This Country Answer reflects the state of the law as of 31 December 2012. Please refer to the explanations in the chapter entitled Preliminary Note.

A. The Contracting State and the New York Convention

1. Name of Contracting State (also specify jurisdiction(s), if relevant)

Russian Federation.

(The Russian Federation continues, as from 24 Dec. 1991, the former Union of Soviet Socialist Republics (USSR)'s membership of the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and the multilateral treaties deposited with the Secretary General.)

2. Date of entry into force of the New York Convention

22 November 1960.

(Source: Decree of Presidium of the Supreme Soviet of the USSR of 10 Aug. 1960, published 15 Aug. 1960.)

3. Has any reservation been made under Art. I(3) of the New York Convention regarding:

(a) reciprocity?

The following reservation was made when the Convention was ratified: with regard to awards made in the territory of non-Contracting States, this State will apply the Convention only to the extent to which those States grant reciprocal treatment.

(b) commercial relationships?

No reservation for commercial relationships has been made.

4. In addition to arbitral awards made in the territory of another State, the New York Convention (Art. I(1)) also applies to arbitral awards not considered as domestic awards in the State where recognition and enforcement are sought. Are there any awards rendered in your country that are not considered as domestic awards such that the New York Convention and the answers to this Questionnaire are applicable to them?

No. However, awards rendered in Russia are enforced pursuant to the provisions of the Russian federal law on international commercial arbitration dated 7 July 1993, Arts. 35 and 36 of which match the corresponding rules of the New York Convention.

B. National sources of law

5. What specific sources of law are applicable to recognition and enforcement of foreign awards (e.g. statutes, regulations, codes, directives, other legal instruments)?

(i) Chapter 31 (Arts. 241-246) of the Arbitrazh Procedural Code of the Russian Federation, enacted by Federal Law No. 96 of 24 July 2002 with amendments enacted by Federal Law No. 69 on the modification of certain laws of the Russian Federation in connection with the adoption of federal law on compensation for violation of the right to legal proceedings or execution of a judicial act in a reasonable time, and by Federal Law No 228 of 27 July 2010 on the modification of the Arbitrazh Procedural Code of the Russian Federation. (Note: The Constitution of the Russian Federation has instituted three types of courts in the Russian judicial system: the Constitutional Court, courts of common jurisdiction (ordinary courts) and arbitrazh courts. The Russian arbitrajnii prozessual'nii kodeks has been variously translated into English as Arbitration Procedural Code and Code on Arbitrazh Procedure or Arbitrazh Procedural Code. It should be recalled that the term arbitrazh in this context has nothing to do with arbitration, but is a historical term emanating from the gos arbitrazh which handled disputes between State enterprises under socialism.); (ii) Federal Constitutional Law of the Russian Federation on Arbitrazh Courts in the Russian Federation No. 1-FZ of 28 Apr. 1995; (iii) Law on International Commercial Arbitration, Federal Law 5338-1 of 7 July 1993; (iv) guidance by the Supreme Arbitrazh Court.

C. Limitation periods (time limits)

6.

(a) Is there a limitation period (time limit) applicable to the commencement of legal proceedings for recognition and enforcement of foreign awards?

Yes.

(Source: Arbitrazh Procedural Code, Art. 246.)

(b) If yes, what is the applicable limitation period (time limit) and when does it start running?

The relevant limitation period applicable to the commencement of legal proceeding for recognition and enforcement of foreign awards is 3 (three) years from the date on which the award entered into legal force. Even if this period has expired, it may be restored by the arbitrazh court at the request of the winning party.

(Source: Arbitrazh Procedural Code, Art. 246, point 2.)

D. National courts and court proceedings

7. What authority or court has jurisdiction over recognition and enforcement of foreign awards?

Russia has two independent court systems. Jurisdiction over the recognition and enforcement of arbitral awards, including foreign arbitral awards, lies with the arbitrazh courts (arbitrazhnyi sud). Despite their name, these are State courts specializing in commercial matters and administrative disputes over tax and customs matters.

(Source: Constitution of the Russian Federation, Arts. 126 and 127.)

Pursuant to Art. 34 of the Arbitrazh Procedural Code, cases on recognition and enforcement are examined at first instance by the arbitrazh courts of Russian republics, territories, regions, cities of federal significance, autonomous areas and autonomous regions, depending on the constituent entity of the Russian Federation where recognition and enforcement is sought (e.g. in Moscow this will be the Moscow City Arbitrazh Court).

