UN Conventions Text

7/27/2019 UN Conventions Text

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Register of TextsofONVENTIONS

N OTHERINSTRUMENTSON ERNING

INTERN TION LTRADE LAW

Volume II

UNITED NATIONSNew York 973


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UNIT NATIONS PUBLICATIONSales number: E.73.V.3

Price: sU.S. 4.00or equivalent other currencies


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ii i

gist r t xts

CHAPTER INTERNATIONAL CoMMERCIAL ARBITRATION1. Conventions and Similar Instruments . . . . . . . . 5

Treaty concerning the Union of South American States in respect ofProcedural Law. Montevideo, 11 January 1889 . . . . . . . . . 5Protocol on Arbitration Clauses. Geneva, 24 September 1923 . . . 8Convention for the Execution of Foreign Arbitra l Awards. Geneva,26 September 1927 . . . . . . . . . . . . . . . . . . . . . 13Bustamante Code Convention on Private International Law . Havana,20 February 1928 arts. 210, 211 and 423-435 . . . . . . . . . 18Treaty on International Procedural Law. Montevideo, 19 March 1940arts. 5-15 . . . . . . . . . . . . . . . . . . . . . . . 21Convention on the Recognition and Enforcement of Foreign ArbitralAwards. New York, 10 June 1958 . . . . . . . . . . . . 24European Convention on International Commercial Arbitration. Geneva,21 April 1961 . . . . . . . . . . . . . . . . . . . . . . 34Agreement relating to Application of the European Convention on Inter-national Commercial Arbi trat ion. Paris, 17 December 1962 . . . 43Convention on the Settlement of Investment Disputes between States andNationals of Other States. Washington, 18 March 1965 . . . . . 46European Convention providinga Uniform Law on Arbitration. Strasbourg,20 January 1966 . . . . . . . . . . . . . . . . . . . . . . 65

General Conditions of Delivery of Goods between Organizations of theMember Countries of the Council for Mutual Economic AssistanceGeneral Conditions of Delivery, 1968 arts. 90 and 91 . . . . 762. Uniform Rules . . . . . . . . . . . . . . . . . . . . . . . . 77

Rules of Conciliation and Arbitration of the International Chamber ofCommerce, 1 June 1955 . . . . . . . . . . . . . . . . . . . 77Rules of the International Court of Arbitrat ion for Marine and InlandNavigation at Gdynia, 196 . . . . . . . . . . . . . . . . . 86Rules for International Commercial Arbitration and Standards for Conciliation of the United Nations Economic Commission for Asia and theFar East, 1966 . . . . . . . . . . . . . . . . . . . 95Arbitration Rules of the United Nations Economic Commission forEurope, 1966 . . . . . . . . . . . . . . . . . . . . . . . . 100Rules of Procedure of the Inter-American Commercial Arbitration Com-mission, 1969 . . . . . . 110

ge

T LE OF CONTENTS

INTRODUCTION


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CHAPTER INTERNATIONAL LEGISLATION ON SHIPPING1. Conventions and Similar Instruments . . . . . . . . . . . . . . . 125

International Convention for the Unification of Certain Rules of Lawwith respect to Collisions between Vessels. Brussels, 23 September 1910 125International Convention for the Unification of Certain Rules relating toBills of Lading. Brussels, 25 August 1924 . . . . . . . . . . . . 130International Convention for the Unification of Certain Rules relating tothe Limitation of the Liability of Owners of Seagoing Vessels. Brussels,25 August 1924 . . . . . . . . . . . . . . . . . . . . . . . 142International Convention for the Unification of Certain Rules relating toMaritime Liens and Mortgages. Brussels, 10 April 1926 . . . . . 149Bustamante Code Convention on Private International Law . Havana,20 February 1928 arts. 274 294 . . . . . . . . . . . . . . . 150Treaty on International Commercial Navigation Law. Montevideo,19 March 1940 arts. 15-19 and 25-30 . . . . . . . . . . . . 153International Convention relating to the Arrest of Seagoing Ships. Brussels,10 May 1952 . . . . . . . . . . . . . . . . . . . . . . . . 156International Convention on Certain Rules concerning Civil Jurisdictionin Matters of Collision. Brussels, 10 May 1952 . . . . . . . . . 164International Convention relating to the Limitation of the Liability ofOwners of Sea-going Ships. Brussels, 10 October 1957 . . . . . 169International Convention for the Unification of Certain Rules relatingto Maritime Liens and Mortgages. Brussels, 27 May 1967 . . . 179Protocol to amend the International Convention for the Unification ofCertain Rules of Law relating to Bills of Lading, signed at Brussels on25 August 1924. Brussels, 23 February 1968 180

2. Uniform Rules 185York-Antwerp Rules 1950. Adopted by the International MaritimeCommittee and the International Law Association 185

3. Draft Convention . . . . . . . . . . . . . . . . . . . . . . . 193Draft Convention on the International Combined Transport of GoodsTCM Convention . Adopted at the fourth session of the JointIMCO/ECE Meeting to Study the Draft Convention on the Combined

Transport Contract, 1971 . . . . . . . . . . . . . . . . . . . 193

iv able contentsage

3. Draft Conventions and Similar Instruments. . . . . . . . . . . . 119Rules on International Commercial Arbitration, Copenhagen Rules .Formulated by the International Law Association, 1950 . . . . . 119Draft Uniform Law on Inter-American Commercial Arbitration. Approvedby the Inter-American Council of Jurists, 1956 . . . . . . . . . 119Draft Uniform Law on Arbitration in respect of International Relationsof Private Law. Prepared by the International Institutefor the Unificationof Private Law UNIDROIn 1957 . . . . . . . . . . . . . . 120Arbitration in Private International Law. Articles adopted at Amsterdam1957 and Neuchatel 1959 by the Institute of International Law 120Draft Convention on International Commercial Arbitration. Prepared bythe Inter-American Juridical Committee, 1967 . . . . . . . . 121


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ntrodu tion

The United Nations Commission on International Trade Law UNCITRAL)has decided to establish a compilation of texts of conventions and similarinstruments dealing with certain areas of the law of international trade. The presentpublication is the second volume issued pursuant to the Commission s decisions. 1The first volume of the Register Texts Conventions and Other Instrumentsconcerning International Trade Law was published in 1971. 2 That volume includedtexts of conventions and similar instruments in the fields of two of the fourpriority topics in the Commission s programme: international sale of goods andinternational payments.At its fourth session, in 1971, the Commission decided to request theSecretary-General to publish a second volume of the Register dealing with theremaining priority topics of the Commission s work programme: internationalcommercial arbitration and international legislation on shipping.Pursuant to a decision taken by the Commission, the Register sets forth thetexts of international instruments that are in a final form and includes briefsummaries of international instruments that are in the course of drafting.The d ata on signatures, ratifications, reservations and declarations werereceived for the most part from those Governments or international organizationswhich exercise the depositary functions with respect to the instrument in question. t relating to Conventions for which the Secretary-General is the depositarywere taken from the following publication: Multilateral Treaties in respect which the Secretary-Generalperforms depositary functions . 3Like the first volume of the Register the second volume is published in fourlanguages: English, French, Spanish and Russian. Where no official translationexists, unofficialtranslations are reproduced. In this connexion the Secretary-Generalexpresses his gratitude to the Government of the Union of Soviet Socialist Republicsfor providing the Secretariat with many translations for the second volume. TheSecretary-General is also grateful to the Latin-American Free Trade Associationfor its permission to include translations of several instruments and also to theauthors who have kindly permitted the use of their translations; the names ofthese authors are mentioned in foot-notes to the respective translations.

is hoped that this publication will be useful in commercial practice and willassist in achieving the goal stated by the General Assembly when it established UNCITRAL, namely, the unification and harmonization of the law of international trade.

1 Report of UN CI TRA L on the work of its first session, Official Records the GeneralAssembly Twenty-third Session Supplement No. 16 A/7216),and UNCITRAL Yearbook, vol. I:1968-1970; part two, I,A, para. 60; report of UNC IT RAL on the work of its second session,Official Records the General Assembly Twenty-fourth Session. Supplement No. 18 A/7618),andUNCITRAL Yearbook, vol. I: 1968 1970 part two, II,A, para. 141; report of UNC IT RAL onthe work of its fourth session, Official Records the General Assembly Twenty-sixth Session.Supplement No. 17 A/8417),and UNCITRAL Yearbook, vol. II: 1971,part one, II,A, para. 131. United Nations publication, Sales No.: 71.V.3.3 The data reproduced in the present volume generally reflect the situation as of 15June 1972.


