| 《纽约公约》 United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 10 June 1958) Article I 1. This Convention shall apply to the recognition and enforcement of arbitral awards made in the territory of a State other than the State where the recognition and enforcement of such awards are sought, and arising out of differences between persons, whether physical or legal. It shall also apply to arbitral awards not considered as domestic awards in the State where their recognition and enforcement are sought. 2. The term "arbitral awards" shall include not only awards made by arbitrators appointed for each case but also those made by permanent arbitral bodies to which the parties have submitted. 3. When signing, ratifying or acceding to this Convention, or notifying extension under article X hereof, any State may on the basis of reciprocity declare that it will apply the Convention to the recognition and enforcement of awards made only in the territory of another Contracting State. It may also declare that it will apply the Convention only to differences arising out of legal relationships, whether contractual or not, which are considered as commercial under the national law of the State making such declaration. Article II 1. Each Contracting State shall recognize an agreement in writing under which the parties undertake to submit to arbitration all or any differences which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not, concerning a subject matter capable of settlement by arbitration. 2. The term "agreement in writing" shall include an arbitral clause in a contract or an arbitration agreement, signed by the parties or contained in an exchange of letters or telegrams. 3. The court of a Contracting State, when seized of an action in a matter in respect of which the parties have made an agreement within the meaning of this article, at the request of one of the parties, refer the parties to arbitration, unless it finds that the said agreement is null and void, inoperative or incapable of being performed. Article III Each Contracting State shall recognize arbitral awards as binding and enforce them in accordance with the rules of procedure of the territory where the award is relied upon, under the conditions laid down in the following articles. There shall not be imposed substantially more onerous conditions or higher fees or charges on the recognition or enforcement of arbitral awards to which this Convention applies than are imposed on the recognition or enforcement of domestic arbitral awards. Article IV 1. To obtain the recognition and enforcement mentioned in the preceding article, the party applying for recognition and enforcement shall, at the time of the application, supply: (a) The duly authenticated original award or a duly certified copy thereof; (b) The original agreement referred to in article II or a duly certified copy thereof. 2. If the said award or agreement is not made in an official language of the country in which the award is relied upon, the party applying for recognition and enforcement of the award shall produce a translation of these documents into such language. The translation shall be certified by an official or sworn translator or by a diplomatic or consular agent. Article V 1. Recognition and enforcement of the award may be refused, at the request of the party against whom it is invoked, only if that party furnishes to the competent authority where the recognition and enforcement is sought, proof that: (a) The parties to the agreement referred to in article II were, under the law applicable to them, under some incapacity, or the said agreement is not valid under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award was made; or (b) The party against whom the award is invoked was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings or was otherwise unable to present his case; or (c) The award deals with a difference not contemplated by or not falling within the terms of the submission to arbitration, or it contains decisions on matters beyond the scope of the submission to arbitration, provided that, if the decisions on matters submitted to arbitration can be separated from those not so submitted, that part of the award which contains decisions on matters submitted to arbitration may be recognized and enforced; or (d) The composition of the arbitral authority or the arbitral procedure was not in accordance with the agreement of the parties, or, failing such agreement, was not in accordance with the law of the country where the arbitration took place; or (e) The award has not yet become binding on the parties, or has been set aside or suspended by a competent authority of the country in which, or under the law of which, that