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THE UNDERSIGNED, DULY AUTHORIZED,
Convened under the auspices of the Economic Commission for Europe of the United Nations.
Having noted that on 10th June 1958 at the United Nations Conference on International Commercial Arbitration has been signed in New York a Convention on the Recognition and Enforcement of Foreign Arbitral Awards,
Desirous of promoting the development of European trade by, as far as possible, removing certain difficulties that may impede the organization and operation of international commercial arbitration in relations between physical or legal persons of different European countries,
Have agreed on the following provisions:
Convened under the auspices of the Economic Commission for Europe of the United Nations.
Having noted that on 10th June 1958 at the United Nations Conference on International Commercial Arbitration has been signed in New York a Convention on the Recognition and Enforcement of Foreign Arbitral Awards,
Desirous of promoting the development of European trade by, as far as possible, removing certain difficulties that may impede the organization and operation of international commercial arbitration in relations between physical or legal persons of different European countries,
Have agreed on the following provisions:
Article I Scope of the Convention
1. This Convention shall apply:
(a) to arbitration agreements concluded for the purpose of settling disputes arising from international trade between physical or legal persons having, when concluding the agreement, their habitual place of residence or their seat in different Contracting States;
(b) to arbitral procedures and awards based on agreements referred to in paragraph 1(a) above.
2. For the purpose of this Convention,
(a) the term: "arbitration agreement" shall mean either an arbitral clause in a contract or an arbitration agreement, the contract or arbitration agreement being signed by 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 an arbitration agreement be made in writing, any arbitration agreement concluded in the form authorized by these laws;
(b) the term "arbitration" shall mean not only settlement by arbitrators appointed for 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 that has made the arbitration agreement.
1. This Convention shall apply:
(a) to arbitration agreements concluded for the purpose of settling disputes arising from international trade between physical or legal persons having, when concluding the agreement, their habitual place of residence or their seat in different Contracting States;
(b) to arbitral procedures and awards based on agreements referred to in paragraph 1(a) above.
2. For the purpose of this Convention,
(a) the term: "arbitration agreement" shall mean either an arbitral clause in a contract or an arbitration agreement, the contract or arbitration agreement being signed by 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 an arbitration agreement be made in writing, any arbitration agreement concluded in the form authorized by these laws;
(b) the term "arbitration" shall mean not only settlement by arbitrators appointed for 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 that has made the arbitration agreement.
第一条 〔公约的范围〕
(一)本公约适用于:
1、自然人或法人为解决其相互间在国际贸易中发生的争议而缔结的仲裁协议,但以签订协议时,该自然人或法人的常住地或所在地在各缔约国家中为限。
2、根据本条第一款第一项所述协议而进行的仲裁程序和作出的裁决。
(二)在本公约中:
1、“仲裁协议”一词既指合同中的仲裁条款,也指仲裁协议;该合同或仲裁协议,是指经当事人签订的,或包括在当事人交换的书信和电报中或电传通讯中的。如在法律并不要求仲裁协议必须以书面形式签订的国家,则指依该国法律所许可的形式订立的一切仲裁协议。
2、“仲裁”一词不仅指为每个案件指定仲裁员解决争议(临时仲裁),而且指由常设仲裁机构解决争议。
3、“所在地”一词是指签订仲裁协议的企业所在的地方。
(一)本公约适用于:
1、自然人或法人为解决其相互间在国际贸易中发生的争议而缔结的仲裁协议,但以签订协议时,该自然人或法人的常住地或所在地在各缔约国家中为限。
2、根据本条第一款第一项所述协议而进行的仲裁程序和作出的裁决。
(二)在本公约中:
1、“仲裁协议”一词既指合同中的仲裁条款,也指仲裁协议;该合同或仲裁协议,是指经当事人签订的,或包括在当事人交换的书信和电报中或电传通讯中的。如在法律并不要求仲裁协议必须以书面形式签订的国家,则指依该国法律所许可的形式订立的一切仲裁协议。
2、“仲裁”一词不仅指为每个案件指定仲裁员解决争议(临时仲裁),而且指由常设仲裁机构解决争议。
3、“所在地”一词是指签订仲裁协议的企业所在的地方。
Article II Right of Legal Persons of Public Law to Resort to Arbitration
1. In cases referred to in Article I, paragraph 1, of this Convention, legal persons considered by the law which is applicable to them as "legal persons of public law" have the right to conclude valid arbitration agreements.
2. On signing, ratifying or acceding to this Convention any State shall be entitled to declare that it limits the above faculty to such conditions as may be stated in its declaration.
1. In cases referred to in Article I, paragraph 1, of this Convention, legal persons considered by the law which is applicable to them as "legal persons of public law" have the right to conclude valid arbitration agreements.
2. On signing, ratifying or acceding to this Convention any State shall be entitled to declare that it limits the above faculty to such conditions as may be stated in its declaration.
Article IV Organization of the Arbitration
1. The parties to an arbitration agreement shall be free to submit their disputes:
(a) to a permanent arbitral institution; in this case, the arbitration proceedings shall 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 event of an actual dispute;
(ii) 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 the respondent one of the parties fails to appoint his arbitrator, the latter shall, unless otherwise provided, be appointed at the request of the other party by the President of the competent Chamber of Commerce of the country of the defaulting party's habitual place of residence or seat at the time of the introduction of the request for arbitration. This paragraph shall also apply to the replacement of the arbitrator(s) appointed by one of the parties or by the President of the Chamber of Commerce above referred to.