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Chapter IINTERN TION L COMMERCI L R ITR TION


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1. CONVENTIONS AND SIMILAR INSTRUMENTS

TREATY CONCERNING THE UNION OF SOUTH AMERICAN STATESIN RESPECT OF PROCEDURAL LAW

Signed at Montevideo 11 January 1889[Translation2]

TITLE IGENER L PRIN IPLES

Article 1Trials and their incidents, of whatsoever nature, shall be conducted in accordancewith the procedural law of the State in whose territory the trials are held.

Article 2Proofs shall be admitted and weighed according to the law applicable to thejuridical act which forms the subject-matter of the proceedings.Those proofs are excluded which, by their character, are not authorized by thelaw of the place where the trial is held.

TITLE IIO LEGALIZATION

Article 3Judgements or homologated awards rendered in regard to civil and commercialmatters, public indentures and other authentic documents executed by functionaries ofa State, and letters requisitorial or rogatory shall have effect in the other signatoryStates, in accordance with this Treaty, provided that they are duly legalized.1 The Treaty has entered into forceThe following States have deposited their ratifications r or accessions a with theGovernment of Uruguay: Argentina r , Bolivia r , Colombia a , Paraguay r , Peru r ,Uruguay r .The following States have signed the Treaty: Brazil ChileSource: Organization of American States, Treaty Series No.9.2 Translationprepared by the Secretariat of the United Nations.

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6 Conventions and Other Instruments concerning International TradeLawArticle 4

The legalization shall be considered as executed in due form when it is carried outin accordance with the laws of the country from which the document in question issues,and when that document has been authenticated by the diplomatic or consular agentaccredited to the said country or locality by the Government of the State in whoseterritory the execution is requested.

TITLE i l lO THE ENFORCEMENT OF L IT RS REQUISITORIAL, JUDGEMENTS AND ARBITRAL AWARDS

Article 5Judgements and arbitral awards rendered in civil and commercial matters in one ofthe signatory States shall have in the territory of the other signatories the same forceas in the country where they were pronounced, provided that they comply with thefollowing requirements:a The judgement or arbitral award must have been rendered by a tribunalcompetent in the international sphere;b t must have a final character, or the authority of res judicata, in the Statewhere it was rendered;c The party against whom it was pronounced must have been legally summoned,and either represented or declared in default, in conformity with the law of the countryin which the trial was held;d t must not conflict with the laws governing public order in the country of itsenforcement.

Article 6The documents indispensable in order to request enforcement of a judgement orarbitral award are the following:a A complete copy of the judgement or arbitral award;b A copy of the documents necessary to show that the parties have beensummoned;c authenticated copy of the order which declares that the judgement or awardin question is final, or has the authority of res judicata, together with an authenticatedcopy of the laws upon which that order is based.

Article 7The manner of the enforcement of a judgement or arbitral award, and any judicialproceedings to which its enforcement may giverise, shall be determined by the procedurallaw of the State in which enforcement is requested.

Article 8Procedural acts of a non-contentious nature, such as inventories, the reading ofwills, appraisals, and the like, which have been carried out in one State shall have inthe other States the same force as i they had taken place in the territory of the latter,

provided that they meet all of the requirements set forth in the preceding articles.


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G N R L PROVISIONS

ArticleLetters requisitorial or rogatory shall be acted upon according to the laws of thecountry in which their execution is requested.

Article 4When the exchange has been made in the form indicated by the preceding article

this Treaty shall be effective from that time forth indefinitely.

7hapter International Commercial Arbitration

Article 3The simultaneous ratification of this Treaty by all of the signatory States is notnecessary in order to bring it into operation. The States which approve it shallcommunicate their approval to the Governments of the Argentine Republic and theOriental Republic of Uruguay so that the latter may notify the other contracting Statesto that effect. This procedure shall take the place of an exchange.

Article 2Persons interested in the execution of letters requisitorial and letters rogatory mayappoint agents and shall be responsible for expenses incurred by such agents or in

resultant proceedings.

Article 9Letters requisitorial and letters rogatory which have as their object the issuance ofnotices the taking of depositions or the execution of any other judicial measure shallbe complied with in the signatory States provided that the said letters meet the conditionslaid down by the laws of the State in which their execution is requested.

ArticleWhen the letter requisitorial or letter rogatory refers to attachments appraisalsinventories or any preventive measure the judge to whom it is addressed shall make thenecessaryprovisions for the appointment of experts appraisers receivers and in generalfor everything conducive to the better discharge of the commission involved.

Article 5 any of the signatory States should deem it advisable to withdraw its adherence tothe Treaty or introduce changes into the said instrument it shall so advise the othersignatories; but the withdrawal shall not take effect until two years after the date ofdenunciation during which time an effort to reach a new accord shall be made.

Article 6Article 13applies also to States which have not attended this Congress but which wishto adhere to the present Treaty.In witness whereof the plenipotentiaries of the aforesaid States sign and seal thisinstrument in six copies at Montevideo on the eleventh day of January eighteen hundredand eighty nine.


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8

PROTOCOL ON R ITR TION CL USES

Signed at Geneva, 24 September 1923League of Nations Treaty Series, vol XXVII, p. 158, No 678 1924

26 February 192915 September 193016 August 196618 July 19698 February 19276 August 19259 June 19262 September 192726 June 193110 December 193012 March 192529 July 19268 August 192914 May 19283 September 1930

27 September 192418 December 1924Continued on next page.

1 The Protocol entered into force on 28 July 1924.The foIlowing States have deposited their ratifications r , accessions a , or notifications ofsuccession s with the Secretary-General of the League of Nations United Nations :Albania r 29 August 1924Austria 25 January 1928Belgium r 23 September 1924Brazil r 5 February 1932Czechoslovakia r 18 September 1931Denmark r 6 April 1925Estonia r 16 May 1929Finland r 10 July 1924France r 7 June 1928Germany r 5 November 1924Greece r 26 May 1926India r 23 October 1937Iraq a 12 March 1926Ireland r 11 March 1957Israel r 13 December 1951Italy excluding Colonies r 28 July 1924Japan r 4 June 1928 hosen Taiwan, Karafuto, the leasedterritory Kwantung, and the terri-tories in respect of which Japanexercisesa mandate aLuxembourg rMalmMauritius sMonaco rNetherlands including the NetherlandsIndies, Surinamand Curacao rNew Zealand rNorway rPoland rPortugalRomania rWSweden rSwitzerland rThailand rUnited Kingdom of Great Britain andNorthern Ireland rSouthern Rhodesia a

The undersigned, being duly authorised, declare that they accept, on behalf of thecountries which they represent, the following provisions:1 Each of the Contracting States recognises the validity of an agreement whetherrelat ing to existing or future differences between parties subject respectively to the


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Conventions and Other Instruments on rning International Trade Law 6) The present Protocol will come into force as soon as two ratifications havebeen deposited. Thereafter it will take effect, in the case of each Cont racti ng State,one month after the notification by the Secretary-General of the deposit of its ratification. 7) The present Prot ocol may be denounced by any Contracting State on givingone year s notice. Denunciation shall be effected by a notification addressed to theSecretary-General of the League, who will immediately transmit copies of such notification

to all the other Signatory States and inform them of the date on which it was received.The denunciation shall take effect one year after the date on which it was notified tothe Secretary-General, and shall operate only in respect the notifying State. 8) The Contracting States may declare that their acceptance of the present Protocoldoes not include any or all of the undermentioned territories: that is to say, theircolonies, overseas possessions or territories, protectorates or the territories over whichthey exercise a mandate.The said States may subsequently adhere separately on behalf of any territory thusexcluded. The Secretary-General of the League of Nations shall be informed as soonas possible of such adhesions. He shall notify such adhesions to all Signatory States.They will take effect one mo nt h after the notification by the Secretary-General to allSignatory States.The Contracting States may also denounce the Protocol separately on behalf ofany of the territories referred to above. Article 7 applies to such denunciation.A certified copy of the present Protocol will be transmitted by the Secretary-Generalto all the Contracting States.Done at Geneva on the twenty-fourth day of September, one thousand nine hundredand twenty-three, in a single copy, of which the French and English texts are bot hauthentic, and which will be kept in the archives of the Secretariat of the League.

Reservations and declarationsBelgium

Reserves the right to limit the obligation mentioned in the first paragra ph of articleto contracts which are considered as commercial under its national law.Brazil

Subject to the condition that the arbitral agreement or the arbitration clause mentioned inarticle 1 of this P rotocol should be limited to contracts which are considered as commercialby the Brazilian legislation.Czechoslovakia

The Czechoslovak Republic will regard itself as being bound only in relation to Stateswhich will have ratified the Convention of September 26th, 1927, on the Execution of ForeignArbitral Awards, and the Czechoslovak Republic does not intend by this signature to invalidatein any way the bilateral treaties concluded by it which regulate the questions referred to in thepresent Protocol by provisions going beyond the provisions of the Protocol.


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India

rance

MonacoReserves the right to limit its obligation to contracts which are considered as commercial

under its national law.

