Court Decisions

The court decisions available on this website interpret and apply the New York Convention. These court decisions are in most cases published in the Yearbook Commercial Arbitration since its Volume I (1976). 

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The court decisions available on this website interpret and apply the New York Convention.

  1. Most decisions are reported in the Yearbook Commercial Arbitration, published by ICCA since 1976, and are numbered as in the Yearbook (e.g., US no. 954).

  2. Other decisions are indicated by country, date, and a short name (e.g., UK 18 June 2020 Alexander Brothers).

Court decisions can be searched by country and by topic.

Court Decisions

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  • Excerpt Topics
    UK 2024-2

    The High Court held that Russia could not rely on state immunity to resist enforcement, of two Dutch awards, because the exception to state immunity in Sect. 9(1) of the State Immunity Act 1978 (SIA) applied, which provides that when a state has agreed to arbitration it is not immune as regards proceedings in the UK courts which relate to the arbitration. Russia could not argue in this respect that it had not in fact agreed to arbitration, because this argument had been raised in annulment proceedings in the Netherlands, and had been rejected by the Dutch courts, giving rise to issue estoppel. 

    High Court of Justice, Business and Property Courts Commercial Court (KBD), 1 November 2023, CL-2015-000396(Hulley Enterprises Limited, Yukos Universal Limited, and Veteran Petroleum Limited v. Russian Federation)

    105

    The court discusses issues relating to the quality of the parties, as physical or legal persons against whom enforcement of an arbitral award is sought, including the incapacity of a State to enter into an arbitration agreement, and questions relating to sovereign immunity. For the related defenses to enforcement, see Art. V(1)(a).

    "Persons, whether physical or legal" (paragraph 1) (including sovereign immunity)
    UK 2024-1

    Supreme Court, 20 September 2023

    (Republic of Mozambique v. Privinvest Shipbuilding SAL (Holding))

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
  • Excerpt Topics
    UK 125

    High Court of Justice, Business and Property Courts of England and Wales, Commercial Court, 26 October 2022, Case No: CL-2015-000396

    (Hulley Enterprises Limited et al. v. The Russian Federation)

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 124

    High Court of Justice, Queen’s Bench Division, Commercial Court, 1 August 2022, Case No: CL-2022-000322

    (QBE Europe SA/NV et al. v. Generali España de Seguros y Reaseguros)

    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    223

    The court discusses whether a certain dispute could be settled by arbitration, and the law applicable to that determination.

    Arbitrability (see also Art. V(2) sub ground a. "arbitrability", ¶519)
  • Excerpt Topics
    UK 120

    On 26 October 2021, the Supreme Court of the United Kingdom dismissed the appeal from a 20 January 2020 decision of the Court of Appeal, which had found that an ICC award rendered in Paris could not be enforced in England. The Supreme Court shared the conclusion of the lower court that the arbitrators ought to have applied English law – rather than French law, the law of the seat – to the question whether Kout Food had become a party to the Franchise Development Agreement (FDA) concluded between Kabab-Ji and a third party which had later become a subsidiary of Kout Food.
    Both courts found that the express choice of English law as the law governing the FDA extended to the arbitration clause by virtue of the FDA’s broad language, and that this finding was not affected either by the contractual choice of Paris as the seat of arbitration or by the principle of the separability of the arbitration clause, which simply ensured that the chosen means of dispute resolution survived the main agreement being or becoming unenforceable. As a matter of English law, Kout Food had not become a party to the FDA.

    Supreme Court of the United Kingdom, 26 October 2021
    (Kabab-Ji SAL (Lebanon) v. Kout Food Group (Kuwait))


     

    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UNITED KINGDOM 26 April 2021 Chenco Chemical

    An ICC arbitral tribunal seated in Switzerland had ordered Do Fluoride to pay damages for having impermissibly used Chenco’s proprietary technology (the designs for an aluminium fluoride production plant) to construct four further plants. Paragraphs 414 and 417 of the award ordered Do Fluoride, respectively, to pay contractual liquidated damages for each month that it continued to use the technology after the date of the award, with a backstop date of 31 August 2016, and interest thereon. A Commercial Court Judge granted ex parte permission to enforce the award. Do Fluoride opposed the ex parte order on several grounds, including that a factual inquiry was needed to ascertain whether Do Fluoride had continued to use the technology after the date of the award. Considering that he was not in a position to decide the factual question, another judge set aside the enforcement order, granted judgment to Chenco only in respect of the sums owed until the date of the award, and provided – with the parties’ agreement – that a further trial would be held to determine the extent of the sums, if any, owed for the period after 23 April 2013. The present decision was rendered in the further trial. The Court first held that, contrary to Do Fluoride’s opinion, the question of whether Do Fluoride was still using the technology fell within the scope of the Court’s recognition and enforcement jurisdiction. It noted that the factual enquiry before it arose out of an order made by the court following agreement by the parties, which order contained no qualification or reservations as to the court’s jurisdiction to determine the issue. On the facts on record, the Court then held that Do Fluoride had continued to use the technology, and therefore granted judgment to Chenco in the amounts owed for contractual liquidated damages.

    High Court of Justice, Queen’s Bench Division, Commercial Court, 26 April 2021, Case No: CL-2018-000809

    (Chenco Chemical Engineering and Consulting GmbH v. Do Fluoride Chemicals Co Ltd)

     

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    UK 118

    The High Court continued the stay of the proceedings for the enforcement of PCA awards rendered under the Energy Charter Treaty. The stay had been granted in 2016 pending the appeal before the Court of Appeal of The Hague of a first instance decision setting the awards aside; the stay had been granted with liberty to apply following that decision. On 18 February 2020 the The Hague Court reinstated the awards; an appeal against this decision was pending before the Supreme Court of the Netherlands. The claimants now applied to lift the stay or, subsidiarily, to adjourn the proceeding conditional upon Russia providing security in an appropriate amount. Russia claimed that the enforcement proceedings ought to remain subject to an unconditional stay or adjournment until the final resolution of the appeal to the Dutch Supreme Court, including any reference to the Court of Justice of the European Union made in the course of that appeal. The High Court concluded that the Claimants’ application should be dismissed, and that the stay should continue, without the provision of security, pending the final outcome of the proceedings in the Netherlands, as in its view (i) there was a realistic prospect that Russia would ultimately prevail before the Supreme Court of the Netherlands (the High Court considered Russia’s prospects of success above the lower end of the scale; (ii) Russia was not pursuing its appeal merely as a delaying tactic; and (iii) the risk of unfairness if Russia were to be unable to put forth its full case on state immunity as a result of the binding effect of the decision of the Court of Appeal, which decision might be reversed later by the Supreme Court of the Netherlands. The High Court relied on the principles of comity, avoidance of inconsistent decisions and efficiency in arriving at its decision.