3. Where the parties have agreed to submit any disputes to an ad hoc arbitration by one or more arbitrators and the arbitration agreement contains no indication regarding the organization of the arbitration, as mentioned in paragraph 1 of this Article, the necessary steps shall be taken by the arbitrator(s) already appointed, unless the parties are able to agree thereon and without prejudice to the case referred to in paragraph 2 above. Where the parties cannot agree on the appointment of the sole arbitrator or where the arbitrators appointed cannot agree on the measures to be taken, the claimant shall apply for the necessary action, where the place of arbitration has been agreed upon by the parties, at his option to the Presidentof the Chamber of Commerce of the place of arbitration agreed upon or to the President of the competent Chamber of Commerce of the respondent's habitual place of residence or seat at the time of the introduction of the request for arbitration. Where such a place has not been agreed upon, the claimant shall be entitled at his option to apply for the necessary action either to the President of the competent Chamber of Commerce of the country of the respondent's habitual place of residence or seat at the time of the
introduction of the request for arbitration, or to the Special Committee whose composition and procedure are specified in the Annex to this Convention. Where the claimant fails to exercise the rights given to him under this paragraph the respondent or the arbitrator(s) shall be entitled to do so.
4. When seized of a request the President or the Special Committee shall be entitled as need be:
(a) to appoint the sole arbitrator, presiding arbitrator, umpire, or referee;
(b) to replace the arbitrator(s) appointed under any procedure other than that referred to in paragraph 2 above;
(c) to determine the place of arbitration, provided that the arbitrator(s) may fix another place of arbitration;
(d) to establish directly or by reference to the rules and statutes of a permanent arbitral institution the rules of procedure to be followed by the arbitrator(s), provided that the arbitrators have not established these rules themselves in the absence of any agreement thereon between the parties.
5. Where the parties have agreed to submit their disputes to a permanent arbitral institution without determining the institution in question and cannot agree thereon, the claimant may request the determination of such institution in conformity with the procedure 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 the parties 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 in paragraph 3 to determine the question. The President of the competent Chamber of Commerce or the Special Committee, shall be entitled either to refer the parties to a permanent arbitral institution or to request the parties to appoint their arbitrator within such time-limits as the President of the competent Chamber of Commerce or the Special Committee may have fixed and to agree within such time-limits on the necessary measures for the functioning of the arbitration. In the latter case, the provisions of paragraphs 2, 3 and 4 of this Article shall apply.
7. Where within a period of sixty days from the moment when he was requested to fulfil one of the functions set out in paragraphs 2, 3, 4, 5 and 6 of this Article, the President of the Chamber of Commerce designated by virtue of these paragraphs has not fulfilled one of these functions, the party requesting shall be entitled to ask the Special Committee to do so.
1. The parties to an arbitration agreement shall be free to submit their disputes:
(a) to a permanent arbitral institution; in this case, the arbitration proceedings shall 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 event of an actual dispute;
(ii) 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 the respondent one of the parties fails to appoint his arbitrator, the latter shall, unless otherwise provided, be appointed at the request of the other party by the President of the competent Chamber of Commerce of the country of the defaulting party's habitual place of residence or seat at the time of the introduction of the request for arbitration. This paragraph shall also apply to the replacement of the arbitrator(s) appointed by one of the parties or by the President of the Chamber of Commerce above referred to.
3. Where the parties have agreed to submit any disputes to an ad hoc arbitration by one or more arbitrators and the arbitration agreement contains no indication regarding the organization of the arbitration, as mentioned in paragraph 1 of this Article, the necessary steps shall be taken by the arbitrator(s) already appointed, unless the parties are able to agree thereon and without prejudice to the case referred to in paragraph 2 above. Where the parties cannot agree on the appointment of the sole arbitrator or where the arbitrators appointed cannot agree on the measures to be taken, the claimant shall apply for the necessary action, where the place of arbitration has been agreed upon by the parties, at his option to the Presidentof the Chamber of Commerce of the place of arbitration agreed upon or to the President of the competent Chamber of Commerce of the respondent's habitual place of residence or seat at the time of the introduction of the request for arbitration. Where such a place has not been agreed upon, the claimant shall be entitled at his option to apply for the necessary action either to the President of the competent Chamber of Commerce of the country of the respondent's habitual place of residence or seat at the time of the
introduction of the request for arbitration, or to the Special Committee whose composition and procedure are specified in the Annex to this Convention. Where the claimant fails to exercise the rights given to him under this paragraph the respondent or the arbitrator(s) shall be entitled to do so.
4. When seized of a request the President or the Special Committee shall be entitled as need be:
(a) to appoint the sole arbitrator, presiding arbitrator, umpire, or referee;
(b) to replace the arbitrator(s) appointed under any procedure other than that referred to in paragraph 2 above;
(c) to determine the place of arbitration, provided that the arbitrator(s) may fix another place of arbitration;
(d) to establish directly or by reference to the rules and statutes of a permanent arbitral institution the rules of procedure to be followed by the arbitrator(s), provided that the arbitrators have not established these rules themselves in the absence of any agreement thereon between the parties.