11hapter International ommercial rbitration

Liechtenstein at time of signatureSubject to the following reservation:Agreements which are the subject of a special contract, or of clauses embodied in othercontracts, attributing competence to a foreign tribunal, they are concluded between nationalsand foreigners or between nationals in the country, shall henceforth be valid only when theyhave been drawn up in due legal form.This provision shall apply also to stipulations in articles of association, deeds ofpartnership and similar instruments and also to agreements for the submission of a disputeto an arbitral tribunal sitting in a foreign country.Any agreement which submits to a foreign tribunal or to an arbitral tribunal a disputerelating to insurance contracts shall be null and void if the person insured is domiciled in thecountry or if the interest insured is situated in the country.It shall be the duty of the tribunal to ensure as a matter of routine that this provisionis observed even during procedure for distraint or during bankruptcy proceedings.

Latvia at time of signatureReserves the right to limit the obligation mentioned in paragraph 2 of article 1 to contractswhich are considered as commercial under its national law.

Is not binding as regards the enforcement of the provisions this Protocol upon theterritories in India of any Prince or Chief under the suzerainty of His Majesty.India reserves the right to limit the obligation mentioned in the first paragraph ofarticle 1 to contracts which are considered as commercial under its national law.

enmarkUnder Danish law, arbitral awards made by an Arbitral Tribunal do not immediatelybecome operative; it is necessary in each case, in order to make an award operative, to applyto the ordinary courts of law. In the course of the proceedings, however, the arbitral awardwill generally be accepted by such courts without further examination as a basis of the finaljudgements in the affair.

EstoniaLimits, in accordance with article 1, paragraph 2, of this Protocol, the obligation mentionedin paragraph 1 of the said article to contracts which are considered as commercial under itsnational law.

Reserves the right to limit th obligation mentioned in paragraph 2 of article 1 tocontracts which are considered as commercial under its own national law. Its acceptanceof the present Protocol does not include the Colonies, Overseas Possessions or Protectoratesor Territories in respect of which France exercises a mandate.

LuxembourgReserves the right to limit the obligation mentioned in the first paragraph o article 1to contracts which are considered as commercial under its national law.


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12 onventions and Other Instruments concerning International Trade LawNetherlands

The Government of the Netherlands declares its opinion that the recognition in principleof the validity of arbitration clauses in no way affects either the restrictive provisions at presentexisting under Netherlands law or the right to introduce other restrictions in the future.Poland

Under reservation that, in conformity with p ar ag raph 2 of article 1, the un dertakin gcontemplated in the said article will apply only to contracts which are declared as commercialin accordance with national Polish law.Portugal

1) In accordance with the second p aragraph of article 1, the Portuguese Governmentreserves the right to limit the obligation mentioned in the first paragra ph of article 1 tocontracts which are considered as commercial under its national law. 2) According to the terms of the first paragraph of article 8 the Portuguese Governmentdeclares that its acceptance of the present Protocol does not include its Colonies.Romania

Subject to the reservation that the Royal Government may in all circumstances limit theobligation mentioned in article 1, paragraph 2, to contracts which are considered as commercialunder its national law.

SpainReserves the right to limit the obligation mentioned in article 1, paragraph 2, to contractswhich are considered as commercial under its national law.Its acceptance of the present Protocol does not include the Spanish Possessions in Africa,or the territories of the Spanish Protectorate in Morocco.

United Kingdom Great ritain and Northern IrelandApplies only to Great Britain and Northern Ireland, and consequently does not includeany of the Colonies, Overseas Possessions or Protectorates under His Britannic Majesty ssovereigntyor authority or any territory in respect of which His Majesty s Government exercisesa mandate.urmaHis Majesty reserves the right to limit the obligations mentioned in the first paragraph ofarticle 1 to contracts which are considered commercial under the law of Burma.


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13

28 January 19339 April 192910 December 193022 June 193115 January 19308 August 192925 September 19307 July 19312 July 19307 January 1931

CONVENTION FOR THE EXECUTION OF FOREIGN RBITR L W RDS

1931

Continued on next page.

12 August

5 June 193018 September 193125 April 192916 May 192930 July 193113 May 19311 September 193015 January 193223 October 193710 June 195727 February 195212 November 193011 July 195215 September 193016 August 196618 July 1969

Signed at Geneva, 26 September 1927League of Nations, Treaty Series, vol. XCII, p. 302 1929-1930)

1 The Convention entered into force on 25 July 1929.The following States have deposited their ratifications r), accessions a), or notificationsof succession s) with the Secretary-General of the League of Nations United Nations):Austria r) 18 July 1930Belgium r) 27 April 1929Belgian Congo, Territory Ruanda-Urundi a)Czechoslovakia r)Denmark r)Estonia r)Finland r)France r)Germany r)Greece r)India r)Ireland r)Israel r)Italy r)~ WLuxembourg r)

Malta s)Mauritius s)Netherlandsfor the Kingdom in Europe rfor the Netherlands Indies, Surinam andCuracao a)New Zealand Western Samoa included) r)Portugal r)Romania r)Spain r)WSwitzerland r)Thailand r)United Kingdom of Great Britain andNorthern Ireland r)Newfoundland aBahamas, British Guiana, British Hon-duras, FalklandIslands,Gibraltar.GoldCoast [ a Colony, b Ashanti, c

Article 1 the territories of any High Contracting Party to which the present Conventionapplies, an arbitral award made in pursuance of an agreement whether relating to existingor future differences hereinafter called submission to arbitration ) covered by theProtocol on Arbitration Clauses, opened at Geneva on September 24, 1923, shall be


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Article 2

Conventions and Other Instruments concerning International Trade Law

Even if the conditions laid down in Article 1 hereof are fulfilled, recognition andenforcement of the award shall be refused the Court is satisfied:a Th at the award has been annulled in the country in which it was made;b That the party against whom it is sought to use the award was not givennotice of the arbitration proceedings in sufficient time to enable him to present his case;or that, being under a legal incapacity, he was not properly represented;c That the award does not deal with the differences cont emplated by or fallingwithin the terms of the submission to arbitration or that it contains decisions on mattersbeyond the scope of the submission to arbitration.

Republic of

9 March 193211 October 193419 October 193810 F ebr uar y 196513 March 1959Bolivia, Nicaragua, Peru,

26 May 193113 July 193113 July 1931

Continued Northern Territories, d TogolandunderBritish Mandate] Jamaica including Turks and Caicos Islands andCayman Islands . Kenya, Palestineexcluding Trans-Jordan , TanganyikaTerritory, UgandaProtectorate, Windward Islands Grenada, St. Lucia, St.Vincent , Zanzibar a) ~ m o oNorthern Rhodesia aLeeward Islands Antigua, Dominica,Montserrat, St. Christopher-Nevis, Vir-~ b w ~ WMalta aBurma excluding the K ar en ni Statesunder His Majesty s suzerainty) a)Hong Kong a)Yugoslavia r)The following States have signed the Convention:Korea, Uganda.

recognised as binding and shall be enforced in accordance with the rules of the procedureof the terri tory where the a war d is relied upon, provided t ha t the said award has beenmade in a territory of one of the High Contracting Parties to which the presentConvention applies and between persons who are subject to the jurisdiction of one of theHigh Contracting Parties.

To obtain such recognition or enforcement, it shall, further, be necessary:a That the award has been made in pursuance of a submission to arbitrationwhich is valid under the law applicable thereto;b That the subject-matter of the a wa rd is capable of settlement by arbitrationu nd er the law of the c ou nt ry in which the a war d is sought to be relied u po n;c T ha t the award has been made by the Arbitral Tribunal provided for in thesubmission to arbitration or constituted in the manner agreed upon by the parties and inconformity with the law governing the arbitration procedure;d That the award has become final in the country in which it has been made,in the sense t hat it will not be considered as such it is open to opposition, appel orpourvoi en cassation in the countries where such forms of procedure exist) or if it isproved t ha t any proceedings for the pu rp os e of contesting the validity of the awardare pending;e That the recognition or enforcement of the award is not c on tr ar y to the publicpolicy or to the principles of the law of the country in which it is sought to be relied upon.


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16 Conventions and Other Instruments concerning International Trade Lawthe case of each High Contracting Party three months after the deposit of the ratificationon its behalf with the Secretary General of the League of Nations.

Article The present Convention may be denounced on behalf of any Member of the League ornon Member State. Denunciat ion shall be notified in writing to the Secretary General

of the League of Nations who will immediately send a copy thereof certified to be inconformity with the notification to all the other Contracting Part ies at the same timeinforming them of the date on which he received it.The denunciation shall come into force only in respect of the High Contracting Partywhich shall have notified it and one year after such notificat ion shall have reached theSecretary General of the League of Nations.The denunciation of the Protocol on Arbitra tion Clauses shall entai l ipso factothe denunciation of the present Convention.

