The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards ("the New York Convention") has provided a unique legal framework for the recognition and enforcement of foreign arbitral awards and arbitration agreements. Having been adopted by 159 States at the time of this thesis, the New York Convention represents the most significant convention in the field. Having been in force almost 60 years, it is time to assess its meaning for international arbitration. This thesis first examines the contribution of the New York Convention to the development of arbitration to date and second explores whether it has a contemporary role to play. Focusing on both its contribution through its original objective and its effect on the development of a favourable attitude towards international arbitration by courts and legislators, the study demonstrates that the New York Convention has had an impact beyond that which its drafters intended. Regarding its contemporary relevance, the thesis argues that persistent issues in the enforcement of arbitral awards proves that the New York Convention has no active relevance for contributing to facilitate enforcement of arbitral awards.

University of Technology, Sydney. Faculty of Law. / The paper examines the evolution of the recognition and enforcement of "foreign" arbitral awards prior to the introduction of the various international arbitration conventions by referring to court decisions of the relevant countries, primarily the United States and the United Kingdom. The scope and importance of the New York Convention will be canvassed, with specific reference to cases. The Dissertation traces the evolution of judicial and legislative attitudes towards arbitration (in particular, the issue of arbitrability), from the original position of antipathy towards arbitral processes, to the active promotion of arbitration and a "hands-off" approach to its processes by legislators as well as courts. The introduction of the arbitral process to developing countries will be discussed in the context of some recent controversial arbitrations in Indonesia and Pakistan. Public policy as the criterion for the enforcement of awards by national courts will be discussed and relevant authorities referred to. The reasoning adopted by courts in this area will be examined and discussed. The paradigm shift in the enforcement of awards and the leeway granted within the parameters of the arbitral decision making process will be highlighted by two case studies. Both demonstrate clearly the current negation of public policy considerations. The first is a decision of the English Court of Appeal which was mirrored by a subsequent arbitration awardin 'which the discarding of public policy considerations was particularly remarkable as constitutional issues were involved, which normally would have given rise to the expectation of deliberations as to the notions of public policy. NOTE CONCERNING "UNITED KINGDOM" AND "ENGLISH" LAW The title of the Dissertation inter alia refers to the " ... laws of ... the United Kingdom." Within the text, there are references to both the "United Kingdom" and "England." The constitutional and legislative position in the United Kingdom is perhaps more complex than in other jurisdictions and a brief outline is necessary. United Kingdom Parliament Parliament is called the "Parliament of the United Kingdom of Great Britain and Northern Ireland." (Great Britain is comprised of England, Scotland and Wales). The United Kingdom Parliament comprises the monarch, the House of Lords and the House of Commons. Until relatively recently, Parliament was regarded as the supreme law-making body within the United Kingdom; however, European Community law is now paramount within the United Kingdom's constitutional framework. The legislation of the United Kingdom Parliament is presumed to apply to the whole of the United Kingdom, although there can be an express or implied exclusion of a part of the United Kingdom from the operation of a particular Act. Legal systems England and Wales have the one legal system. As from the Sixteenth Century, "English law" has prevailed in Wales. Scotland has a distinct legal system and its own courts, with, in civil matters, rights of appeal to the Appellate Committee of the House of Lords. Northern Island also has its own courts, with rights of appeal to the House of Lords in both civil and criminal matters. Devolution The United Kingdom Parliament has legislated for the devolution of power to regional assemblies - to the Scottish Parliament, the Northern Island Assembly and the National Assembly for Wales. The Scottish Parliament has the power to pass primary legislation, subject to certain subject matters being reserved by the United Kingdom Parliament. The Northern Ireland Assembly also has power to enact primary legislation, but the Northern Ireland Assembly is also presently suspended. The National Assembly for Wales has no power to enact primary legislation - that power remains with the United Kingdom Parliament. Consequently, at present, the Scottish Parliament alone has power to pass legislation which has equal force to that of the United Kingdom Parliament. Dissertation In relation to the expressions used in the Dissertation; generally, references to legislation will be referred to as United Kingdom legislation, as Parliament is the United Kingdom Parliament. It should also be noted that it is the United Kingdom which is the contracting State to the New York Convention. References to decisions of the House of Lords and the Court of Appeal will be described as "United Kingdom" and "English" decisions respectively. As noted above, whilst each of Scotland and Northern Ireland has its own courts, there are rights (in the case of Scotland, in civil matters only). of appeal to the House of Lords. The House of Lords, consequently, hears appeals from the whole of the United Kingdom. The English Court of Appeal is the Court of Appeal for the unitary system of England and Wales. Given that "English law" was historically also the law of Wales, it is more appropriate to refer to decisions handed down by it as "English" decisions. Decisions of other Courts (such as Queen's Bench and Chancery) will also be referred to as "English" decisions.