    High Court of Justice, 14 April 2021

    (Hulley Enterprises Limited et al. v. The Russian Federation)

     

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 117

     

    On 23 November 2020, the Queen’s Division Bench rendered its decision in PAO Tatneft v. Ukraine affirming that the failure to raise a jurisdictional objection during the course of the arbitration operates as a waiver to object to the arbitral tribunal’s jurisdiction on that point during enforcement proceedings. The Court upheld the ex parte order for enforcement of the arbitral award, rejecting Ukraine's application under Section 103(2)(d) of the English Arbitration Act ("the award deals with a difference not contemplated by or falling within the terms of the submission to arbitration or contains decision on matters beyond the scope of the submission to arbitration"), which mirrors Art. V(1)(c) of the New York Convention. The Court accepted Ukraine's argument that PAO Tatneft's investment was illegal on the basis that the underlying share purchases by Seagroup and Amruz, made through the payment of promissory notes, were contrary to Ukranian legislation. The Court, however, rejected Ukraine's application to refuse enforcement of the award as it had failed to raise this particular illegality objection when challenging the tribunal's jurisdiction in the arbitration. Referring to the treatises of Van den Berg and Born, the Court held that the failure to raise a plea as to jurisdiction operates as a waiver of the point that was not raised. Further referring to the ICCA's Guide to the Interpretation of the 1958 New York Convention – A Handbook for Judges, the Court emphasized that the objection to jurisdiction must be by specific submissions and not through a general challenge.

    The Court affirmed that the discretion vested in it under Section 103(2) of the English Arbitration Act, to enforce an award notwithstanding the presence of any of the circumstances set forth under that provision, must be applied in a way that gives effect to the principles behind the New York Convention.

    High Court of Justice, Business and Property Courts of England and Wales, Queen's Bench Division, Commercial Court, 23 November 2020

    (PAO Tatneft v. Ukraine)

     

    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500A Residual power to enforce notwithstanding existence of ground for refusal
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UK 116

    The Supreme Court held that the applicable law to determine the validity and scope of an arbitration agreement—in the absence of an express choice of law applicable specifically to the arbitration agreement—is generally the law chosen as the governing law of the main contract. The choice of a different country as the seat of arbitration is in itself not sufficient to negate an inference that the choice of law to govern the main contract also applies to the arbitration agreement. Additional factors which may negate such inference are (a) any provision of the law of the seat which indicates that, where an arbitration is subject to that law, the arbitration will also be treated as governed by that country’s law; or (b) the existence of a serious risk that, if governed by the same law as the main contract, the arbitration agreement would be ineffective.

     Where there is no express or implied choice of a law governing the contract, however, the arbitration agreement is governed by the law with which it is most closely connected, namely, the law of the seat of arbitration. In the case at hand, the Supreme Court held that the applicable law to the arbitration agreement was English law as (a) there was no express or implied choice of law governing the main contract and, consequently, the arbitration agreement; and (ii) the arbitration agreement had its closest and most real connection with English law, being the law of the seat. The Court observed, inter alia, that the conflict rules of Article V(1)(a) of the New York Convention, applicable to the enforcement of the award, are also applicable at the stage of enforcement of the arbitration agreement under Article II(3) of the Convention.

     The Court further observed that the law governing the arbitration agreement is not relevant for the exercise of jurisdiction by the English courts over an application for anti-suit injunction, i.e., it is irrelevant whether the arbitration agreement is governed by English law or by foreign law. Article II(3) of the Convention pertains to the recognition and enforcement of arbitration agreements and does not concern issues of jurisdiction.

    Supreme Court of the United Kingdom, 9 October 2020

    (Enka Insaat Ve Sanayi AS v. OOO Insurance Company Chubb)

    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 18 June 2020 Alexander Brothers

    The Court granted enforcement of an ICC award rendered in Geneva, rejecting a public policy objection based on allegations of bribery.

    High Court of Justice, Commercial Court, Queen’s Bench Division, 18 June 2020

    (Alexander Brothers Limited (Hong KongS.A.R.) v. Alstom Transport SA and Alstom Network UK Limited)

    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 115

    The High Court dismissed the application to set aside an order granting enforcement of an SCC award. The Court found that the agreement for SCC arbitration in the contract between the parties was valid under the law of Sweden, which was the law applicable to determine the issue of the agreement’s validity because the choice of a neutral forum was a strong indication of an implied choice for Swedish law in this respect. The choice of Sweden as the seat of the arbitration also gave rise to a reasonable inference that the parties knew they were agreeing to the application of the Swedish Arbitration Act, which stated that if the parties did not agree on the law applicable to the arbitration agreement, that law was the law of the place of arbitration; this choice also made Swedish law the law with the closest connection to the arbitration. The Court also held that prior court decisions, in Ukraine and Sweden, did not give rise to issue estoppel on the question of the validity of the arbitration agreement, because there was no identity of subject matter in the actions. Further, the defendant was estopped from arguing that it had been deprived of the right to due process in the arbitration, because the curial court of Sweden had already rejected this contention.