Article 1The present Convention does not apply to the Colonies Protectorates or territories

under suzerainty or mandate of any High Contracting Party unless they re speciallymentioned.The application of this Convention to one or more of such Colonies Protectorates orterritories to which the Protocol on Arbitration Clauses opened at Geneva onSeptember 24 1923 applies can be affected at any time by means of a declarationaddressed to the Secretary Generalof the League of Nations by one of the High ContractingParties.Such declaration shall take effect three months after the deposit thereof.The High Contracting Parties can at any time denounce the Convention for all or anyof the Colonies Protectorates or territories referred to above. Article hereof appliesto such denunciation.

Article 11 certified copy of the present Convention shall be transmitted by the Secretary-General of the League of Nations to every Member of the League of Nations nd to everynon Member State which signs the same.In faith whereofthe above named Plenipotentiaries have signed the present Convention.one at Geneva on the twenty sixth day of September one thousand nine hundred ndtwenty seven in a single copy of which the English and French texts are both authentic

nd which will be kep t in the archives of the League of Nations.

Reservations and declarations lgium

Reserves the right to limit the obligation mentioned in article 1 to contracts which areconsidered commercial under its national law.


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Romania

France

India

17hapter 1. International ommercial rbitration


PortugalI The Portuguese Government reserves the right to limit the obligation mentioned inarticle 1 to contracts which are considered commercial under its national law.2 The Portuguese Government declares, according to the terms of article 10, thatthe present Convention does not apply to its Colonies.

United Kingdom of Great ritain and Northern IrelandurmaHis Majesty reserves the right to limit the obligations mentioned in article 1 to contracts

which are considered commercial under the law of Burma.

Is not binding as regards the enforcement of the provisions of this Convention upon theterritories in India of any Prince or Chief under the suzerainty of His Majesty.India reserves the right to limit the obligation mentioned in article 1 to contracts which areconsidered as commercial under its national law.

The Hellenic Government reserves the right to limit the obligation mentioned in article 1to contracts which are considered as commercial under its national law.Greece

zechoslovakiaThe Czechoslovak Republic does not intend to invalidate in any way the bilateraltreaties concluded by it with various States, which regulate the questions referred to in thepresent Convention by provisions going beyond the provisions of the Convention.

LuxembourgReserves the right to limit the obligation mentioned in article 1 to contracts which areconsidered as commercial under its national law.


EstoniaReserves the right to limit the obligation mentioned in article 1 to contracts which areconsidered commercial under its national law.

DenmarkUnder Danish law, arbitral awards made by an Arbitral Tribunal do not immediatelybecome operative; it is necessary in each case, in order to make an award operative, to applyto the ordinary Courts of Law. In the course of the proceedings, however, the arbitral awardwill generally be accepted by such Courts without further examination as a basis for the finaljudgement in the affair.


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BUSTAMANTE CODEConvention on Private International Law 1

Signed at Havana 20 February 1928[Excerpts]

League of Nations, Treaty Series vol. LXXXVI, p. 246, No. 1950 1929

OBLIGATIONS ND CONTRACTS

H PTER X CoMPROMISE AND ARBITRATION

Article 210Provisions forbidding compromise or arbitration of certain matters are territorial.

r ti le 211The extent and effects of the arbitrat ion and the authority of res judicata of thecompromise also depend upon the territorial law.

EXECUTION OF JUDGMENTS RENDERED BY FOREIGN COURTSH PTER IVIL MATTERS

Article 423Every civil or contentious administrative judgment rendered in one of the contractingStates shall have force and may be executed in the others if it combines the followingconditions:1 That the judge of the court which has rendered it have competence to takecognizanceof the matter and to passjudgment upon it, in accordance with the rules of thisCode.1 For entry into force, signatures and ratifications see Register 0 Texts 0 Conventions and

Other Instruments concerning International Trade Law vol. I, p, 518


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TREATY ON INTERNATIONAL PROCEDURAL L W

Signed at Montevideo, 19 March 1940[ xcerpt Translation2]

TITLE IIIOF THE ENFORCEMENT OF LETTERS REQUISITORIAL JUDGMENTS AND ARBITRAL AWARDS

Article 5Judgments and arbitral awards rendered in civil and commercial matters in one of thesignatory States shall have in the territory of the other signatories the same force asin the country where they were pronounced provided that they comply with the

following requirements:a They must have been rendered by a tr ibunal competent in the internationalsphere;b They must have a final character or the authority of res judicata, in the Statewhere they were rendered;c The party against whom they were pronounced must have been legally summonedand either represented or declared in default in conformity with the law of the countryin which the trial was held;d They must not conflict with public order in the country of their enforcement.Civil judgments rendered in any signatory State by an international tribunal andrelating to private persons or interests are included under the provisions of this article.

Article 6The documents indispensable in order to request enforcement of a judgment orarbitral award are the following:a complete copy of the judgment Orarbitral award;b A copy of the documents necessary to show that paragraph c of thepreceding article has been complied with;c n authenticated copy of the order which declares that the judgment or awardin question is final or has the authority of res judicata, together with an authenticatedcopy of the laws upon which that order is based.1 The Treatyhas entered into forceThe following States have deposited their ratifications with the Government of Uruguay:Argentina Paraguay Uruguay.The following States have signed the Treaty: Bolivia Brazil Colombia Peru. Source:Organization of American States Treaty Series, No.9.2 American Journal of International Law, vol. 37 1943 Suppl p. 116

Translators J. rizzary y Puente and Gwladys L. Williams Reproduced with permission21


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22 Conventions and Other Instruments concerning International Trade LawArticle 7

The execution of the aforesaid judgments and arbitral awards including the judgmentsof international tribunals mentioned in the last paragraph of Article 5 must be requestedof the competent judges or tribunals who upon hearing the State s Attorney and afterreceiving proof that those judgments or awards meet the requirements of the said articleshall order enforcement through the proper channels in conformity with the correspondingprovisions of the local law of procedure.In any case upon request of the State s Attorney or even independently of such arequest the party against whom enforcement is sought for the judgment or arbitral awardin question may be heard without taking any other measures of defence.

Article 8The judge from whom the enforcement of a foreign sentence is requested acting uponpetition of one of the parties or even ex officio without entering into additional proceedingsmay take all the measures which are necessary to ensure the effectiveness of that sentenceconformably with the provisions of the law of the local tribunal regarding sequestrationsinhibitions attachments or other preventive measures.

Article 9When the case calls solely for the establishment of the fact t ha t a given judgmentor award has the a uth ori ty of res judicata such judgment or award should be offered injudicial proceedings supported by the documents to which Article 6 refers at the propertime and in accordance with the local law; and the judges or tribu nal s shall pass uponthe merit thereof in the sentencewhich they pronounce after ascertaining in a hearing of theState s Attorney that the requisites laid down in Article 5 have been met.

Article 1Procedural acts of a non-contentious nature such as inventories the reading of willsappraisals and the like which have been carried out in one State shall have in the othersthe same force as they had taken place in the territory of the latter provided that theymeet all of the requirements set forth in the preceding articles.

Article 11Letters requisitorial and letters rogatory which have as their object the issuance ofnotices the taking of depositions or the execution of any other judicial measure shallbe complied with in the signatory States provided that the said letters meet the requirementslaid down in this treaty. Likewise such letters must be prepared in the language of theState which issues them and must be accompanied by a duly certified translation in thelanguage of the State to which they are addressed. Ro ga to ry commissions in civil orcriminal matters transmitted through the diplomatic agents or in their absence theconsular agents of the country which issues the letter will not require legalization ofsignature.

Article 12When the letter requisitorial or letter rogatory refers to attachments appraisalsinventories or any preventive measure the judge to whom it is addressed shall makethe necessary provisions for the appointment of experts appraisers receivers and in

general for everything conducive to the better discharge of the commission involved.


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eser ations

Brazil at time of signatureAs to Article 5 t understands that the provisions of Articles 776 and 778 of the Brazilian

Code of Procedure are excepted from the effects of Article 5.

Article 5Persons interested in the execution of letters requisitorial and letters rogatory mayappoint agents, shall be responsible for expenses incurred in the exercise of the agents,powers or in the resultant proceedings.

23hapter International Commercial ArbitrationArticle

Letters requisitorial or rogatory shall be acted upon according to the laws of thecountry which is asked to execute them. they relate to attachment, the propriety ofthat measure shall be governed and determined by the laws and the judges of the placewhere the proceedings are held.The process and form of attachment, and the exemption from attachment of theproperty designated with that end in view, shall be governed by the laws and ordered bythe judges of the place where the said property is located. order to execute the judgment rendered in the proceedings in which it was orderedtha t property located in another territory be attached, the procedure indicated inArticles 7 and 8 of this treaty shall be followed.

