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.

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  • Excerpt Topics
    UNITED STATES 12 June 2026 Venezuela US SRL

    United States Court of Appeals, District of Columbia Circuit , 12 June 2026

    (Venezuela US SRL v. Bolivarian Republic of Venezuela)

    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
    UNITED STATES 29 May 2026 Global Voice

    United States Court of Appeals, District of Columbia Circuit, 29 May 2026

    (Global Voice Group SA v. Republic of Guinea)

    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)
    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
    UNITED STATES 3 October 2025 Deutsche Telekom

    United States Court of Appeals, District of Columbia Circuit, 3 October 2025, No. 24-7081

    (Republic of India v. Deutsche Telekom, A.G.)

    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
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    UNITED STATES 8 September 2025 Mercuria Energy

    United States District Court, District of Columbia, 8 September 2025, Case No. 1:23-cv-03572 (TNM)

    (Mercuria Energy Group Limited v. Republic of Poland)

     

    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)
    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"
    UNITED STATES 1087

    United States Court of Appeals, District of Columbia Circuit, 5 August 2025, Case No. 23-7174

    (Russian Federation v. Hulley Enterprises Ltd. et al.)

    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)
    UNITED STATES 1086

    United States Court of Appeals, District of Columbia Circuit, 15 July 2025, No. 24-7030

    (Amaplat Mauritius Ltd. and Amari Nickel Holdings Zimbabwe Ltd. v. Zimbabwe Mining Development Corporation , et al.)

     

    Topics: 105

    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)
    306

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

     Period of limitation for enforcement
    701

    More-favorable right provision: The court discusses issues relating to the more-favorable right provision in general, including who may invoke it, and when.

    More-favourable-right provision in general
    UNITED STATES 1085

    United States Court of Appeals, Second Circuit, 2 July 2025, Docket No. 24-2209-cv 

    (Molecular Dynamics, Ltd., SDBM Limited, and Chauncey Capital Corp. v. Spectrum Dynamics Medical Limited, and Biosensors International Group Ltd.)

    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)
    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
    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)
    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
    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
    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"
    UNITED STATES 1084

    United States District Court, District of Columbia, 18 February 2025, Case No. 22-cv-2100 (JMC)

    (Global Voice Group SA v. Republic of Guinea)

     

    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)
    UNITED STATES 1083

    United States Court of Appeals, Fifth Circuit, 27 January 2025

    (Baker Hugues Saudi Arabia Company Limited v. Dynamic Industries, Incorporated, et al.)

    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.
    UNITED STATES 1082

    United States District Court, District of Columbia, 17 January 2025, Case No. 1:23-cv-03013-RC

    (Eurofinsa, S.A. v. The Gabonese Republic)

    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)
    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
    UNITED STATES 1081

    United States Court of Appeals, Eleventh Circuit, 16 October 2024, Case No. 23-12519

    (Hidroelectrica Santa Rita S.A. v. Corporacion AIC, S.A.)

    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UNITED STATES 30 July 2024 Doraleh

    United States Court of Appeals, District of Columbia Circuit, 30 July 2024, No. 23-7023

    (Doraleh Container Terminal SA v. Republic of Djibouti)

    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
    UNITED STATES 1080

    United States Court of Appeals, District of Columbia Circuit, 30 July 2024, Case No. 23-7023

    (Doraleh Container Terminal SA v. Republic of Djibouti)

    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
    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
    UNITED STATES 1072

    United States District Court, Central District of California, 17 June 2024, Case No. 2:24-cv-01265-RGK-PD

    (Gate Gourmet Korea Co., Ltd. v. Asiana Airlines, Inc) 

    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
    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
    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
    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
    UNITED STATES 1071

    United States District Court, Northern District of California, 31 May 2024, Case No. 23-cv-02159-RFL

    (Lihua Song v. Wenbin Que, et al.) 

    500

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

     Grounds for refusal of 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
    508 Ground b: Violation of due process in general
    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"
    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"
    UNITED STATES 1079

    United States District Court, Eastern District of Pennsylvania, 29 May 2024, Case No. 2:23-mc-0150-JDW

    (FSD Pharma, Inc. v. Raza Bokhari)

    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
    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
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    UNITED STATES 1078

    United States District Court, Middle District of North Carolina, 29 April 2024, Case No. 1:23-CV-879

    (Willem Jan M. Van Andel, LLM and Eleonora L. Zetteler, LLM, in their capacity as insolvency practitioners in the insolvency of Nederlandsche Algemeene Maatschappij van Levensverzekering ‘CONSERVATRIX’ N.V. v. Greg Evan Lindberg et al.)

    306

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

     Period of limitation for enforcement
    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"
    UNITED STATES 1077

    United States District Court, District of Columbia, 27 March 2024, Case No. 21-1070 (RJL)

    (Deutsche Telekom AG v. Republic of India)

    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)
    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
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UNITED STATES 12 March 2024 Cowin

    United States District Court, Southern District of New York, 12 March 2024, 1:23-cv-03054 (ALC)

    (Cowin Technology Co., Ltd. v. Amazon.Com Services, LLC, et al.)

     

    500

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

     Grounds for refusal of enforcement in general
    UNITED STATES 1076

    United States District Court, District of Columbia, 12 March 2024, Case Nos. 1:20-cv-02155 (ACR) and 1:23-cv-00680 (ACR)

    (Metropolitan Municipality of Lima v. Rutas de Lima S.A.C.)

    306

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

     Period of limitation for enforcement
    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
    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"
    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
    UNITED STATES 1075

    United States District Court, Southern District of New York, 26 February 2024, Case No. 1:23-cv-2319-MKV

    (Valentino S.p.A. v. Mrinalini, Inc.)

     

    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
    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
    514 Ground e: Award not binding, suspended or set aside - "Binding"
    UNITED STATES 29 January 2024 Conti 11

    United States Court of Appeals, Fifth Circuit, 29 January 2024, No. 22-30808

    (Conti 11. Container Schiffarts-GmbH & Co. KG M.S., MSC FLAMINIA v. MSC Mediterranean Shipping Company S.A.)

