Английская Википедия:Convention on the Recognition and Enforcement of Foreign Arbitral Awards

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Шаблон:Short description Шаблон:Use dmy dates Шаблон:Infobox treaty Шаблон:Contract law The Convention on the Recognition and Enforcement of Foreign Arbitral Awards, commonly known as the New York Convention, was adopted by a United Nations diplomatic conference on 10 June 1958 and entered into force on 7 June 1959. The Convention requires courts of contracting states to give effect to private agreements to arbitrate and to recognize and enforce arbitration awards made in other contracting states. Widely considered the foundational instrument for international arbitration, it applies to arbitrations that are not considered as domestic awards in the state where recognition and enforcement is sought.

The New York Convention is very successful. Nowadays many countries have adopted arbitration laws based on the UNCITRAL Model Law on International Commercial Arbitration. This works with the New York Convention so that the provisions on making an enforceable award, or asking a court to set it aside or not enforce it, are the same under the Model Law and the New York Convention. The Model Law does not replace the Convention; it works with it. An award made in a country which is not a signatory to the Convention cannot take advantage of the Convention to enforce that award in the 169 contracting states unless there is bilateral recognition, whether or not the arbitration was held under the provisions of the UNCITRAL Model Law.

Background

In 1953, the International Chamber of Commerce (ICC) produced the first draft Convention on the Recognition and Enforcement of International Arbitral Awards to the United Nations Economic and Social Council. With slight modifications, the council submitted the convention to the International Conference in the Spring of 1958. The Conference was chaired by Willem Schurmann, the Dutch Permanent Representative to the United Nations and Oscar Schachter, a leading figure in international law who later taught at Columbia Law School and the Columbia School of International and Public Affairs, and served as the President of the American Society of International Law.

International arbitration is an increasingly popular means of alternative dispute resolution for cross-border commercial transactions. The primary advantage of arbitration over court litigation is enforceability: an arbitration award is enforceable in most countries in the world. Other advantages of arbitration include the ability to select a neutral forum to resolve disputes, that arbitration awards are final and not ordinarily subject to appeal, the ability to choose flexible procedures for the arbitration, and confidentiality.

Once a dispute between parties is settled, the winning party needs to collect the award or judgment. If the loser voluntarily pays, no court action is necessary.[1] Otherwise, unless the assets of the losing party are located in the country where the court judgment was rendered, the winning party needs to obtain a court judgment in the jurisdiction where the other party resides or where its assets are located. Unless there is a treaty on recognition of court judgments between the country where the judgment is rendered and the country where the winning party seeks to collect, the winning party will be unable to use the court judgment to collect.

Cases and statistics

Public information on overall and specific arbitration cases is quite limited as there is no need to involve the courts at all unless there is a dispute, and in most cases the loser pays voluntarily.[1] A review of disputed cases in China found that from 2000 to 2011, the Supreme People's Court upheld the refusal to enforce the arbitration agreement in 17 cases due to a provision in Article V of the convention (China has an automatic appeal system to the highest court, so this includes all such refusals).[2]

Summary of provisions

Under the convention, an arbitration award issued in any other state can generally be freely enforced in any other contracting state, only subject to certain, limited defenses. These defenses are:[3]

  1. a party to the arbitration agreement was, under the law applicable to him, under some incapacity, or the arbitration agreement was not valid under its governing law;
  2. a party was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings, or was otherwise unable to present its case;
  3. the award deals with an issue not contemplated by or not falling within the terms of the submission to arbitration, or contains matters beyond the scope of the arbitration (subject to the proviso that an award which contains decisions on such matters may be enforced to the extent that it contains decisions on matters submitted to arbitration which can be separated from those matters not so submitted);
  4. the composition of the arbitral tribunal was not in accordance with the agreement of the parties or, failing such agreement, with the law of the place where the hearing took place (the "lex loci arbitri");
  5. the award has not yet become binding upon the parties, or has been set aside or suspended by a competent authority, either in the country where the arbitration took place, or pursuant to the law of the arbitration agreement;
  6. the subject matter of the award was not capable of resolution by arbitration; or
  7. enforcement would be contrary to "public policy".

