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.

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

Court decisions can be searched by country and by topic.

Court Decisions

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2024 Netherlands

Excerpt Topics

NETHERLANDS 27 August 2024 Gelsenkraft
Gerechtshof, Arnhem-Leeuwarden, 27 August 2024, Case no. 200.335.189/01

(Gelsenkraft GmbH v. UCO Lexmond B.V.)

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

511

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

"Otherwise unable to present his case"

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
2023 Hungary

Excerpt Topics

HUNGARY 17
17. Kúria, 29 August 2023, Pfv.II.20.510/2023/8

(Creditor v. Debtor)

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

405

The court discusses issues relating to the moment when the documents that are required for seeking recognition and enforcement must be supplied, and whether any defect can be cured later in the enforcement proceeding.

"At the time of application"

406

The court discusses issues relating to the requirements of the translation (translation by sworn translator, translation of entire award etc.) and whether a translation is necessary.

Translation (paragraph 2)

500

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

Grounds for refusal of enforcement in general

501

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

Grounds are exhaustive

506

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

Law applicable to the arbitration agreement

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
2023 Italy

Excerpt Topics

ITALY 204
Corte di Appello, Milan, First Civil Chamber, 22 May 2023, No. 1646/2023, Case No. 2462/2021

(Liner Italia International S.p.a. v. Inter Papier Handelsgesellschaft m.b.H.)

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

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

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

506

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

Law applicable to the arbitration agreement

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

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
2023 Pakistan

Excerpt Topics

PAKISTAN 9
9. High Court, Lahore (Judicial Department), 28 April 2023, Civil Original Suit No. 80492 of 2017

(Tradhol International SA Sociedad Unipersonal v. Shakarganj Limited)

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

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

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

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

505 Incapacity of party

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

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
2023 Germany

Excerpt Topics

GERMANY 172
Bundesgerichtshof, First Civil Chamber, 9 March 2023, I ZB 33/22

(Not indicated (in fact, Mr H) v. Not indicated (in fact, Eckes-Granini International GmbH et al.))

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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

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"
2022 United States

Excerpt Topics

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
2021 United Kingdom

Excerpt Topics

UK 120
Supreme Court of the United Kingdom, 26 October 2021
(Kabab-Ji SAL (Lebanon) v. Kout Food Group (Kuwait))

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

601

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

Adjournment of decision on enforcement
2021 United States

Excerpt Topics

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))
2020 Italy

Excerpt Topics

ITALY 199
Corte d'Appello, Genoa, 10 June 2020
(Ferruccio Rossi v. Ferretti s.p.a.)

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
2020 Colombia

Excerpt Topics

COLOMBIA 15
Consejo de Estado, 17 April 2020
(Isolux Ingeniería S.A. v. Bioenergy Zona Franca S.A.S.)

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

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

505 Incapacity of party

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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

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))

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
2020 United Kingdom

Excerpt Topics

UK 115
High Court of Justice, Queen's Bench Division, Commercial Court, 31 March 2020
(Carpatsky Petroleum Corporation v. PJSC Ukrnafta)

500

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

Grounds for refusal of enforcement in general

501

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

Grounds are exhaustive

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

511

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

"Otherwise unable to present his case"

UK 114
Court of Appeal (Civil Division), 20 January 2020
Kabab-Ji S.A.L. v. Kout Food Group

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2018 Austria

Excerpt Topics

AUSTRIA 35
Oberster Gerichtshof, 19 December 2018
D v. C Limited

404

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

Authentication and certification

505 Incapacity of party

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

511

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

"Otherwise unable to present his case"

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
2018 United States

Excerpt Topics

UNITED STATES 954

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

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

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
2017 Nepal

Excerpt Topics

NEPAL 1
Sarvōcca Adālata Nēpāl, Division Bench, 26 December 2017, Decision no. 067-WO-0419

(Hanil Engineering & Construction Co. Ltd v. Patan Appellate Court and Koneco Pvt. Ltd)

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

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

509

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

"Proper notice"

513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
2016 United States

Excerpt Topics

UNITED STATES 887

301

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

Procedure for enforcement in general

506

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

Law applicable to the arbitration agreement

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
2015 Korea, Republic of

Excerpt Topics

KOREA 12 B
Supreme Court, Third Division, 29 October 2015

(LSF-KDIC Investment Company Ltd. v. Korea Resolution & Collection Corporation)

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)

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)

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2015 China

Excerpt Topics

CHINA PR 44
Intermediate People’s Court, Jiangsu Province, Wuxi, 14 January 2015, Xi Shang Wai Zhong Shen Zi No. 9

(Allenberg Cotton Co., Ltd. v. Jiangsu Nijiaxiang Group Co., Ltd.)