Article 4When attachment proceedings have been instituted, the person affected by this measuremay allege before the judge to whom the letter requisitorial was addressed, the pertinentthird-party claim, with the sole purpose of having that claim communicated to the judgeof origin. When the lat ter has been notified of the interposition of the third-partyclaim, he shall suspend the principal proceedings for a term not to exceed sixty days sothat the third-party claimant may assert his rights. The third-party claim shall be examinedby the judge of the principal proceedings, in conformity with the laws of his locality.Any third-party claimant who appears before the court after the expiration of the sixty-dayterm must accept the existing status of the case. the third-party claim urged is based upon ownership or upon real rights over theproperty attached, it shall be passed upon by the judges in accordance with the laws of thecountry where the said property is located.

Argentina at time of signatureAs to Article l l The Delegation understands that when a request for issuance of lettersrequisitorial is opposed, before the judge to whom the request is made, by pleas based uponpendency of action or upon incompetence of jurisdiction but which nevertheless attributecognizance of the case to tribunals of the State to which the said judge belongs, the lat ter,in defense of his own jurisdiction, may refuse absolutely or in part to carry out the request.


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Done at New York 1 June 1958United Nations, Treaty Series vol. 330, p. 38 No. 4739 1959

CONVENTION ON THE RECOGNITION ND ENFORCEMENTOF FOREIGN R ITR L W RDS

r or accessions a with the2 May 920 December 9710 October 915 November 196015 October 19629 April 196210 July 19593 January 19629 March 195930 June 919 January 196226 June 19599 April 196816 July 19625 March 196213 July 19605 January 195931 January 1969

20 June 95 January 196016 July 196214 April 197112 February 195924 April 196414 October 196417 March 197014 March 19616 July 19673 October 196113 September 196120 January 19721 June 19659 March 195921 December 195914 February 196617 July 196710 October 1960Continued on xt page.

aarrarrrarrraaarraaaaaaraaarrarraaaar

24

1 The Convention entered into force on 7 June 1959.The following States have deposited their ratificationsSecretary-General of the United Nations:AustriaBotswanaBulgariaByelorussianSSRCentral African RepublicCeylonCzechoslovakiaEcuadorEgyptFederal Republic of GermanyFinlandFranceGhanaGreeceHungaryIndiaIsraelItalyJapanKhmer RepublicMadagascarMexicoMoroccoNetherlandsNigerNigeriaNorwayPhilippinesPolandRomaniaSwedenSwitzerlandSyrian Arab RepublicThailandTrinidad and TobagoTunisiaUkrainian SSR

rti le I1. This onvention shall apply to the recognition and enforcement of arbitral awards

made in the territory of a tate other than the tate where the recognition and enforcementof such awards are sought, and arising ou t of differences between persons, whether


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Conventions and Other Instruments concerning International Trade Lawlanguage. The translat ion shall be certified by an official or sworn translator or by adiplomatic or consular agent.

Article V1. 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 authoritywhere the recognition and enforcement is sought, proof that:a The parties to the agreement referred to in article II were, under the lawapplicable to them, under some incapacity, or the said agreement is not valid under thelaw to which the parties have subjected it or, failing any indication thereon, under thelaw of the country where the award was made; orb The party against whom the award is invoked was not given proper notice of theappointment of the arbitrator or of the arbitration proceedings or was otherwise unable topresent his case; orc The award deals with a difference not contemplated by or not falling within theterms of the submission to arbi trat ion, or it contains decisions on matters beyond thescope of the submission to arbitration, provided that, if the decisions on matters submittedto arbitration can be separated from those not so submitted, that part of the award whichcontains decisions on matters submitted to arbitration may be recognized and enforced; ord The composition of the arbitral authority or the arbi tral procedure was not inaccordance with the agreement of the parties, or, failing such agreement, was not inaccordance with the law of the country where the arbitration took place; ore The award has not yet become binding on the parties, or has been set aside orsuspended 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 thecompetent authority in the country where recognition and enforcement is sought findsthat:a The subject matter of the difference is not capable of settlement by arbitrationunder the law of that country; orb The recognition or enforcement of the award would be contrary to the publicpolicy of that country.

Article VI an application for the setting aside or suspension of the award has been made toa competent authority referred to in article V 1 e , the authority before which the awardis sought to be relied upon may, if it considers it proper, adjourn the decision on theenforcement of the award and may also, on the application of the party claimingenforcement of the award, order the other party to give suitable security.

Article VII1. The provisrons of the present Convention shall not affect the validity ofmultilateral or bilateral agreements concerning the recognition and enforcement of arbitralawards entered into by the Contracting States nor deprive any interested party of any righthemay have to avail himself of an arbitral award in the manner and to the extent allowed bythe law or the treaties of the country where such award is sought to be relied upon.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


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Contracting States on their becoming bound nd to the extent th t they become boundby this Convention.

rticle 1. This Convention shall be open for accession to all States referred to inarticle VIII.2. Accession shall be effected by the deposit of an instrument of accession with theSecretary General of the United Nations.

rticle VIII1. This Convention shall be open until 31 December 1958 for signature on behalf

of any Member of the United Nations nd also on behal f of any other State which is orhereafter becomes a member of any specialized agency of the United Nations or whichis or hereafter becomes a p rty to the Statute of the International ourt of Justice or anyother State to which an invitation has been addressed by the General Assembly of theUnited Nations.2. This Convention shall be ratified nd the instrument of ratif ication shall bedeposited with the Secretary General of the United Nations.

27hapter 1. International ommercial rbitration

rticle X1. Any State may at the time of signature ratification or accession declare th tthis Convention shall extend to all or any of the terri tories for the international relationsof which it is responsible. Such a declaration shall take effect when the Convention entersinto force for the State concerned.2. At any time thereafter any such extension shall be made by notif ication addressedto the Secretary General of the United Nations nd shall t ake effect as f rom the nine-tieth day after the day of receipt by the Secretary General of the United Nations of thisnotification or as from the date of entry into force of the Convention for the Stateconcerned whichever is the later.3. With respect to those territories to which this Convention is no t extended at thetime of signature ratification or accession each State concerned shall consider thepossibility of taking the necessary steps in order to extend the application of this Conventionto such territories subject where necessary for constitutional reasons to the consent of

the Governments of such territories.rticle

In the case of a federal or non unitary State the following provisions shall apply:a With respect to those articles of this Convention th t come within thelegislative jurisdiction of the federal authority the obligations of the federal Governmentshall to this extent be the same as those of Contracting States which are no t federalStates;b With respect to those articles of this Convention th t come within thelegislative jurisdiction of constituent states or provinces which are not under theconstitutional system of the federation bound to take legislative action the federalGovernment shall bring such articles with a favourable recommendation to the noticeof the appropriate authorities of constituent states or provinces at the earliest possiblemoment;


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Conventions and Other Instruments concerning International Trade Lawc A federal State Party to this Convention shall at the request of any otherContracting State transmitted through the Secretary-General of the United Nationssupply a statement of the law and practice of the federation and its constituent unitsin regard to any particular provision of this Convention showing the extent to whicheffect has been given to that provision by legislative or other action.

Article X1. This Convention shall come into force on the ninetieth day following the dateof deposit of the third instrument of ratification or accession.2. oreach State ratifying or acceding to this Convention after the deposit of thethird instrument of ratification or accession this Convention shall enter into force onthe ninetieth day after deposit by such State of its instrument of ratification or accession.

Article X1. Any Contracting State may denounce this Convention by a written notificationto the Secretary-General of the United Nations. Denunciation shall take effect one yearafter the date of receipt of the notification by the Secretary-General.2. Any State which has made a declaration or notification under article X mayat any time thereafter by notification to the Secretary-General of the United Nationsdeclare that this Convention shall cease to extend to the terr itory concerned one yearafter the date of the receipt of the notification by the Secretary-General.3. This Convention shall continue to be applicable to arbitral awards in respect ofwhich recognition or enforcement proceedings have been instituted before the denunciationtakes effect.

Article XA Contract ing State shall not be entitled to avail itself of the present Conventionagainst other Contracting States except to the extent that it is itself bound to apply theConvention.

Article XThe Secretary-General of the United Nations shall notify the States contemplatedin article VIII of the following:a Signatures and ratifications in accordance with article VIII;b Accessions in accordance with article IXc Declarations and notifications under articles I X and XI;d The date upon which this Convention enters into force in accordance witharticle XIIe Denunciations and notifications in accordance with article XIII.

Article X1. This Convention of which the Chinese English French Russian and Spanishtexts shall be equally authentic shall be deposited in the archives of the United Nations.2. The Secretary-Genera of the United Nations shall transmit a certified copy ofthis Convention to the States contemplated in article VIII.