award was made. 2. Recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that: (a) The subject matter of the difference is not capable of settlement by arbitration under the law of that country; or (b) The recognition or enforcement of the award would be contrary to the public policy of that country. Article VI If an application for the setting aside or suspension of the award has been made to a competent authority referred to in article V (1) (e), the authority before which the award is sought to be relied upon may, if it considers it proper, adjourn the decision on the enforcement of the award and may also, on the application of the party claiming enforcement of the award, order the other party to give suitable security. Article VII 1. The provisions of the present Convention shall not affect the validity of multilateral or bilateral agreements concerning the recognition and enforcement of arbitral awards entered into by the Contracting States nor deprive any interested party of any right he may have to avail himself of an arbitral award in the manner and to the extent allowed by the law or the treaties of the country where such award is sought to be relied upon. 2. The Geneva Protocol on Arbitration Clauses of 1923 and the Geneva Convention on the Execution of Foreign Arbitral Awards of 1927 shall cease to have effect between Contracting States on their becoming bound and to the extent that they become bound, by this Convention. Article VIII 1. This Convention shall be open until 31 December 1958 for signature on behalf of any Member of the United Nations and also on behalf of any other State which is or hereafter becomes a member of any specialized agency of the United Nations, or which is or hereafter becomes a party to the Statute of the International Court of Justice, or any other State to which an invitation has been addressed by the General Assembly of the United Nations. 2. This Convention shall be ratified and the instrument of ratification shall be deposited with the Secretary-General of the United Nations. Article IX 1. This Convention shall be open for accession to all States referred to in article VIII. 2. Accession shall be effected by the deposit of an instrument of accession with the Secretary-General of the United Nations. Article X 1. Any State may, at the time of signature, ratification or accession, declare that this Convention shall extend to all or any of the territories for the international relations of which it is responsible. Such a declaration shall take effect when the Convention enters into force for the State concerned. 2. At any time thereafter any such extension shall be made by notification addressed to the Secretary-General of the United Nations and shall take effect as from the ninetieth day after the day of receipt by the Secretary-General of the United Nations of this notification, or as from the date of entry into force of the Convention for the State concerned, whichever is the later. 3. With respect to those territories to which this Convention is not extended at the time of signature, ratification or accession, each State concerned shall consider the possibility of taking the necessary steps in order to extend the application of this Convention to such territories, subject, where necessary for constitutional reasons, to the consent of the Governments of such territories. Article XI In the case of a federal or non-unitary State, the following provisions shall apply: (a) With respect to those articles of this Convention that come within the legislative jurisdiction of the federal authority, the obligations of the federal Government shall to this extent be the same as those of Contracting States which are not federal States; (b) With respect to those articles of this Convention that come within the legislative jurisdiction of constituent states or provinces which are not, under the constitutional system of the federation, bound to take legislative action, the federal Government shall bring such articles with a favourable recommendation to the notice of the appropriate authorities of constituent states or provinces at the earliest possible moment; (c) A federal State Party to this Convention shall, at the request of any other Contracting State transmitted through the Secretary-General of the United Nations, supply a statement of the law and practice of the federation and its constituent units in regard to any particular provision of this Convention, showing the extent to which effect has been given to that provision by legislative or other action. Article XII 1. This Convention shall come into force on the ninetieth day following the date of deposit of the third instrument of ratification or accession. 