cho acuerdo no es valido en virtud
de la ley a que las partes 10 han sometido, 0 si
nada se hubiera indicado a este respecto, en
virtud de Ia ley del pais en que se haya dictado
la se ntencia ; 0
lJ ) Que la parte contra Ia cual se invoca Ia
se ntenci a arbitral no ha sido debidamentc
notifi eada de la designacion del arbitro 0 del
procedimicnto de arbitraje 0 no ha I)odido, par
cualrluier olra ra"£on, hacer valer sus medios de
defensa; a
c) Que la sentencia se reflere a una diferf'neia no pre vista en el compromiso 0 no comprendida en las di sposiciones de la clausula
compromisoria, 0 contiene deeisiones que
exccden de los term in as del compromiso 0 de
7.
la clausula compromisoria; no obstante. 5i las
disJlos icioncs de la sentencia que se refieren a
las cuestiones sometidas al arbitraje pucden
separarse de las que no han sido sometidas al
arbitraje, se Jlodra dar reconocimientu y
ejecucion a las primeras ; 0
d) Que la consti.tucio~ del tr ibunal arbitral
o el prncedimiento arbitral no se han ajustado
al acucrdu cf"lehradu entre las partes 0 . ('n
defecto de tal acuerdo, que la co nstitucion del
tribu nal arbit ral 0 cI procedimiento arhitral no
se han aju st:ulu a la I(,y del pais donde sc ha
efectuaJo el arbitraj c; 0
e) Que la sentencia no es aiin obligatoria
para las partes 0 ha si do anulada 0 sU5pendida
por una autoridaJ cumpetente del pais en que.
o conforme a cuya ley, ha sido dictada csa
sentencia.
2. Tambicn se podra denegar el reconocimiento y l ~ ejecucion de una scntencia arbitral
si la autoridad competente del pais en que se
pide el reco nocim iento y la ejecucion , comprucha :
a) Que, segunla ley de esc pais, el objeto de
la direre ncia no es susceptible dc solu cion pur
via de arbitraje; 0
b) Que eI reconucimi ento u la ejecUCitl ll de
la sentencia se dan contrarios al orden publico
de cse pais.
Articulo V I
5i se ha pedido a la autorid ad competentc
previ sta en el articulo V, parrafo 1 e ), Ia anulacion 0 la suspe nsion de la senten cia, la autoridad ante Ia cual sc in ... oca dicha scntencia
podra, 5i 10 consi,lera proced(,llte, aplazar la
decision sobre la ejecucion de la se ntcn cia y. a
instan cia de la parte que I)ida la {'jr("ucio n.
potlra lam bien ordenar a la otra parte que de
garantias apropiadas.
Articulo VII
1. Las disposiciones de Ia prcsente Convencion no afectaran 1a validez de los acuerdos
multilaterales 0 bilaterale8 relativos al reconocimiento y 1a ejeeueion de las sentencia8
arbitra1es coneertad08 par )08 Estad08 Contratantes ni privarcin a ninguna de las partes
interesadas de cualquier dereeho que pudiera
tener a haeer valeI' una senteneia arbitral en Ia
forma y medida admitidas porIa legislacion 0
los tratados del pais donde dieha senteneia se
invoque.
Articulo X
1. Todo Estado podra dedarar, en el momento de Ia firma, de la ratificacion 0 de la
adhesion, que la presente Convencion se hara
extensiva a todos los terri.torios cuyas relaciones internacionales tenga a au cargo, 0 a uno
o varios de ellos. Tal declaracion surtira efecto
a partir del momento en que la Convencion
entre en vigor para dicho Estado.
2. EI Protocolo de Ginebra de 1923 relativo
a las clausulas de arbitraje y la Convencion de
Ginehra de 1927 sobre la ejeeueion de las
Sentencias Arbitrales Extranjeras dejaran de
surtir efeetos entre los Estados Contratantes a
partir del momenta y en la medida en que la
presente Conveneion tenga fuerza obligatoria
para ellos.
2. Posteriormente, esa extension Sf hani en
cualquier momenta par notificacion dirigida al
Secretario General de las Naciones Vnidas y
8urtira efecto a partir del nonagcsimo dia
siguiente a la feeha en que el Secretari o General
de las Naciones Unidas haya recihido tal
notificacion 0 en la fecha de entrada en vigor
de la Convencion para tal ESlado, si esta
ultima fecha fuere posterior.
Articulo Vlll
3. Con respecto a los territorios a los que no
se haya hecho extcn8:iva la prescnte Convencion en el momento de la firma, de la ratificacion 0 de la adhesion, cada Estado interesado
examinara la posibilidad de adoptar las
medidas necesarias para hacer eXlensiva la
aplicacion de la presente Convencion a tales
territorios, a reserva del consentimiento de sus
gobiernos cuando sea necesario por razones
constitucionales.
.
1. La presente Convencion eatara abierta
hasta e131 de diciembre de 1958 a la firma de
todo Miembro de las Naciones Vnidas, aSI como
de cualquier otro Estado que sea 0 llegue a ser
miembro de cualquier organismo espeeializado
de las Naciones Vnidas, 0 sea 0 llegue a ser
parte en el Estatuto de la Corte Internacional
de J usticia, 0 de todo otto Estado que ha ya sido
invitado por la Asamhlea General de las
Naciones Unidas.
2. La presente Convencion debera ser ratifieada y los inatrumentos de ratificacion se
depositaran en poder del Secretario General de
las Naciones Unidas.