     

    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
    UNITED STATES 5 January 2024 Anhui

    United States District Court, Central District of California, 5 January 2024, No. 2:23-cv-05942-RGK-PD

    (Anhui Light Industries International Co., Ltd. v. Dream Express Inc.)

    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
    UNITED STATES 1074

    United States District Court, District of Columbia, 17 November 2023, Case No. 14-1996

    (Hulley Enterprises, Ltd. 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)
    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)
    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
    UNITED STATES 22 September 2023 First Kuwaiti

    United States District Court, Eastern District of Virginia, Alexandria Division, 22 September 2023, Case No. 1:23-mc-1(First Kuwaiti General Trading & Contracting W.L.L. v. Kellogg Brown & Root International, Inc.)

    306

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

     Period of limitation for enforcement
    UNITED STATES 14 September 2023 DAK Property

    United States District Court, Middle District of Florida, Fort Myers Division, 14 September 2023, Case Nos.: 2:23-cv-417-SPC-KCD; 2:23-cv-497-SPC-KCD (DAK Property Holdings, Inc. v. Independent Specialty Insurance Company and Certain Underwriters at Lloyd’s London, Subscribing to Certificate Number B604510568622021)

    214-216 Field of application
    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)
    UNITED STATES 11 September 2023 Office Create

    United States District Court, Southern District of New York, 11 September 2023, 22-cv-8848 (ER)

    (Office Create Corporation v. Planet Entertainment, LLC, and Steve Grossman)

    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
    UNITED STATES 1070

    United States District Court, Middle District of Florida, Tampa Division, 31 August 2023, Case No. 8:22-cv-2158-TPB-CPT

    (United States of America v. Water Quality Insurance Syndicate v. The United Kingdom Mutual Steam Ship Assurance Association Limited)

    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
    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)
    UNITED STATES 18 August 2023 Evergreen Associates

    United States District Court, Eastern District of Louisiana, 18 August 2023, CIVIL ACTION NO. 23-1689 SECTION: “E” (1)

    (Evergreen Associates, Inc. Evergreen Lions Club v. Independent Specialty Insurance Company And Certain Underwriters At Lloyd’s London Subscribing To Binding Authority UMR B604510568622021)

    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.
    UNITED STATES 1060

    United States Court of Appeals, Eleventh Circuit, 18 August 2023, No. 21-14408

    (Grupo Unidos por el Canal, S.A., SACYR, S.A. et al. v. Autoridad del Canal de Panama)

    508 Ground b: Violation of due process in general
    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
    UNITED STATES 1069

    United States District Court, Eastern District of Virginia, Newport News Division, 15 August 2023, Case No. 4:23cv56

    (Keller North America, Inc. and Hampton Roads Connector Partners v. Certain Underwriters at Lloyd’s OP London and SCOR UK Company Limited)

    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)
    UNITED STATES 15 August 2023 3131 Veterans Blvd

    United States District Court, Southern District of New York, 15 August 2023, No. 22-CV-9849 (LAP)

    (Certain Underwriters at Lloyds, London, et al. v. 3131 Veterans Blvd LLC)

    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)
    UNITED STATES 11 August 2023 Gjensidig

    United States District Court, District of Nevada, 11 August 2023, Case Number: 2:23-cv-00960-JCM-BNW

    (Assuranceforeningen Skuld Gjensidig and Skuld Mutual Protection and Indemnity Association (Bermuda) Ltd. v. M&F Fishing, Inc., a Nevada Corporation)

    500

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

     Grounds for refusal of enforcement in general
    520

    Public policy:The court discusses the consequences of the default of a party in the arbitration on the recognition and enforcement of an arbitral award against it.

    Ground b: Public policy - Default of party
    UNITED STATES 2 August 2023 DAK Property

    United States District Court, Middle District of Florida, Fort Myers Division, 2 August 2023, Case No.: 2:23-cv-497-SPC-KCD

    (DAK Property Holdings, Inc. v. Independent Specialty Insurance Company and Certain Underwriters at Lloyd’s London, Subscribing to Certificate Number B604510568622021)

    214-216 Field of application
    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)
    UNITED STATES 1059

    United States Court of Appeals, Ninth Circuit, 1 August 2023, No. 20-36024, No. 22-35085, No. 22-35103, D.C. No. 2:18-cv-01360-TSZ

    (Devas Multimedia Private Limited v. Antrix Corp. 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
    UNITED STATES 31 July 2023 DAK Property

    United States District Court, Middle District of Florida, Fort Myers Division, 31 July, Case No.: 2:23-cv-417-SPC-KCD (DAK Property Holdings, Inc. v. Independent Specialty Insurance Company and Certain Underwriters at Lloyd’s London, Subscribing to Certificate Number B604510568622021)

    214-216 Field of application
    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)
    UNITED STATES 26 July 2023 Maxwell Heirsch

    United States District Court, Eastern District of Louisiana, 26 July 2023, CIVIL ACTION NO. 23-495 SECTION M (2)

    (Maxwell Heirsch, Inc. d/b/a Visiting Angels v. Velocity Risk Underwriters, LLC, et al.)

    214-216 Field of application
    UNITED STATES 1068

    United States District Court, Eastern District of Pennsylvania, 18 July 2023, CIVIL ACTION No. 21-2845

    (Jiangsu Beier Decoration Materials Co., Ltd. v. Angle World LLC)

    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
    403

    The court discusses issues relating to the requirement to supply the original arbitration agreement or a copy thereof to prove the prima facie validity of the arbitration agreement, as well as the application of more favorable municipal laws that do not provide for this requirement.

     Original or copy arbitration agreement
    UNITED STATES 17 July 2023 Zhongzhi

    United States District Court, Southern District of New York, 17 July 2023, 22-CV-6977 (LAP)

    (Zhongzhi Hi-Tech Overseas Investment Ltd. v. Vincent Wenyong Shi)

    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
    UNITED STATES 14 July 2023 Polpharma

    United States District Court, Western District of North Carolina, Charlotte Division, 14 July 2023, 3:21-cv-133-MOC-DCK

    (Zaklady Farmaceutycyne Polpharma, S.A. v. Kartha Pharmaceuticals, Inc.)