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ustriaThe Republic of Austria will apply the Convention, in accordance with the first sentenceof article I 3) thereof, only to the recognition and enforcement of arbitral awards made in theterritory of another Contracting State.

yelorussian Soviet Socialist RepublicThe Byelorussian Soviet Socialist Republic will apply the provisions of this Convention inrespect to arbitral awards made in the territories of non-contracting States only to the extent towhich they grant reciprocal treatment.

ulgariaBulgaria will apply the Convention to recognition and enforcement of awards made in theterritory of another contracting State. With regard to awards made in the territory ofnon-contracting States it will apply the Convention only to the extent to which these States grantreciprocal treatment.

eserv tions nd decl r tions

Chapter 1. International Commercial rbitration

CzechoslovakiaCzechoslovakia will apply the Convention to recognition and enforcement of awards madein the territory of another contracting State. With regard to awards made in the territory ofnon-contracting States it will apply the Convention only to the extent to which these Statesgrant reciprocal treatment.

EcuadorEcuador, on a basis of reciprocity, will apply the Convention to the recognition andenforcement of arbi tral awards made in the territory of another contract ing State only ifsuch awards have been made with respect to differences arising out of legal relationships whichare regarded as commercial under Ecuadorian law.

otswanaThe Republic of Botswana will apply the Convention only to differences arising out oflegal relationships, whether contractual or not, which are considered commercial underBotswana law.The Republic of Botswana will apply the Convention to the Recognition and Enforcementof Awards made in the territory of another Contracting State.

Central frican RepublicReferring to the possibility offered by paragraph 3 of article I of the Convention, theCentral African Republic declares that it will apply the Convention on the basis of reciprocity,to the recognition and enforcement of awards made only in the territory of another contractingState; further declares that it will apply the Convention only to differences arising out oflegal relationships, whether contractual or not, which are considered as commercial under itsnational law.

rgentinaSubject to the declaration contained in the Final Act:The said declaration reads as follows: another Contracting Party extends the application

of the Convention to territories which fall within the sovereignty of the Argentine Republic,the rights of the Argentine Republic shall in no way be affected by that extension.


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Conventions and Other Instruments on rning International Trade LawFederal Republic Germany

1) The Convention will also apply to nd Berlin as from the day on which theConvention enters into force for the Federal Republic of Germany; 1With respect to pa ra gr ap h 1 of article I, and in accordance with p ar agr ap h 3 of article Iof the Convention, the Fed er al Republ ic of G er ma ny will apply the Con ve nt io n only to ther ec ogn it ion and enforcement of awards made in the t er ri to ry of a no th er Con tr ac ti ng State.

FranceIn a notification made on ratification the Government of France declared th t the Conventionshall extend to all the territories of the French Republic.Referring to the possibility offered by paragraph 3 of Article I of the Convention, Francedeclares t ha t it will apply the Con ve nt io n on the basis of reciprocity, to the recognition andenforcement of awards made only in the territ ory of a no th er contracti ng S ta te; it fu rt he rdeclares that it will apply the Convention only to differences arising out of legal relationships,whether c on tr ac tua l or not, which are considered as commercial under i ts n at io na l law.

Hungary. the Hungarian People s Republic shall apply the Convention to the recognition andenforcement of such awards only as have been made in the territory of one of the other ContractingStates and are dealing with differences arising in respect of a legal relationship considered by

the Hungarian law as a commercial relationship.India

In accordance with Article I of the Convention, the Government of India declare that theywill apply the Convention to the recognition and enforcement of awards made only in thet erri tory of a State, pa rt y to this Convention. They furt her declare t ha t they will apply theConvention only to differences arising out of legal relationships, whether contractual or not,which are considered as commercial under the Law of India.

1 With reference to the above-mentioned statement, communications have been addressed tothe Secretary-General by the Governments of Albania, Bulgaria, the Byelorussian SSR, Cuba,Czechoslovakia, Poland, Romania, the Ukrainian SSR, nd the Union of Soviet Socialist Republics,on the one hand, and by the Governments of the Federal Republic of Germany, France, theUnited Kingdom of G re at Britain and N ort he rn Ireland and the United States of America,on the other hand.The Governments of Albania, Bulgaria, the Byelorussian SSR, Cuba, Czechoslovakia, Poland,Rom an ia , the U kr ai ni an SSR and the U ni on of Soviet Socialist Republics have i nf or me d theSecretary-General that they consider the above-mentioned statement as having no legal forceon the ground that West Berlin is not, and never has been a State territory of the FederalRepublic of Germany and that, consequently, the Government of the Federal Republic ofGermany is in no way competent to assume any obligations in respect of West Berlin or toextend to it the application of international agreements, including the Convention in question.The G overnments of the F ed era l Republic of Germany, France, the United K ingdom ofGre at Britain and No rt he rn Ireland and the United States of America have informed theSecretary-General that, in the Declaration on Berlin of 5 May, 1955, which accords withinstruments th t previously e nt ered into force, the Allied K om ma nd at ur a as the supremea ut ho ri ty i n Berlin had a ut ho ri ze d the Berlin a ut ho ri ti es to assure t he r epr esen ta ti on a br oa dof the interests of Berlin and its inhabitants under suitable arrangements, and that the arrangementsmade in accordance wit h the said a ut ho ri za ti on p er mi tt ed the Fede ra l Republic of G er ma ny toextend to Berlin the international agreements which the Federal Republic concludes, providedthat the final decision in every case of such an extension was left to the Allied Kommandatura andthat internal Berlin action was required to make any such agreement applicable as domestic lawin Berlin. o r these reasons they consider the objections referred to in the preceding paragraphas unfounded.


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Poland

Morocco

With reservation as mentioned in article I, paragraph 3.

31hapter 1. International ommercial rbitrationJapan

Norway We will apply the Convention only to the recognition and enforcement of awards madein the territory of one of the Contracting States.2. We will not apply the Convention to differences where the subject matter of the

proceedings is immovable property situated in Norway, or a right in or to such property.

NigeriaIn accordance with paragraph 3 of article I of the Convention, the Federal MilitaryGovernment of the Federal Republic of Nigeria declares that it will apply the Convention on thebasis of reciprocity to the recognition and enforcement of awards made only in the territoryof a State party to this Convention and to differences arising out of legal relationships, whethercontractual or not, which are considered as commercial under the laws of the Federal Republicof Nigeria.

Philippines at time of signatureThe Philippines delegation signs referendum this Convention with the reservation thatit does so on the basis of reciprocity and declares that the Philippines willapply the Conventionto the recognition and enforcement of awards made only in the territory of another contractingState pursuant to article I, paragraph 3 of the Convention.at time of ratification. . . the Philippines, on the basis of reciprocity, willapply the Convention to the recognitionand enforcement of awards made only in the territory of another Contracting State and only todifferences arising out of legal relationships, whether contractual or not, which are consideredas commercial under the national law of the State making such declaration.

The Government of His Majesty the King of Morocco will only apply the Convention to therecognition and enforcement of awards made only in the territory of another contracting State.

MadagascarThe Malagasy Republic declares that it will apply the Convention on the basis of reciprocity,to the recognition and enforcement of awards made only in the territory of another contractingState; it further declares that it will apply the Convention only to differences arising out oflegal relationships, whether contractual or not, which are considered as commercial under itsnational law.

. . . it will apply the Convention to the recognition and enforcement of awards madeonly in the territory of another Contracting State.

NetherlandsThe instrument of ratification stipulates that the Convention is ratified for the Kingdomof Europe, Surinam and the Netherlands Antilles.Referring to paragraph 3 of article I of the Convention on the Recognition and Enforcementof Foreign Arbitral Awards, the Government of the Kingdom declares that it will apply the

Convention to the recognition and enforcement of awards made only in the territory of anotherContracting State.


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Conventions nd Other Instruments concerning International Trade wRomania

The Romanian People s Republic willapply the Convention only to differencesarising out oflegal relationships, whether contractual or not, which are considered as commercial under itslegislation.The Ro man ian People s Republic will apply the Conventi on to the recognition andenforcement of awards made in the territory of another Contracting State. As regards awards

made in the territ ory of certain non-contracting States, the Ro man ian People s Republicwill apply the Convention only on the basis of reciprocity established by joint agreementbetween the parties.Switzerland

Referring to the possibility offered by paragraph 3 of article I, Switzerland will apply theConvention to the recognition and enforcement of awards made only in the territory of anotherContracting State.Trinidadand Tobago

In accordance with article I of the Convention, the Government of Trinidad and Tobagodeclares that it will apply the Convention to the recognition and enforcement of awards madeonly in the territory of a nother Contracting State. The Government of Trinidad and Tobagofurther declares that it will apply the Convention only to differences arising out of legalrelationships, whether contracted or not, which are considered as commercial under the Lawof Trinidad and Tobago.Tunisia

. . . with the reservations provided for in article I, paragra ph 3, of the Convention, t tis to say, the Tunisian State will apply the Conve ntion to the recognition and enforcement ofawards made only in the territory of another Contracting State and only to differences arisingout of legal relationships, whether c ontractua l or not, which are considered as commercialunder Tunisian law.Ukrainian Soviet Socialist Republic

The Ukrainian Soviet Socialist Republic will apply the provisions of this Convention inrespect to arbitral awards made in the territories of non-contracting States only to the extentto which they grant reciprocal treatment.n on of Soviet Socialist Republics

The Union of Soviet Socialist Republics will apply the provisions of this Convention inrespect to arbitral awards made in the territories of non-contracting States only to the extentto which they grant reciprocal treatment.UnitedRepublicof Tanzania

The Government of the United Republic of Tanganyika and Zanzibar will apply theConvention, in accordance with the first sentence of article I 3) thereof, only to the recognitionand enforcement of awards made in the territory of another Contracting State.United States ofAmerica

The United States of America will apply the Convention, on the basis of reciprocity, tothe recognition and enforcement of only those awards made in the territory of anotherContracting State.