Шаблон:Wikisource

Additionally, there are three types of reservations that countries may apply:[4]

  1. Conventional Reservation – some countries only enforce arbitration awards issued in a Convention member state
  2. Commercial Reservation – some countries only enforce arbitration awards that are related to commercial transactions
  3. Reciprocity reservation – some countries may choose not to limit the convention to only awards from other contracting states, but may however limit application to awards from non-contracting states such that they will only apply it to the extent to which such a non-contracting state grants reciprocal treatment.

States may make any or all of the above reservations. Because there are two similar issues conflated under the term "reciprocity", it is important to determine which such reservation (or both) an enforcing state has made.

Parties to the Convention

As of January 2023, the convention has 172 state parties, which includes 169 of the 193 United Nations member states plus the Cook Islands, the Holy See, and the State of Palestine. Twenty-four UN member states have not yet adopted the convention. In addition, Taiwan has not been permitted to adopt the convention (but generally enforces foreign arbitration judgments) and a number of British Overseas Territories have not had the Convention extended to them by Order in Council. British Overseas Territories to which the New York Convention has not yet been extended by Order in Council are: Anguilla, Falkland Islands, Turks and Caicos Islands, Montserrat, Saint Helena (including Ascension and Tristan da Cunha).

State Date of Adoption State Date of Adoption
Шаблон:Flag 30 November 2005 Шаблон:Flag 27 June 2001
Шаблон:Flag 7 February 1989 Шаблон:Flag 19 June 2015
Шаблон:Flag 6 March 2017
Шаблон:Flag 2 February 1989 Шаблон:Flag 14 March 1989
Шаблон:Flag 29 December 1997 Шаблон:Flag 26 March 1975
Шаблон:Flag 2 May 1961 Шаблон:Flag 29 February 2000
Шаблон:Flag 20 December 2006 Шаблон:Flag 6 April 1988
Шаблон:Flag 6 May 1992 Шаблон:Flag 16 March 1993
Шаблон:Flag 15 November 1960 Шаблон:Flag 18 August 1975
Шаблон:Flag 15 March 2021
Шаблон:Flag 16 May 1974 Шаблон:Flag 25 September 2014
Шаблон:Flag 28 April 1995 Шаблон:Flag 1 September 1993
Шаблон:Flag 20 December 1971 Шаблон:Flag 7 June 2002
Шаблон:Flag 25 July 1996 Шаблон:Flag 10 October 1961
Шаблон:Flag 23 March 1987 Шаблон:Flag 23 June 2014
Шаблон:Flag 5 January 1960 Шаблон:Flag 19 February 1988
Шаблон:Flag 12 May 1986 Шаблон:Flag 22 March 2018
Шаблон:Flag 15 October 1962
Шаблон:Flag 4 September 1975 Шаблон:Flag 22 January 1987
Шаблон:Flag 25 September 1979 Шаблон:Flag 5 November 2014
Шаблон:Flag 28 April 2015 Шаблон:Flag 26 October 1987
Шаблон:Flag 1 February 1991 Шаблон:Flag 12 January 2009
Шаблон:Flag 26 July 1993 Шаблон:Flag 30 December 1974
Шаблон:Flag 29 December 1980 Шаблон:Flag 30 September 1993
Шаблон:Flag 22 December 1972 Шаблон:Flag 14 June 1983
Шаблон:Flag 28 October 1988 Шаблон:Flag 11 April 2002
Шаблон:Flag 3 January 1962 Шаблон:Flag 9 March 1959
Шаблон:Flag 10 June 1958 Шаблон:Flag 30 August 1993
Шаблон:Flag 24 August 2020 Шаблон:Flag 26 December 2010
