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The “New York Convention” Checklist

© Albert Badia

This is a 16-question checklist which may be used prior to filing an enforcement application under the
Convention on the Recognition & Enforcement of Foreign Arbitral Awards of 1958 (“the New York
Convention”). If any of the questions below can be answered in the negative, then enforcement of the
arbitration award could eventually be refused.
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Scope (art. I.3)

1. Is it an award rendered in another New York Convention contracting State?


2. Does it relate to a commercial arbitration under the lex arbitri?
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The arbitration agreement (art. II.2 and 3, V.1.a)

3. Is the arbitration agreement in writing?


4. Is it effective, operative and capable of being performed?
5. Were the parties under some legal incapacity under their national law at the time the agreement was
concluded?
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The arbitration process (art. V.1.b, d)

6. Was the appointment of the arbitrator(s) properly communicated to each party?


7. Were the parties given reasonable opportunity to present their case?
8. Did the formation of the tribunal follow the terms of the arbitration agreement?
9. Was the arbitration process adjusted to the lex arbitri?
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The award (art. V.1.c and e, VI)

10. Does the award deal with a dispute that falls within the submission terms?
11. Is the award final and binding in the country where it was originally rendered?
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The application for enforcement (art. IV)

12. Is it supported with an authenticated original award or a duly certified copy?


13. Does the application include the original arbitration agreement or a duly certified copy thereof?
14. Is there an official or sworn translation of the award?
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The domestic threshold for enforcement (art. V.2.a, b)

15. Do the laws of the country where enforcement of the award is sought allow for the subject matter of the
dispute to be settled by arbitration?
16. Is the recognition or the enforcement of the award contrary to the public policy of the country where
recognition or enforcement of the award is sought?
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AACNI
Albert Badia
albertbadia@aacni.com