    500

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

     Grounds for refusal of enforcement in general
    UNITED STATES 1058

    United States Court of Appeals, Tenth Circuit, 13 July 2023, Nos. 21-5072 & 21-5081

    (Baker Hughes Services International, LLC v. Joshi Technologies International, Inc.)

    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
    503

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

     Burden of proof on respondent
    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
    UNITED STATES 1057

    United States Court of Appeals, Second Circuit, 12 July 2023, 22-825-cv

    (Olin Holdings Limited v. State of Libya)

    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
    503

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

     Burden of proof on respondent
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UNITED STATES 7 July 2023 Prodigy Finance

    United States District Court, Central District of California, 7 July 2023, EDCV 23-840 JGB (SPx)

    (Prodigy Finance CM2021-1 DAC v. Mandeep Kaur Sohi)

    500

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

     Grounds for refusal of enforcement in general
    UNITED STATES 1067

    United States District Court, Southern District of New York, 29 June 2023, 22-cv-7503 (PKC); 21-cv-6704 (PKC)

    (Preble-Rish Haiti, S.A., v. Republic of Haiti, Bureau de Monétisation des Programmes d'aide au Développement)

    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)
    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)
    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
    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
    UNITED STATES 28 June 2023 Thumbs Up Race Six

    United States District Court, Eastern District of Louisiana, 28 June 2023, CIVIL ACTION NO. 22-2671 SECTION M (4)

    (Thumbs Up Race Six, LLC v. Independent Specialty Insurance Company, et al.)

    214-216 Field of application
    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)
    UNITED STATES 26 June 2023 Pistorello

    United States District Court, Middle District of Florida, Orlando Division, 26 June 2023, Case No: 6:21-cv-611-WWB-LHP(Ivanilde Pistorello and Augusto Grando v. SUPRICEL Participacoes Ltda and Luis Guilherme Schnor)

     

    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
    UNITED STATES 23 June 2023 Trithorn Bulk

    United States District Court, Southern District of New York, 23 June 2023, 22 Civ. 9628 (JPC)

    (Trithorn Bulk A/S v. Duron Capital LLC)

     

    500

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

     Grounds for refusal of enforcement in general
    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"
    UNITED STATES 14 June 2023 Cakarevic

    United States District Court, Southern District of Florida, 14 June 2023, Civil Action No. 23-21536-Civ-Scola

    (Miodrag Cakarevic, v. Royal Caribbean Cruises, LTD.)

    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)
    UNITED STATES 6 June 2023 Harvey

    United States District Court, Eastern District of Louisiana, 6 June 2023, CIVIL ACTION NO: 22-4049 SECTION: “H”

    (Robert Harvey et al. v. Certain Underwriters At Lloyd’s, London et al.)

    214-216 Field of application
    UNITED STATES 5 June 2023 Fujitsu Semiconductor

    United States District Court, Northern District of California, San Jose Division, 5 June 2023, Case No. 22-mc-80313-VKD

    (Fujitsu Semiconductor Limited v. Cypress Semiconductor Corporation)

    214-216 Field of application
    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
    UNITED STATES 1 June 2023 Antoine’s Restaurant

    United States District Court, Eastern District of Louisiana, 1 June 2023, CIVIL ACTION NO. 23-229 SECTION: D (4)

    (Antoine’s Restaurant, LLC v. Certain Underwriters at Lloyd’s, London, et al.)

    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)
    UNITED STATES 1 June 2023 Dziennik

    United States District Court, Eastern District of New York, 1 June 2023, 05-cv-4659(DLI)(JRC); 04-cv-1244(DLI)(JRC); 06-cv-5305(DLI)(JRC)

    (Sylvester Dziennik, Mieczyslaw Kiersztyn, Ferdynand Kobieroski, individually and on behalf of all persons similarly situated v. Sealift, Inc., Sealift Holdings, Inc., Fortune Maritime Inc., Sagamore Shipping Inc., Victory Maritime, Inc.; and Josef Felskowski v. Sealift, Inc., Sagamore Shipping Inc.; and Mieczyslaw Kierstin v. M/V Advantage, et. al.)

    209 Incorporation by reference and standard conditions
    UNITED STATES 15 May 2023 TT International

    United States District Court, Middle District of Florida, Tampa Division, 15 May 2023, Case No. 8:22-cv-1876-WFJ-JSS

    (T.T. International Co., Ltd. BMP International, Inc.; BMP USA, Inc.; IGAS USA, Inc.; and IGAS Holdings, Inc.)

    214-216 Field of application
    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)
    UNITED STATES 1056

    United States Court of Appeals, Second Circuit, 17 April 2023, No. 22-832

    (Iraq Telecom Limited v. IBL Bank S.A.L.)

    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 STATES 14 April 2023 Goux Enterprises

    United States District Court, Eastern District of Louisiana, 14 April 2023, CIVIL ACTION NO. 22-4330 SECTION “R” (1)

    (Goux Enterprises, et al. v. Indian Harbor Insurance Company, et al.)

     

    205

    The court discusses the first alternative requirement of Art. II(2) that the arbitral award is “signed by the parties”.

    Signatures
    214-216 Field of application
    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)
    UNITED STATES 1055

    United States Court of Appeals, Eleventh Circuit, 13 April 2023, No. 20-13039

    (Corporación AIC, SA v. Hidroeléctrica Santa Rita S.A.)

    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
    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"
    UNITED STATES 12 April 2023 Ishwar Krupa

    United States District Court, Eastern District of Louisiana, 12 April 2023, Case No. 2:22-cv-03240

    (Ishwar Krupa LLC v. Independent Specialty Insurance Company and Certain Underwriters at Lloyds and Other Insurers Subscribing to Binding Authority B604510568622021)

    205

    The court discusses the first alternative requirement of Art. II(2) that the arbitral award is “signed by the parties”.

