New York Convention

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.

¶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

(): Brazil 19; Brazil 20; Colombia 7; France 53; Greece 22; Israel 6; Korea 5; Korea 5; Korea 5; Malaysia 5; Malaysia 5; Netherlands 42; Russian Federation 34; South Africa 5; Switzerland 45; Switzerland 45; Switzerland 46; US 752; US 757; US 763;
Volume I (1976): Netherlands 2c; Netherlands 2d; US 1;
Volume II (1977): US 9;
Volume III (1978): Italy 18 [sub 4a (illegal behavior of party)];
Volume IV (1979): Netherlands 3 [sub 5 (dating of award)]; Netherlands 4 [sub 5-6 (means of recourse not available in country of origin)]; Switzerland 5 [sub 6 (contents of award)];
Volume VI (1981): US 30 [sub 2 (agreement under duress)]; US 32 [sub 3-4 (application of French statutory interest)];
Volume IX (1984): India 9 [sub 3-5 (export prohibition)];
Volume X (1985): Austria 7; Italy 69 [sub 10 (Italian foreign exchange regulations)]; Italy 72 [sub 3 (according to Italian law)];
Volume XI (1986): India 11 [sub 7-12 (export prohibition)]; Italy 81 [sub 2-3 (Italian foreign exchange regulations)]; US 59 [sub 20-21 (choice of law and antitrust)]; US 61 [sub 1-6 (contradicting testimony)]; US 65 [sub 5-6 (unavailability of evidence due to national security)];
Volume XII (1987): Italy 93 [sub 2 (settlement)];
Volume XIII (1988): Switzerland 16 [sub 10 (speculation)]; UK 22 [sub 19-28 (application of ?internationally accepted principles of law governing contractual relations?)]; US 74 [sub 1-19 (manifest disregard of the law) and 29 (interest penal in nature)];
Volume XIV (1989): Romania 1 [sub 3-4 (unjust enrichment)];
Volume XV (1990): India 18 [sub 42-47 (compounded interest) and 51-52 (extensive cost)]; US 87; US 88 [sub 8 (Pakistan judgment declaring arbitration clause and proceeding void)]; US 92 [sub 8-10 (invalid agreement; US 97 [sub 19-23 (bankruptcy)];
Volume XVI (1991): Finland 1 (bankruptcy); Germany 35 [sub 12 (lack of financial resources to hire lawyer)]; India 19 [sub 18-33 (compounded interest) and 34-35 (arbitration costs)]; India 20 [sub 17 (claim time-barred)];
Volume XVII (1992): Germany 36 [sub 8-14 (prohibition clause GAFTA 100) and 18-23 (interest on award)]; Germany 38 [sub 8-10 (witness testified contrary to facts)]; Italy 110 [sub 11-12 (malicious commencement of arbitration)]; Korea 2 [sub 12 (general reference)]; US 115 [sub 34-40 (manifest disregard of the law;
Volume XVIII (1993): Canada 3 [sub 13 (failure to take oath)]; Hong Kong 4 [sub 9-11 (payment of foreign tax)]; Hong Kong 5 [sub 1-8 (kidnap of witness)]; US 125 [sub 7-11 (rubber stamping of findings of other arbitral tribunal)]; US 135 [sub 10-14 (manifest disregard of the law)];
Volume XIX (1994): France 19 [sub 12-13 (shifting burden of proof)]; Hong Kong 7 [sub 6-12 (conflicting evidence)];
Volume XX (1995): Australia 11 [sub 46-60 (vague and sweeping interlocutory orders)]; India 22 [sub 18-39 and 40-51 (foreign exchange), 52-54 (disregard of court orders), 55-61 (compounded interest), 62-63 (damages on damages) and 64-72 (unjust enrichment)]; US 185 [sub 14-16 (manifest disregard of the law)];