    High Court of Justice, Queen's Bench Division, Commercial Court, 31 March 2020
    (Carpatsky Petroleum Corporation v. PJSC Ukrnafta)

    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    UK 114

    The Court of Appeal confirmed the decision of the High Court to set aside an order enforcing an ICC award rendered in Paris. The Court agreed with the lower court that express choice of English law as the law governing the main agreement extended to the arbitration clause by virtue of the provision in the main agreement that it had to be “considered as a whole” Neither the choice for a Paris seat of arbitration nor the principle of the separability of the arbitration agreement did not change this conclusion. The latter simply ensuring that the chosen means of dispute resolution survived the main agreement becoming unenforceable; it did not preclude the arbitration agreement being construed with the remainder of the main agreement as a whole. The High Court had then correctly found that the respondent had not become a party to the main agreement and the arbitration agreement therein. The Court of Appeal held that having reached this conclusion, the High Court should have denied enforcement rather than adjourning the proceeding, as it did, for a possible further hearing after the determination of the annulment application which was pending against the award in France: the decision of the French court was not relevant to the questions of English law, particularly since that court would not apply Art. V(1)(a) of the 1958 New York Convention in determining the law of the arbitration agreement, but domestic French law.

    Court of Appeal (Civil Division), 20 January 2020
    Kabab-Ji S.A.L. v. Kout Food Group

    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
  • Excerpt Topics
    UK 113

    High Court of Justice, Business and Property Courts of 
England and Wales, Technology and Construction Court (QBD), 
13 August 2019
    AIC Limited v. The Federal Airports Authority of Nigeria

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 112

    UK 112. Eastern European Engineering Ltd v. Vijay Construction (Proprietary) Ltd, High Court of Justice, Case No. CL-2015-000613, 11 October 2018

    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 111

    UK 111. Anatolie Stati v. The Republic of Kazakhstan, Court of Appeal, Case No. A4/2018/1309, 10 August 2018

    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
  • Excerpt Topics
    UK 110

    UK 110. Zavod Ekran OAO v. Magneco Metrel UK Ltd, High Court of Justice, Queen’s Bench Division, Commercial Court, Case No. CL-2016-000720, 1 September 2017

    503

    The court discusses the burden of proof of the grounds for refusing enforcement under the Convention.

    Burden of proof on respondent
    509

    Due process: The court discusses what constitutes “proper notice” of the appointment of the arbitrators or of the arbitration proceedings.

    "Proper notice"
    UK 109

    UK 109. Nikolay Viktorovich Maximov v. Open .Joint Stock Company “Novolipetsky Metallurgichesky Kombinat”, High Court of Justice, 27 July 2017

    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    UK 108

    UK 108. Anatolie Stati v. The Republic of Kazakhstan, High Court of Justice, Queen’s Bench Division, Commercial Court, 6 June 2017

    518

    Public policy: The court discusses the meaning of (international as compared to domestic) public policy, generally defined as the basic notions of morality and justice of the enforcement State.

    Paragraph 2 - Distinction domestic-international public policy
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 107

    UK 107. Eastern European Engineering Ltd v. Vijay Construction (Proprietary) Ltd, High Court of Justice, Queen's Bench Division, Commercial Court, 11 April 2017

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 106

    UK 106. Nigerian National Petroleum Corporation v. IPCO (Nigeria) Limited, Supreme Court of the United Kingdom, 1 March 2017

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 105

    UK 105. Sinocore International Co Ltd v. RBRG Trading (UK) Ltd, Hight Court of Justice, Queen's Bench Division, 17 February 2017

    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    500A Residual power to enforce notwithstanding existence of ground for refusal
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
  • Excerpt Topics
    UK 104

    UK 104. Pencil Hill Limited v. US Citta Di Palermo S.p.A, Hight Court of Justice, Queen's Bench Division, Case No: BA40MA109, 19 January 2016

    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    518

    Public policy: The court discusses the meaning of (international as compared to domestic) public policy, generally defined as the basic notions of morality and justice of the enforcement State.

    Paragraph 2 - Distinction domestic-international public policy
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
  • Excerpt Topics
    UK 102

    UK 102. IPCO (Nigeria) Limited v. Nigerian National Petroleum Corporation, Court of Appeal, Civil Division, 10 November 2015

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 100

    UK 100. High Court of Justice, Northern Ireland, Queen's Bench Division, Commercial Court, 1 July 2015

    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500A Residual power to enforce notwithstanding existence of ground for refusal
    509

    Due process: The court discusses what constitutes “proper notice” of the appointment of the arbitrators or of the arbitration proceedings.

    "Proper notice"
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    UK 103

    UK 103. Consolidated Resources Armenia v. Global Gold Consolidated Resources Limited et al., Jersey Court of Appeal, 27 March 2015

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    UK 101

    UK 101. Malicorp Limited v. Government of the Arab Republic of Egypt et al., High Court of Justice, Queen’s Bench Division (Commercial Court), 19 February 2015

    500A Residual power to enforce notwithstanding existence of ground for refusal
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 99

    UK 99. High Court of Justice, Queen’s Bench Division, Commercial Court, 3 July 2014

    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    UK 98

    UK 98. High Court of Justice, Queen’s Bench Division, Commercial Court, 22 May 2014

    113

    The court discusses aspects relating to the implementation of the Convention in a Contracting State: the self-executing nature of the Convention v. the requirement of implementing legislation; the lack of implementing legislation; legislation that diverges from the text of the Convention or is defective under national law. Also, the domestic requirement that a State be included in an official list (“gazetted”) to ascertain reciprocity.

    Implementing legislation
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    503

    The court discusses the burden of proof of the grounds for refusing enforcement under the Convention.

    Burden of proof on respondent
    514 Ground e: Award not binding, suspended or set aside - "Binding"
    UK 97

    UK 97. Privy Council, 13 May 2014

    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UK 96

    UK 96. Court of Appeal, Civil Division, 27 March 2014

    404

    The court discusses issues relating to the manner of authentication and certification of the award and/or arbitration agreement.

