Decree No. 4311, 23 July 2002

Original Language Title: Decreto nº 4.311, de 23 de Julho de 2002

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DECREE NO 4,311, DE July 23, 2002

Promulga the Convention on the Recognition and Enforcement of Foreign Arbitration Sentences.

THE PRESIDENT OF THE REPUBLIC, in the use of the attribution conferring you the art. 84, inciso VIII, of the Constitution,

Considering that the National Congress has approved the text of the Convention on the Recognition and Enforcement of Foreign Arbitration Sentences, by means of Legislative Decree no 52 of April 25, 2002 ;

Considering that the Convention entered into international vigor on June 7, 1959, pursuant to its Article 12 ;

D E C R E T A:

Art. 1º The Convention on the Recognition and Enforcement of Foreign Arbitration Sentences, apse by copy to the present Decree, shall be executed and fulfilled as entirely as it contains.

Art. 2º Are subject to the approval of the National Congress any acts that may result in revision of the said Convention, as well as any further adjustments that, in the terms of art. 49, inciso I, of the Constitution, carries charges or engraved commitments to the national heritage.

Art. 3º This Decree goes into effect on the date of its publication.

Brasilia, July 23, 2002 ; 181º of Independence and 114º of the Republic.

FERNANDO HENRIQUE CARDOSO

Celso Lafer

CONVENTION ON THE RECOGNITION AND EXECUTION OF FOREIGN ARBITRATION SENTENCES MADE IN NEW YORK, IN June 10, 1958

Article I

1A This Convention shall apply to the recognition and execution of foreign arbitration sentences handed down in the territory of a State other than the State in which the recognition and execution of such sentences, arising from differences between people, whether they be physical or The Convention shall also apply to arbitration sentences not regarded as domestic sentences in the State where its recognition and implementation is tending.

2.Entender-shall be by "arbitrary sentences" not only the sentences handed down by arbiters appointed for each case but also those issued by permanent arbitration bodies to which the parties submit.

3.Quando of the signature, ratification or accession to this Convention, or of the notification of extension under Article X, any State may, on the basis of reciprocity, declare that it shall apply the Convention to the recognition and enforcement of of sentences handed down solely in the territory of another signatory State. You may also state that you will apply the Convention only to divergences arising from legal relationships, whether they are contractual or not, which are considered to be commercial under the national law of the State making such a statement.

Article II

1.Cada signatory state should recognize the written agreement by which the parties undertake to submit to arbitration all disagreements that have arisen or may arise from each other with regard to a relationship legal defined, whether contractual or not, with respect to a passable matter of solution upon arbitration.

2.Entender-shall be by "written agreement" an arbitration clause entered into a contract or arbitration agreement, signed by the parties or contained in exchange of letters or telegrams.

3.O court of a signatory State, when possession of action on matter with respect to which the parties have established agreement pursuant to this Article, at the request of one of them, shall forward the parties to the arbitration, unless constate that such an agreement is void and without effect, inoperative or inexequently.

Article III

Each signatory State shall recognize the sentences as mandatory and shall implement them in accordance with the rules of procedure of the territory in which the sentence is invoked, in accordance with the conditions laid down in the articles which are follow. For the purposes of recognition or execution of the arbitration sentences to which this Convention applies, no substantially more onerous conditions or fees or charges higher than those imposed for the recognition or the recognition shall be imposed. execution of household arbitration sentences.

Article IV

1.A to obtain the recognition and execution mentioned in the preceding article, the party requesting recognition and execution will provide, when the request:

a) the original sentence duly authenticated or a copy of the same duly certified ;

(b) the original agreement referred to in Article II or a copy of the same duly authenticated.

2.Caso such a sentence or such an agreement is not made in an official language of the country in which the sentence is invoked, the party requesting the recognition and execution of the sentence will produce a translation of these documents to such a language. The translation will be certified by an official or sworn translator or by a diplomatic or consular officer.

Article V

1.O recognition and execution of a sentence may be dismissed, upon application by the party against which it is invoked, solely if this party provides, to the competent authority where the recognition and execution is intended, proof of that:

(a) the parties to the agreement referred to in Article II were, in accordance with the law applicable to them, in some way incapacitated, or that such an agreement is not valid under the law to which the parties have submitted it, or, in the absence of indication on the matter, in accordance with the law of the country where the sentence was handed down ; or

b) the party against which the sentence is invoked has not received appropriate notification about the referee's designation or the arbitration proceedings, or it was impossible, for other reasons, to submit their arguments ; or

c) the sentence refers to a divergence that is not foreseen or does not fall under the terms of the submission clause to arbitration, or it contains decisions about matters transcending the scope of the submission clause, provided whereas, if decisions on the susceptible matters of arbitration can be separated from those non-susceptible, the part of the sentence containing decisions on susceptible matter of arbitration can be recognized and executed ; or

d) the composition of the arbitral authority or the arbitration procedure did not comply with the agreed by the parties, or, in the absence of such an agreement, did not comply with the law of the country in which the arbitration took place ; or

and) the sentence has not yet become binding on the parties or has been annulled or suspended by competent authority of the country in which, or as per the law of which, the sentence has been handed down.