Volume XXI (1996): France 24 [sub 14-18 and 25-29 (corruption)]; Germany 44 [sub 15-17 (arbitrator?s choice of language) and 18-20 (no expert appointed)]; Italy 132 [sub 13-17 (currency regulations; Korea 3 [sub 10-11 (statute of limitations; Luxembourg 1 [sub 24 (fraud)]; Morocco 1 [sub 1 and 4-7 (public law)]; Netherlands 19 [sub 23 (ex parte consultation)]; Netherlands 20 [sub 11-13 and 19-21 (danger of conflicting decisions)]; US 196 [sub 5-13 (conflict of interest of party?s lawyer)]; US 206 [sub 9 (duress and coercion)];
Volume XXII (1997): Belgium 10 [sub 74-78 in fact 79-81 (insufficient, contradictory reasons)]; France 26 [sub 10-11 (lack of reasons)]; Italy 142 [sub 6 and 19 (currency of award)]; Malaysia 1; Singapore 1 [sub 23-24 (failure to decide on real matter in dispute)]; Switzerland 28 [sub 23 (compounded interest)]; US 222 [sub 8 (award not absurd or irrational)]; US 223 [sub 14-15 (political changes; US 229 [sub 17-21 (manifest disregard of the law)]; US 235 [sub 6 (due process defense under Art. V(2)(b) duplicates Art. V(1)(b))], 12-23 (limitation of cross-examination), 23 (refusal to require disclosure of information), 24-26 (failure to require production of letter) and 27 (exclusion of rebuttal evidence)];
Volume XXIII (1998): UK 51 [sub 9-105 (bribery) and 72-105 (perjury)]; US 264 [sub 2-4 (reference to other arbitral award)];
Volume XXIV (1999): European Union 1 [sub 14-17 (Art. 81 EC Treaty is matter of public policy)]; Germany 48 [sub 3 (alleged violation by arbitration of German law)]; Hong Kong 15 [sub 44-46 (public policy forum), sub 60-63, 68-72 and 82-89 (inspection of factory in the absence of respondent)]; Kenya 1; UK 53 [sub 18-31 (?substantial injustice? and failure to disclose award)]; UK 54; UK 55 [sub 1-15 (bribery)]; US 271 [sub 10-21 (fraud)]; US 273 [sub 11-13 (failure to make third party a party to the arbitration)]; US 274; US 276 [sub 15-19 (?side switching? by expert witness) and 20-22 (award ?arbitrary and capricious?)]; US 280 [sub 10-13 (forged contract)];
Volume XXV (2000): Cyprus 1 [sub 10-23 (non-consideration of counterclaim)]; India 30 [sub 15-17 (fraud)]; Russian Federation 10 [sub 13 (one signature; US 313;
Volume XXVI (2001): Hong Kong 16 [sub 15-17 (sham contract)]; UK 58 [sub 8-14 (incapable of forming an enforceable judgment and post-award cross-claim)]; US 340 [sub 39-45 (separability of arbitral clause); US 359 [sub 17-19 (shifting the burden of proof)]; US 360 [sub 2-7 (manifest disregard for the law)]; US 361;
Volume XXVII (2002): US 366 [sub 12-14 (false statements) and sub 15-16 (punitive damages)]; US 379 [sub 15-23 (manifest disregard of the law)]; US 387 [sub 60-71 (violation of abuse of rights doctrine)]; US 400; US 401 [sub 20 (manifest disregard of the law)];
Volume XXVIII (2003): Hong Kong 17 [sub 83-85 (award directs party to violate national law) and 86-91 (failure to disclose relevant insurance policy)]; Norway 2 [sub 4-7 (lack of dictum)]; US 427 [sub 7-13 (award of costs)]; US 429 [sub 4-20 (violation of competition law)]; US 440;
Volume XXIX (2004): Canada 12 [sub 20 (enforcement against nonsignatory)]; Germany 55 [sub 21 (corruption), 27 (disproportion between performances) and 28 (currency provisions)]; Germany 56 [sub 10-13 (fraud)]; Germany 57 [sub 13 (lump sum damages) and 14-15 (high counsel fees)]; Germany 65 [sub 21 (lack of valid arbitration agreement)]; Germany 69 [sub 11 (lack of arbitration agreement)]; Germany 71 [sub 4-11 (dispute settled during arbitration)]; Switzerland 38 [sub 11-17 (partial award on costs not violation of due process)]; US 452 [(award “arbitrary and capricious”) and sub 13-16 (collateral estoppel)]; US 465 [sub 17-21 (manifest disregard of the law) and 22-25 (sovereign immunity)]; US 469; US 472 [sub 7-8 (pending criminal investigation)]; US 477 [sub 4-9 (manifest disregard of the law)]; US 478; US 482 [sub 49-56 (doctrine of abuse of rights)];