    Signatures
    UNITED STATES 5 April 2023 Arbors on the Lake

    United States District Court, Eastern District of Louisiana, 5 April 2023, CIVIL ACTION NO: 23-192 SECTION: T(4)

    (Arbors on the Lake 2018, LLC, by and Through, Attorney-In-Fact, Prime Roofing and Restoration, Inc. v. Certain Underwriters At Lloyd’s, London)

    214-216 Field of application
    UNITED STATES 4 April 2023 6600 Plaza Square

    United States District Court, Middle District of Louisiana, 4 April 2023, CIVIL ACTION NO. 22-00647-BAJ-SDJ

    (6600 Plaza Square, LLC v. Certain Underwriters At Lloyd’s London, et al.)

     

     

    214-216 Field of application
    UNITED STATES 31 March 2023 A.D. Trade

    United States District Court, District of Columbia, 31 March 2023, Civil Case No. 22-245 (RJL)

    (A.D. Trade Belgium S.P.R.L. v. Republic of Guinea)

    306

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

     Period of limitation for enforcement
    UNITED STATES 31 March 2023 Elio Eliseo Hodgson Cunningham

    United States District Court, Southern District of Florida, 31 March 2023, CASE NO. 22-CV-23621-SEITZ

    (Elio Eliseo Hodgson Cunningham v. Celebrity Cruises, Inc.)

    214-216 Field of application
    UNITED STATES 31 March 2023 Next Level

    United States District Court, Western District of Louisiana, Lake Charles Division, 31 March 2023, CASE NO. 2:21-CV-04240

    (Next Level Hospitality LLC v. Independent Specialty Insurance Co)

    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)
    UNITED STATES 30 March 2023 Drip Capital

    United States District Court, Southern District of New York, 30 March 2023, 22-cv-2806 (ALC)

    (Drip Capital, Inc. v. M/S. Goodwill Apparels)

    500

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

     Grounds for refusal of enforcement in general
    UNITED STATES 1054

    United States District Court, District of Columbia, 29 March 2023, Civil Case No. 21-3249 (RJL)

    (Blasket Renewable Investments, LLC (as successor in title of AES Solar Energy Coöperatief U.A. and Ampere Equity Fund B.V. v. The Kingdom of Spain)

    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
    UNITED STATES 1073

    United States District Court, Southern District of Florida, 28 March 2023, Case No. 21-cv-61378-ALTMAN/Hunt

    (Bulent Cosgun v. Seabourn Cruise Line Limited Inc.)

    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)
    UNITED STATES 1066

    1066. United States District Court, Northern District of Iowa, Western Division, 23 March 2023, No. 22-CV-4047-CJW-KEM

    (The United Mexican States v. Joshua Dean Nelson)

    307

    The court discusses questions relating to interest on the amount due under the arbitral award, including whether the enforcement court may grant interest not granted in the award, modify interest granted in the award, and grant post-award interest.

     Interest on award
    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"
    UNITED STATES 23 March 2023 Certain Underwriters v Belmont

    United States District Court, Eastern District of Louisiana, 23 March 2023, CIVIL ACTION NO. 2:22-cv-3874; C/W 2:22-cv-3876

    (Certain Underwriters At Lloyd’s, London Severally Subscribing To Certificate No. AMR-73525, et al. v. Belmont Commons L.L.C. d/b/a 925 Common and Belmont Delaware L.L.C.)

    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)
    UNITES STATES 1066

    United States District Court, Northern District of Iowa, Western Division, 23 March 2023, No. 22-CV-4047-CJW-KEM

    (The United Mexican States v. Joshua Dean Nelson)

    307

    The court discusses questions relating to interest on the amount due under the arbitral award, including whether the enforcement court may grant interest not granted in the award, modify interest granted in the award, and grant post-award interest.

     Interest on award
    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"
    UNITED STATES 21 March 2023 Stor-All

    United States District Court, Eastern District of Louisiana, 21 March 2023, CIVIL ACTION No. 23-334 SECTION I

    (Stor-All Gentilly Woods, LLC v. Indian Harbor Insurance Co., et al.)

    214-216 Field of application
    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)
    UNITED STATES 21 March 2023 Foresight Energy

    United States District Court, Eastern District of Missouri, Eastern Division, 21 March 2023, Case No. 4:22-cv-00887-JAR

    (Foresight Energy, LLC v. ACE American Insurance Company, et al.)

    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)
    UNITED STATES 1065

    United States District Court, Northern District of Georgia, Atlanta Division, 17 March 2023, Civil Action No. 1:21-cv-04751-VMC

    (Various Insurers, Reinsurers And Retrocessionaires Subscribing to Policy Numbers 106/IN/230/0/0, 28807G19, B080130181G19 B080131297G19, B080127577G19, B080130231G19, B080130291G19, B080130328G19, B080128807G19 and B080130331G19 DBD as subrogee of Shariket Kahraba Hadjret En Nouss v. General Electric International, Inc., General Electric Company, GE Power Services Engineering, GE Power, and Various John Doe Corporations)

    214-216 Field of application
    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)
    UNITED STATES 8 March 2023 Ipsen Biopharm

    United States District Court, Northern District of Texas, Fort Worth Division, 8 March 2023, Civil Action No. 4:22-cv-00662-O

    (Ipsen Biopharm Ltd. v. Galderma Laboratories, L.P., and Galderma Research & Development, LLC)

    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
    UNITED STATES 1 March 2023 Antoine’s Restaurant

    United States District Court, Eastern District of Louisiana, 1 March 2023, CIVIL ACTION NO. 23-229 SECTION: D (4)

    (Antoine’s Restaurant, LLC v. Certain Underwriters at Lloyd’s, London, et al.)

    214-216 Field of application
    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)
    UNITED STATES 23 February 2023 Bopp

    United States District Court, Eastern District of Louisiana, 23 February 2023, CIVIL ACTION NO. 23-18 SECTION M (4)

    (Patricia S. Bopp, et al. v. Independent Specialty Insurance Company, et al.)

    214-216 Field of application
    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)
    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)
    UNITED STATES 13 February 2023 Certain Underwriters v Belmont Commons

    United States District Court, Eastern District of Louisiana, 13 February 2023, CIVIL ACTION NO. 2:22-cv-3874; C/W 2:22-cv-3876(Certain Underwriters at Lloyd’s, London Severally Subscribing to Certificate No. AMR-73525, et al. v. Belmont Commons L.L.C. d/b/a 925 Common and Belmont Delaware L.L.C.)