505 Incapacity of party

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
2014 United States

Excerpt Topics

UNITED STATES 796 B
United States Court of Appeals, Ninth Circuit, 29 April 2014

(Changzhou Amec Eastern Tools and Equipment Co., Ltd v. Eastern Tools & Equipment, Inc., et al.; Xuchu Dai, as the Bankruptcy Administrator for Changzhou AMEC Eastern Tools and Equipment Co., Ltd. v. Eastern Tools & Equipment, Inc.)

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

506

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

Law applicable to the arbitration agreement

519

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

Ground a: Arbitrability

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
2014 Germany

Excerpt Topics

GERMANY 161

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

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

404

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

Authentication and certification

406

The court discusses issues relating to the requirements of the translation (translation by sworn translator, translation of entire award etc.) and whether a translation is necessary.

Translation (paragraph 2)

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

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

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

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

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))

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
2013 Korea, Republic of

Excerpt Topics

KOREA 12 A
High Court, Seoul, 19th Civil Department, 16 August 2013

(LSF-KDIC Investment Company Ltd. v. Korea Resolution & Collection Corporation)

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)

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)

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2013 Spain

Excerpt Topics

SPAIN 76
Tribunal Superior de Justicia de Cataluña, 25 March 2013

(Sierra-Affinity LLC v. Wide Pictures, S.L.)

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

503

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

Burden of proof on respondent

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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

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

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

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
2013 United States

Excerpt Topics

UNITED STATES 788

301

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

Procedure for enforcement in general

506

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

Law applicable to the arbitration agreement

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
2012 United States

Excerpt Topics

UNITED STATES 796 A
United States District Court, Central District of California, 30 July 2012

(Changzhou Amec Eastern Tools and Equipment Co., Ltd v. Eastern Tools & Equipment, Inc., et al.; Xuchu Dai, as the Bankruptcy Administrator for Changzhou AMEC Eastern Tools and Equipment Co., Ltd. v. Eastern Tools & Equipment, Inc.)

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

506

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

Law applicable to the arbitration agreement

519

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

Ground a: Arbitrability

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
2012 Australia

Excerpt Topics

AUSTRALIA 37

303

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

Estoppel/waiver

401

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

Conditions to be fulfilled by petitioner in general

503

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

Burden of proof on respondent

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2012 Spain

Excerpt Topics

SPAIN 74
Tribunal Superior de Justicia de Cataluña, 29 March 2012

(MS AMAZON RIVER I CV v. Eurocondal Shipping 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

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

509

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

"Proper notice"

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

SPAIN 73
Tribunal Superior de Justicia de Cataluña, 15 March 2012

(Starlio Shipping Company Limited v. Eurocondal Shipping S.A. (a/k/a Eurocharting S.A.), 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

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

509

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

"Proper notice"

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
2011 Netherlands

Excerpt Topics

NETHERLANDS 40 B
Gerechtshof, The Hague, 20 December 2011

(Catz International B.V. v. Gilan Trading KFT)

301

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

Procedure for enforcement in general

503

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

Burden of proof on respondent

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

506

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

Law applicable to the arbitration agreement

508 Ground b: Violation of due process in general

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

704(C) Art. VII(1): European Union (Treaties and Legislation)

NETHERLANDS 40 A
Voorzieningenrechter, Rechtbank, Rotterdam, 28 February 2011

(Catz International B.V. v. Gilan Trading KFT)

301

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

Procedure for enforcement in general

503

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

Burden of proof on respondent

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

506

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

Law applicable to the arbitration agreement

508 Ground b: Violation of due process in general

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))

704(C) Art. VII(1): European Union (Treaties and Legislation)
2011 Germany

Excerpt Topics

GERMANY 141

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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"
2010 United Kingdom

Excerpt Topics

UK 92

001

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

Interpretation of the Convention

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2009 Germany

Excerpt Topics

GERMANY 132

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

511

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

"Otherwise unable to present his case"

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

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))

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
2009 United Kingdom

Excerpt Topics

UK 87

001

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

Interpretation of the Convention

301

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

Procedure for enforcement in general

303

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

Estoppel/waiver

500

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

Grounds for refusal of enforcement in general

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement
2008 Korea, Republic of

Excerpt Topics

KOREA 8

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)

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)

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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
2008 United States

Excerpt Topics

UNITED STATES 646

500

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

Grounds for refusal of enforcement in general

506

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

Law applicable to the arbitration agreement
2007 Austria

Excerpt Topics

AUSTRIA 18

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)

405

The court discusses issues relating to the moment when the documents that are required for seeking recognition and enforcement must be supplied, and whether any defect can be cured later in the enforcement proceeding.

