Topic List of Court Decisions on the New York Convention Cases

This list is a consolidation of the annual Indexes, prepared by d.ssa Silvia Borelli, for the court decisions reported in each Yearbook as indexed per subject matter ("Topic") appearing in the Commentary.

To read an excerpt of the case, click the case number (e.g., US 412) and click the link to KluwerArbitration in the window that opens. The KluwerArbitration website will open in a new browser window.

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- Select a subject - ¶001 » Interpretation of the Convention ¶101 » Award made in the territory of another (Contracting) State (paragraphs 1 and 3 – first or "reciprocity" reservation) ¶102 » Arbitral award not considered as domestic (paragraph 1) ¶103 » Nationality of the parties no criterion ¶104 » Convention’s applicability in other cases ¶105 » “Persons, whether physical or legal” (paragraph 1) (including sovereign immunity) ¶106 » Problems concerning the identity of a party ¶107 » Second reservation (“commercial reservation”) (paragraph 3) ¶108 » Arbitral award: arbitrato irrituale (italy) and other procedures akin to arbitration ¶109 » Arbitral award: “a-national” award ¶110 » Arbitral award: types ¶111 » Permanent arbitral bodies (paragraph 2) ¶112 » Retroactivity ¶113 » Implementing legislation ¶114 » Iran-US Claims Tribunal ¶201 » Scope of arbitration agreement ¶202 » Contents of arbitration agreement ¶203 » Uniform rule ¶203-204 » Formal validity, uniform law and municipal law ¶204 » Formal validity and municipal law ¶205 » Signatures ¶206 » Exchange of letters or telegrams ¶207 » Means of communication for achieving the exchange in writing ¶208 » Sales or purchase confirmation ¶209 » Incorporation by reference and standard conditions ¶210 » Articles 1341 and 1342 Italian Civil Code ¶211 » Bill of lading and charter party ¶212 » Agent/broker, etc. ¶213 » Amendment or renewal ¶214 » Agreement providing for arbitration in another state ¶214-216 » Field of application ¶215 » Agreement providing for arbitration within forum’s state ¶216 » No place of arbitration designated ¶216A » Analogous applicability of Art. VII(1) ¶217 » Referral to arbitration in general ¶218 » Referral is mandatory ¶219 » There must be a dispute ¶220 » “Null and void”, etc. ¶221 » Law applicable to “null and void”, etc. (for formal validity and applicable law, see Art. II, 204 above) ¶222 » Arbitrator’s competence and separability of the arbitration clause ¶223 » Arbitrability (see also Art. V(2) sub ground a. “arbitrability”, 519 below) ¶224 » Declaratory judgment on validity arbitration agreement ¶225 » Related arbitrations (consolidation, etc.) ¶226 » Third parties (see also Art. I sub “problems concerning the identity of the respondent”, 106 above) ¶227 » Concurrent court proceedings (“indivisibility”) ¶228 » Pre-award attachment and other provisional measures ¶229 » Measures in aid of arbitration ¶301 » Procedure for enforcement in general ¶302 » Discovery of evidence ¶303 » Estoppel/waiver ¶304 » Set-off/counterclaim ¶305 » Entry of judgment clause ¶306 » Period of limitation for enforcement ¶307 » Interest on award ¶401 » Conditions to be fulfilled by petitioner in general ¶402 » Original or copy arbitral award ¶403 » Original or copy arbitration agreement ¶404 » Authentication and certification ¶405 » “At the time of application” ¶406 » Translation (paragraph 2) ¶500 » Grounds for refusal of enforcement in general ¶500A » Residual power to enforce notwithstanding existence of ground for refusal ¶501 » Grounds are exhaustive ¶502 » No re-examination of the merits of the arbitral award ¶503 » Burden of proof on respondent ¶504 » Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II ¶505 » Incapacity of party ¶506 » Law applicable to the arbitration agreement ¶507 » Miscellaneous cases regarding the arbitration agreement ¶508 » Ground b: Violation of due process in general ¶509 » “Proper notice” ¶510 » Time limits and notice periods ¶511 » “Otherwise unable to present his case” ¶512 » Ground c: Excess by arbitrator of his authority - Excess of authority ¶512A » Partial enforcement (ultra petita) ¶513 » Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure ¶514 » Ground e: Award not binding, suspended or set aside - "Binding" ¶515 » Merger of award into judgment ¶516 » “Set aside” ¶517 » “Suspended” ¶518 » Paragraph 2 - Distinction domestic–international public policy ¶519 » Ground a: Arbitrability ¶520 » Ground b: Public policy - Default of party ¶521 » Lack of impartiality of arbitrator ¶522 » Lack of reasons in award ¶523 » Irregularities in the arbitral procedure (see also Art. V(1)(b)) ¶524 » Other cases ¶601 » Adjournment of decision on enforcement ¶701 » More-favourable-right provision in general ¶702 » Domestic law on enforcement of foreign award ¶703 » Bilateral and multilateral treaties in general ¶703(A) » Multilateral treaties ¶704 » European Convention of 1961 ¶704(A) » Panama convention of 1975 ¶704(B) » Bilateral treaties ¶704(C) » Rome treaty of 1958 and ec judgments convention of 1968/1988 ¶705 » Relationship with Geneva Treaties of 1923 and 1927 ¶911 » Article XI: Federal State Clause ¶914 » General reciprocity clause