University of Technology, Sydney. Faculty of Law. / The paper examines the evolution of the recognition and enforcement of "foreign" arbitral awards prior to the introduction of the various international arbitration conventions by referring to court decisions of the relevant countries, primarily the United States and the United Kingdom. The scope and importance of the New York Convention will be canvassed, with specific reference to cases. The Dissertation traces the evolution of judicial and legislative attitudes towards arbitration (in particular, the issue of arbitrability), from the original position of antipathy towards arbitral processes, to the active promotion of arbitration and a "hands-off" approach to its processes by legislators as well as courts. The introduction of the arbitral process to developing countries will be discussed in the context of some recent controversial arbitrations in Indonesia and Pakistan. Public policy as the criterion for the enforcement of awards by national courts will be discussed and relevant authorities referred to. The reasoning adopted by courts in this area will be examined and discussed. The paradigm shift in the enforcement of awards and the leeway granted within the parameters of the arbitral decision making process will be highlighted by two case studies. Both demonstrate clearly the current negation of public policy considerations. The first is a decision of the English Court of Appeal which was mirrored by a subsequent arbitration awardin 'which the discarding of public policy considerations was particularly remarkable as constitutional issues were involved, which normally would have given rise to the expectation of deliberations as to the notions of public policy. NOTE CONCERNING "UNITED KINGDOM" AND "ENGLISH" LAW The title of the Dissertation inter alia refers to the " ... laws of ... the United Kingdom." Within the text, there are references to both the "United Kingdom" and "England." The constitutional and legislative position in the United Kingdom is perhaps more complex than in other jurisdictions and a brief outline is necessary. United Kingdom Parliament Parliament is called the "Parliament of the United Kingdom of Great Britain and Northern Ireland." (Great Britain is comprised of England, Scotland and Wales). The United Kingdom Parliament comprises the monarch, the House of Lords and the House of Commons. Until relatively recently, Parliament was regarded as the supreme law-making body within the United Kingdom; however, European Community law is now paramount within the United Kingdom's constitutional framework. The legislation of the United Kingdom Parliament is presumed to apply to the whole of the United Kingdom, although there can be an express or implied exclusion of a part of the United Kingdom from the operation of a particular Act. Legal systems England and Wales have the one legal system. As from the Sixteenth Century, "English law" has prevailed in Wales. Scotland has a distinct legal system and its own courts, with, in civil matters, rights of appeal to the Appellate Committee of the House of Lords. Northern Island also has its own courts, with rights of appeal to the House of Lords in both civil and criminal matters. Devolution The United Kingdom Parliament has legislated for the devolution of power to regional assemblies - to the Scottish Parliament, the Northern Island Assembly and the National Assembly for Wales. The Scottish Parliament has the power to pass primary legislation, subject to certain subject matters being reserved by the United Kingdom Parliament. The Northern Ireland Assembly also has power to enact primary legislation, but the Northern Ireland Assembly is also presently suspended. The National Assembly for Wales has no power to enact primary legislation - that power remains with the United Kingdom Parliament. Consequently, at present, the Scottish Parliament alone has power to pass legislation which has equal force to that of the United Kingdom Parliament. Dissertation In relation to the expressions used in the Dissertation; generally, references to legislation will be referred to as United Kingdom legislation, as Parliament is the United Kingdom Parliament. It should also be noted that it is the United Kingdom which is the contracting State to the New York Convention. References to decisions of the House of Lords and the Court of Appeal will be described as "United Kingdom" and "English" decisions respectively. As noted above, whilst each of Scotland and Northern Ireland has its own courts, there are rights (in the case of Scotland, in civil matters only). of appeal to the House of Lords. The House of Lords, consequently, hears appeals from the whole of the United Kingdom. The English Court of Appeal is the Court of Appeal for the unitary system of England and Wales. Given that "English law" was historically also the law of Wales, it is more appropriate to refer to decisions handed down by it as "English" decisions. Decisions of other Courts (such as Queen's Bench and Chancery) will also be referred to as "English" decisions.