5. Where the parties have agreed to submit their disputes to a permanent arbitral institution without determining the institution in question and cannot agree thereon, the claimant may request the determination of such institution in conformity with the procedure 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 the parties 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 in paragraph 3 to determine the question. The President of the competent Chamber of Commerce or the Special Committee, shall be entitled either to refer the parties to a permanent arbitral institution or to request the parties to appoint their arbitrator within such time-limits as the President of the competent Chamber of Commerce or the Special Committee may have fixed and to agree within such time-limits on the necessary measures for the functioning of the arbitration. In the latter case, the provisions of paragraphs 2, 3 and 4 of this Article shall apply.
7. Where within a period of sixty days from the moment when he was requested to fulfil one of the functions set out in paragraphs 2, 3, 4, 5 and 6 of this Article, the President of the Chamber of Commerce designated by virtue of these paragraphs has not fulfilled one of these functions, the party requesting shall be entitled to ask the Special Committee to do so.
第四条 〔仲裁组织〕
(一)仲裁协议的当事人,可自行决定将其争议提交于:
1、常设仲裁机构;在这种情况下,仲裁程序应按该机构的规则进行;
2、临时仲裁;在这种情况下,当事人自行决定:
甲、指派仲裁员,或者确定如果发生争议时指派仲裁员的方法;
乙、确定仲裁地点;
丙、规定仲裁员遵循的程序。
(二)当事人已协议一致把争议提交临时仲裁,在申请仲裁的通知书送达被诉人后的三十天内,如当事人一方没有指派仲裁员,无其他规定时,依另一方当事人的请求,仲裁员即由未指派仲裁员的一方当事人在提请仲裁时的常住地或所在地的国家主管商会会长指定之。本款规定也适用于由一方当事人所指派的或由上述商会会长所指派的仲裁员的更换。
(三)当事人已协议一致将争议提交由一名或数名仲裁员进行临时仲裁,但仲裁协议中没有规定如本条第一款所规定的仲裁组织,除当事人能就此取得协议并不违反上述第二款规定外,业已指派的仲裁员(们)即应采取必要的步骤。如果当事人未能就指派独任仲裁员达成协议,或者被指派的数名仲裁员未能就采取的措施达成协议时,申诉人可自由选择向协议同意的仲裁地(如果当事人就仲裁地点达成了协议)的商会会长或者向被诉人在提请仲裁时的常住地或所在地的主管商会会长,请求采取必要的行动。如果没有就仲裁地点达成协议,申诉人有权选择向被诉人在提请仲裁时的常住地或所在地的国家的主管商会会长,或者向专门委员会(其机构和程序见本公约附件规定),请求采取必要的行动。如果申诉人没有行使本款赋予的权利,被诉人或者仲裁员(们)有权如此办理。
(四)专门委员会会长接受请求后,如果需要,有以下权力:
1、指派独任仲裁员、主任仲裁员、首席仲裁员或鉴定人;
2、在本条第二款规定外的其他任何程序,更换原指派的仲裁员;
3、如仲裁员可以确定另一仲裁地点时,确定仲裁地点;
4、直接制定或者参考常设仲裁机构的规则和章程制定仲裁员(们)遵循的程序规则,假如当事人之间没有此项协议,而仲裁员也没有制定这项规则的话。
(五)如果当事人协议一致将其争议提交常设仲裁机构,但没有选定这一机构,也未能就此达成协议,申诉人可按上述第三款规定的程序,请求确定这一机构。
(六)如果当事人协议一致将其争议提交仲裁,但仲裁协议没有对仲裁方式(由常设仲裁机构仲裁可依临时仲裁程序仲裁)作出规定,当事人也未能对此达成协议,申诉人有权就此案件,按上述第三款规定的程序,以决定之。主管商会的会长或专门委员会,有权令当事人向常设仲裁机构提出申请,或者要求当事人在主管商会会长或专门委员会所规定的期限内指定仲裁员,并协商仲裁活动的必要措施。后一种情况,可适用本条第二、三、四款的规定。
(七)依据本条第二至第六款规定被委以职责的商会会长,在接受完成上述各款规定中的一项活动的请求后的六十天内,没有完成此项活动时,提出请求的当事人有权要求专门委员会完成这项活动。
(一)仲裁协议的当事人,可自行决定将其争议提交于:
1、常设仲裁机构;在这种情况下,仲裁程序应按该机构的规则进行;
2、临时仲裁;在这种情况下,当事人自行决定:
甲、指派仲裁员,或者确定如果发生争议时指派仲裁员的方法;
乙、确定仲裁地点;
丙、规定仲裁员遵循的程序。
(二)当事人已协议一致把争议提交临时仲裁,在申请仲裁的通知书送达被诉人后的三十天内,如当事人一方没有指派仲裁员,无其他规定时,依另一方当事人的请求,仲裁员即由未指派仲裁员的一方当事人在提请仲裁时的常住地或所在地的国家主管商会会长指定之。本款规定也适用于由一方当事人所指派的或由上述商会会长所指派的仲裁员的更换。
(三)当事人已协议一致将争议提交由一名或数名仲裁员进行临时仲裁,但仲裁协议中没有规定如本条第一款所规定的仲裁组织,除当事人能就此取得协议并不违反上述第二款规定外,业已指派的仲裁员(们)即应采取必要的步骤。如果当事人未能就指派独任仲裁员达成协议,或者被指派的数名仲裁员未能就采取的措施达成协议时,申诉人可自由选择向协议同意的仲裁地(如果当事人就仲裁地点达成了协议)的商会会长或者向被诉人在提请仲裁时的常住地或所在地的主管商会会长,请求采取必要的行动。如果没有就仲裁地点达成协议,申诉人有权选择向被诉人在提请仲裁时的常住地或所在地的国家的主管商会会长,或者向专门委员会(其机构和程序见本公约附件规定),请求采取必要的行动。如果申诉人没有行使本款赋予的权利,被诉人或者仲裁员(们)有权如此办理。
(四)专门委员会会长接受请求后,如果需要,有以下权力:
1、指派独任仲裁员、主任仲裁员、首席仲裁员或鉴定人;
2、在本条第二款规定外的其他任何程序,更换原指派的仲裁员;
3、如仲裁员可以确定另一仲裁地点时,确定仲裁地点;
4、直接制定或者参考常设仲裁机构的规则和章程制定仲裁员(们)遵循的程序规则,假如当事人之间没有此项协议,而仲裁员也没有制定这项规则的话。
(五)如果当事人协议一致将其争议提交常设仲裁机构,但没有选定这一机构,也未能就此达成协议,申诉人可按上述第三款规定的程序,请求确定这一机构。
(六)如果当事人协议一致将其争议提交仲裁,但仲裁协议没有对仲裁方式(由常设仲裁机构仲裁可依临时仲裁程序仲裁)作出规定,当事人也未能对此达成协议,申诉人有权就此案件,按上述第三款规定的程序,以决定之。主管商会的会长或专门委员会,有权令当事人向常设仲裁机构提出申请,或者要求当事人在主管商会会长或专门委员会所规定的期限内指定仲裁员,并协商仲裁活动的必要措施。后一种情况,可适用本条第二、三、四款的规定。
(七)依据本条第二至第六款规定被委以职责的商会会长,在接受完成上述各款规定中的一项活动的请求后的六十天内,没有完成此项活动时,提出请求的当事人有权要求专门委员会完成这项活动。