2.O recognition and the execution of an arbitral sentence may also be refused if the competent authority of the country in which recognition is intended and the execution finds that:

a) under the law of that country, the object of the divergence is not passable in solution by arbitration ; or

b) the acknowledgement or execution of the sentence would be contrary to that country's public order.

Article VI

Case for cancellation or suspension of sentence has been requested from the competent authority mentioned in Article V, 1. (e), the authority before which the sentence is being invoked may, if it departs from it, defer the decision as to the execution of the sentence and may, likewise, at the request of the party claiming the execution of the sentence, order that the other party be provide appropriate guarantees.

Article VII

1.As provisions of this Convention shall not affect the validity of multilateral or bilateral agreements on the recognition and enforcement of arbitration sentences concluded by the signatory States nor shall they deprive any Party of interested in any right that she may have to be worth an arbitral sentence in the manner and to the extent permitted by the law or by the treaties of the country in which the sentence is invoked.

2.O Geneva Protocol on Arbitration clauses of 1923 and the Geneva Convention on Execution of Foreign Arbitration Sentences of 1927 will cease to have effect between the signatory states when, and to the extent to which, they become obliged by this Convention.

Article VIII

1.A this Convention shall be open, until December 31, 1958, to the signature of any Member of the United Nations and also of any other State which is or henceforth become a member of any specialized body of the Nations UN, or that is or may henceforth become part of the Statute of the International Court of Justice, or any other State invited by the United Nations General Assembly.

2.A to this Convention shall be ratified and the instrument of ratification shall be deposited with the Secretary-General of the United Nations.

Article IX

1.A this Convention shall be open for accession to all States mentioned in Article VIII.

2.A accession shall be effected upon the deposit of instrument of accession with the Secretary-General of the United Nations.

Article X

1. Any State may, upon signature, ratification or accession, declare that this Convention shall extend to all or any of the territories by whose international relations it is responsible for. Such a declaration will have effect when the Convention enters into force for such a state.

2. At any time from that date, any extension shall be made upon notification addressed to the Secretary-General of the United Nations and shall take effect from the ninth day after receipt by the Secretary-General of the United Nations of such notification, or as of the date of entry into force of the Convention for such a State, considered always the last date.

3. With respect to those territories to which this Convention is not extended when the signature, ratification or accession, each State concerned will examine the possibility of taking the necessary measures in order to extend the application of the present Convention to such territories, respecting the necessity, when so required for constitutional reasons, of 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 the articles of this Convention which fall within the legislative jurisdiction of the federal authority, the obligations of the Federal Government shall be the same as those of the signatory States which are not federal states ;

(b) with respect to those articles of this Convention which fall within the legislative jurisdiction of the states and constituent provinces which, by virtue of the constitutional system of confederation, are not required to adopt measures legislative, the federal government, as soon as possible, will take such articles, with favourable recommendation, to the knowledge of the competent authorities of the states and constituent provinces ;

c) a federal State Party to this Convention shall provide, on the request of any other signatory State which has been transmitted to it by means of the Secretary-General of the United Nations, a declaration of the law and practice in confederation and in its constituent units with respect to any particular provision of this Convention, indicating the extent to which it has become effective that provision by legislative action or other.

Article XII

1.A this Convention shall enter into force on the ninth day after the date of deposit of the third instrument of ratification or accession.

2.Para 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 ninth day after the deposit by such State of its instrument of ratification or membership

Article XIII

1.Qualquer signatory State may denounce this Convention upon written notification addressed to the Secretary-General of the United Nations. The complaint shall take effect one year after the date of receipt of the notification by the Secretary-General.

2.Qualquer State which has made a declaration or notification under Article X may, at any time from that date, upon notification to the Secretary-General of the United Nations, declare that this Convention shall cease to apply for the territory in question one year after the date of receipt of the notification by the Secretary-General.

3.A this Convention shall remain applicable to arbitration sentences with respect to which recognition or enforcement proceedings have been instituted before the denunciation has taken effect.

Article XIV

A signatory State shall not be able to be worth the present Convention against other signatory States, unless it is obliged to apply the Convention even.

Article XV

The Secretary-General of the United Nations shall notify the States provided for in Article VIII about:

a) signatures and ratifications in accordance with Article VIII ;

b) accessions in accordance with Article IX ;

c) declarations and notifications pursuant to Articles I, X and XI ;

(d) date on which this Convention shall enter into force in accordance with Article XII ;

e) complaints and notifications in accordance with Article XIII.

Article XVI

1.A-This Convention, of which the texts in Chinese, English, French, Russian and Spanish are equally authentic, shall be deposited in the archives of the United Nations.

2.O Secretary-General of the United Nations shall transmit an authenticated copy of this Convention to States contemplated in Article VIII.