    226

    II

    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)
    UNITED STATES 13 February 2023 Phoenix East II

    United States District Court, Southern District of Alabama, Southern Division, 13 February 2023, CIVIL ACTION NO. 22-00436-CG-N

    (Phoenix East II Association, Inc. v. Certain Underwriters at Lloyd’s, et al.)

    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.
    UNITED STATES 10 February 2023 La Dolce Vita

    United States District Court, Southern District of New York, 10 February 2023, 21-cv-3071 (LAK)

    (La Dolce Vita Fine Dining Co. Ltd. and La Dolce Vita Fine Dining Group Holdings Ltd. v. Zhang Lan, et al.)

    503

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

     Burden of proof on respondent
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    UNITED STATES 1064

    United States District Court, Eastern District of Oklahoma, 9 February 2023, 20-CV-402-JWB(Krohmer Marina, LLC, an Oklahoma Limited Liability Company, doing business as Evergreen Marina, et al. v. Certain Underwriters at Lloyd’s, London and International Insurance Co. of Hannover SE)

    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
    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)
    UNITED STATES 9 February 2023 Coastal Cargo

    United States District Court, Eastern District of Louisiana, 9 February 2023, CIVIL ACTION NO. 22-4622 SECTION “L”, MAG “4”

    (Coastal Cargo Company, LLC v. Tenaris Global Services (Canada) Inc.)

    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
    UNITED STATES 9 February 2023 High Hope

    United States District Court, Southern District of New York, 9 February 2023, 22-cv-7569 (PKC)

    (High Hope Zhongtian Corporation v. Sunbird USA Inc)

     

    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
    UNITED STATES 3 February 2023 3501 N. Causeway Associates

    United States District Court, Eastern District of Louisiana, 3 February 2023, CIVIL ACTION NO. 22-3787 SECTION: ”J”(2)

    (3501 N. Causeway Associates, LLC, et al. v. Certain Underwriters at Lloyd’s, London, et al.)

    214-216 Field of application
    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)
    UNITED STATES 1 February 2023 Galaxia Electronics

    United States District Court, Central District of California, 1 February 2023, LA CV16-05144 JAK (GJSx)

    (Galaxia Electronics Co., Ltd. v. Luxmax, U.S.A., et al.)

    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
    505 Incapacity of party
    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
    508 Ground b: Violation of due process in general
    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    514 Ground e: Award not binding, suspended or set aside - "Binding"
    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"
    UNITED STATES 31 January 2023 Parish of St Charles

    United States District Court, Eastern District of Louisiana, 31 January 2023, CIVIL ACTION NO. 22-3404 SECTION M (5); 22-3405; 22-3407; 22-3408; 22-3411; 22-3412; 22-3413; 22-3414; 22-3415; 22-3416; 22-3417

    (Parish of St. Charles v. HDI Global Specialty SE, et al.)

    214-216 Field of application
    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)
    UNITED STATES 1063

    United States District Court, District of Columbia, 26 January 2023, Civil Action No. 22-170 (BAH)

    (Zhongshan Fucheng Industrial Investment Co., Ltd. v. Federal Republic of Nigeria)

    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)
    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
    UNITED STATES 25 January 2023 Olsen Securities

    United States District Court, Eastern District of Louisiana, 25 January 2023, CIVIL ACTION NO. 22-3120 SECTION: "G"(1)

    (Olsen Securities Corp., et al. v. Certain Underwriters at Lloyd’s London, et al.)

     

    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.
    UNITED STATES 19 January 2023 Banco de los Trabajadores

    United States District Court, Southern District of Florida, 19 January 2023, CIVIL ACTION No.: 1:22-cv-23235

    (Banco de los Trabajadores v. DHK Finance, Inc.)

    500

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

     Grounds for refusal of enforcement in general
    704(A) Panama Convention of 1975
    UNITED STATES 18 January 2023 Academy of the Sacred Heart

    United States District Court, Eastern District of Louisiana, 18 January 2023, CIVIL ACTION NO. 22-4401 SECTION I(Academy of the Sacred Heart of New Orleans v. Certain Underwriters At Lloyd’s London, et al.)

    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.
    UNITED STATES 17 January 2023 Washington Schools

    United States District Court, Western District of Washington, 17 January 2023, CASE NO. 21-CV-00874-LK

    (Washington Schools Risk Management Pool v. American Re-Insurance Company and Sompo International Reinsurance)

    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)
    UNITED STATES 1062

    United States District Court, Eastern District of Louisiana, 17 January 2023, 2:22-cv-01013-NJB-MBN

    (Kronlage Family Limited Partnership v. Certain Underwriters at Lloyd’s and other Insurers Subscribing to Binding Authority Number B604510568622021, and Independent Specialty Insurance Co. (ISIC))

    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.
    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)
    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)
    UNITED STATES 1061

    United States District Court, Southern District of New York, 13 January 2023, 13-cv-2581 (PKC) (JLC)

    (CBF Indústria De Gusa S/A, Da Terra Siderúrgica Ltda, Fergumar - Ferro Gusa Do Maranhão Ltda, Ferguminas Siderúrgica Ltda, Gusa Nordeste S/A, Sidepar - Siderúrgica Do Pará S/A and Siderúrgica União S/A v. AMCI Holdings, Inc., American Metals & Coal International, Inc., Prime Carbon GmbH, Primetrade, Inc. and Hans Mende)

    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
    503

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

     Burden of proof on respondent
    505 Incapacity of party
    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"
    UNITED STATES 12 January 2023 Carhon Energy

    United States District Court, Southern District of Texas, 12 January 2023, Civil Action H-22-170

    (Carhon Energy Group, LLC v. Cliveden Petroleum Co. Ltd., et al.)

    512 Ground c: Excess by arbitrator of his authority - Excess of authority
    UNITED STATES 10 January 2023 Carondelet

    United States District Court, Eastern District of Louisiana, 10 January 2023, CIVIL ACTION NO. 22-4311 SECTION: D (2)

    (419 Carondelet, LLC v. Certain Underwriters at Lloyd’s, London, et al.)