Article V Plea as to Arbitral Jurisdiction
1. The party which intends to raise a plea as to the arbitrator's jurisdiction based on the fact that the arbitration agreement was either non-existent or null and void or had lapsed shall do so during the arbitration proceedings, not later than the delivery of its statement of claim or defence relating to the substance of the dispute; those based on the fact that an arbitrator has exceeded his terms of reference shall be raised during the arbitration proceedings as soon as the question on which the arbitrator is alleged to have no jurisdiction is raised during the arbitral procedure. Where the delay in raising the plea is due to a cause which the arbitrator deems justified, the arbitrator shall declare the plea admissible.
2. Pleas to the jurisdiction referred to in paragraph 1 above that have not been raised during the time-limits there referred to, may not be entered either during a subsequent stage of the arbitral proceedings where they are pleas left to the sole discretion of the parties under the law applicable by the arbitrator, or during subsequent court proceedings concerning the substance or the enforcement of the award where such pleas are left to the discretion of the parties under the rule of conflict of the court seized of the substance of the dispute or the enforcement of the award. The arbitrator's decision on the delay in raising the plea, will, however, be subject to judicial control.
3. Subject to any subsequent judicial control provided for under the lex fori , the arbitrator whose jurisdiction is called in question shall be entitled to proceed with the arbitration, to rule on his own jurisdiction and to decide upon the existence or the validity of the arbitration agreement or of the contract of which the agreement forms part.
1. The party which intends to raise a plea as to the arbitrator's jurisdiction based on the fact that the arbitration agreement was either non-existent or null and void or had lapsed shall do so during the arbitration proceedings, not later than the delivery of its statement of claim or defence relating to the substance of the dispute; those based on the fact that an arbitrator has exceeded his terms of reference shall be raised during the arbitration proceedings as soon as the question on which the arbitrator is alleged to have no jurisdiction is raised during the arbitral procedure. Where the delay in raising the plea is due to a cause which the arbitrator deems justified, the arbitrator shall declare the plea admissible.
2. Pleas to the jurisdiction referred to in paragraph 1 above that have not been raised during the time-limits there referred to, may not be entered either during a subsequent stage of the arbitral proceedings where they are pleas left to the sole discretion of the parties under the law applicable by the arbitrator, or during subsequent court proceedings concerning the substance or the enforcement of the award where such pleas are left to the discretion of the parties under the rule of conflict of the court seized of the substance of the dispute or the enforcement of the award. The arbitrator's decision on the delay in raising the plea, will, however, be subject to judicial control.
3. Subject to any subsequent judicial control provided for under the lex fori , the arbitrator whose jurisdiction is called in question shall be entitled to proceed with the arbitration, to rule on his own jurisdiction and to decide upon the existence or the validity of the arbitration agreement or of the contract of which the agreement forms part.