    Authentication and certification
    509

    Due process: The court discusses what constitutes “proper notice” of the appointment of the arbitrators or of the arbitration proceedings.

    "Proper notice"
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 95

    UK 95. High Court of Justice, Queen's Bench Division, Commercial Court, 14 March 2014

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 94

    UK 94. Court of Appeal, Civil Division, 27 June 2012

    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
  • Excerpt Topics
    UK 93

    UK 93. High Court of Justice, Queen's Bench Division, Commercial Court, 27 July 2011

    UK 93. High Court of Justice, Queen's Bench Division, Commercial Court, 27 July 2011

    500A Residual power to enforce notwithstanding existence of ground for refusal
    514 Ground e: Award not binding, suspended or set aside - "Binding"
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 92

    UK 92. Supreme Court, 3 November 2010

    001

    The court discusses general questions relating to the interpretation of the Convention as an international treaty, also in respect of the methods of interpretation laid down in the 1969 Vienna Convention; the relationship between the New York Convention and the UNCITRAL Model Law and Recommendation 2006. 

    Interpretation of the Convention
    500A Residual power to enforce notwithstanding existence of ground for refusal
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    UK 91

    UK 91. High Court of Justice, Queen's Bench Division, Commercial Court, 30 March 2010

    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    517

    Award not binding, suspended or set aside: The court discusses the meaning of an award having been “suspended” in the country of origin, including when the award has been suspended by operation of law rather than by a court decision.

    "Suspended"
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 90

    UK 90. Court of Appeal, Civil Division, 10 February 2010

    206

    The court discusses the second alternative requirement of Art. II(2) that the arbitration agreement is “contained in an exchange of letters or telegrams”.

    Exchange of letters or telegrams
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
  • Excerpt Topics
    UK 89

    UK 89. Court of Appeal, Civil Division, 17 December 2009

    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 88

    UK 88. High Court of Justice, Queen's Bench Division, 30 October 2009

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 87

    UK 87. Court of Appeal, Civil Division, 20 July 2009

    001

    The court discusses general questions relating to the interpretation of the Convention as an international treaty, also in respect of the methods of interpretation laid down in the 1969 Vienna Convention; the relationship between the New York Convention and the UNCITRAL Model Law and Recommendation 2006. 

    Interpretation of the Convention
    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    UK 86

    UK 86. High Court of Justice, Queen's Bench Division, Commercial Court, 21 May 2009

    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    227

    Multi-party disputes: The court discusses whether related court proceedings may absorb (by vis atractiva) arbitration proceedings.

    Concurrent court proceedings ("indivisibility")
    UK 85

    UK 85. High Court of Justice, Queen's Bench Division, Commercial Court, 7 May 2009

    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 84

    UK 84. High Court of Justice, Queen's Bench Division, Commercial Court, 1 April 2009

    211

    The court discusses issues specific to bills of lading and charterparties, such as whether the subsequent holder of the bill of lading is bound by the arbitration agreement therein and whether the arbitration clause in the charterparty is incorporated into the bill of lading.

    Bill of lading and charter party
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    224

    The court discusses whether a declaratory judgment on the validity of the arbitration agreement is available under the Convention.

    Declaratory judgment on validity arbitration agreement
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
  • Excerpt Topics
    UK 83

    UK 83. High Court of Justice, Queen's Bench Division, Commercial Court, 30 July 2008

    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 82

    UK 82. High Court of Justice, Queen's Bench Division, Commercial Court, 17 April 2008 and Court of Appeal, Civil Division, 21 October 2008

    001

    The court discusses general questions relating to the interpretation of the Convention as an international treaty, also in respect of the methods of interpretation laid down in the 1969 Vienna Convention; the relationship between the New York Convention and the UNCITRAL Model Law and Recommendation 2006. 

    Interpretation of the Convention
    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    110

    The court discusses the definition of “arbitral award”, and the application of the Convention to the various types of award, including awards on specific performance, awards enjoining a party from certain conduct, declaratory awards, etc. Also, whether preliminary, partial, interim, interlocutory awards, and awards by consent can be enforced under the Convention.

    Arbitral award: types
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
  • Excerpt Topics
    UK 81

    UK 81. High Court of Justice, Queen's Bench Division, Commercial Court, 16 July 2007

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    UK 80

    UK 80. High Court of Justice, Queen's Bench Division, Commercial Court, 28 June 2007 and Court of Appeal, Civil Division, 5 December 2007

    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 79

    UK 79. High Court of Justice, Queen's Bench Division, Commercial Court, 22 March 2007

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    503

    The court discusses the burden of proof of the grounds for refusing enforcement under the Convention.

    Burden of proof on respondent
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 78

    UK 78. House of Lords, 21 February 2007

    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 77

    UK 77. Court of Appeal, Civil Division, 24 January 2007 and House of Lords, 17 October 2007

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    703(A) Multilateral treaties
  • Excerpt Topics
    UK 76

    UK 76. Court of Appeal, Civil Division, 13 November 2006

    105

    The court discusses issues relating to the quality of the parties, as physical or legal persons against whom enforcement of an arbitral award is sought, including the incapacity of a State to enter into an arbitration agreement, and questions relating to sovereign immunity. For the related defenses to enforcement, see Art. V(1)(a).

    "Persons, whether physical or legal" (paragraph 1) (including sovereign immunity)
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    519

    Public policy: The court discusses cases in which the subject matter of the award was not arbitrable in the enforcement State on public policy grounds.

    Ground a: Arbitrability
    UK 75

    UK 75. High Court of Justice, Queen's Bench Division, Commercial Court, 24 March 2006

    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    703(A) Multilateral treaties
    UK 74

    UK 74. Court of Appeal, Civil Division, 8 March 2006

    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    UK 73

    UK 73. Court of Appeal, Civil Division, 21 February 2006 and 8 March 2006

    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    502

    The court discusses the principle that the merits of the award may not be reviewed and that the court may only carry out a limited review of the award to ascertain grounds for refusal.