Yes / This chapter explores the issue of the enforcement of annulled awards under the regime of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, New York 1958 (New York Convention) through an analysis of recent decisions from the courts of the United States, England and France, to suggest the attitude courts in African States should adopt when required to enforce an annulled award. These three jurisdictions have robustly engaged with this question and their courts have proffered different reasons for the positions they take on the issue, which may be instructive to the courts in Africa. The issue is set out in 14.01; and the theoretical and practical effects of annulled awards are briefly discussed in 14.02. The approach adopted by the English courts is briefly examined in 14.03; the US courts in 14.04; and the French courts in 14.05; and a conclusion.

Yes / A party to arbitration has the right to challenge an award if the party so chooses. A challenge may seek to vacate (annul or set aside), suspend, or remit the award to the arbitrator due to an error on the face of the award or due to an injustice in its rendering. The scheme for challenging an award is a vital aspect of the arbitration process and serves as a safeguard against corruption, arbitrariness, and bias, while also providing a mechanism for balancing the arbitral process. What is more critical in the annulment scheme, however, is the courts’ attitude toward a challenge to an award.This article discussesthe policy issuesthat English courts weigh when considering whether to annul an award. Additionally, it examines the question of annulment of awards on legal grounds, using English case law to indicate the approach Nigerian courts may take when asked to annul an award on the basis that the arbitrator’s ruling on a legal point is clearly erroneous. It contends and concludes that Nigerian courts’ pragmatic attitude to annulment claims based on arbitrator’s misconduct and/or improper ordering of arbitral procedures or awards will increase the efficacy of international arbitration in Nigeria, just as it does in England.

Užsienyje priimtam arbitražo sprendimui pripažinimas Lietuvos Respublikoje yra būtina sąlyga tam, kad būtų galima priversti pralaimėjusiąją šalį jį įvykdyti tuo atveju, jeigu kitoje valstybėje priimtas sprendimas yra nevykdomas, o turtas, iš kurio gali būti išieškoma, yra Lietuvos Respublikoje. Pirmoje magistro baigiamojo darbo dalyje siekiama atskleisti arbitražo sprendimo ir užsienio arbitražo sprendimo sąvokas. Nustačius šias sąvokas, toliau analizuojama užsienio arbitražo sprendimo pripažinimo samprata, trumpai aptariamas jos atskyrimas nuo užsienio arbitražo sprendimo vykdymo sąvokos. Galiausiai aptariama specifinė teisės doktrinos diskusija, ar Niujorko konvencija gali būti taikoma tik galutiniams užsienio arbitražo sprendimams, ar ir negalutinių sprendimų rūšims, visų pirma, tarpiniams (procesiniams) sprendimams dėl laikinųjų apsaugos priemonių taikymo. Antroje darbo dalyje pirmiausia aptariami užsienio arbitražo sprendimų pripažinimą reglamentuojantys teisės šaltiniai ir jų teisinė galia Lietuvos Respublikoje, be abejonės, ypatingas dėmesys skiriamas 1958 metų Niujorko konvencijai dėl užsienio arbitražų sprendimų pripažinimo ir vykdymo. Vėliau analizuojama šiuo metu esanti užsienio arbitražų sprendimų pripažinimo procedūra Lietuvos Respublikos teismuose bei galimi tvarkos pasikeitimai, jeigu Lietuvos Respublikos Seime būtų priimtas Civilinio proceso kodekso pakeitimo ir papildymo įstatymo projektas. Paskutinėje dalyje aptariamos 2007 – 2010 metų... [toliau žr. visą tekstą] / The recognition of the foreign arbitral awards in the Republic of Lithuania is the main requirement for the enforcement of the foreign arbitral award in case the respondent fails to execute the award of the arbitral tribunal in goodwill. Firstly, the author seeks to disclose the concepts of the arbitral award and foreign arbitral award. In accordance with the before mentioned terms, the notion of the recognition foreign arbitration award is analized and distinguished from the concept of the enforcement of the foreign arbitral awards. Finally, the discussion of whether the New York Convention may be applied only to the final foreign arbitral awards is revealed. In the second part of the mater thesis the law governing the recognition of foreign arbitral awards is analized. Special attention is given to the 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards. Later analysis reflects the proceedings of the recognition of foreign arbitral awards before the courts of the Republic of Lithuania as well as possible changes, if the Lithuanian Parliament adoptes the amendments of the Code of Civil Procedure of the Republic of Lithuania. The final section deals with the recent case law of the Court of Appeal of Lithuania and the Supreme Court of Lithuania on matters of recognition and enforcement of foreign arbitral awards. At the end of the theses the final conclusions indicate significant problems of the recognition of the... [to full text]