"At the time of application"

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

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

511

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

"Otherwise unable to present his case"

513 Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
2006 Korea, Republic of

Excerpt Topics

KOREA 13 B
High Court, Seoul, 10th Civil Department, 10 November 2006

(Xiajiang Shipping Co. Ltd. v. IDS Co. Ltd.)

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)

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)

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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
2006 Germany

Excerpt Topics

GERMANY 102

301

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

Procedure for enforcement in general

506

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

Law applicable to the arbitration agreement

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
2006 Austria

Excerpt Topics

AUSTRIA 17

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

505 Incapacity of party

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
2006 United Kingdom

Excerpt Topics

UK 75

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

703(A) Multilateral treaties
2006 Brazil

Excerpt Topics

BRAZIL 15

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

506

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

Law applicable to the arbitration agreement
2006 United States

Excerpt Topics

UNITED STATES 568

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

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

506

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

Law applicable to the arbitration agreement
2005 United Kingdom

Excerpt Topics

UK 72

105

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

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

107

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

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

303

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

Estoppel/waiver

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

506

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

Law applicable to the arbitration agreement

519

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

Ground a: Arbitrability
2005 Korea, Republic of

Excerpt Topics

KOREA 13 A
Central District Court, Seoul, 14 October 2005

(Xiajiang Shipping Co. Ltd. v. IDS Co. Ltd.)

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)

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)

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

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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
2005 Germany

Excerpt Topics

GERMANY 89

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

506

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

Law applicable to the arbitration agreement

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
2005 Austria

Excerpt Topics

AUSTRIA 15

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)

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

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

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
2005 Bulgaria

Excerpt Topics

BULGARIA 3
Bulgaria 3. Supreme Court of Cassation of the Republic of Bulgaria, Commercial Collegium, 27 July 2005

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

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

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

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

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
2005 Spain

Excerpt Topics

SPAIN 61

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)

303

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

Estoppel/waiver

401

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

Conditions to be fulfilled by petitioner in general

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

406

The court discusses issues relating to the requirements of the translation (translation by sworn translator, translation of entire award etc.) and whether a translation is necessary.

Translation (paragraph 2)

503

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

Burden of proof on respondent

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

509

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

"Proper notice"

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

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))

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

704

More-favorable right provision: The court discusses the application of the 1961 European Convention together with the New York Convention, and the relationship between the two treaties.

European Convention of 1961
2005 Greece

Excerpt Topics

GREECE 14

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
2004 United States

Excerpt Topics

UNITED STATES 496

301

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

Procedure for enforcement in general

303

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

Estoppel/waiver

500

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

Grounds for refusal of enforcement in general

506

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

Law applicable to the arbitration agreement

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

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
2004 France

Excerpt Topics

FRANCE 35

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

505 Incapacity of party

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

511

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

"Otherwise unable to present his case"

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

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"

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
2003 United States

Excerpt Topics

UNITED STATES 473

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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
2003 Germany

Excerpt Topics

GERMANY 73

203-204 Formal validity, uniform law and municipal law

303

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

Estoppel/waiver

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

506

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

Law applicable to the arbitration agreement

516

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

"Set aside"

517

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

"Suspended"
2001 Spain

Excerpt Topics

SPAIN 45

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

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

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

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

509

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

"Proper notice"

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

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))

704(B) Bilateral Treaties

SPAIN 32

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)

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

208

The court discusses arbitration agreements contained in a sales and purchase confirmation and whether a tacit acceptance thereof is sufficient.

Sales or purchase confirmation

209 Incorporation by reference and standard conditions

212

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

Agent/broker, etc.

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

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

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

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

704

More-favorable right provision: The court discusses the application of the 1961 European Convention together with the New York Convention, and the relationship between the two treaties.

European Convention of 1961

704(A) Panama Convention of 1975

704(B) Bilateral Treaties
2001 Sweden

Excerpt Topics

SWEDEN 6

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
2000 Spain

Excerpt Topics

SPAIN 52

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)

303

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

Estoppel/waiver

401

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

Conditions to be fulfilled by petitioner in general

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

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

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

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))

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

704

More-favorable right provision: The court discusses the application of the 1961 European Convention together with the New York Convention, and the relationship between the two treaties.