第五条 〔关于仲裁管辖权的抗辩〕
(一)当事人根据不存在仲裁协议、或仲裁协议无效、或已失效等事实,对仲裁员的管辖权提出抗辩时,此项抗辩应在发出仲裁请求书或提出争议实体答辩之前的期间提出;基于仲裁员超越其职权范围的事实提出抗辩,应在仲裁员被认定无管辖权的问题在仲裁程序中发生后,立即提出之。抗辩延迟提出时,仲裁员如认为其延迟有正当理由应即宣布准许其抗辩。
(二)上述第一款对管辖权的抗辩,如未在上述期限内提出,随后既不能在仲裁的下一阶段提出(在此阶段,这种抗辩,依仲裁员所适用的法律,只能由当事人自行决定),也不能在以后对裁决的实质或执行进行审理或在诉讼中提出(在法院程序中,这种抗辩只能由当事人依审理裁决的实质或执行的法院的冲突规则决定)。仲裁员对不按时提出抗辩的裁决,须受司法监督。
(三)管辖权有问题的仲裁员,有权继续进行仲裁,并对自己的管辖权作出决定,并能决定仲裁协议或者包括此协议在内的合同是否存在或有无效力,但应受仲裁地法所规定的以后的司法监督。
(一)当事人根据不存在仲裁协议、或仲裁协议无效、或已失效等事实,对仲裁员的管辖权提出抗辩时,此项抗辩应在发出仲裁请求书或提出争议实体答辩之前的期间提出;基于仲裁员超越其职权范围的事实提出抗辩,应在仲裁员被认定无管辖权的问题在仲裁程序中发生后,立即提出之。抗辩延迟提出时,仲裁员如认为其延迟有正当理由应即宣布准许其抗辩。
(二)上述第一款对管辖权的抗辩,如未在上述期限内提出,随后既不能在仲裁的下一阶段提出(在此阶段,这种抗辩,依仲裁员所适用的法律,只能由当事人自行决定),也不能在以后对裁决的实质或执行进行审理或在诉讼中提出(在法院程序中,这种抗辩只能由当事人依审理裁决的实质或执行的法院的冲突规则决定)。仲裁员对不按时提出抗辩的裁决,须受司法监督。
(三)管辖权有问题的仲裁员,有权继续进行仲裁,并对自己的管辖权作出决定,并能决定仲裁协议或者包括此协议在内的合同是否存在或有无效力,但应受仲裁地法所规定的以后的司法监督。
Article VI Jurisdiction of Courts of Law
1. A plea as to the jurisdiction of the court made before the court seized by either party to the arbitration agreement, on the basis of the fact that an arbitration agreement 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 upon whether the law of the court seized regards this plea as one of procedure or of substance.
2. In taking a decision concerning the existence or the validity of an arbitration agreement, courts of Contracting States shall examine the validity of such agreement with reference to the capacity of the parties, under the law applicable to them, and with reference to other questions.
(a) 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 award is to be made;
(c) failing any indication as to the law to which the parties have subjected the agreement, and where at the time when the question is raised in court the country in which the award is to be made cannot be determined, under the competent law by virtue 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 thedispute is not capable of settlement by arbitration.
3. Where either party to an arbitration agreement has initiated arbitration proceedings before any resort is had to a court, courts of Contracting States subsequently asked to deal with the same subject-matter between the same parties or with the question whether the arbitration agreement was non-existent or null and void or had lapsed, shall stay their ruling on the arbitrator's jurisdiction until the arbitral award is made, unless they have good and substantial reasons to the contrary.
4. A request for interim measures or measures of conservation addressed to a judicial authority shall not be deemed incompatible with the arbitration agreement, or regarded as a submission of the substance of the case to the court.
1. A plea as to the jurisdiction of the court made before the court seized by either party to the arbitration agreement, on the basis of the fact that an arbitration agreement 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 upon whether the law of the court seized regards this plea as one of procedure or of substance.
2. In taking a decision concerning the existence or the validity of an arbitration agreement, courts of Contracting States shall examine the validity of such agreement with reference to the capacity of the parties, under the law applicable to them, and with reference to other questions.
(a) 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 award is to be made;
(c) failing any indication as to the law to which the parties have subjected the agreement, and where at the time when the question is raised in court the country in which the award is to be made cannot be determined, under the competent law by virtue 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 thedispute is not capable of settlement by arbitration.
3. Where either party to an arbitration agreement has initiated arbitration proceedings before any resort is had to a court, courts of Contracting States subsequently asked to deal with the same subject-matter between the same parties or with the question whether the arbitration agreement was non-existent or null and void or had lapsed, shall stay their ruling on the arbitrator's jurisdiction until the arbitral award is made, unless they have good and substantial reasons to the contrary.
4. A request for interim measures or measures of conservation addressed to a judicial authority shall not be deemed incompatible with the arbitration agreement, or regarded as a submission of the substance of the case to the court.