An application for recognition and enforcement of a foreign arbitral award is examined by a single judge within three months of the date of receipt of the application, in accordance with the Arbitrazh Procedural Code and as indicated in this country answer, unless otherwise provided by an international agreement of the Russian Federation.

(Source: Arbitrazh Procedural Code, Art. 243, point 1.)

8. What requirements, if any, must be met for the authority or court to accept jurisdiction over recognition and enforcement of foreign awards (e.g. domicile or assets of respondent in the jurisdiction, etc.)?

An application for recognition and enforcement of a foreign arbitral award is filed by the winning party with the arbitrazh court in the constituent entity of the Russian Federation where the debtor resides or has its place of stay or, if its place of stay or residence is unknown, where its property is located.

(Source: Arbitrazh Procedural Code, Art. 242, point 1.)

9. Is the first decision granting or denying recognition and enforcement obtained through ex parte or inter partes proceedings?

The first decision granting recognition and enforcement is obtained through inter partes proceedings.

The arbitrazh court notifies the persons involved in the case of the time and place of the court's session. Their failure to appear after such notification will not prevent the case from being examined.

(Source: Arbitrazh Procedural Code, Art. 243, point 2.)

At the court session, the existence or absence of grounds for recognition and enforcement of the award will be established through an examination of the evidence submitted to the arbitrazh court and the substantiation of the parties' claims and objections.

(Source: Arbitrazh Procedural Code, Art. 243, point 3.)

10.

(a) Is the first decision granting or denying recognition and enforcement subject to any form of appeal or recourse?

Yes.

(b) How many levels of appeal or recourse are available against this decision?

Two, as a general rule.

The decision granting or denying recognition and enforcement of a foreign arbitral award may be appealed in cassation proceedings to the federal arbitrazh court of the region, whose judgment is final and comes into force immediately.

(Source: Arbitrazh Procedural Code, Art. 245.)

At the second level, the ruling in the cassation proceedings (which will have entered into force) may be revised, at the parties' request, by way of supervision by the Supreme Arbitrazh Court of the Russian Federation. The Supreme Arbitrazh Court accepts cases for reconsideration only in exceptional circumstances.

(Source: Arbitrazh Procedural Code, Ch. 36, Arts. 292-308.)

11. What is the earliest stage in legal proceedings for enforcement of foreign arbitral awards at which a party can obtain execution against assets (i.e. party actually obtains possession of assets as opposed to simply freezing assets)?

The earliest stage in legal proceedings for enforcement of foreign arbitral awards at which a party can obtain execution against assets in the Russian Federation is after the decision of the arbitrazh court of the constituent entity of the Russian Federation (granting enforcement of the award) has entered into force.

This decision enters into force after the expiry of the time limit allowed for filing an appeal, i.e. one month from the date on which the decision was made.

(Source: Arbitrazh Procedural Code, Art. 318.)

E. Evidence required

12.

(a) What evidence must be supplied for recognition and enforcement of foreign awards (e.g. arbitral award, contract containing arbitration clause, affidavits, witness statements, etc.)?

For recognition and enforcement of foreign arbitral awards, the following evidence must be supplied by the winning party: an application for recognition and enforcement signed by this party or by its representative containing (i) the name of the arbitrazh court where the application is being filed, (ii) the name and composition of the international commercial arbitration and its location, (iii) the name of the winning party and its place of business, (iv) the name of the losing party and its place of business, (iv) information on the foreign arbitral award for the recognition and enforcement of which the winning party applies, (v) a list of the enclosed documents. The following evidence must also be supplied with the application for recognition and enforcement of the foreign arbitral award: (i) the properly certified original of the foreign arbitral award, or a duly certified copy, (ii) the original of the arbitration agreement or a duly certified copy, (iii) the properly certified translation into Russian of the documents mentioned above (including the winning party's application for recognition and enforcement of the foreign arbitral award), (iv) a document confirming payment of State duty (when filing an application for the recognition and enforcement of foreign arbitral award the winning party is obliged to pay a State duty of 2,000 (two thousand) roubles.

(Sources: Arbitrazh Procedural Code, Art. 242, points 1, 2, 4; Tax Code, Art. 331.21, point 11.)