European Convention of 1961

SPAIN 50

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)

303

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

Estoppel/waiver

401

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

Conditions to be fulfilled by petitioner in general

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

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

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

509

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

"Proper notice"

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

704(B) Bilateral Treaties

SPAIN 48

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)

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

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

503

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

Burden of proof on respondent

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

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

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))

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
2000 Germany

Excerpt Topics

GERMANY 85

303

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

Estoppel/waiver

401

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

Conditions to be fulfilled by petitioner in general

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

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

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

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))

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

704

More-favorable right provision: The court discusses the application of the 1961 European Convention together with the New York Convention, and the relationship between the two treaties.

European Convention of 1961
1999 Japan

Excerpt Topics

JAPAN 8

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

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

704(B) Bilateral Treaties
1999 Bulgaria

Excerpt Topics

BULGARIA 1
Bulgaria 1. Supreme Court of Appeal, Civil Collegium, Fifth Civil Department, 23 February 1999Bulgaria 1. Supreme Court of Appeal, Civil Collegium, Fifth Civil Department, 23 February 1999

110

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

Arbitral award: types

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

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

404

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

Authentication and certification

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

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

704(B) Bilateral Treaties
1999 Germany

Excerpt Topics

GERMANY 57

301

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

Procedure for enforcement in general

506

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

Law applicable to the arbitration agreement

508 Ground b: Violation of due process in general

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
1998 Germany

Excerpt Topics

GERMANY 48

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

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award
1997 United States

Excerpt Topics

UNITED STATES 267

205

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

Signatures

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

404

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

Authentication and certification

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

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

509

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

"Proper notice"

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
1997 Italy

Excerpt Topics

ITALY 152

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

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

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"
1996 Italy

Excerpt Topics

ITALY 146 B
Corte di Cassazione, 9 May 1996, no. 4342

(Société Arabe des Engrais Phosphates et Azotes – SAEPA and Société Industrielle d’Acide Phosphorique et d’Engrais – SIAPE v. Gemanco srl)

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

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
1996 Spain

Excerpt Topics

SPAIN 33

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)

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

506

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

Law applicable to the arbitration agreement

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"

704

More-favorable right provision: The court discusses the application of the 1961 European Convention together with the New York Convention, and the relationship between the two treaties.

European Convention of 1961

704(B) Bilateral Treaties
1995 United States

Excerpt Topics

UNITED STATES 206

209 Incorporation by reference and standard conditions

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

302

The court discusses the availability of discovery in order to prove grounds for refusal of enforcement.

Discovery of evidence

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

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

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
1995 Switzerland

Excerpt Topics

SWITZERLAND 29

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

203-204 Formal validity, uniform law and municipal law

213

The court discusses the status of an arbitration agreement in a contract that was amended or renewed.

Amendment or renewal

214-216 Field of application

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, Â¶204)

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

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

704(C) Art. VII(1): European Union (Treaties and Legislation)
1995 Italy

Excerpt Topics

ITALY 139

303

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

Estoppel/waiver

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

506

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

Law applicable to the arbitration agreement

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
1994 Netherlands

Excerpt Topics

NETHERLANDS 19

301

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

Procedure for enforcement in general

503

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

Burden of proof on respondent

506

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

Law applicable to the arbitration agreement

507

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

Miscellaneous cases regarding the arbitration agreement

511

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

"Otherwise unable to present his case"

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

522

Public policy: The court discusses the consequences of the lack of reasons in the award on its recognition and enforcement.

Lack of reasons in award

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

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award

704(B) Bilateral Treaties
1994 Switzerland

Excerpt Topics

SWITZERLAND 30

001

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

Interpretation of the Convention

101

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

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

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

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

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
1993 Italy

Excerpt Topics

ITALY 146 A
Corte di Appello, Bari, 2 November 1993

(Société Arabe des Engrais Phosphates et Azotes – SAEPA and Société Industrielle d’Acide Phosphorique et d’Engrais – SIAPE v. Gemanco srl)

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

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
1993 Netherlands

Excerpt Topics

NETHERLANDS 15

209 Incorporation by reference and standard conditions

405

The court discusses issues relating to the moment when the documents that are required for seeking recognition and enforcement must be supplied, and whether any defect can be cured later in the enforcement proceeding.

"At the time of application"

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

702

More-favorable right provision: The court discusses examples of domestic laws of countries where enforcement of foreign awards is more favorable.

Domestic law on enforcement of foreign award

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