Articulo IX
1. Podran adherirse a la presente ConvenCion todos 108 Estados a que
articulo VllI.
Be
refiere el
2. La adhesion se efectuara mediante el
deposito de un instrumento de adhesion en
poder del Secretario General de las Naciones
Uoid...
A rticulo Xl
Con respecto a los Estados federales 0
no unitarios, se aplicanin las disposiciones
siguientes:
a) En 10 concerniente a los articulos de esta
Convencion cuya aplieacion dependa de la
competencia legislati\"a del poder federal, las
obligaciolles del gobierno federal seran, en
esta medida, las mismas que las de los Estados
Contratantcs que no son Estados federales j
b) En 10 concerniente a los articulos de esta
Convencion cuya aplicacion dependa de 101
competencia legislativa de cada uno de los
Estados 0 provincias constituyentes que, en
75
virtud del regimen constitucional de la federacion, no esten obligados a adoptar medidas
legislativas, el gobierno federal, a la mayor
brevedad posible y con su recomendacion
favorable, pondra dichos articulos en conocimiento de la8 autoridade8 competentes de los
Estados 0 provincias constituyentes;
c) Todo Estado federal que sea Parte en la
presente Convencion proporcionara, a solicitud de cualquier otro Estado Contrataote que Ie
haya sido traosmitida por conducto del Secretario General de las Naciones Unidas, una
exposicion de la legislacion y de las praclicas
viocntes en la federacion y eo 8US eotidades
constiluyentes con re8pecto a determinada di8posicion de la Convencion, jodicando la
medida en que por accion legislativa 0 de otra
indole, se haya dado efecto a tal disposicion.
caclon dirigida al Secretario General de las
Naciones Unidas, que la Convencion dejara de
aplicarse al territorio de que se trate un ana
despues de la fecha en que el Secretario General
haya recibido tal notificaeion.
3. La pre8ente Conveneion seguira siendo
aplicable a las senteneias arbitrales respeclo de
las euales se haya promovido un procedimiento
para el reconoeimiento 0 la ejecucion antes de
que entre en vigor la denuncia.
Articulo XIV
Niognn Estado Contratante podra invoear
las disposiciones de la presente Convencion
respecto de otros Estados Contratantes mas que
en la medida en que el mismo este obligado a
aplicar esta Conveneion.
Articulo XV
Articulo Xll
1. La presenle Convencion entrara en vigor
el nonagesimo dia siguiente a la fecha del
deposito del tercer instrumento de ratificacion
o de adhe8ion.
2. Respecto a cada Estado que ratifique la
presente Convencion 0 Be adhiera a ella despues
del deposito del tercer instrumento de ratifica.
cion 0 de adhesion, la presente Convencion
entrara en vigor el nonagesimo dia siguiente a
Ja fecha del depOsito por tal Estado de 8U
instrumento de ratificacion 0 de adhesion.
Articulo XIII
El Secrelario General de las Naciones U nida8
notificafa a todos los Estados a que se refiere
el articulo VIII:
a) La8 firmas y ratificaciones pre vistas en
el articulo VIII;
b) Las adhesiones previstas en el articulo
IX;
c) Las declaraciones y notificaciones rela.
tivas a los articulos I, X y XI;
d) La fecha de entrada en vigor de la pre.
sente Convencion, en conformidad con el
articulo Xil;
e) Las denuncias y notifieaeiones previstas
en el articulo XlII.
1. Todo Estado CODtrataote podra denunciar la presente Convencion mediante notificacion eserita dirigida al Secretario General de
las Naeion('s 1Tnidas. La den uncia surtira efecto
un ana despues de la (echa en que el Secretario
Ceneral haya recibido la notificacion.
1. La presente Conveneion, curos textos
chino, espanol. frances, ingIes y ruso seran
igualmente autentieos, sera depositada en los
archivos de las Naciones Unidas.
2. Todo Estado que hayaheeho unadeclaracion 0 em'iado una nOlificacion eonforme a 10
previsto en el articulo X, podra declarar en
cualquier momento posterior, mediante notili·
2. El Seeretario General de las Naciones
Unidas transmitira una copia certifieada de la
presente Conveneion a los Estados a que se
reliere el articulo vrn.
,6
Articulo XVI
I hereby certify that the
Je cert ifie que Ie texte qui
foregoing text is a true copy ot
prec~de
the Convention on the
la Convention pour la reconnaissance
Reco~ition
est une copie con forme de
and Enforcement of Foreign Arbitral
et l'ex@cution des sentences arbitrales
Ava.rds. done at New York on
etrang~res,
10 June 1958, the
ori~inal
of which
conclue l Jew York Ie
10 juin 1958 et dent l'original se
aupr~s
is deposited with the Secretary-General
trouve depose
of the United Nations, as the said
Secretaire
Convention
des Nations Unles telle que ladite
Ya8
opened for signature,
Reneral
de
du
110r~anisation
ite ouverte A la signature.
and that it includes the necessary
Convention a
rectifications of typographical errors,
et que les rectifications materielles
as approved by the Parties.
nicessaires. telles qu'approuvees par
les Parties, y ont ite incorporees.
For the Secretary-General,
Pour le Secretaire general,
The Legal Counsel:
Le Conseiller juridique :
.c.-6. . ..;~¢.:I.(....,
Carl-August Pleischhauer
Unit ed Nations. New York
6 July 1988
Organisation dee Nations Unies
New York, Ie 6 juillet 1988
Certified true copy XXII-1
Copie certifiée conforme XXII.1
October 2004