    214-216 Field of application
    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)
    UNITED STATES 1053

    United States Court of Appeals, Tenth Circuit, 10 January 2023, Case No. 21-1196 and No. 21-1324

    (Compañía de Inversiones Mercantiles S.A. v. Grupo Cementos de Chihuahua S.A.B. de C.V. et al.)

    500A Residual power to enforce notwithstanding existence of ground for refusal
    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"
    UNITED STATES 3 January 2023 Certain Underwriters v. Belmont Commons

     

    United States District Court, Eastern District of Louisiana, 3 January 2023, CIVIL ACTION NO. 2:22-cv-3874; 2:22-cv-3876(Certain Underwriters At Lloyd’s, London Severally Subscribing to Certificate NO. AMR-73525, et al. v. Belmont Commons L.L.C. d/b/a 925 Common and Belmont Delaware L.L.C., et al.)

    214-216 Field of application
    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)
    UNITED STATES 1052

    United States Court of Appeals, District of Columbia Circuit, 21 December 2022, No. 21-7141

    (The Republic of Moldova v. LLC SPC Stileks)

    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 STATES 15 December 2022 Upper Room Bible Church

    United States District Court, Eastern District of Louisiana, 15 December 2022, CIVIL ACTION No. 22-3490 SECTION I

    (Upper Room Bible Church, Inc. v. Sedgwick Delegated Authority, et al.)

    214-216 Field of application
    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)
    UNITED STATES 28 November 2022 Williams Grand Prix Engineering

     

    United States District Court, Central District of California, 28 November 2022, 2:21-CV-09695-CAS (PD)

    (Williams Grand Prix Engineering Limited v. Rokit Marketing Inc. & Rok Marketing LLC)

     

    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
    UNITED STATES 22 November 2022 Conti 11

    United States District Court, Eastern District of Louisiana, 22 November 2022, CIVIL ACTION No. 22-1114 SECTION: “J”(3)

    (Conti 11. Container Schiffarts-GmbH & Co. KG M.S. “MSC Flamina” v. MSC Mediterranean Shipping Company S.A.)

     

    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
    UNITED STATES 17 November 2022 America Steel Trade

     

    United States District Court, Middle District of Florida, Orlando Division, 17 November 2022, Case No: 6:22-cv-915-RBD-EJK

    (America Steel Trade Corporation v. Metalhouse, LLC)

    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
    306

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

     Period of limitation for enforcement
    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
    503

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

     Burden of proof on respondent
    UNITED STATES 16 November 2022 City of Kenner

    United States District Court, Eastern District of Louisiana, 16 November 2022, CIVIL ACTION NO. 22-2167 SECTION “R” (3)

    (City of Kenner v. Certain Underwriters at Lloyd’s London, et al.)

    214-216 Field of application
    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)
    UNITED STATES 15 November 2022 Prcic

    United States District Court, Southern District of Florida, 15 November 2022, Civil Action No. 22-20655-Civ-Scola

    (Nikola Prcic v. Carnival Corporation and others)

    214-216 Field of application
    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)
    UNITED STATES 8 November 2022 Gonzales Llagas

    United States District Court, Western District of Louisiana, Lake Charles Division, 8 November 2022, CASE NO. 2:17-CV-00472

    (Daniel Gonzales Llagas v. Sealift Holdings Inc et al)

    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
    UNITED STATES 1051

    United States Court of Appeals, Third Circuit, 3 November 2022, No. 21-3143

    (Jiangsu Beier Decoration Materials Co., Ltd. v. Angle World LLC)

    500

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

     Grounds for refusal of enforcement in general
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    UNITED STATES 2 November 2022 Hiperbaric

    United States District Court, Eastern District of Virginia, Richmond Division, 2 November 2022, Civil Action No. 3:22cv464

    (Hiperbaric, S.A. v. OCVA Holdings, LLC)

    500

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

     Grounds for refusal of enforcement in general
    UNITED STATES 1050

    United States Court of Appeals, Second Circuit, 3 October 2022, No. 20-4248

    (Commodities & Minerals Enterprise Ltd. v. CVG Ferrominera Orinoco, C.A.)

    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)
    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
    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
    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
    UNITED STATES 1049

    United States Court of Appeals, Eleventh Circuit, 5 August 2022, No. 20-14206

    (Ryan Maunes Maglana, on his own behalf and as a class representative of all other similarly situated Filipino crewmembers trapped aboard CELEBRITY cruise vessels et al. v. Celebrity Cruises, Inc.)

    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
    UNITED STATES 1047

    United States Court of Appeals, Second Circuit, 8 July 2022, Docket Nos. 19-3159(L), 19-3361

    (Esso Exploration and Production Nigeria Limited et al. v. Nigerian National Petroleum Corporation)

    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
    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"
    UNITED STATES 1048

    United States Court of Appeals, Eleventh Circuit, 8 July 2022, No. 17-10944

    (Outokumpu Stainless USA, LLC et al. v. Coverteam SAS, a foreign corporation now known as GE Energy Power Conversion France SAS, Corp.)

    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)
    UNITED STATES 7 July 2022 Gramercy

    United States District Court, District of Wyoming, 7 July 2022, Case No. 21-CV-223-F

    (Gramercy Distressed Opportunity Fund II, L.P. et al. v. Oleg Bakhmatyuk et al.)

     

     

    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
    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)
    UNITED STATES 1046

    United States Court of Appeals, Fourth Circuit, 24 June 2022, No. 20-1633

    (Rachan Damidi Reddy v. Rashid A. Buttar)

    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
    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
    UNITED STATES 1045

    United States District Court, District of Columbia, 14 June 2022, Civil Action No. 20-1795 (ABJ)

    (Gebre LLC v. Kyrgyz Republic)

    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
    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
    UNITED STATES 1044

    United States District Court, Southern District of California, 9 May 2022, Case No.: 3:21-cv-1425-W-DEB

    (General Marine II, LLC v. Michael Kelly)

    402

    The court discusses how to determine whether the document supplied is an award capable of being recognized and enforced, including whether the award is duly authenticated, and whether a copy is duly certified; whether a prior interim and/or partial award should be supplied together with the final award.