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¶001 » Interpretation of the Convention

¶101 » Award made in the territory of another (Contracting) State (paragraphs 1 and 3 – first or "reciprocity" reservation)

Volume I (1976):	Austria 1; France 1; Greece 1 (sub 1); Greece 2 (sub 1); Italy 2; Japan 1; Netherlands 2a; US 6;
Volume II (1977):	Germany 1; Germany 10; Germany 12; Germany 3; Germany 7; Germany 8; Germany 9; US 11;
Volume III (1978):	Ghana 1 (sub 1); Italy 16 (sub 1); Italy 18 (sub 1);
Volume IV (1979):	Germany 14 (sub 1); Germany 17 (sub 2); Germany 18 (sub 1); Italy 21 (sub 1); Italy 22 (sub 2); Italy 29 (sub 1); Mexico 2 (sub 1);
Volume V (1980):	Belgium 2 (sub 2); Germany 19 (sub 1); Germany 21 (sub 2);
Volume VIII (1983):	France 5 (sub 4); Germany 25 (sub 1); Italy 51 (sub 1); Italy 53 (sub 1); Netherlands 7 (sub 6); Netherlands 8 (sub 2, 5 and 10-11);
Volume IX (1984):	Switzerland 7 (sub 1);
Volume X (1985):	Austria 6 (sub 1); Italy 80 (sub 1(b)-(c));
Volume XI (1986):	France 7 (sub 2 and 18); India 11 (sub 3-4); Spain 10 (sub 1); Spain 8 (sub 2);
Volume XII (1987):	France 9; Germany 30 (sub 1); Switzerland 11 (sub 1); Switzerland 15 (sub 4);
Volume XIII (1988):	Switzerland 16 (sub 6); UK 22 (sub 1); US 78 (sub 7);
Volume XIV (1989):	Cayman Islands 1 (sub 1); Germany 32 (sub 2); Greece 9 (sub 1); Japan 4;
Volume XV (1990):	Australia 5 (sub 1-3); UK 28 (sub 17); US 100 (sub 6-7); US 91 (sub 5-7); US 92 (sub 1);
Volume XVI (1991):	US 108 (sub 1);
Volume XVII (1992):	Germany 36 (sub 2-3); Germany 38 (sub 2); Hong Kong 1 (sub 7-11); Korea 1 (sub 1); Korea 2 (sub 2); PR CHINA 1; Switzerland 20 (sub 1); UK 32 (sub 1-8);
Volume XVIII (1993):	Canada 3 (sub 1, 8 and 10); Hong Kong 2 (sub 1 and 6-15); Hong Kong 3 (sub 1); Italy 119 (sub 10); Jordan 1 (sub 11); US 130 (sub 3-4); US 138 (sub 1);
Volume XIX (1994):	Italy 126 (sub 1);
Volume XX (1995):	Australia 11 (sub 4-8); Colombia 2 (sub 2-3 and 10-12); Japan 5; Netherlands 17 (sub 1and 13); Switzerland 23 (sub 1);
Volume XXI (1996):	Hong Kong 9 (sub 1); Luxembourg 1 (sub 2-5); Netherlands 20 (sub 1); US 191 (sub 1); US 196 (sub 2);
Volume XXII (1997):	Austria 11 (sub 2-4); Belgium 10 (sub 2 and 41); Germany 46 (sub 4); Italy 142 (sub 1-2 and 8); Japan 7; Kuwait 1 (sub 2); Netherlands 23 (sub 1); Turkey 1 (sub 4); US 223 (sub 1); US 225 (sub 1); US 226 (sub 1); US 227 (sub 1); US 228 (sub 1); US 230 (sub 2); US 235 (sub 1); US 238;
Volume XXIII (1998):	Greece 13 (sub 3); Hong Kong 12 (sub 1-5); Hong Kong 13; India 27 (sub 1-4); PR CHINA 2; Russian Federation 5 (sub 1); Russian Federation 6 (sub 4); Russian Federation 7 (sub 2); Switzerland 30 (sub 1); US 264 (sub 1); US 268 (sub 3 and 5);