2. For each State ratifying or acceding to this Convention after the deposit of the third instrument of ratification or accession, this Convention shall enter into force on the ninetieth day after deposit by such State of its instrument of ratification or accession. Article XIII 1. Any Contracting State may denounce this Convention by a written notification to the Secretary-General of the United Nations. Denunciation shall take effect one year after the date of receipt of the notification by the Secretary-General. 2. Any State which has made a declaration or notification under article X may, at any time thereafter, by notification to the Secretary-General of the United Nations, declare that this Convention shall cease to extend to the territory concerned one year after the date of the receipt of the notification by the Secretary-General. 3. This Convention shall continue to be applicable to arbitral awards in respect of which recognition and enforcement proceedings have been instituted before the denunciation takes effect. Article XIV A Contracting State shall not be entitled to avail itself of the present Convention against other Contracting States except to the extent that it is itself bound to apply the Convention. Article XV The Secretary-General of the United Nations shall notify the States contemplated in article 3VIII of the following: (a) Signatures and ratifications in accordance with article VIII; (b) Accessions in accordance with article IX; (c) Declarations and notifications under articles I, X and XI; (d) The date upon which this Convention enters into force in accordance with article XII; (e) Denunciations and notifications in accordance with article XIII. Article XVI 1. This Convention, of which the Chinese, English, French, Russian and Spanish texts shall be equally authentic, shall be deposited in the archives of the United Nations. 2. The Secretary-General of the United Nations shall transmit a certified copy of this Convention to the States contemplated in article VIII.联合国承认及执行外国仲裁裁决公约（1958年6月10日订于纽约）第一条 一、因自然人或法人间之争议而产生，且在申请承认及执行地所在国以外之国家领土内作成的仲裁裁决，其承认及执行适用本公约。被申请承认及执行地所在国认为非内国裁决者，也适用本公约。 二、“仲裁裁决”不仅包括每一案件中指定的仲裁员所作的裁决，也包括当事人提请常设仲裁机构所作的裁决。 三、任何国家于签署、批准或加入本公约时，或于本公约第十条通知扩展适用时，可以在互惠的基础上声明，本国只对另一缔约国领域内作出的仲裁裁决的承认及执行适用本公约。任何国家亦得声明，本国只对根据本国法律属于商事性质的法律关系所产生的争议适用本公约，不论为契约性质与否。 第二条 一、当事人以书面协议约定将当事人间基于特定的法律关系的发生或可能发生的、可以通过仲裁解决的所有或者任何争议，不论为契约性质与否，提交仲裁时，各缔约国应承认该协议。 二、“书面协议”包括当事人所签订或在互换函电中所载明的仲裁条款和仲裁协议。 三、当事人已经达成本条意义内的协议的，如果缔约国法院受理了诉讼，那么依一方当事人的请求，法院应当令当事人将争议提交仲裁解决。但是法院查明前述协议无效、失效或不能实行者除外。 第三条各缔约国应承认仲裁裁决具有拘束力，并且依照援引裁决地的程序规则和下列各条所规定的条件执行。承认或执行适用本公约的仲裁裁决时，不应比承认或执行内国仲裁裁决附加更加过于苛刻的条件或收取过多的费用。 第四条 一、为获得裁决承认和执行的当事人，应在申请前条所提到的承认及执行时提供： （甲）原裁决之正本或经正式认证的副本； （乙）第二条所提到的协议正本或经正式认证的副本。 二、如果上述裁决或协议不是以被援引裁决地的官方语言作成的，申请承认及执行裁决的当事人应提供这些文件的官方语言的译本。译本应经官方的或宣过誓的翻译员或外交或领事人员认证。 第五条 一、裁决仅在受裁决援用的一方当事人向申请承认及执行地的主管机关提出证据证明有下列情形之一时，才可以根据该当事人的请求拒绝承认和执行： （甲）第二条所提到的协议的当事人根据对其适用的法律处于某种无行为能力情形，或根据当事人约定的准据法协议无效，或未约定准据法时，依裁决地所在国法律协议无效； 或 （乙）作为裁决执行对象的当事人没有接获关于指派仲裁员或仲裁程序的适当通知，或由于其他情况而不能申辩案件；或 （丙）裁决涉及仲裁协议所没有提到的，或者不包括仲裁协议规定之内的争议，或者裁决含有对仲裁协议范围以外事项的裁定。但如果仲裁协议范围以内的事项可以和仲裁协议范围以外的事项分开，则裁决中关于提交仲裁事项的部分决定可以承认及执行； 或（丁）仲裁庭的组成或仲裁程序与当事人间协议不符，或当事人间没有协议时同仲裁地所在国法律不符者；或 （戊）裁决对当事人尚无拘束力，或裁决已经由作出裁决的国家或据其法律作出裁决的国家的有权机关撤销或者停止执行。 二、被请求承认和执行地所在国的主管机关如果查明有下列情形之一，也可以拒不承认和执行仲裁裁决： （甲）依据该国法律，争议事项不能以仲裁解决； （乙）承认或执行裁决违反该国公共政策。 第六条 如果已经向第五条第一项（戊）款提到的主管机关申请撤销或停止执行，受理援引裁决案件的机关如果认为适当时可以延期作出关于执行裁决的决定，可以根据请求执行裁决的当事人的申请，命令对方当事人提供适当的担保。第七条 一、本公约的规定不影响缔约国参加的有关承认和执行仲裁裁决的多边或双边协定的效力，也不剥夺任何利害关系人在被援引裁决地所在国的法律或条约所许可的方式和范围内，可能具有的援用仲裁裁决的任何权利。 二、1923年日内瓦仲裁条款议定书及1927年日内瓦执行外国仲裁裁决公约，对于本公约的缔约国，在其受本公约拘束后，在其受拘束之范围内失效。 第八条 一、本公约在1958年12月31日以前开放，供联合国任何会员国及现在或嗣后成为联合国专门机构的或国际法院规约当事国的任何其他国家，或经联合国大会邀请的任何其他国家签署。 二、本公约应须经批准，批准书应交存联合国秘书长。 第九条 一、第八条所提到的各国都可以加入本公约。 二、加入应当将加入书交存联合国秘书长处。 第十条 一、任何国家于签署、批准或加入时可以声明将本公约推广适用于由其负责国际关系的一切或任何领土。此项声明于本公约对有关国家生效时发生效力。 二、在签署、批准或加入本公约后，要作推广适用的声明，应通知联合秘书长，自联合国秘书长收到此项通知之日后第90日起，或自本公约对有关国家生效之日起发生效力，此两日期以较迟者为准。 三、关于在签署、批准或加入时没有将本公约推广适用的领土，各有关国家应考虑可否采取必要步骤将本公约推广适用于此等领土，但因宪政关系确有必要时，须征得此等领土上政府的同意。 第十一条 对联邦制或非单一制国家适用下列规定： （甲）关于属于联邦主管机关立法权限内的本公约条款，联邦政府的义务在此范围内与非联邦制缔约国政府的义务一样； （乙）关于属于联邦成员或各省立法权限的本公约条款，如各联邦成员或各省依联邦宪法制度并没有采取立法行动的义务，联邦政府应尽速将这等条款附以有利的建议提请联邦成员或省主管机关注意； （丙）本公约的联邦国家缔约国，根据任何其他缔约国提请联合国秘书长转达的请求时，应当提供关于联邦及其组成成员关于本公约任何特别规定的法律和习惯，说明以立法或采取其他行动实施此项规定的程度。 第十二条一、本公约应自第三个国家交存批准书或加入书之日后第９０日起生效。 二、在第三个国家交存批准书或加入书后，本公约应自各国存放批准书或加入书后第90日起对该国生效。 第十三条 一、任何缔约国可以书面通知联合国秘书长宣告退出本公约。退约自秘书长收到通知之日一年后生效。 二、依第十条规定提出声明或通知的国家，随时可以通知联合国秘书长声明本公约自秘书长收到通知之日一年后停止推广适用于有关领土。 三、在退约生效前已进行承认或执行程序的仲裁裁决，应继续适用本公约。 第十四条 缔约国除在本国负有适用本公约义务外，无权对其他缔约国援用本公约。 第十五条 联合国秘书长应将下列事项通知第八条所提到的国家： （甲）依照第八条的规定签署和批准本公约； （乙）依照第九条的规定加入本公约； （丙）依照第一条、第十条和第十一条的规定所作出的声明和通知； （丁）依照第十二条所规定的本公约的生效日期； （戊）依照第十三条所规定的退约和通知。 第十六条 一、本公约应存放联合国档案处保存，其中文、英文、法文、俄文及西班牙文各本具有同等效力。 二、联合国秘书长应将经认证的本公约副本分送第八条所提到的国家。 |