     Original or copy arbitral award
    403

    The court discusses issues relating to the requirement to supply the original arbitration agreement or a copy thereof to prove the prima facie validity of the arbitration agreement, as well as the application of more favorable municipal laws that do not provide for this requirement.

     Original or copy arbitration agreement
    505 Incapacity of party
    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
    UNITED STATES 27 April 2023 The Pointe on Westshore

    United States District Court, Middle District of Florida, Tampa Division, 27 April 2023, Case No: 8:22-cv-2478-KKM-SPF

    (The Pointe On Westshore, LLC v. Certain Underwriters of Lloyd’s London Subscribing to Policy Number AMR-65342, et al.)

    214-216 Field of application
    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
    UNITED STATES 1043

    United States District Court, Southern District of New York, 26 January 2022, 21-cv-6704 (PKC)
    (Preble-Rish Haiti, S.A. v. Republic of Haiti, Bureau de Monétisation de Programmes d'Aide au Développement)
     

    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
    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"
    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
    UNITED STATES 1042

    United States District Court, Northern District of California, San Jose Division, 4 January 2022, Case No. 20-CV-08033-LHK
    (Youlin Wang v. Richard Kahn et al.)
     

    214 Agreement providing for arbitration in another State
    215 Agreement providing for arbitration within forum's State
    216 No place of arbitration designated
    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
    UNITED STATES 1041

    United States Court of Appeals, District of Columbia Circuit, 28 December 2021, No. 20-7091
    (AO Tatneft v. Ukraine, c/o Mr. Pavlo Petrenko, Minister of Justice)

    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
    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
    UNITED STATES 1040

    United States District Court, Southern District of Florida, 9 December 2021, Civil Action No. 20-24867-Civ-Scola
    (Grupo Unidos por el Canal, S.A. and others v. Autoridad del Canal de Panama)
     

    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
    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
    508 Ground b: Violation of due process 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"
    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
    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
    521

    Public policy: The court discusses the consequences of the apparent or actual bias of an arbitrator on the recognition and enforcement of an arbitral award.

    Lack of impartiality of arbitrator
    UNITED STATES 1031

    United States Court of Appeals for the Ninth Circuit, 12 August 2021

    (Waleed Khalid Abu Al-Waleed Al Hood Al-Qarqani & Ors. v. Chevron Corporation & Anr.)

    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
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    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
    UNITED STATES 1029

    United States District Court, Northern District of New York, 3 August 2021
    (Chongqing Loncin Engine Parts Co. Ltd. & Anr v. New Monarch Machine Tool, Inc.)
     

    307

    The court discusses questions relating to interest on the amount due under the arbitral award, including whether the enforcement court may grant interest not granted in the award, modify interest granted in the award, and grant post-award interest.

     Interest on award
    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
    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
    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
    UNITED STATES 14 June 2021 Compagnie Sahélienne d'Entreprise

    United States District Court, District of Columbia, 14 June 2021
    (Compagnie Sahélienne d'Entreprise v. Republic of Guinea)

    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
    UNITED STATES 11 June 2021 Jinshu John Zhang

    United States District Court, Central District of California, 11 June 2021
    (Jinshu John Zhang v. Dentons U.S. LLP & Ors.)

     

    214 Agreement providing for arbitration in another State
    215 Agreement providing for arbitration within forum's State
    216 No place of arbitration designated
    UNITED STATES 28 May 2021 Government of the Cooks Islands

    United States District Court, Southern District of Florida, Miami Division, 28 May 2021
    (The Government of the Cooks Islands v. Dwane L. Hubbart)

    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
    UNITED STATES 5 May 2021 d'Amico

    United States District Court, Southern District of New York, 5 May 2021
    (d'Amico Dry D.A.C v. Tremond Metals Corp.)

     

    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
    UNITED STATES 15 April 2021 Martin Kenney

    United States District Court, Central District of California, 15 April 2021
    (Martin Kenney & Co. v. Roger Corman)

    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
    508 Ground b: Violation of due process in general
    509

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

    "Proper notice"
    510

    Due process: The court discusses what are to be considered proper time limits and notice periods that fulfill the requirement that the party opposing recognition and enforcement of the arbitral award was extended due process.

    Time limits and notice periods
    513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
    520

    Public policy:The court discusses the consequences of the default of a party in the arbitration on the recognition and enforcement of an arbitral award against it.

    Ground b: Public policy - Default of party
    523

    Public policy: The court discusses alleged violations of a fundamental rule of due process in the arbitration on the recognition and enforcement of an arbitral award, including the failure to communicate the names of the arbitrators, the failure to send copies of reports or letters filed in the arbitration, etc.

    Irregularities in the arbitral procedure (see also Art. V(1)(b))
    UNITED STATES 8 April 2021 Lilian Padilla Ayala

    United States District Court, District of California, 8 April 2021
    (Lilian Padilla Ayala v. Teledyne Defense Electronics & Ors.)

     

    103

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

     Nationality of the parties no criterion
    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)
    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
    UNITED STATES 12 March 2021 Bartlit Beck

    United States District Court, Northern District of Illinois, 12 March 2021
    (Bartlit Beck LLP v. Kazuo Okada)

    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"
    UNITED STATES 18 February 2021 Thamalassen Sungaralingum

    United States District Court, Southern District of Florida, 18 February 2021, Case No. 20-24829-CIV-COOKE/O'SULLIVAN

    (Thamalassen Sungaralingum v. Carnival Corporation and Heinemann American Cruise Retail, LLC)

    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.
    UNITED STATES 18 February 2021 Clean Pro

    United States District Court, Eastern District of Louisiana, 18 February 2021, CIVIL ACTION NO. 20-1550 SECTION: "G"(1)

    (Clean Pro Carpet & Upholstery Care, Inc., et al. v. Upper Pontalba of Old Metairie Condominium Association, Inc., et al.)