Volume XXIV (1999):	Hong Kong 15 (sub 12); Luxembourg 2 (sub 6); Netherlands 25 (sub 1); UK 52 (sub 1); UK 53 (sub 1); US 288 (sub 1);
Volume XXV (2000):	India 30 (sub 8); Italy 153 (sub 23-31); US 310 (sub 1-3); US 320 (sub 4-5); US 325 (sub 6);
Volume XXVI (2001):	France 31; Spain 30bis (sub 1); Spain 31 (sub 1-2); Spain 32 (sub 1); Switzerland 33 (sub 2); US 340 (sub 1-11); US 355 (sub 1-3); US 359 (sub 2-3); US 361 (sub 1);
Volume XXVII (2002):	Spain 33 (sub 1); Spain 35 (sub 1); Spain 36 (sub 1); Spain 37 (sub 3); US 366 (sub 1); US 391 (sub 7); US 393 (sub 1); US 399 (sub 5);
Volume XXVIII (2003):	Netherlands 27 (sub 1); US 414; US 415; US 420; US 442;
Volume XXIX (2004):	Australia 22 (sub 1-6); Colombia 4 (sub 3-12 and 24-26); Germany 60 (sub 24-25); Germany 63 (sub 3); Germany 65 (sub 4); Germany 70 (sub 4); Hong Kong 18 (sub 2); Italy 165; US 453 (sub 15-26); US 471 (sub 34-36); US 480 (sub 2);
Volume XXX (2005):	Australia 24 (sub 5); India 40 (sub 2); Spain 38 (sub 1); Spain 40 (sub 1); Spain 41; Spain 42 (sub 2); US 488 (sub 3); US 510 (sub 6); US 517;
Volume XXXI (2006):	Australia 26 (sub 32); Germany 95 (sub 2); Hong Kong 19 (sub 23-34); Israel 1; PR CHINA 4; Spain 43 (sub 2); Spain 45 (sub 2); Spain 46 (sub 1-5); UK 70 (sub 1-2); US 528 (sub 1); US 533 (sub 3-6); US 539 (sub 3); US 548 (sub 1-2); US 562;
Volume XXXII (2007):	Austria 15 (sub 1); Austria 16 (sub 1); France 39 (sub 2); Spain 47 (sub 3); Spain 48 (sub 3); Spain 49 (sub 3); Spain 50 (sub 3); Spain 51 (sub 3); Spain 52 (sub 3); Spain 53 (sub 3); Spain 54 (sub 3); Spain 56 (sub 3); Spain 57 (sub 3); Spain 58 (sub 3); Spain 59 (sub 3); Spain 60 (sub 3); Spain 61 (sub 4); US 605; Venezuela 1 (sub 12);
Volume XXXIII (2008):	Australia 33 (sub 4 and 6); Austria 18 (sub 1); British Virgin Islands 1; France 44 (sub 7); Malaysia 2; Philippines 6; UK 82 (sub 2); US 622 (sub 9); US 623 (sub 1);
Volume XXXIV (2009):	Germany 119 (sub 3); Hong Kong 22 (sub 4); Israel 3 (sub 1); Malaysia 3 (sub 6-34); Netherlands 32 (sub 1); PR CHINA 5 (sub 10); US 654 (sub 5-6); US 658 (sub 4); US 663 (sub 4); US 664 (sub 4);
Volume XXXV (2010):	Germany 125 (sub 6-7); Germany 127 (sub 7); Germany 131; India 44; Malaysia 4; Spain 66 (sub 10); US 704 (sub 12-20);
Volume XXXVI (2011):	Australia 36 (sub 12 and 65-67);

¶102 » Arbitral award not considered as domestic (paragraph 1)

¶103 » Nationality of the parties no criterion

¶104 » Convention’s applicability in other cases

¶105 » “Persons, whether physical or legal” (paragraph 1) (including sovereign immunity)