Шаблон:Flag 19 January 1962 Шаблон:Flag 26 June 1959
Шаблон:Flag 15 December 2006 Шаблон:Flag 2 June 1994
Шаблон:Flag 30 June 1961 Шаблон:Flag 9 April 1968
Шаблон:Flag 16 July 1962 Шаблон:Flag 21 March 1984
Шаблон:Flag 23 January 1991 Шаблон:Flag 25 September 2014
Шаблон:Flag 5 December 1983 Шаблон:Flag 14 May 1975
Шаблон:Flag 3 October 2000 Шаблон:Flag 5 March 1962
Шаблон:Flag 24 January 2002 Шаблон:Flag 13 July 1960
Шаблон:Flag 7 October 1981 Шаблон:Flag, Islamic Republic of 15 October 2001
Шаблон:Flag 11 November 2021 Шаблон:Flag 12 May 1981
Шаблон:Flag 5 January 1959 Шаблон:Flag 31 January 1969
Шаблон:Flag 10 July 2002 Шаблон:Flag 20 June 1961
Шаблон:Flag 15 November 1979 Шаблон:Flag 20 November 1995
Шаблон:Flag 10 February 1989 Шаблон:Flag 8 February 1973
Шаблон:Flag 28 April 1978 Шаблон:Flag 18 December 1996
Шаблон:Flag 17 June 1998 Шаблон:Flag 14 April 1992
Шаблон:Flag 11 August 1998 Шаблон:Flag 13 June 1989
Шаблон:Flag 16 September 2005 Шаблон:Flag 14 March 1995
Шаблон:Flag 5 October 2011 Шаблон:Flag 9 September 1983
Шаблон:Flag 10 March 1994 Шаблон:Flag 16 July 1962
Шаблон:Flag 5 November 1985 Шаблон:Flag 4 March 2021
Шаблон:Flag 17 September 2019 Шаблон:Flag 8 September 1994
Шаблон:Flag 22 June 2000 Шаблон:Flag 21 December 2006
Шаблон:Flag 30 January 1997 Шаблон:Flag 19 June 1996
Шаблон:Flag 14 April 1971 Шаблон:Flag 18 September 1998
Шаблон:Flag 2 June 1982 Шаблон:Flag 24 October 1994
Шаблон:Flag 23 October 2006 Шаблон:Flag 12 February 1959
Шаблон:Flag 11 June 1998 Шаблон:Flag 16 April 2013
Шаблон:Flag 4 March 1998 Шаблон:Flag 24 April 1964
Шаблон:Flag 6 January 1983 Шаблон:Flag 24 September 2003
Шаблон:Flag 14 October 1964 Шаблон:Flag 17 March 1970
Шаблон:Flag 14 March 1961 Шаблон:Flag 25 February 1999
Шаблон:Flag 14 July 2005 Шаблон:Flag 31 March 2020
Шаблон:Flag 2 January 2015 Шаблон:Flag 10 October 1984
Шаблон:Flag 17 July 2019 Шаблон:Flag 8 October 1997
Шаблон:Flag 7 July 1988 Шаблон:Flag 6 July 1967
Шаблон:Flag 3 October 1961 Шаблон:Flag 18 October 1994
Шаблон:Flag 30 December 2002 Шаблон:Flag 13 September 1961
Шаблон:Flag 24 August 1960 Шаблон:Flag 31 October 2008
Шаблон:Flag 12 September 2000 Шаблон:Flag 17 May 1979
Шаблон:Flag 20 November 2012 Шаблон:Flag 19 April 1994
Шаблон:Flag 17 October 1994 Шаблон:Flag 12 March 2001
Шаблон:Flag 3 February 2020 Шаблон:Flag 28 October 2020
Шаблон:Flag 21 August 1986 Шаблон:Flag 28 May 1993
Шаблон:Flag 6 July 1992 Шаблон:Flag 3 May 1976
Шаблон:Flag 12 May 1977 Шаблон:Flag 9 April 1962
Шаблон:Flag 26 March 2018 Шаблон:Flag 28 January 1972
Шаблон:Flag 10 November 2022
Шаблон:Flag 1 June 1965 Шаблон:Flag 9 March 1959
Шаблон:Flag 13 October 1964 Шаблон:Flag 14 August 2012
Шаблон:Flag 21 December 1959 Шаблон:Flag 17 January 2023
Шаблон:Flag 12 June 2020 Шаблон:Flag 14 February 1966
Шаблон:Flag 17 July 1967 Шаблон:Flag 2 July 1992
Шаблон:Flag 4 May 2022 Шаблон:Flag 12 February 1992
Шаблон:Flag 10 October 1960 Шаблон:Flag 21 August 2006
Шаблон:Flag 24 September 1975 Шаблон:Flag 30 September 1970
Шаблон:Flag 30 March 1983 Шаблон:Flag 7 February 1996
Шаблон:Flag 8 February 1995 Шаблон:Flag 12 September 1995
Шаблон:Flag 14 March 2002 Шаблон:Flag 26 September 1994