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The United States of America will apply the Convention only to differences arising out oflegal relationships whether contractual or not which are considered as commercial under thenational law of the United States.In a communication received on 3 November 1970 the Government of the United Statesof America notified the Secretary General that the Convention shall apply to all of theterritories for the international relations of which the United States of America is responsible.

hapter International ommercial rbitration 33


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ORG NIZ TION OF THE ARBITRATION

Article

Article

35hapter I. International Commercial Arbitration

1. The parties to an arbitration agreement shall be free to submit their disputes:a to a permanent arbitral insti tution; in this case, the arbitration proceedingsshall be held in conformity with the rules of the said institution;b to an ad hoc arbitral procedure; in this case, they shall be free inter alia(i) to appoint arbitrators or to establish means for their appointment in the eventof an actual dispute;i i to determine the place of arbitration; and(iii) to lay down the procedure to be followed by the arbitrators.2. Where the parties have agreed to submit any disputes to an ad hoc arbitration,and where within thirty days of the notification of the request for arbitration to therespondent one of the parties fails to appoint his arbitrator, the latter shall, unlessotherwise provided, be appointed at the request of the other party by the President of thecompetent Chamber of Commerce of the country of the defaulting party s habitual placeof residence or seat at the time of the introduction of the request for arbitration. This

Article

RIGHT OF FOREIGN NATIONALS TO BE DESIGNATED AS ARBITRATORSIn arbitration covered by this Convention, foreign nationals may designated asarbitrators.

RIGHT OF LEGAL PERSONS OF PUBLIC LAW TO RESORT TO ARBITRATION1. In the cases referred to in Article I, paragraph 1, of this Convention, legalpersons considered by the law which is applicable to them as legalpersons of publiclaw have the right to conclude valid arbitration agreements.2. On signing, ratifying or acceding to this Convention any State shall be entitledto declare that it limits the above faculty to such conditions as may be stated in itsdeclaration.

b to arbitral procedures and awards based on agreements referred to in paragraph 1a above.2. For the purpose of this Convention,a the term arbit ra tion agreement shall mean either an arbitral clause in acontract or an arbitration agreement, the contract or arbitration agreement being signedby the parties, or contained in an exchange of letters, telegrams, or in a communication

by teleprinter and, in relations between States whose laws do not require that anarbitration agreement be made in writing, any arbitration agreement concluded in theform authorized by these laws;b the term arbitration shall mean not only settlement by arbitrators appointedfor each case ad hoc arbitration) but also by permanent arbitral institutions;c the term seat shall mean the place of the situation of the establishment thathas made the arbitration agreement.


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Conventions and Other Instruments concerning International Trade Lawparagraph shall also apply to the replacement the arbitrator s) appointed by one of theparties or by the President of the Chamber Commerce above referred to.

3. Where the parties have agreed to submit any disputes to an ad hoc arbitrationby one or more arbitrators and the arbitration agreement contains no indicationregarding the organization the arbitration, as mentioned in paragraph 1 of thisarticle, the necessary steps shall be taken by the arbitrator s) already appointed, unlessthe parties are able to agree thereon and without prejudice to the case referred to inparagraph 2 above. Where the parties cannot agree on the appointment of the solearbitrator or where the arbitrators appointed cannot agree on the measures to betaken, the claimant shall apply for the necessary action, where the place of arbitration hasbeen agreed upon by the parties, at his option to the President the Chamber Commerce of the place of arbitration agreed upon or to the President the competentChamber of Commerce of the respondent s habitual place of residence or seat at thetime of the introduction of the request for arbitration. Where such a place has notbeen agreed upon, the claimant shall be entitled at his option to apply for the necessaryaction either to the President of the competent Chamber of Commerce of the country the respondent s habit ual place of residence or seat at the time of the introduction the request for arbitration, or to the Special Committee whose composition andprocedure are specified in the Annex to this Convention. Where the claimant failsto exercise the rights given to him under this paragraph the respondent or the arbitrator s)shall be entitled to do so.

4. When seized a request the President r the Special Commi ttee shall beentitled as need be:a to appoint the sole arbitrator, presiding arbitrator, umpire, or referee;b to replace the arbitrator s) appointed u nder any procedure o th er th an th atreferred to in paragraph 2 above;c to determine the place arbitration, provided that the arbitrator s) may fixanother place arbitration;d to establish directly or by reference to the rules and statutes a permanentarbitral institution the rules procedure to be followed by the arbitrator s), providedt ha t the ar bi tra tor s have not established these rules themselves in the absence of anyagreement thereon between the parties.5. Where the parties have agreed to submi t their disputes to a p er man ent a rb it ra linstitution without determining the institution in question and cannot agree thereon,the claimant may request the determination such institution in conformity with theprocedure referred to in paragraph 3 above.6. Where the arbitration agreement does not specify the mode of arbitration arbitration by a permanent arbitral institution or an ad hoc arbitration) to which theparties have agreed to submit their dispute, and where the parties cannot agree thereon,the claimant shall be entitled to have recourse in this case to the procedure referred to inparagraph 3 above to determine the question. The President of the competent Chamberof Commerce or the Special Committee, shall be entitled either to refer the partiesto a permanent arbitral institution or to request the parties to appoint their arbitratorswithin such time-limits as the President of the competent Chamber Commerce or theSpecial Committee may have fixed and to agree within such time-limits on the necessarymeasures for the functioning the arbitration. In the latter case, the provisions pa ra gr ap hs 2, 3 and 4 this Article shall apply.7. Where within a period of sixty days from the moment when he was requestedto fulfil one the functions set out in paragraphs 2, 3, 4, 5 and 6 this Article, thePresident the Chamber of Commerce designated by virtue these paragraphs has not


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rticle VI

rticle V

fulfilled one of these functions the party requesting shall be entitled to ask the SpecialCommittee to do so.

37hapter 1. International Commercial rbitration

PLE AS TO ARB IT RAL J UR IS DI CT ION1. The party which intends to raise a plea as to the arbitrator s jurisdiction basedon the fact that the arbitration agreement was either non-existent or null and void or hadlapsed shall do so during the arbitration proceedings not later than the delivery of itsstatement of claim or defence relating to the substance of the dispute; those based onthe fact that an arbitrator has exceeded his terms of reference shall be raised during thearbitration proceedings as soon as the question on which the arbitrator is alleged to haveno jurisdiction is raised du ri ng the a rb it ral procedure. Where the delay in raising theplea is due to a cause which the arbitrator deems justified the arbitrator shall declarethe plea admissible.2. Pleas to the jurisdiction referred to in paragraph 1 above that have not beenraised during the time-limits there referred to may not be entered either during asubsequent stage of the arbitral proceedings where they are pleas left to the solediscretion of the parties under the law applicable by the arbitrator or during subsequentcourt proceedings concerning the substance or the enforcement of the award wheresuch pleas are left to the discretion of the parties under the rule of conflict of the courtseized of the substance of the dispute or the enforcement of the award. The arbitrator sdecision on the delay in raising the plea will however be subject to judicial control.3. Subject to any subsequent judic ial c ont ro l provi ded for u nd er the lex fori thearbitrator whose jurisdiction is called in question shall be entitled to proceed with thearbitration to rule on his own jurisdiction and to decide up on the existence or thevalidity of the arbitration agreement or of the contract of which the agreement formspart.