Applications may be made online through the website of the arbitrazh court, using the form provided by the court.

(Source: Arbitrazh Procedural Code, Art. 242, point 7.)

(b) Is it necessary to provide the entire document or only certain parts (e.g. entire contract or only arbitration clause)?

In accordance with Art. 242, point 4, Art. 75 of the Arbitrazh Procedural Code, it is necessary to supply the award in its entirety and the relevant pages of the document containing the arbitration agreement or a duly certified extract from it.

(c) Are originals or duly certified copies required?

The following are required: (i) a duly certified original or a duly certified copy of the award, (ii) the original arbitration agreement or a duly certified copy.

(Source: Arbitrazh Procedural Code, Art. 242, point 4.)

(d) How many originals or duly certified copies are required?

The following are required: (i) one properly certified original or duly certified copy of the award, (ii) one original of the arbitration agreement or a duly certified copy.

(Source: Arbitrazh Procedural Code, Art. 242, point 4.)

(e) Does the authority or court keep the originals that are filed?

The arbitrazh court may return the originals after its decision has entered into force, if requested in writing by the party that filed them, provided a duly certified copy of the original is presented for the file or the arbitrazh court itself certifies a copy of the document to be kept in the file.

(Source: Arbitrazh Procedural Code, Art. 75, point 10.)

If the arbitrazh court considers that returning the original documents will not harm the proper hearing of the case, they can be returned before the decision enters into force.

(Source: Arbitrazh Procedural Code, Art. 75, point 10.)

13.

(a) Is it necessary to provide a translation of the documents supplied?

Yes, it is necessary to provide a duly certified translation of the documents supplied

(Source: Arbitrazh Procedural Code, Art. 242, point 4.3.)

(b) If yes, into what language?

Russian. The documents in the foreign language submitted to the arbitrazh court (or duly certified copies) must be attached. If the document was issued by a foreign State, it must be duly legalized (through apostillization if that State is a party to the 1961 Hague Convention Abolishing the Requirement of Legalization for Foreign Public Documents, or through consular legalization for other countries).

Foreign State documents are considered as written evidence without legalization in cases provided for in the international agreements of the Russian Federation.

(Source: Arbitrazh Procedural Code, Art. 75, points 5-7.)

(c) Is it necessary for the translations to be certified and, if yes, by whom (official or sworn translator, diplomatic or consular agent (of which country?) or some other person)?

Yes, it is necessary for the translation to be certified.

(Source: Arbitrazh Procedural Code, Art. 242, point 4.3.)

The Arbitrazh Procedural Code does not specify how the translations are to be certified. In practice, the translations can be made by an official translator and certified by a notary through apostillization in accordance with the 1961 Hague Convention.

(d) Is it necessary to provide a full translation of the documents or only a translation of certain parts (e.g. entire award or only part setting forth the decisions; entire contract or only arbitration clause)?

It is necessary to provide a full translation of documents required by Art. 242 of the Arbitrazh Procedural Code: entire arbitral award, entire arbitration agreement (arbitration clause of the contract). There is no need to provide a translation of the entire contract containing the arbitration clause.

F. Stay of enforcement

14.

(a) Can the authority or court stay legal proceedings for recognition and enforcement pending the outcome of an application to set aside or suspend the foreign award before the competent authority referred to in Art. V(1)(e) of the New York Convention?

Yes.

(Source: Arbitrazh Procedural Code, Art. 244.)

(b) On what other grounds, if any, can the authority or court stay legal proceedings for recognition and enforcement (e.g. forum non conveniens)?

The arbitrazh court can stay legal proceedings for recognition and enforcement if: (i) an undertaking that is a party to the case is in the process of reorganization, or (ii) an international court or a court of another State is examining a case whose outcome may have an important bearing on the application for recognition and enforcement of the foreign arbitral award.

(Source: Arbitrazh Procedural Code, Art.144, point 5.)

The arbitrazh court is obliged to stay legal proceedings for recognition and enforcement if: (i) it is impossible to examine the application before a decision is passed on another case being examined by the Constitutional Court of the Russian Federation, a court of general jurisdiction or an arbitrazh court of the Russian Federation.

(Source: Arbitrazh Procedural Code, Art.143, point 1.)

(c) Is the granting of a stay of legal proceedings for recognition and enforcement conditional on the provision of security?

No.

G. Confidentiality

15.