    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
    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)
    UNITED STATES 1021

    United States District Court, Southern District of Florida, 5 February 2021, Case No. 20-21713-CIV-MARTINEZ/AOR

    (Eco Brands, LLC, a Delaware limited liability company, derivatively by and through its member Midas Financial Group, LLC, a Delaware limited liability company v. Eco Brands, LLC)

    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
    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)
    704(A) Panama Convention of 1975
    UNITED STATES 2 February 2021 Georgetown Home Owners Association

    United States District Court, Middle District of Louisiana, 2 February 2021, CIVIL ACTION NO. 20-102-JWD-SDJ
    (Georgetown Home Owners Association, Inc. v. Certain Underwriters at Lloyd's, London, Severally Subscribing to Policy Number AMR-60507, et al.)

    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
    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.
    UNITED STATES 26 January 2021 UAB Skyroad Leasing

    United States District Court, District of Columbia, 26 January 2021, Case No. 20-cv-00763 (APM)

    (UAB Skyroad Leasing v. OJSC Tajik Air)

    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
    UNITED STATES 1020

    United States Court of Appeals, Ninth Circuit, 20 January 2021, No. 18-35573

    (Balkrishna Setty, Individually and as General Partner in Shrinivas Sugandhalaya Partnership with Nagraj Setty; Shrinivas Sugandhalaya (Bng) LLP v. Shrinivas Sugandhalaya LLP)

    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
    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)
    UNITED STATES 18 January 2021 Moundreas

    United States District Court, Southern District of New York, 18 January 2021, 20-CV-2626 (VEC)

    (George Moundreas & CO SA v. Jinhai Intelligent Manufacturing Co Ltd f/k/a Jinhai Heavy Industry Co Ltd, et al.)

    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
    UNITED STATES 1019

    United States Court of Appeals, District of Columbia Circuit, 15 January 2021, No. 19-7106 Consolidated with 19-7142

    (LLC SPC Stileks v. The Republic of Moldova)

    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)
    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
    UNITED STATES 13 January 2021 Cognac Ferrand

    United States District Court, Southern District of New York, 13 January 2021, 20 Civ. 5933 (PAE)
    (Cognac Ferrand S.A.S. v. Mystique Brands LLC)

    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
    UNITED STATES 21 December 2020 Sergiy Gumenyuk

    United States District Court, Southern District of Texas, Houston Division, 21 December 2020, CIVIL ACTION NO. H-20-00285

    (Sergiy Gumenyuk v. Marlow Navigation Company, Ltd, et al.)

    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.
    UNITED STATES 1007 B

    United States Court of Appeals, Eleventh Circuit, 15 December 2020

    (Gerardo Jose Guarino v. Productos Roche S.A.)

    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
    504 Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
    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
    509

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

    "Proper notice"
    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
    704(A) Panama Convention of 1975
    UNITED STATES 14 December 2020 1010 Common

    United States District Court, Eastern District of Louisiana, 14 December 2020, CIVIL ACTION NO. 20-2326 SECTION "B"(5)

    (1010 Common, LLC v. Certain Underwriters at Lloyd's, London)

    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
    UNITED STATES 10 December 2020 Commodities & Minerals Enterprise

    United States District Court, Southern District of New York, 30 November 2020, as amended 10 December 2020, 1:19-cv-11654-ALC

    (Commodities & Minerals Enterprise, Ltd. v. CVG Ferrominera Orinoco C.A.)

    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
    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
    UNITED STATES 1017

    United States Court of Appeals, Second Circuit, 25 November 2020, 19-3400-cv

    (Rodrigo R. Pagaduan v. Carnival Corporation, dba Carnival Cruise Lines)

    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"
    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
    UNITED STATES 25 November 2020 WJ Holding

    United States District Court, Eastern District of New York, 25 November 2020, 20 CV 1068 (LDH) (CLP)

    (WJ Holding Limited and Stubrick Limited v. Shireen Maritime Ltd et al.)

    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
    UNITED STATES 1016

    United States District Court, District of Columbia, 20 November 2020, Civil Action No. 14-1996 (BAH)

    (Hulley Enterprises Ltd., et al. v. The Russian Federation)

    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
    UNITED STATES 1015

    United States District Court, Southern District of Texas, 17 November 2020

    (Waleed Bin Al-Qarqani et al. v. Arab American Oil Company et al.)

     

    500

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

     Grounds for refusal of enforcement in general
    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
    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
    UNITED STATES 10 November 2020 Sisca

    United States District Court, Southern District of Florida, 10 November 2020, Case No. 20-cv-22911-BLOOM/Louis

    (Antonio Sisca v. HAL Maritime, Ltd. et al.)

    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
    UNITED STATES 6 November 2020 Baris Ozkaptan

    United States District Court, Southern District of New York, 6 November 2020, 20-CV-747 (JMF)

    (Baris Ozkaptan v. Citigroup, Inc.)

    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
    UNITED STATES 2 November 2020 Elko Broadband

    United States District Court, District of Nevada, 2 November 2020, Case No. 3:19-cv-00610-LRH-WGC

    (Elko Broadband Ltd. v. Dhabi Holdings PJSC, et al.)

    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
    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)
    UNITED STATES 28 October 2020 Michael Pak

    United States District Court, Northern District of California, 28 October 2020, Case No. 20-cv-05791-VC

    (Michael Pak v. Eocell, Inc. et al.)

    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
    UNITED STATES 1014

    United States Court of Appeals, Eleventh Circuit, 28 October 2020, No. 19-12100

    (Lynn McCullough, et al. v. AIG Insurance Hong Kong Limited)

    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
    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)
    UNITED STATES 1011 B

    United States District Court, Western District of Washington, 27 October 2020

    (Devas Multimedia Private Ltd. v. Antrix Corp. Ltd.)

    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)
    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
    306

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

     Period of limitation for enforcement
    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
    UNITED STATES 1013

    United States District Court, Southern District of Florida, 23 October 2020, Case No. 20-cv-23715-BLOOM/Louis
    (Fnu Isanto, as Personal Representative of the Estate of Fnu Pujiyoko, deceased v. Royal Caribbean Cruises, Ltd.)

    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.