Due to the globalization processes , international trade has increased dramatically, resulting in growing number of disputes between companies from different countries. Effective and convenient way both to prevent and solve the conflicts is international arbitration. But if failing party does not voluntarily accomplish the award, the other side must apply for a special international procedure - recognition and enforcement of the award. The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 1958 is the main international treaty to instruct the process of enforcement of arbitral awards and arbitral awards may be refused only under certain grounds laid down in the Convention. This paper is mainly focused on the award enforcement procedure in one of the biggest commercial markets of the world - China. According to the previous research, enforcement procedure in China has improved recently, however it still can not meet international standards. In this paper we examine the procedure of enforcement first, moving from the available form of arbitration and process of choosing arbitration rules to behavior of the state as a part in the process. Then we introduce the article V of United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 1958, as a most important document for practical implementation of enforcement. In order to understand current situation in China, author thinks it is necessary to make a short review of historical development of arbitral award enforcement system and legal basis relevant to the main purpose of this research. Finally, we analyze the present legal situation in China within the mechanism of recognition and enforcement of arbitral awards and show what kind of problems exist when it comes to practical realization of enforcement in China. Our analysis shows that the main problems with practical enforcement in China include: local protectionism and different understanding of the definition and purpose of Public Policy. These problems are also illustrated by practical cases, which happened between Chinese and international companies. Our conclusion shows that mentioned problems are not connected with international mechanism of arbitral awards, but with the complications of its implementation in China. Some of the problems can be solved if involving party prepares thoroughly for the process, but some of them can be solved if central and local government of China stops maintaining its policy of local protectionism.

Magistro baigiamajame darbe yra pateikiama užsienio arbitražo sprendimų pripažinimo pagrindų ir tvarkos, taip pat užsienio arbitražo sprendimų pripažinimo problematikos analizė teoriniu ir praktiniu aspektu remiantis tarptautiniais ir nacionaliniais teisės aktais bei teismų praktika. Atliktos analizės pagrindu magistro baigiamojo darbo autorius atskleidžia užsienio arbitražo sprendimų pripažinimo teisinio reglamentavimo bei teismų praktikos panašumus bei skirtumus. Visa tai leidžia daryti išvadą, jog atskirų valstybių nacionalinių įstatymų įvairovė, skirtinga užsienio teismų praktika lemia tai, kad dažnai praktikoje kyla problemų, susijusių su ne visada vienodu ir nuosekliu užsienio arbitražo sprendimų pripažinimą reguliuojančių teisės normų taikymu. Lietuvoje Niujorko konvencija buvo ratifikuota tik 1995 m. sausio 17 d. Nacionalinės teisės užsienio arbitražo sprendimų pripažinimas sureguliuotas tik 1996 m. balandžio 2 d. LR Komercinio arbitražo įstatyme. Vėliau buvo atlikti 1964 m. LR CPK pakeitimai, įtvirtinant detalesnę užsienio arbitražo sprendimų pripažinimo tvarką bei nutarčių apskundimą, o naujasis LR CPK - 2003 m. sausio 1 d. Priešingai, užsienio arbitražo sprendimų pripažinimo teisinis reglamentavimas tarptautiniu mastu buvo pradėtas 1927 m. priėmus Ženevos konvenciją. Šių teisės šaltinių naujumas atskleidžia, jog užsienio arbitražo sprendimų pripažinimas Lietuvoje yra naujas teisinis institutas, kurio analizė teisinėje literatūroje nėra gausi. Visa tai lemia... [toliau žr. visą tekstą] / The article compares and analyses the positions of foreign and Lithuanian legal acts on the recognition of foreign arbitration awards, the practice of Lithuanian and foreign courts in this area and the topic of recognition of foreign arbitral awards in theoretical and practical aspects. Guided by such investigation the author of the article raise the similarities and