The convention has also been extended to a number of British Crown Dependencies, Overseas Territories, Overseas departments, Unincorporated Territories and other subsidiary territories of sovereign states.

Territory Date of Ratification Territory Date of Ratification
Шаблон:Flag Шаблон:Flag 24 April 1964
Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag 14 November 1979
Шаблон:Flag 24 April 1964
Шаблон:Flag 25 May 2014 Шаблон:Flag 26 March 1975
Шаблон:Flag 26 November 1980 Шаблон:Flag 26 March 1975
Шаблон:Flag Шаблон:Flag 24 April 1964
Шаблон:Flag 10 February 1976
Шаблон:Flag Шаблон:Flag 26 June 1959
Шаблон:Flag Шаблон:Flag 24 September 1975
Шаблон:Flag 10 February 1976 Шаблон:Flag
Шаблон:Flag 30 September 1970 Шаблон:Flag 19 April 1985
Шаблон:Flag Шаблон:Flag
Шаблон:Flag 22 February 1979 Шаблон:Flag
Шаблон:Flag 19 April 1985 Шаблон:Flag
Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag
Navassa Island Шаблон:Flag 26 June 1959
Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag
Шаблон:Flag 24 April 1964 Шаблон:Flag
Шаблон:Flag 24 April 1964 Шаблон:Flag 24 April 1964
Шаблон:Flag Шаблон:Flag
Шаблон:Flag

States which are not party to the Convention

Шаблон:Flag Шаблон:Flag Шаблон:Flag formerly Swaziland
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag Шаблон:Flag
Шаблон:Flag Шаблон:Flag

United States issues

Under American law, the recognition of foreign arbitral awards is governed by chapter 2 of the Federal Arbitration Act, which incorporates the New York Convention.[5]

Therefore, the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the "Convention") preempts state law. In Foster v. Neilson, the Supreme Court held "Our constitution declares a treaty to be the law of the land. It is, consequently, to be regarded in courts of justice as equivalent to an act of the Legislature, whenever it operates of itself without the aid of any legislative provision."[6] Thus, over a course of 181 years, the United States Supreme Court has repeatedly held that a self-executing treaty is an act of the Legislature (i.e., act of Congress).

With specific regard to the New York Convention, at least one court discussed, but ultimately avoided, the issue of whether the treaty is self-executing. The court nonetheless held that the convention was, at the least, an implemented non-self-executing treaty that still had legal force as a treaty (as distinguished from an Act of Congress).[7] Based on that determination, the court held that the Convention preempted state law that sought to void arbitration clauses in international reinsurance treaties.

See also

References

Шаблон:Reflist

External links

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  1. ↑ 1,0 1,1 Шаблон:Cite journal
  2. ↑ Шаблон:Cite journal
  3. ↑ Шаблон:Cite web
  4. ↑ Шаблон:Cite web New York Convention, 1958 – Reservations
  5. ↑ Шаблон:Cite web
  6. ↑ Foster v. Neilson, 27 U.S. 253, 314 (1829). See also Valentine v. U.S. ex rel. Neidecker, 57 S.Ct. 100, 103 (1936); Medellin v. Dretke, 125 S.Ct. 2088, 2103 (2005); Sanchez-Llamas v. Oregon, 126 S.Ct. 2669, 2695 (2006).
  7. ↑ Safety National Casualty Corp. v. Certain Underwriters at Lloyd's, London, 587 F.3d 714 (5th Cir. 2009) (en banc), cert. den'd, 562 U.S. 827 (2010).
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