第六条 〔法院管辖权〕
(一)依据存在仲裁协议这一事实,仲裁协议的一方当事人向法院就该法院无管辖权提出的抗辩,应该根据该法院的法律认为该抗辩是程序上的还是实质性的,而后决定,该抗辩必须在被诉人提出他的实质性答辩之前提出(否则应受关于禁反言的处罚)
(二)缔约国的法院在作出关于仲裁协议是否存在或有效的决定时,应从各方面审查这一协议的有效性。关于双方当事人的能力,根据适用于他们的法律,至于其他问题,则应:
1、根据当事人的仲裁协议所依据的法律;
2、如未就此点确定时,根据裁决地的国家的法律;
3、如无当事人的仲裁协议所依据的法律,而在向法院提出问题时,还不能确定将在哪一国作出裁决,就根据受理争议的法院的冲突规则所决定的法律。
如果按照法院地国家的法律,该争议是不能通过仲裁解决的,法院也可拒绝承认仲裁协议。
(三)如仲裁协议一方当事人在向法院起诉之前,已经提请仲裁,缔约国的法院以后在审理该当事人间的同一事项,或审理该仲裁协议是否存在或无效、或已失效等问题时,在仲裁裁决作出之前,应停止对仲裁员的管辖权作出裁决,有正当而真实的相反理由者除外。
(四)向司法当局请求临时处分或保全处分,不应看作同仲裁协议不相一致,也不应看作是就案件实质问题向法院提出申诉。
(一)依据存在仲裁协议这一事实,仲裁协议的一方当事人向法院就该法院无管辖权提出的抗辩,应该根据该法院的法律认为该抗辩是程序上的还是实质性的,而后决定,该抗辩必须在被诉人提出他的实质性答辩之前提出(否则应受关于禁反言的处罚)
(二)缔约国的法院在作出关于仲裁协议是否存在或有效的决定时,应从各方面审查这一协议的有效性。关于双方当事人的能力,根据适用于他们的法律,至于其他问题,则应:
1、根据当事人的仲裁协议所依据的法律;
2、如未就此点确定时,根据裁决地的国家的法律;
3、如无当事人的仲裁协议所依据的法律,而在向法院提出问题时,还不能确定将在哪一国作出裁决,就根据受理争议的法院的冲突规则所决定的法律。
如果按照法院地国家的法律,该争议是不能通过仲裁解决的,法院也可拒绝承认仲裁协议。
(三)如仲裁协议一方当事人在向法院起诉之前,已经提请仲裁,缔约国的法院以后在审理该当事人间的同一事项,或审理该仲裁协议是否存在或无效、或已失效等问题时,在仲裁裁决作出之前,应停止对仲裁员的管辖权作出裁决,有正当而真实的相反理由者除外。
(四)向司法当局请求临时处分或保全处分,不应看作同仲裁协议不相一致,也不应看作是就案件实质问题向法院提出申诉。
Article VII Applicable Law
1. The parties shall be free to determine, by agreement, the law to be applied by the arbitrators to the substance of the dispute. Failing any indication by the parties as to the applicable law, the arbitrators shall apply the proper law under the rule of conflict that the arbitrators deem applicable. In both cases the arbitrators shall take account of the terms of the contract and trade usages.
2. The arbitrators shall act as amiables compositeurs if the parties so decide and if they may do so under the law applicable to the arbitration.
1. The parties shall be free to determine, by agreement, the law to be applied by the arbitrators to the substance of the dispute. Failing any indication by the parties as to the applicable law, the arbitrators shall apply the proper law under the rule of conflict that the arbitrators deem applicable. In both cases the arbitrators shall take account of the terms of the contract and trade usages.
2. The arbitrators shall act as amiables compositeurs if the parties so decide and if they may do so under the law applicable to the arbitration.
Article VIII Reasons for the Award
The parties shall be presumed to have agreed that reasons shall be given for the award unless they
(a) either expressly declare that reasons shall not be given; or
(b) have assented to an arbitral procedure under which it is not customary to give reasons for awards, provided that in this case neither party requests before the end of the hearing, or if there has not been a hearing then before the making of the award, that reasons be given.
The parties shall be presumed to have agreed that reasons shall be given for the award unless they
(a) either expressly declare that reasons shall not be given; or
(b) have assented to an arbitral procedure under which it is not customary to give reasons for awards, provided that in this case neither party requests before the end of the hearing, or if there has not been a hearing then before the making of the award, that reasons be given.
Article IX Setting Aside of the Arbitral Award
1. The setting aside in a Contracting State of an arbitral award covered by this Convention shall only constitute a ground for the refusal of recognition or enforcement in another Contracting State where such setting aside took place in a State in which, or under 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 them, under some incapacityor 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 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 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 need not be set aside;
(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, with the provisions of Article IV of this Convention.
2. In relations between Contracting States that are also parties to the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 10th June 1958, paragraph 1 of this Article limits the application of Article V (1) (e) of the New York Convention solely to the cases of setting aside set out under paragraph 1 above.
1. The setting aside in a Contracting State of an arbitral award covered by this Convention shall only constitute a ground for the refusal of recognition or enforcement in another Contracting State where such setting aside took place in a State in which, or under 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 them, under some incapacityor 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 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 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 need not be set aside;
(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, with the provisions of Article IV of this Convention.
2. In relations between Contracting States that are also parties to the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 10th June 1958, paragraph 1 of this Article limits the application of Article V (1) (e) of the New York Convention solely to the cases of setting aside set out under paragraph 1 above.