differences in the regulation of foreign arbitration awards throughout different countries. That leads to the conclusion that some positions or terms are interpreted in the courts or regulated in the legal acts of different countries not unilaterally or even differently in the area. Lithuania, being a very dynamic region, develops intensively its laws on arbitration. Nevertheless, in Lithuania the recognition of international arbitral awards has been started to develop only on 17th of January in 1995 by the ratification of the New York convention, which has been recognized and enforced according to the provisions of the Law on Commercial Arbitration adopted on the 2nd of April in 1996. Afterwards, there was made some changes of Civil Procedure code, and finally the new Civil Procedure code was adopted on the 1st of January in 2003. On the contrary, the process of legitimation of recognition of foreign arbitral awards internationally has been started in 1927 by adoption of Geneva protocol on arbitration. That is the main motive why the author of the article decided to investigate the practice and national laws of... [to full text]

A tese analisa o papel da sede da arbitragem no controle do laudo arbitral e como o país receptor de um laudo anulado deve reagir a um pedido de reconhecimento desse laudo anulado. O estudo passa pela: (i) discussão da necessidade de existência de algum controle, (ii) pela análise dos principais tratados internacionais e seus trabalhos preparatórios - Convenção genebrina de 1927, Convenção de Nova Iorque de 1958 e Convenção Européia de 1961 - , (iii) pelas sugestões de melhoria do sistema de controle global, (iv) pelos principais julgados envolvendo a questão e (v) pela doutrina que se biparte entre autonomista, favorável à teoria da deslocalização, i.e, que o controle não deveria ser feito na sede e somente no local da execução, a teoria territorialista defendendo o controle na sede. Posteriormente, analisa-se a questão sob a ótica brasileira, tanto se a sede for no País ou se o laudo for proferido no exterior, apresentando um quadro claro de vários tratados ratificados pelo Brasil nos âmbitos mundial, interamericano e do Mercosul. O trabalho conclui que: (i) há uma tendência de diminuição do papel da sede da arbitragem, (ii) contudo, não existe, atualmente, nenhuma forma mais harmônica e eficaz de controle que aquela exercida pela sede e (iii) que a teoria territorialista é majoritariamente aceita. Sob a ótica brasileira, se a lei de arbitragem vier a ser reformada, defende-se sua alteração à semelhança da Convenção Européia de 1961, restringindo ainda mais o papel da sede. Mas até lá, se anulado o laudo na sede, o Brasil não deve, em princípio, reconhecê-lo, por força tanto da Convenção de Nova Iorque, quanto da do Panamá ou de sua legislação interna, salvo se a sentença anulatória violar a ordem pública brasileira. / The thesis analyzes the role that the place of the arbitration plays in the control of the arbitration award. The analysis addresses: (i) discussion of the need for some type of control, (ii) analysis of the main international treaties and their preparatory work - Geneva Convention of the 1927, New York Convention of 1958 and European Convention of 1961, (iii) suggestions to improve the global control system, (iv) the main judicial awards involving the matter and (v) doctrine, split into the autonomist, which favors the principle of delocatization, i.e that the control should not be centralized on the place of arbitration and only on the place where the arbitral award will be enforced, and the doctrine based on the territorial principle, which sustains the control at the place of arbitration. The thesis then passes on to the analysis under the Brazilian approach, both if the place of arbitration is in Brazil or when the arbitration is awarded abroad, presenting a clear chart of several treaties ratified by Brazil on the global, interamerican and Mercosul levels. The work conc1udes that: (i) there is a tendency of mitigation of the role of the place of arbitration, (ii) not existing, however, currently, no form that is more harmonious and efficient than that which is played by the place of arbitration and (iii) that the territorial principle is more broadly accepted. Under the Brazilian viewpoint, if the arbitration law should be changed, its review similar to the European Convention of 1961 is supported, to further restrict the role of the venue. But until then, if the award granted at the venue is cancelled, Brazil should not, in principle, recognize it pursuant to the New York Convention, the Panama Convention or its internal law, except if the cancellation ruling violates the Brazilian legal system.