Volume XXX (2005): Austria 13 [sub 18-19 (false witness statement), 20-26 (forgery of signature) and 27-43 (rate of interest)]; Canada 16 [sub 23 (unequal bargaining power)]; Canada 18 [sub 13-14 (risk of contempt of court because of need to seek regulatory approval)]; Canada 19 [sub 22-31 (award directs party to violate national law) and 29-31 (failure to disclose relevant insurance policy)]; Spain 42 [sub 3-8 (litispendence) and 14 (language of the arbitration)]; US 483 [sub 8-14 (manifest disregard of the law)]; US 487; US 489; US 491 [sub 14-19 (arbitrator estopped from relitigating issue) and 21 (collateral estoppel of enforcement)]; US 496 [sub 11-13 (violation of international comity)]; US 501 [sub 3-9 (application of incorrect law)]; US 507 [sub 16-28 (manifest disregard of the law)]; US 510 [sub 7-13 (manifest disregard of the law)]; US 519; US 525 [sub 24-26 (violation of bankruptcy law)];
Volume XXXI (2006): Germany 84 [sub 28-32 (statute of limitations)]; Germany 85 [sub 22-23 (liability apportionment ratio)]; Germany 90 [sub 23-30 (bribery)]; Hong Kong 19 [sub 35-53 (effect of resumption of Chinese sovereignty over Hong Kong)]; Israel 1; Netherlands 29; PR CHINA 3; Spain 43 [sub 4-12 (litispendence)]; US 569 [sub 24-25 (foreign court attachment order)];
Volume XXXII (2007): Brazil 2; France 39 [sub 6-14 (EC competition law)]; Germany 107 [sub 9 (certificate of inspection)]; Germany 98 [sub 7-16 (EC and German competition law)]; Germany 99 [sub 9-14 (contractual penalty)]; Germany 99 [sub 9-14 (calculation of costs)]; Philippines 2 [sub 31-42 (manifest disregard of the law), 31 (failure to apply contractual law), 32 (unjust enrichment), 33-34 (contradictory findings in award) and 35-42 (arbitration costs and counsel fees)]; Portugal 1; Russian Federation 13; Singapore 5 [sub 43-46 (piercing corporate veil without supporting evidence)]; Spain 48 [sub 13-15 (consumer protection)]; Spain 52 [sub 15-16 (consumer protection)]; Spain 56 [sub 19-27 (monetary obligation already paid)]; Spain 58 [sub 6 and 13-14 (lack of arbitration agreement)]; Spain 61 [sub 18-19 (consumer protection)]; US 587 [sub 9-11 (manifest disregard of the law)]; US 590 [sub 10-12 (pending annulment action)]; US 595 [sub 11-14 (manifest disregard of the law)];
Volume XXXIII (2008): British Virgin Islands 1 [sub 41-48 (illegal contract)]; France 44 [sub 6 (no stay of arbitration pending criminal case)]; Germany 108 [sub 7-13 (fraud)]; Germany 111 [sub 8-10 (award of costs and arbitrators? fees)]; Germany 115; Greece 18 [sub 4 (award contains non-final decisions); Greece 19; Hong Kong 20 [sub 2-12 (fraud) and sub 13-16 (arbitrary award of damages); Russian Federation 15; Russian Federation 16 [sub 19-21 (award ?unlawful and unfounded?)]; Russian Federation 19; Russian Federation 21 [sub 14-19 (pre-existing court decision holding underlying contract invalid)]; UK 79; US 620 [sub 21-28 (manifest disregard of the law)]; US 622 [sub 14-17 (award directs party to violate national law)]; US 625 [sub 8-10 (manifest disregard of the law)]; US 630 [sub 5-41 (manifest disregard of the law) and sub 43-51 (enforcement would violate foreign law)]; US 637 [sub 4 and 12-13 (forum shopping)];