    No re-examination of the merits of the arbitral award
    509

    Due process: The court discusses what constitutes “proper notice” of the appointment of the arbitrators or of the arbitration proceedings.

    "Proper notice"
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
  • Excerpt Topics
    UK 72

    UK 72. High Court of Justice, Queen's Bench Division, Commercial Court, 4 November 2005

    105

    The court discusses issues relating to the quality of the parties, as physical or legal persons against whom enforcement of an arbitral award is sought, including the incapacity of a State to enter into an arbitration agreement, and questions relating to sovereign immunity. For the related defenses to enforcement, see Art. V(1)(a).

    "Persons, whether physical or legal" (paragraph 1) (including sovereign immunity)
    107

    The court discusses the relevance and determination of the commercial nature of the relationship underlying the award, including in the context of contractual and non-contractual relations.

    Second reservation ("commercial reservation") (paragraph 3)
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    519

    Public policy: The court discusses cases in which the subject matter of the award was not arbitrable in the enforcement State on public policy grounds.

    Ground a: Arbitrability
    UK 71

    UK 71. High Court of Justice, Queen's Bench Division, Commercial Court, 29 April 2005 and Court of Appeal, Civil Division, 9 September 2005

    203-204 Formal validity, uniform law and municipal law
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    704(B) Bilateral Treaties
    UK 70

    UK 70. High Court of Justice, Queen's Bench Division, Commercial Court, 27 April 2005

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    103

    The court discusses the impact of the nationality of the parties on the application of the Convention. 

    Nationality of the parties no criterion
    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    517

    Award not binding, suspended or set aside: The court discusses the meaning of an award having been “suspended” in the country of origin, including when the award has been suspended by operation of law rather than by a court decision.

    "Suspended"
    518

    Public policy: The court discusses the meaning of (international as compared to domestic) public policy, generally defined as the basic notions of morality and justice of the enforcement State.

    Paragraph 2 - Distinction domestic-international public policy
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 69

    UK 69. High Court of Justice, Queen's Bench Division, Commercial Court, 21 March 2005

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    UK 68

    UK 68. High Court of Justice, Queen's Bench Division, Commercial Court, 11 January 2005

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    401

    The court discusses the general conditions the Convention imposes on a petitioner for seeking recognition and enforcement of an arbitral award – namely, the submission of the original arbitration agreement or arbitral award or a certified copy thereof – and examines in general whether these conditions were complied in the case at issue.

    Conditions to be fulfilled by petitioner in general
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
  • Excerpt Topics
    UK 67

    UK 67. Court of Appeal, Civil Division, 2 December 2004

    001

    The court discusses general questions relating to the interpretation of the Convention as an international treaty, also in respect of the methods of interpretation laid down in the 1969 Vienna Convention; the relationship between the New York Convention and the UNCITRAL Model Law and Recommendation 2006. 

    Interpretation of the Convention
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    224

    The court discusses whether a declaratory judgment on the validity of the arbitration agreement is available under the Convention.

    Declaratory judgment on validity arbitration agreement
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 66

    UK 66. High Court of Justice, Queen's Bench Division, Commercial Court and Admiralty Court, 27 May 2004

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
  • Excerpt Topics
    UK 64

    UK 64. High Court of Justice, Queen's Bench Division, Commercial Court, 18 October 2002

    106

    The court discusses issues relating to the identity of the party against whom enforcement of the arbitral award is sought, including: piercing of the corporate veil, succession, assignment, State or State entity, group of companies, agent or principal, etc. For the related defenses to enforcement, see Art. V(1)(a).

    Problems concerning the identity of a party
    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    502

    The court discusses the principle that the merits of the award may not be reviewed and that the court may only carry out a limited review of the award to ascertain grounds for refusal.

    No re-examination of the merits of the arbitral award
    UK 63

    UK 63. Court of Appeal, Civil Division, 22 May 2002

    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    UK 65

    UK 65. High Court of Justice, Queen's Bench Division, Commercial Court, 25 April 2002 and 14 October 2002 and Court of Appeal, Civil Division, 3 July 2003

    209 Incorporation by reference and standard conditions
    211

    The court discusses issues specific to bills of lading and charterparties, such as whether the subsequent holder of the bill of lading is bound by the arbitration agreement therein and whether the arbitration clause in the charterparty is incorporated into the bill of lading.

    Bill of lading and charter party
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    224

    The court discusses whether a declaratory judgment on the validity of the arbitration agreement is available under the Convention.

    Declaratory judgment on validity arbitration agreement
    UK 60

    UK 60. Court of Appeal, Civil Division, 18 April 2002

    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 59

    UK 59. Court of Appeal, Civil Division, 15 February 2002

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    212

    The court discusses issues specific to an arbitration agreement concluded through an agent or broker, e.g., whether the authorization to conclude it must also be in writing.

    Agent/broker, etc.
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
  • Excerpt Topics
    UK 62

    UK 62. High Court of Justice, Queen's Bench Division, Commercial Court, 7 December 2001 and 28 August 2002

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    UK 61

    UK 61. High Court of Justice, Queen's Bench Division, Commercial Court, 4 October 2001

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    UK 58

    UK 58. High Court of Justice, Queen's Bench Division, Commercial Court, 19 January 2001

    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    518

    Public policy: The court discusses the meaning of (international as compared to domestic) public policy, generally defined as the basic notions of morality and justice of the enforcement State.

    Paragraph 2 - Distinction domestic-international public policy
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
  • Excerpt Topics
    UK 57

    UK 57. High Court of Justice, Queen's Bench Division, Commercial Court, 28 July 1999

    203-204 Formal validity, uniform law and municipal law
    206

    The court discusses the second alternative requirement of Art. II(2) that the arbitration agreement is “contained in an exchange of letters or telegrams”.

    Exchange of letters or telegrams
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    223

    The court discusses whether a certain dispute could be settled by arbitration, and the law applicable to that determination.

    Arbitrability (see also Art. V(2) sub ground a. "arbitrability", ¶519)
    227

    Multi-party disputes: The court discusses whether related court proceedings may absorb (by vis atractiva) arbitration proceedings.