A tese analisa o papel da sede da arbitragem no controle do laudo arbitral e como o país receptor de um laudo anulado deve reagir a um pedido de reconhecimento desse laudo anulado. O estudo passa pela: (i) discussão da necessidade de existência de algum controle, (ii) pela análise dos principais tratados internacionais e seus trabalhos preparatórios - Convenção genebrina de 1927, Convenção de Nova Iorque de 1958 e Convenção Européia de 1961 - , (iii) pelas sugestões de melhoria do sistema de controle global, (iv) pelos principais julgados envolvendo a questão e (v) pela doutrina que se biparte entre autonomista, favorável à teoria da deslocalização, i.e, que o controle não deveria ser feito na sede e somente no local da execução, a teoria territorialista defendendo o controle na sede. Posteriormente, analisa-se a questão sob a ótica brasileira, tanto se a sede for no País ou se o laudo for proferido no exterior, apresentando um quadro claro de vários tratados ratificados pelo Brasil nos âmbitos mundial, interamericano e do Mercosul. O trabalho conclui que: (i) há uma tendência de diminuição do papel da sede da arbitragem, (ii) contudo, não existe, atualmente, nenhuma forma mais harmônica e eficaz de controle que aquela exercida pela sede e (iii) que a teoria territorialista é majoritariamente aceita. Sob a ótica brasileira, se a lei de arbitragem vier a ser reformada, defende-se sua alteração à semelhança da Convenção Européia de 1961, restringindo ainda mais o papel da sede. Mas até lá, se anulado o laudo na sede, o Brasil não deve, em princípio, reconhecê-lo, por força tanto da Convenção de Nova Iorque, quanto da do Panamá ou de sua legislação interna, salvo se a sentença anulatória violar a ordem pública brasileira. / The thesis analyzes the role that the place of the arbitration plays in the control of the arbitration award. The analysis addresses: (i) discussion of the need for some type of control, (ii) analysis of the main international treaties and their preparatory work - Geneva Convention of the 1927, New York Convention of 1958 and European Convention of 1961, (iii) suggestions to improve the global control system, (iv) the main judicial awards involving the matter and (v) doctrine, split into the autonomist, which favors the principle of delocatization, i.e that the control should not be centralized on the place of arbitration and only on the place where the arbitral award will be enforced, and the doctrine based on the territorial principle, which sustains the control at the place of arbitration. The thesis then passes on to the analysis under the Brazilian approach, both if the place of arbitration is in Brazil or when the arbitration is awarded abroad, presenting a clear chart of several treaties ratified by Brazil on the global, interamerican and Mercosul levels. The work conc1udes that: (i) there is a tendency of mitigation of the role of the place of arbitration, (ii) not existing, however, currently, no form that is more harmonious and efficient than that which is played by the place of arbitration and (iii) that the territorial principle is more broadly accepted. Under the Brazilian viewpoint, if the arbitration law should be changed, its review similar to the European Convention of 1961 is supported, to further restrict the role of the venue. But until then, if the award granted at the venue is cancelled, Brazil should not, in principle, recognize it pursuant to the New York Convention, the Panama Convention or its internal law, except if the cancellation ruling violates the Brazilian legal system.