第九条 〔仲裁裁决的撤销〕
(一)一缔约国撤销按本公约作出的仲裁裁决,只有在下列情况下,才构成另一缔约国拒绝承认和执行裁决的理由。即裁决是由在该国或按该国法律作出裁决的国家撤销的,并且具有下述理由之一:
1、仲裁协议的当事人,按对其适用的法律规定,是无能力人;或者按当事人所依据的法律,协议是无效的,如协议中未规定此项法律,依裁决地国家的法律规定,这项协议无效;
2、请求撤销裁决的当事人,没有得到关于仲裁员任命或仲裁程序的正式通知,或者有其他理由未能出席仲裁;
3、裁决涉及到仲裁申请中没有提及的或不属于仲裁申请项目的一种争议,或者裁决中包含了超出仲裁申请范围的裁决事项;如果仲裁申请范围内的裁决事项可以同仲裁申请范围外的裁决事项分开,则申请范围内的裁决事项可以不予撤销;
4、仲裁机构的组成和仲裁程序不是按照当事人的协议办理的,或者如无此项协议,不是按照本公约第四条的规定办理的。
(二)缔约国同时是一九五八年六月十日关于承认和执行外国仲裁裁决的纽约公约的参加国时,在缔约国的关系中,本条第一款对纽约公约第五条第一款第五项,仅在按本条第一款规定撤销裁决的情况下,予以限制。
(一)一缔约国撤销按本公约作出的仲裁裁决,只有在下列情况下,才构成另一缔约国拒绝承认和执行裁决的理由。即裁决是由在该国或按该国法律作出裁决的国家撤销的,并且具有下述理由之一:
1、仲裁协议的当事人,按对其适用的法律规定,是无能力人;或者按当事人所依据的法律,协议是无效的,如协议中未规定此项法律,依裁决地国家的法律规定,这项协议无效;
2、请求撤销裁决的当事人,没有得到关于仲裁员任命或仲裁程序的正式通知,或者有其他理由未能出席仲裁;
3、裁决涉及到仲裁申请中没有提及的或不属于仲裁申请项目的一种争议,或者裁决中包含了超出仲裁申请范围的裁决事项;如果仲裁申请范围内的裁决事项可以同仲裁申请范围外的裁决事项分开,则申请范围内的裁决事项可以不予撤销;
4、仲裁机构的组成和仲裁程序不是按照当事人的协议办理的,或者如无此项协议,不是按照本公约第四条的规定办理的。
(二)缔约国同时是一九五八年六月十日关于承认和执行外国仲裁裁决的纽约公约的参加国时,在缔约国的关系中,本条第一款对纽约公约第五条第一款第五项,仅在按本条第一款规定撤销裁决的情况下,予以限制。
Article X Final Clauses
1. This Convention is open for signature or accession by countries members of the Economic Commission for Europe and countries admitted to the Commission in a consultative capacity under paragraph 8 of the Commission's terms of reference.
2. Such countries as may participate in certain activities of the Economic Commission for Europe in accordance with paragraph 11 of the Commission's terms of reference may become Contracting Parties to thisConvention by acceding thereto after its entry into force.
3. The Convention shall be open for signature until 31 December 1961 inclusive. Thereafter, it shall be open for accession.
4. This Convention shall be ratified.
5. Ratification or accession shall be effected by the deposit of an instrument with the Secretary-General of the United Nations.
6. When signing, ratifying or acceding to this Convention, the Contracting Parties shall communicate to the Secretary-General of the United Nations a list of the Chambers of Commerce or other institutions in their country who will exercise the functions conferred by virtue of Article IV of this Convention on Presidents of the competent Chambers of Commerce.
7. 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 five of the countries referred to in paragraph 1 above have deposited their instruments of ratification or accession. For any country ratifying or acceding to it later this Convention shall enter into force on the ninetieth day after the said country has deposited its instrument of ratification or accession.
9. Any Contracting Party may denounce this Convention by so notifying the Secretary-General of the United Nations. Denunciation shall take effect twelve months after the date of receipt by the Secretary-General of the notification of denunciation.
10. If, after the entry into force of this Convention, the number of Contracting Parties is reduced, as a result of denunciations, to less than five, the Convention shall cease to be in force from the date on which the last of such denunciations takes effect.
11. The Secretary-General of the United Nations shall notify the countries referred to in paragraph 1, andthe countries which have become Contracting Parties under paragraph 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 Convention in accordance with paragraph 8 above;
(e) denunciations under paragraph 9 above;
(f) the termination of this Convention in accordance with paragraph 10 above.
12. After 31 December 1961, the original of this Convention shall be deposited with 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.
1. This Convention is open for signature or accession by countries members of the Economic Commission for Europe and countries admitted to the Commission in a consultative capacity under paragraph 8 of the Commission's terms of reference.
2. Such countries as may participate in certain activities of the Economic Commission for Europe in accordance with paragraph 11 of the Commission's terms of reference may become Contracting Parties to thisConvention by acceding thereto after its entry into force.
3. The Convention shall be open for signature until 31 December 1961 inclusive. Thereafter, it shall be open for accession.
4. This Convention shall be ratified.
5. Ratification or accession shall be effected by the deposit of an instrument with the Secretary-General of the United Nations.