JURISDI TION OF COURTS OF LAW1. A plea as to the jurisdiction of the court made before the court seized byeither party to the arbitration agreement on the basis of the fact t ha t an arbitrationagreement exists shall under penalty of estoppel be presented by the respondent before

or at the same time as the presentation of his substantial defence depending uponwhether the law of the court seized regards this plea as one of procedure or of substance.2. In ta king a decision concerning the existence or the validity of an arbitrationagreement courts of Contracting States shall examine the validity of such agreementwith reference to the capacity of the parties under the law applicable to them andwith reference to other questionsa under the law to which the parties have subjected their arbitration agreement;b failing any indication thereon under the law of the country in which the awardis to be made;c failing any indication as to the law to which the parties have subjected theagreement and where at the time when the question is raised in c ou rt the c ou nt ry inwhich the award is to be made cannot be determined under the competent law byvirtue of the rules of conflict of the court seized of the dispute.The courts may also refuse recognition of the arbitration agreement if under the

law of their country the dispute is not capable of settlement by arbitration.


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38 onventions and Other Instruments concerning International Trade Law3. Where either party to an arbitration agreement has initiated arbitrationproceedings before any resort is had to a court courts of Contracting States subsequentlyasked to deal with the same subject-matter between the same parties or with thequestion whether the arbitration agreement was non-existent or null and void or hadlapsed shall stay their ruling on the arbitrator s jurisdiction until the arbitral award ismade unless they have good and substantial reasons to the contrary.4. A request for interim measures or measures of conservation addressed to ajudicial authority shall not be deemed incompatible with the arbitration agreement orregarded as a submission of the substance of the case to the court.

rticle PPLIC LE LAW

1. The parties shall be free to determine by agreement the law to be applied bythe arbit rator s to the substance of the dispute. Failing any indication by the partiesas to the applicable law the arbitrators shall apply the pr oper law under the rule ofconflict t hat the arbi trators deem applicable. In both cases the arbit rat or s shall takeaccount of the terms of the contract and trade usages.2. The arbitrators shall act as amiables compositeurs if the parties so decide and they may do so under the law applicable to the arbitration.rticle VIII

REASONS FOR THE A WA RDThe parties shall be presumed to have agreed t hat reasons shall be given for theaward unless theya either expressly declare that reasons shall not be given; orb have assented to an arbitral procedure under which it is not customary togive reasons for awards provided that in this case neither party requests before the endof the hearing or if there has not been a hearing then before the making of the awardthat reasons be given.

rticle XSETTING ASIDE OF THE ARBITRAL AWARD

1. The setting aside in a Contracting State of an arbi tr al award covered by thisConvention shall only constitute a ground for the refusal of recognition or enforcementin another Contracting State where such setting aside took place in a State in which orunder the law of which the award has been made and for one of the following reasons:a the parties to the arbitration agreement were under the law applicable to themunder some incapacity or the said agreement is not valid under the law to which theparties have subjected it or failing any indication thereon under the law of the countrywhere the award was made orb the party requesting the setting aside of the award was not given proper notice

of the appointment of the arbitrator or of the arbitration proceedings or was otherwiseunable to present his case; orc 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


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rticle X

1 For the list of these Chambers of Commerce or other institutions communicated to theSecretary-General, see p. 42 below.

the scope of the submission to a rb it ra tio n, p ro vi de d t ha t, if the decisions on m att erss ubmitted to a rbitra tion can be s ep arate d from tho se not so submitted, t ha t part ofthe award which contains decisions on mat ters submi tt ed to arbit rati on need not be setaside;d the composition of the a rb itr al a ut ho ri ty or the a rb itr al p ro ce du re was not inaccordance with the agreement of the parties, or failing such agreement, with the provisions

of Article IV of this Convention.2. In re latio ns between C on tr ac ti ng States t ha t are also parties to the New Yo rkConvention on the Recognition and Enforcement of F or eig n A rb it ra l A wa rd s of10th J un e 1958, p ara gra ph 1 of this Article limits the application of Article V 1) eof the New York Convent ion solely to the cases of setting aside set out under paragr aph 1above.

39hapter I. International ommercial rbitration

IN L CLAUSES1. This C on ve nti on is open for s ign atu re or accession by countries members ofthe Economi c Commi ssion for Eur ope and c ou nt rie s a dm it te d to the Co mmiss ion in aconsultative capacity under par agraph 8 of the Commission s terms of reference.2. Such countries as may participate in certain activities of the Economic Commis

sion for Europe in accordance with paragraph 11 of the Commission s terms ofreference may become Contr acti ng Par ti es to this Convent ion by acceding t hereto aft erits entry into force.3. The C on ve ntio n shall be open for s ign atu re until 31 D ec em be r 1961 inclusive.Thereaft er, it shall be open for accession.4. This Convention shall be ratified.5. Ra tific ation or accession shall be effected by the deposit of an i nstr ument withthe Secretary-General of the United Nations.6. When signing, rati fying or acceding to this Convent ion, the Contr acti ng Par ti esshall communicate to the Secretary-General of the Uni ted Nat ions a list of the Chambersof Commerce or other institutions in their country who willexercise the functions conferredby virtue of Article IV of this Convention on Presidents of the competent Chambers ofCommerce. 17. The provisions of the present Convention shall not affect the validity of multi

lateral or bilateral agreements concerning arbitration entered into by Contracting States.8. This Convention shall come into force on the ninetieth day after fiveof the countriesreferred to in paragraph 1 above have deposited their instruments of ratification or accession. or any c ou nt ry ratify in g or acceding to it l at er this Co nv en tio n shall e nt er i nt oforce on the ninetieth day after the said country has deposited its instrument of ratificationor accession.9. Any Contracting Party may denounce this Convention by so notifying theSecretary-General of the Uni ted Nat ions. Denunci at ion shall t ake effect twelve monthsafter the d ate of receipt by the Secretary-General of the notification of denunciation.10. If, a fte r the entry in to force of this Convent ion, the number of ContractingPa rtie s is red uc ed , as a result of denunci at ions, to less t han five, the Convent ion shallcease to be in force from the date -on which the last of such denunciations takes effect.


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40 onventions and Other nstruments concerning nternational Trade Law11. The Secretary-General of the United Nations shall notify the countries referred

to in paragraph 1 and the countries which have become Contracting Parties under para-graph 2 above of

a declarations made under Article II paragraph 2;b ratifications and accessions under paragraphs 1 and 2 above;c communications received in pursuance of paragraph 6 above;d the dates of entry into force of this Con vent io n in accor dance w it h paragraph 8above;e denunciations under paragraph 9 above; f the termination of this Convention in a cc or da nc e w it h paragraph above.12. After 31 December 1961 the original of t hi s C on ve nt io n s ha ll be d ep os it edwith the Secretary-General of the United Nations, who shall transmit certified true copies

to each of the countries mentioned in paragraphs 1 and 2 above.IN WITN SS WH R OF the undersigned being duly authorized thereto have signedthis Convention.ON at Geneva this twenty-first day of April one thousand nine hundred and sixtyone in a single copy in the English French and Russian languages each text being equallyauthentic.

ANNEX

CoMPOSmON AND PROCEDURE OF THE S PE CI AL C oM MI I TE E REFERRE D TO IN ARTICLE OF THECoNVENTION

1. The Special Committee referred to in Article IV of the Convention shall consist of tworegular members and a Chairman. One of the regular members shall be elected by the Chambersof Commerce or other institutions designated under Article X paragraph 6 of the Conventionby States in which at the time when the Convention is open to siguature National Committeesof the International Chamber of Commerce exist and which at the time of the electionare partiesto the Convention. The other member shall be elected by the Chambers of Commerce or otherinstitutions designated under Article X paragraph 6 of the Convention by States in which atthe time when the Convention is open to signature no National Committees of the InternationalChamber of Commerce exist and which at the time of the election are parties to the Convention.2. The persons who are to act as Chairman of the Special Committee pursuant to paragraph 7 of this Annex shall also be elected in like manner by the Chambers of Commerce or otherinstitutions referred to in paragraph 1 of this Annex.3. The Chambers of Commerceor other institutions referred to in paragraph 1 of this Annexshall elect alternates at the same time and in the same manner as they elect the Chairman andother regular members in case of the temporary inability of the Chairman or regular membersto act. In the event of the permanent inability to act or of the resignation of a Chairman or of aregular member then the alternate elected to replace him shall become as the case may be theChairman or regular member and the group of Chambers of Commerce or other institutionswhich had elected the alternate who has become Chairman or regular member shall elect anotheralternate.4. The first elections to the Committee shall be held within ninety days from the date ofthe deposit of the fifth instrument of ratification or accession. Chambers of Commerce and otherinstitutions designated by Signatory States who are not yet parties to the Convention shall alsobe entitled to take part in these elections. I f however it should not be possible to hold electionswithinthe prescribedperiod the entry into force of paragraphs 3 to 7 of Article of the Conventionshall be postponed until elections are held as provided for above.


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ecl r tionFederal Republic of Germany

A note accompanying the instrument of ratification contains a statement that the Convention shall also apply to nd Berlin as from the day on which the Convention enters into forcefor the Federal Republic of GermanyWith reference to the above-mentioned statement, communications have been addressed tothe Secretary-General by the Governments of Albania, Bulgari

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