    Concurrent court proceedings ("indivisibility")
    UK 55

    UK 55. High Court of Justice, Queen's Bench Division, Commercial Court, 24 May 1999

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 54

    UK 54. Court of Appeal, Civil Division, 12 May 1999

    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 53

    UK 53. High Court of Justice, Queen's Bench Division, Commercial Court, 20 January 1999

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    104

    The court discusses whether the Convention applies to domestic arbitration and to proceedings for the setting aside of domestic awards. 

    Convention's applicability in other cases
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    503

    The court discusses the burden of proof of the grounds for refusing enforcement under the Convention.

    Burden of proof on respondent
    511

    Due process: The court discusses various irregularities affecting due process, including letters not sent, names of arbitrators or experts not communicated, language of proceedings and communications, etc.

    "Otherwise unable to present his case"
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
  • Excerpt Topics
    UK 56

    UK 56. Court of Appeal, Civil Division, 30 September 1998 and House of Lords, 9 March 2000

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    223

    The court discusses whether a certain dispute could be settled by arbitration, and the law applicable to that determination.

    Arbitrability (see also Art. V(2) sub ground a. "arbitrability", ¶519)
  • Excerpt Topics
    UK 50

    UK 50. Court of Appeal, Civil Division, 19 December 1997

    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    UK 51

    UK 51. High Court of Justice, Queen's Bench Division, Commercial Court, 19 December 1997

    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 49

    UK 49. Court of Appeal, Civil Division, 16 December 1997 and Court of Appeal, Civil Division, 16 December 1997

    001

    The court discusses general questions relating to the interpretation of the Convention as an international treaty, also in respect of the methods of interpretation laid down in the 1969 Vienna Convention; the relationship between the New York Convention and the UNCITRAL Model Law and Recommendation 2006. 

    Interpretation of the Convention
    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    518

    Public policy: The court discusses the meaning of (international as compared to domestic) public policy, generally defined as the basic notions of morality and justice of the enforcement State.

    Paragraph 2 - Distinction domestic-international public policy
    UK 48

    UK 48. High Court of Justice, Queen's Bench Division, Commercial Court, 7 March 1997

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    206

    The court discusses the second alternative requirement of Art. II(2) that the arbitration agreement is “contained in an exchange of letters or telegrams”.

    Exchange of letters or telegrams
    UK 52

    UK 52. High Court of Justice, Queen's Bench Division, Commercial Court, 20 January 1997

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    202

    The court discusses the form in which the arbitration agreement is expressed: short form arbitration clause, reference to rules of institution, etc.

    Contents of arbitration agreement
    229

    Related court proceedings: The court discusses measures in aid of arbitration (e.g., anti-suit injunction). This topic also includes the issue of the relationship between the Convention and the recognition of a foreign judgment on the validity of the arbitration agreement.

    Measures in aid of arbitration anti-suit injunction
    303

    The court discusses the conditions under which a party may be estopped from raising a ground for refusal of enforcement under the Convention or has waived the right to raise it.

    Estoppel/waiver
    500

    The court discusses the overall scheme and/or pro-enforcement bias of the Convention.

    Grounds for refusal of enforcement in general
    507

    Invalidity of the arbitration agreement: The court discusses other cases of invalidity of the arbitration agreement, including that there was no agreement at all or that the party was not a signatory thereto, that the incorrect arbitral institution was chosen, etc.

    Miscellaneous cases regarding the arbitration agreement
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
  • Excerpt Topics
    UK 46

    UK 46. Court of Appeal, Civil Division, 12 July 1996

    214-216 Field of application
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    223

    The court discusses whether a certain dispute could be settled by arbitration, and the law applicable to that determination.

    Arbitrability (see also Art. V(2) sub ground a. "arbitrability", ¶519)
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 47

    UK 47. High Court of Justice, Queen's Bench Division, Commercial Court, 17 January 1996

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    704(C) Art. VII(1): European Union (Treaties and Legislation)
  • Excerpt Topics
    UK 45

    UK 45. High Court of Justice, Queen's Bench Division, Commercial Court, 14 December 1995

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    515

    Award not binding, suspended or set aside: The court discusses the conditions under which an award that has merged into a court judgment in the country of origin can still be enforced as an award under the Convention, and whether a decision granting recognition under the Convention can be enforced as a foreign court judgment in a third country.

    Merger of award into judgment
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 44

    UK 44. Court of Appeal, Civil Division, 15 February 1995

    211

    The court discusses issues specific to bills of lading and charterparties, such as whether the subsequent holder of the bill of lading is bound by the arbitration agreement therein and whether the arbitration clause in the charterparty is incorporated into the bill of lading.

    Bill of lading and charter party
    214-216 Field of application
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
  • Excerpt Topics
    UK 40

    UK 40. High Court of Justice, Queen's Bench Division, Commercial Court, 14 November 1994

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    UK 43

    UK 43. Court of Appeal, Civil Division, 17 May 1994

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    227

    Multi-party disputes: The court discusses whether related court proceedings may absorb (by vis atractiva) arbitration proceedings.

    Concurrent court proceedings ("indivisibility")
    704(C) Art. VII(1): European Union (Treaties and Legislation)
    UK 42

    UK 42. High Court of Justice, Queen's Bench Division, Commercial Court, 21 March 1994

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    227

    Multi-party disputes: The court discusses whether related court proceedings may absorb (by vis atractiva) arbitration proceedings.

    Concurrent court proceedings ("indivisibility")
  • Excerpt Topics
    UK 41

    UK 41. Court of Appeal, Civil Division, 20 May 1993

    102

    The court discusses which awards are considered non-domestic even if rendered in the State of enforcement (international element, lex mercatoria).