6. When signing, ratifying or acceding to this Convention, the Contracting Parties shall communicate to the Secretary-General of the United Nations a list of the Chambers of Commerce or other institutions in their country who will exercise the functions conferred by virtue of Article IV of this Convention on Presidents of the competent Chambers of Commerce.
7. 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 five of the countries referred to in paragraph 1 above have deposited their instruments of ratification or accession. For any country ratifying or acceding to it later this Convention shall enter into force on the ninetieth day after the said country has deposited its instrument of ratification or accession.
9. Any Contracting Party may denounce this Convention by so notifying the Secretary-General of the United Nations. Denunciation shall take effect twelve months after the date of receipt by the Secretary-General of the notification of denunciation.
10. If, after the entry into force of this Convention, the number of Contracting Parties is reduced, as a result of denunciations, to less than five, the Convention shall cease to be in force from the date on which the last of such denunciations takes effect.
11. The Secretary-General of the United Nations shall notify the countries referred to in paragraph 1, andthe countries which have become Contracting Parties under paragraph 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 Convention in accordance with paragraph 8 above;
(e) denunciations under paragraph 9 above;
(f) the termination of this Convention in accordance with paragraph 10 above.
12. After 31 December 1961, the original of this Convention shall be deposited with 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.
第十条 〔最后条款〕
（一）凡欧洲经济委员会成员国家，均可签署或加入本公约，依该委员会规章第八条被承认为该委员会咨询机构的国家也可签署或加入本公约。
（二）凡按欧洲经济委员会规章第十一条规定，可以参加该委员会一定活动的国家，在本公约生效后，也可以加入本公约，成为本公约的缔约国。
（三）本公约在一九六一年十二月三十一日以前，公开接受国家签署。在这以后，公开接受加入。
（四）本公约应经批准。
（五）批准或加入，将在向联合国秘书长交存文件后生效。
（六）缔约国在签署、批准或加入本公约时，应向联合国秘书长报送一份关于他们国家内商会或其他能履行本公约第四条所规定的商会会长职责的其他机构的名单。
（七）本公约的规定不影响本公约缔约国之间缔结的其他多边或双边协定的效力。
（八）本公约在有本条第一款所述五个国家交存其批准或加入的文件后的第九十天起开始生效。若有的国家嗣后批准或加入，本公约将自该国交存其批准或加入的文件后的第九十天起，开始对该国生效。
（九）任一缔约国可以通知联合国秘书长，退出本公约。退出自秘书长收到退出通知之日起一年后生效。
（十）本公约如在生效之后，由于有国家退出，缔约国减少到五国以下时，将从最后退出公约的国家的退出生效之日起，本公约停止生效。
（十一）联合国秘书长应将下列事项通知本条第一款所述国家，以及按本条第二款规定成为缔约国的国家:
1、按本公约第二条第二款规定提出的声明;
2、按本条第一款第二款规定提出的批准或加入;
3、按本条第六款执行时报送来的名单;
4、按本条第八款规定本公约开始生效的日期;
5、按本条第九款规定的退出;
6、按本条第十款规定本公约的停止生效。
（十二）一九六一年十二月三十一日以后，本公约原本将交存于联合国秘书长处，并由联合国秘书长把证明无误的副本，分送给本条第一款第二款的各个国家。
（一）凡欧洲经济委员会成员国家，均可签署或加入本公约，依该委员会规章第八条被承认为该委员会咨询机构的国家也可签署或加入本公约。
（二）凡按欧洲经济委员会规章第十一条规定，可以参加该委员会一定活动的国家，在本公约生效后，也可以加入本公约，成为本公约的缔约国。
（三）本公约在一九六一年十二月三十一日以前，公开接受国家签署。在这以后，公开接受加入。
（四）本公约应经批准。
（五）批准或加入，将在向联合国秘书长交存文件后生效。
（六）缔约国在签署、批准或加入本公约时，应向联合国秘书长报送一份关于他们国家内商会或其他能履行本公约第四条所规定的商会会长职责的其他机构的名单。
（七）本公约的规定不影响本公约缔约国之间缔结的其他多边或双边协定的效力。
（八）本公约在有本条第一款所述五个国家交存其批准或加入的文件后的第九十天起开始生效。若有的国家嗣后批准或加入，本公约将自该国交存其批准或加入的文件后的第九十天起，开始对该国生效。
（九）任一缔约国可以通知联合国秘书长，退出本公约。退出自秘书长收到退出通知之日起一年后生效。
（十）本公约如在生效之后，由于有国家退出，缔约国减少到五国以下时，将从最后退出公约的国家的退出生效之日起，本公约停止生效。
（十一）联合国秘书长应将下列事项通知本条第一款所述国家，以及按本条第二款规定成为缔约国的国家:
1、按本公约第二条第二款规定提出的声明;
2、按本条第一款第二款规定提出的批准或加入;
3、按本条第六款执行时报送来的名单;
4、按本条第八款规定本公约开始生效的日期;
5、按本条第九款规定的退出;
6、按本条第十款规定本公约的停止生效。
（十二）一九六一年十二月三十一日以后，本公约原本将交存于联合国秘书长处，并由联合国秘书长把证明无误的副本，分送给本条第一款第二款的各个国家。