(a) Do the documents filed in legal proceedings for recognition and enforcement form part of the public record? If yes, can any steps be taken to preserve the confidentiality of such documents?

Yes, the documents filed in legal proceedings for recognition and enforcement form part of the public record. According to Art. 11 of the Arbitrazh Procedural Code, proceedings in arbitrazh courts are public. Proceedings may be confidential when provided for by federal legislation (i.e. laws relating to State secrets, administrative infringements, anti-terrorism), or at the request of a party for the purpose of preserving commercial or other secrets protected by
law.

(Source: Letter of the Supreme Arbitrazh Court of Russian Federation, 25 May 2004.)

(b) If there are hearings on recognition and enforcement, are such hearings confidential? If not, can steps be taken to maintain the confidentiality of the legal proceedings?

All hearings held in arbitrazh courts in the Russian Federation are open to the public.

(Source: Arbitrazh Procedural Code, Art. 11, point 1.)

Parties may apply to the court for a closed hearing if there is a need to protect commercial, professional, official or other secrets protected by law. The other party is consulted but the agreement of the parties is not needed. The decision lies with the arbitrazh court, which, if it accedes to the request, will issue a ruling that the hearing shall closed.

(Source: Arbitrazh Procedural Code, Art. 11, points 2 and 3.)

(c) Are judgments on recognition and enforcement published? If yes, can steps be taken to remove the names of the parties or avoid publication of confidential information (such as business or State secrets)?

Yes. Usually, they are published in full in the official reporter of the Supreme Arbitrazh Court of the Russian Federation, Vestnik Vischego Arbitrajnogo suda RF, as well in other reviews, the most important of which are Vestnik Mejdunarodn?go Commertcheskogo Arbitrazha (International Commercial Arbitration Review) and Treteiskii Sud (Arbitration). While the Vestnik is an official publication of the court, the other two are not.

H. Other issues

16. When, if ever, can a party obtain recognition and enforcement of interim or partial foreign awards?

The Arbitrazh Procedural Code does not mention recognition and enforcement of interim or partial awards. Given that Art. 241 of the Arbitrazh Procedural Code allows the recognition and enforcement of foreign arbitral awards if provided for by an international agreement of the Russian Federation and Art. V(e) of New York Convention allows recognition and enforcement of a foreign arbitral award to be refused if not yet binding on the parties, it may be inferred that a party can obtain the recognition and enforcement of an interim or partial foreign award provided it has become binding on the parties.

17. When, if ever, can a party obtain recognition and enforcement of non-monetary relief in foreign arbitral awards (e.g. order requiring a party to deliver up share certificates or other property)?

It is possible to obtain enforcement of non-monetary relief in foreign arbitral awards.

(Source: Civil Code of the Russian Federation, Art. 505.)

18. When, if ever, can a party obtain recognition and enforcement of only part of the relief granted in foreign awards?

Not mentioned in the Arbitrazh Procedural Code. Given that Art. 241 of the Arbitrazh Procedural Code allows the recognition and enforcement of foreign arbitral awards if provided for by an international agreement of the Russian Federation and the New York Convention does not exclude the possibility of recognition and enforcement of only part of the relief granted in a foreign award, it may be inferred that a party can obtain recognition and enforcement of only part of the relief granted in a foreign award.

19. When, if ever, can a party obtain recognition and enforcement of foreign awards which have been set aside by the competent authority referred to in Art. V(1)(e) of the New York Convention?

Art. 241 of the Arbitrazh Procedural Code allows for recognition and enforcement of foreign arbitral awards if provided for by an international agreement of the Russian Federation. Given Art. V(e) of New York Convention, together with Art. 244 para. 1 of the Arbitrazh Procedural Code, recognition and enforcement of a foreign arbitral award shall be refused if such award has not become effective in accordance with the law of the State where it was made. Where an arbitral award has been set aside by a competent authority, the Russian arbitrazh courts do not have discretion to enforce the award in Russia.

20. Are there any other procedural or practical requirements relating to recognition and enforcement of foreign awards which are worth mentioning (e.g. unusually high court costs, filing fees, stamp duties, obligation to post security as a condition for seeking recognition and enforcement, obligation to identify the assets that will be the object of enforcement, etc.)?

There are no other procedural requirements worth mentioning.

Country Rapporteur:

Nina Vilkova

Other contributor:

Ekaterina Smirnova