    Arbitral award not considered as domestic (paragraph 1)
    214-216 Field of application
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)
    UK 38

    UK 38. Court of Appeal, Civil Division, 12 March 1993

    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 39

    UK 39. Court of Appeal, Civil Division, 28 January 1993

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    UK 37

    UK 37. House of Lords, 21 January 1993

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
  • Excerpt Topics
    UK 36

    UK 36. Court of Appeal, Civil Division, 8 October 1992

    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
    UK 33

    UK 33. Court of Appeal, Civil Division, 22 January 1992

    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
  • Excerpt Topics
    UK 32

    UK 32. House of Lords, 24 July 1991

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    102

    The court discusses which awards are considered non-domestic even if rendered in the State of enforcement (international element, lex mercatoria).

    Arbitral award not considered as domestic (paragraph 1)
    516

    Award not binding, suspended or set aside: The court discusses the difference between the exclusive jurisdiction to set aside an award (primary jurisdiction), which belongs to the courts of the country of origin of the award, and the jurisdiction of all other courts to recognize and enforce the award (secondary jurisdiction); issues relating to the determination of the “competent authority”; and whether an award that has been set aside in the country of origin can be enforced in another State under the Convention.

    "Set aside"
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 35

    UK 35. High Court of Justice, Queen's Bench Division, Commercial Court, 18 February 1991

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
  • Excerpt Topics
    UK 29

    UK 29. High Court of Justice, Queen's Bench, Commercial Court, 16 November 1990

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    UK 34

    UK 34. High Court of Justice, Queen's Bench Division, Commercial Court, 22 March 1990

    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    UK 31

    UK 31. House of Lords, 25 January 1990

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
  • Excerpt Topics
    UK 30

    UK 30. High Court of Justice, Queen's Bench Division, 21 December 1988

    214-216 Field of application
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    UK 27

    UK 27. House of Lords, 23 June 1988

    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    UK 28

    UK 28. High Court of Justice, Queen's Bench Division, Commercial Court, 12 January 1988

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
  • Excerpt Topics
    UK 22

    UK 22. Court of Appeal, Civil Division, 24 March 1987

    101

    The court discusses the determination and relevance of the place where the award was made (in a foreign State or another contracting State.

    Award made in the territory of another (Contracting) State (paragraphs 1 and 3 - first or "reciprocity" reservation)
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    226

    Multi-party disputes: The court discusses under which conditions non-signatories are covered by an arbitration agreement entered into by another party.

    Third parties (see also Art. I sub F "problems concerning the identity of the respondent", ¶106)
    301

    The court discusses the principle that the procedure for the enforcement of awards under the Convention is governed by the lex fori, as well as procedural issues (such as the competent enforcement court) not falling under the specific cases of ¶¶ 302-307.

    Procedure for enforcement in general
    506

    Invalidity of the arbitration agreement: The court discusses the law applicable to the validity of the arbitration agreement at the enforcement stage.

    Law applicable to the arbitration agreement
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    524

    Public policy: The court discusses the effect of other alleged violations of public policy on the recognition and enforcement of an arbitral award, such as contradictory reasons, manifest disregard of the law (US), etc.

    Other cases
    UK 26

    UK 26. Court of Appeal, Civil Division, 19 March 1987

    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    226

    Multi-party disputes: The court discusses under which conditions non-signatories are covered by an arbitration agreement entered into by another party.

    Third parties (see also Art. I sub F "problems concerning the identity of the respondent", ¶106)
  • Excerpt Topics
    UK 25

    UK 25. High Court of Justice, Queen's Bench Division, Commercial Court, 20 November 1986

    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    UK 24

    UK 24. Court of Appeal, Civil Division, 16 May 1986

    206

    The court discusses the second alternative requirement of Art. II(2) that the arbitration agreement is “contained in an exchange of letters or telegrams”.

    Exchange of letters or telegrams
    214-216 Field of application
  • Excerpt Topics
    UK 23

    UK 23. Court of Appeal, Civil Division, 14 October 1985

    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    UK 20

    UK 20. High Court of Justice, Queen's Bench Division, Commercial Court, 26 July 1985

    114

    The court discusses whether awards rendered by the Iran-US Claims Tribunal fall under the Convention.

    Iran-US Claims Tribunal
    501

    The court discusses questions relating to the general approach taken by the Convention to the grounds for refusal of recognition and enforcement, including its pro-enforcement bias, as well as the system of the Convention, under which recognition and enforcement may only be denied on seven listed grounds and the petitioner has only the obligations set out in Art. IV.

    Grounds are exhaustive
    503

    The court discusses the burden of proof of the grounds for refusing enforcement under the Convention.

    Burden of proof on respondent
    514 Ground e: Award not binding, suspended or set aside - "Binding"
  • Excerpt Topics
    UK 21

    UK 21. High Court of Justice, Queen's Bench Division, 11 April 1984

    306

    The court discusses the applicable period of limitation for seeking enforcement of an award.

    Period of limitation for enforcement
    UK 19

    UK 19. Court of Appeal, Civil Division, 6 April 1984

    214-216 Field of application
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
    UK 17

    UK 17. High Court of Justice, Queen's Bench Division, Commercial Court, 19 March 1984 and Court of Appeal, Civil Division, 19 March 1984

    105

    The court discusses issues relating to the quality of the parties, as physical or legal persons against whom enforcement of an arbitral award is sought, including the incapacity of a State to enter into an arbitration agreement, and questions relating to sovereign immunity. For the related defenses to enforcement, see Art. V(1)(a).

    "Persons, whether physical or legal" (paragraph 1) (including sovereign immunity)
    505 Incapacity of party
    601

    The court discusses the conditions for granting adjournment of a proceeding relating to the recognition and enforcement of an arbitral award, and the court’s discretionary power to do so, as well the determination of “suitable security” and the power to request it.

    Adjournment of decision on enforcement
    UK 18

    UK 18. House of Lords, 1 March 1984

    112

    The court discusses whether the Convention may be applied retroactively and, if so, as of when: e.g., with the conclusion of the arbitration agreement, the commencement of arbitration, the rendition of the award.