Volume XXXIV (2009): Brazil 11 (lack of valid arbitration agreement); Canada 26 [sub 7-38, 48-52 and 57 (violation of domestic law)]; Germany 117 [sub 6-7 (contractual penalty; determination of own fees by arbitrators)]; Germany 122 [ sub 5-11 (expert report disregarded; equitable determination of damages; award of costs and arbitrators’ fees; costs apportionment ratio)]; Germany 123 [sub 3 (award of costs and arbitrators’ fees)]; Germany 124 [sub 20-22 (failure to grant set-off)]; Hong Kong 21 [sub 8-24, 37-64 and 74-85 (impossibility of specific performance) and 65-66 (mutual fulfillment of obligations)]; Hong Kong 22 [sub 6-35 (fraud)]; Israel 3 [sub 7-17 (agreement for execution of award in state other than enforcement state)]; Italy 176 (determination of broker’s fee); Netherlands 31 [sub 25-26 (illegal tax construction)]; PR CHINA 5 [sub 13 (pre-existing domestic court decision)]; US 654 [sub 17-36 (manifest disregard of the law)]; US 655 [sub 10-11 (manifest disregard of the law; interpretation of contract)]; US 660 [sub 9-11 (manifest disregard of the law)]; US 661 [sub 14-19 (corruption)]; US 666 [sub 2-7 (disclosure by arbitrator)]; US 668 [sub 16-21 (violation of international comity)]; US 678 [sub 12-13 (partial and final award in conflict)];
Volume XXXV (2010): Austria 22 [sub 4-6 (consumer protection)]; Canada 29 [sub 16-20 (death threats)]; France 48 [sub 9-11 (violation of bankruptcy law)]; France 49 [sub 5 (fraud)]; Germany 125 [sub 9 (assignment of contract)]; Germany 129 [sub 2-3 (sovereign immunity)]; Germany 130 [sub 6-10 (no third arbitrator’s signature)]; Germany 130 [sub 17-21 (failure to hear witness)]; Germany 130 [sub 22 (contents of award)]; Germany 133 [sub 5 (counsel fees)]; India 45 [sub 18-21 (erroneous decision)] ; Italy 181 (evaluation of evidence);; Russian Federation 28 [sub 13-23 (sham arbitration)]; Spain 65 [sub 40 (illogical reasons)]; US 682 [sub 23-26 (enforcement would violate foreign judgment)]; US 682 [sub 11-12, 14-22 and 27-32 (manifest disregard of the law)]; US 690 [sub 30-31 (incapacity to attend hearing)]; US 703 (disclosure by arbitrator); US 706 [sub 12-18 (manifest disregard of the law)]; US 706 [sub 27-31 (refusal to hear evidence)]; US 706 [sub 32-34 (award procured through undue means)]; US 711 (manifest disregard of the law);
Volume XXXVI (2011): Australia 35 [sub 141-144 (natural justice)]; Australia 36 [sub 12 and 97-105 (erroneous reasoning)]; India 46 [sub 22-26 (interpretation of contract)]; Russian Federation 32 [sub 24-30 (disproportionate damages)]; Switzerland 42 (sub 16-22 (monetary obligation already paid)]; Ukraine 1 [sub 11 and 42-43 (public interest)]; US 719 [sub 4-8 (award ordering specific performance)]; US 725 [sub 9-14 (criminal law findings)]; US 728 [sub 25-31 (pre-condition to arbitration), sub 32-34 (derivative claim) and sub 35-44 (assessment of damages)]; US 730 [sub 19-34 (counsel fees in antitrust action) and sub 35-44 (manifest disregard of the law)]; US 731 (embargo on Iran); US 732 (requirement to exhaust grievance procedure; seafarers exempt from exhausting grievance procedure); US 738 (fraud and corruption);


¶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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