¶106 » Problems concerning the identity of a party

¶107 » Second reservation (“commercial reservation”) (paragraph 3)

¶108 » Arbitral award: arbitrato irrituale (italy) and other procedures akin to arbitration

¶109 » Arbitral award: “a-national” award

¶110 » Arbitral award: types

¶111 » Permanent arbitral bodies (paragraph 2)

¶112 » Retroactivity

¶113 » Implementing legislation

¶114 » Iran-US Claims Tribunal

¶201 » Scope of arbitration agreement

¶202 » Contents of arbitration agreement

¶203 » Uniform rule

¶203-204 » Formal validity, uniform law and municipal law

¶204 » Formal validity and municipal law

¶205 » Signatures

¶206 » Exchange of letters or telegrams

¶207 » Means of communication for achieving the exchange in writing

¶208 » Sales or purchase confirmation

¶209 » Incorporation by reference and standard conditions

¶210 » Articles 1341 and 1342 Italian Civil Code

¶211 » Bill of lading and charter party

¶212 » Agent/broker, etc.

¶213 » Amendment or renewal

¶214 » Agreement providing for arbitration in another state

¶214-216 » Field of application

¶215 » Agreement providing for arbitration within forum’s state

¶216 » No place of arbitration designated

¶216A » Analogous applicability of Art. VII(1)

¶217 » Referral to arbitration in general

¶218 » Referral is mandatory

¶219 » There must be a dispute

¶220 » “Null and void”, etc.

¶221 » Law applicable to “null and void”, etc. (for formal validity and applicable law, see Art. II, 204 above)

¶222 » Arbitrator’s competence and separability of the arbitration clause

¶223 » Arbitrability (see also Art. V(2) sub ground a. “arbitrability”, 519 below)

¶224 » Declaratory judgment on validity arbitration agreement

¶225 » Related arbitrations (consolidation, etc.)

¶226 » Third parties (see also Art. I sub “problems concerning the identity of the respondent”, 106 above)

¶227 » Concurrent court proceedings (“indivisibility”)

¶228 » Pre-award attachment and other provisional measures

¶229 » Measures in aid of arbitration

¶301 » Procedure for enforcement in general

¶302 » Discovery of evidence

¶303 » Estoppel/waiver

¶304 » Set-off/counterclaim

¶305 » Entry of judgment clause

¶306 » Period of limitation for enforcement

¶307 » Interest on award

¶401 » Conditions to be fulfilled by petitioner in general

¶402 » Original or copy arbitral award

¶403 » Original or copy arbitration agreement

¶404 » Authentication and certification

¶405 » “At the time of application”

¶406 » Translation (paragraph 2)

¶500 » Grounds for refusal of enforcement in general

¶500A » Residual power to enforce notwithstanding existence of ground for refusal

¶501 » Grounds are exhaustive

¶502 » No re-examination of the merits of the arbitral award

¶503 » Burden of proof on respondent

¶504 » Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II

¶505 » Incapacity of party

¶506 » Law applicable to the arbitration agreement

¶507 » Miscellaneous cases regarding the arbitration agreement

¶508 » Ground b: Violation of due process in general

¶509 » “Proper notice”

¶510 » Time limits and notice periods

¶511 » “Otherwise unable to present his case”

¶512 » Ground c: Excess by arbitrator of his authority - Excess of authority

¶512A » Partial enforcement (ultra petita)

¶513 » Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure

¶514 » Ground e: Award not binding, suspended or set aside - "Binding"

¶515 » Merger of award into judgment

¶516 » “Set aside”

¶517 » “Suspended”

¶518 » Paragraph 2 - Distinction domestic–international public policy

¶519 » Ground a: Arbitrability

¶520 » Ground b: Public policy - Default of party

¶521 » Lack of impartiality of arbitrator

¶522 » Lack of reasons in award

¶523 » Irregularities in the arbitral procedure (see also Art. V(1)(b))

¶524 » Other cases

¶601 » Adjournment of decision on enforcement

¶701 » More-favourable-right provision in general

¶702 » Domestic law on enforcement of foreign award

¶703 » Bilateral and multilateral treaties in general

¶703(A) » Multilateral treaties

¶704 » European Convention of 1961

¶704(A) » Panama convention of 1975

¶704(B) » Bilateral treaties

¶704(C) » Rome treaty of 1958 and ec judgments convention of 1968/1988

¶705 » Relationship with Geneva Treaties of 1923 and 1927

¶911 » Article XI: Federal State Clause

¶914 » General reciprocity clause