    Retroactivity
    705

    The court discusses the relationship between the New York Convention, the Geneva Protocol on Arbitration Clauses of 1923, and the Geneva Convention on the Execution of Foreign Arbitral Awards of 1927.

    Relationship with Geneva Treaties of 1923 and 1927
  • Excerpt Topics
    UK 14

    UK 14. Court of Appeal, Civil Division, 17 March 1983

    112

    The court discusses whether the Convention may be applied retroactively and, if so, as of when: e.g., with the conclusion of the arbitration agreement, the commencement of arbitration, the rendition of the award.

    Retroactivity
    306

    The court discusses the applicable period of limitation for seeking enforcement of an award.

    Period of limitation for enforcement
    705

    The court discusses the relationship between the New York Convention, the Geneva Protocol on Arbitration Clauses of 1923, and the Geneva Convention on the Execution of Foreign Arbitral Awards of 1927.

    Relationship with Geneva Treaties of 1923 and 1927
  • Excerpt Topics
    UK 13

    UK 13. Court of Appeal, Civil Division, 23 June 1982

    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    225

    Multi-party disputes: The court discusses the consolidation of arbitrations; also, whether the possibility of conflicting awards is a ground for refusing enforcement of an arbitration agreement.

    Related arbitrations (consolidation, etc.)
    UK 16

    UK 16. High Court of Justice, Queen's Bench Division, Commercial Court, 10 June 1982

    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    UK 15

    UK 15. Court of Appeal, Civil Division, 23 March 1982

    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
  • Excerpt Topics
    UK 9

    UK 9. High Court of Justice, Queen's Bench Division, Commercial Court, 19 February 1981

    112

    The court discusses whether the Convention may be applied retroactively and, if so, as of when: e.g., with the conclusion of the arbitration agreement, the commencement of arbitration, the rendition of the award.

    Retroactivity
    705

    The court discusses the relationship between the New York Convention, the Geneva Protocol on Arbitration Clauses of 1923, and the Geneva Convention on the Execution of Foreign Arbitral Awards of 1927.

    Relationship with Geneva Treaties of 1923 and 1927
  • Excerpt Topics
    UK 12

    UK 12. Court of Appeal, Civil Division, 3-4 December 1980

    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    UK 10

    UK 10. High Court of Justice, Queen's Bench Division, Commercial Court, 25 July 1980

    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
  • Excerpt Topics
    UK 11

    UK 11. High Court of Justice, Queen's Bench Division, Admiralty Court, 12-15 November 1979

    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
  • Excerpt Topics
    UK 5

    UK 5. High Court of Justice, Chancery Division, 31 January 1978

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
  • Excerpt Topics
    UK 6

    UK 6. High Court of Justice, Queen's Bench Division, Admiralty Court, 12-21 December 1977 and 13 January 1978

    211

    The court discusses issues specific to bills of lading and charterparties, such as whether the subsequent holder of the bill of lading is bound by the arbitration agreement therein and whether the arbitration clause in the charterparty is incorporated into the bill of lading.

    Bill of lading and charter party
    214-216 Field of application
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
    UK 8

    UK 8. Court of Appeal, Civil Division, 4 November 1977

    214-216 Field of application
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    222

    The court discusses the principle of competence-competence, including whether the parties “intended to have arbitrability decided by an arbitrator”, and the separability of the arbitration agreement from the main contract.

    Arbitrator's competence and separability of the arbitration clause
    UK 4

    UK 4. High Court of Justice, Chancery Division, 4-6 October 1977

    214-216 Field of application
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    226

    Multi-party disputes: The court discusses under which conditions non-signatories are covered by an arbitration agreement entered into by another party.

    Third parties (see also Art. I sub F "problems concerning the identity of the respondent", ¶106)
    UK 3

    UK 3. Court Of Appeal, Civil Division, 20-21 July 1977

    214-216 Field of application
    217

    The court discusses the meaning and effect of the referral of the resolution of disputes to arbitration, including: who can ask for referral and when, whether a party has waived its right to request arbitration, the defense that there was no contract at all; whether there was a condition precedent to the commencement of arbitration (e.g. mediation), stay of proceedings v. compelling arbitration, and national procedural specificities such as remand and removal (US), effect of class action. etc.

    Referral to arbitration in general
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    219

    The court discusses how to determine that there is a dispute as a condition for referral to arbitration.

    There must be a dispute
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    UK 7

    UK 7. Admiralty Court, Queen's Bench Division, 14 January 1977

    112

    The court discusses whether the Convention may be applied retroactively and, if so, as of when: e.g., with the conclusion of the arbitration agreement, the commencement of arbitration, the rendition of the award.

    Retroactivity
    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    228

    Related court proceedings: The court discusses whether provisional measures, such as the pre-award attachment of assets, are compatible with the Convention.

    Pre-award attachment and other provisional measures
  • Excerpt Topics
    UK 2

    UK 2. House Of Lords, 6-14 December 1976 and 16 February 1977

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    UK 1

    UK 1. Court of Appeal, Civil Division, 2-8 April 1976

    201

    The court discusses whether the dispute falls within the wording of the arbitration agreement; and whether claims in tort fall within the scope of the agreement.

    Scope of arbitration agreement
    214-216 Field of application
    218

    The court discusses whether referral of the resolution of disputes to arbitration is mandatory under the Convention and whether mandatory referral is an internationally uniform rule which supersedes municipal law.

    Referral is mandatory
    220

    The court discusses how to interpret the Convention’s requirement that the agreement is not null and void etc., as well as specific cases of invalidity: e.g., lack of consent (misrepresentation, duress, or fraud), vague wording of the arbitral clause; other terms of the contract contradict the intention to arbitrate, etc.

    "Null and void", etc.
    221

    The court discusses which law – lex fori, lex contractus, law of the State where the award will be made – applies specifically to determining whether an agreement to arbitrate is “null and void etc.“, and, by extension, which law applies to determining the validity of arbitration agreements.

    Law applicable to "Null and void", etc. (for formal validity and applicable law, see Art. II, ¶204)