Topic List of Court Decisions on the New York Convention Cases
This list is a consolidation of the annual Indexes, prepared by d.ssa Silvia Borelli, for the court decisions reported in each Yearbook as indexed per subject matter ("Topic") appearing in the Commentary.
To read an excerpt of the case, click the case number (e.g., US 412) and click the link to KluwerArbitration in the window that opens. The KluwerArbitration website will open in a new browser window.
¶001 » Interpretation of the Convention¶101 » Award made in the territory of another (Contracting) State (paragraphs 1 and 3 – first or "reciprocity" reservation)
¶102 » Arbitral award not considered as domestic (paragraph 1)
¶103 » Nationality of the parties no criterion
¶104 » Convention’s applicability in other cases
¶105 » “Persons, whether physical or legal” (paragraph 1) (including sovereign immunity)
¶106 » Problems concerning the identity of a party
¶107 » Second reservation (“commercial reservation”) (paragraph 3)
¶108 » Arbitral award: arbitrato irrituale (italy) and other procedures akin to arbitration
¶109 » Arbitral award: “a-national” award
¶110 » Arbitral award: types
¶111 » Permanent arbitral bodies (paragraph 2)
¶112 » Retroactivity
¶113 » Implementing legislation
¶114 » Iran-US Claims Tribunal
¶201 » Scope of arbitration agreement
¶202 » Contents of arbitration agreement
¶203 » Uniform rule
¶203-204 » Formal validity, uniform law and municipal law
¶204 » Formal validity and municipal law
¶205 » Signatures
¶206 » Exchange of letters or telegrams
¶207 » Means of communication for achieving the exchange in writing
¶208 » Sales or purchase confirmation
¶209 » Incorporation by reference and standard conditions
¶210 » Articles 1341 and 1342 Italian Civil Code
¶211 » Bill of lading and charter party
¶212 » Agent/broker, etc.
¶213 » Amendment or renewal
¶214 » Agreement providing for arbitration in another state
¶214-216 » Field of application
¶215 » Agreement providing for arbitration within forum’s state
¶216 » No place of arbitration designated
¶216A » Analogous applicability of Art. VII(1)
¶217 » Referral to arbitration in general
¶218 » Referral is mandatory
¶219 » There must be a dispute
¶220 » “Null and void”, etc.
¶221 » Law applicable to “null and void”, etc. (for formal validity and applicable law, see Art. II, 204 above)
¶222 » Arbitrator’s competence and separability of the arbitration clause
¶223 » Arbitrability (see also Art. V(2) sub ground a. “arbitrability”, 519 below)
¶224 » Declaratory judgment on validity arbitration agreement
¶225 » Related arbitrations (consolidation, etc.)
¶226 » Third parties (see also Art. I sub “problems concerning the identity of the respondent”, 106 above)
¶227 » Concurrent court proceedings (“indivisibility”)
¶228 » Pre-award attachment and other provisional measures
¶229 » Measures in aid of arbitration
¶301 » Procedure for enforcement in general
¶302 » Discovery of evidence
¶303 » Estoppel/waiver
¶304 » Set-off/counterclaim
¶305 » Entry of judgment clause
¶306 » Period of limitation for enforcement
¶307 » Interest on award
¶401 » Conditions to be fulfilled by petitioner in general
¶402 » Original or copy arbitral award
¶403 » Original or copy arbitration agreement
¶404 » Authentication and certification
¶405 » “At the time of application”
¶406 » Translation (paragraph 2)
¶500 » Grounds for refusal of enforcement in general
¶500A » Residual power to enforce notwithstanding existence of ground for refusal
¶501 » Grounds are exhaustive
¶502 » No re-examination of the merits of the arbitral award
¶503 » Burden of proof on respondent
¶504 » Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II
¶505 » Incapacity of party
¶506 » Law applicable to the arbitration agreement
¶507 » Miscellaneous cases regarding the arbitration agreement
¶508 » Ground b: Violation of due process in general
¶509 » “Proper notice”
¶510 » Time limits and notice periods
¶511 » “Otherwise unable to present his case”
| (): | Brazil 19; Brazil 26; Colombia 7; Colombia 8; Germany 143; Germany 145; |
| Volume I (1976): | France 1; US 7; |
| Volume II (1977): | Germany 11; |
| Volume IV (1979): | Netherlands 4 [sub 7 (general reference]; |
| Volume XI (1986): | Switzerland 10 [sub 4-7 (expert heard in the absence of the parties)]; |
| Volume XII (1987): | Germany 28 [sub 2 (defendant not informed of arguments of claimant in the arbitration)]; |
| Volume XIV (1989): | Spain 18 [sub 2 (general reference)]; Spain 21 [sub 1 (heirs not informed after death of defendant)]; |
| Volume XVI (1991): | US 110 [sub 6-11 and 20 (misleading testimony)]; |
| Volume XVII (1992): | Germany 36 [sub 15-17 (objection considered by appellate arbitral tribunal)]; US 115 [sub 17-29 (identity of tribunal expert not disclosed)]; |
| Volume XVIII (1993): | Hong Kong 2 [sub 25 (no interpreter)]; Italy 119 [sub 8 (unsuitable means chosen by arbitrators to ensure due process)]; US 130 [sub 5 (fear for extradition to face criminal charges in US)]; US 143 [sub 4-17 (tribunal?s misleading of a party in presenting evidence)]; |
| Volume XIX (1994): | France 19 [sub 4-7 (failure of expert to communicate documents to party)]; Hong Kong 6; |
| Volume XXI (1996): | Germany 43 [sub 2-6 (general reference)]; Hong Kong 9 [sub 2-9 (no opportunity to deal with evidence gathered independently by tribunal)]; Netherlands 19 [sub 20 and 23 (no participation in additional hearing)]; US 196 [sub 14 (conflict of interest of counsel)]; |
| Volume XXII (1997): | Germany 46 [sub 9 (unskilled representative)]; US 223 [sub 11-13 (arbitrator?s refusal to hear evidence)]; US 235 [sub 12-27 (limitation of cross-examination of witness)]; |
| Volume XXIII (1998): | France 28 [sub 12-17 (modification of legal framework of arguments)]; Hong Kong 12 [sub 39-47 (no opportunity to deal with expert?s report)]; Netherlands 24; US 263; |
| Volume XXIV (1999): | Iran-us Claims Tribunal 1 [sub 21-23 and 62-71 (tribunal?s misleading of a party in presenting evidence)]; Italy 152 [sub 8-11 (no examination of witness)]; Kenya 1; Kenya 1; Luxembourg 2 [sub 10-16 (impossibility to file counterclaim)]; Netherlands 25 [sub 7-8 (general reference)]; UK 53 [sub 4-12 (failure to disclose earlier award and underlying evidence)]; UK 55 [sub 16 (refusal to hear oral evidence)]; US 273 [sub 8-9 (due to expensiveness of arbitration)]; US 282 [sub 12 (changing factual and legal theories)]; |
| Volume XXVI (2001): | US 355 [sub 16-22 (representative?s impossibility to participate in hearing due to pending arrest warrant)]; US 359 [sub 13-16 (shifting of burden of proof of doping offense)]; |
| Volume XXVII (2002): | Japan 8 [sub 7-8 (language of arbitration)]; |
| Volume XXVIII (2003): | Hong Kong 17 [sub 68-74 (request for adjournment and discovery refused)]; US 406; |
| Volume XXIX (2004): | Germany 55 [sub 11-13 (no opportunity to react to claim)]; Switzerland 37 [sub 22-29 and 49-55 (letter not received)]; US 472 [sub 9-11 (representative?s impossibility to participate in hearing due to pending arrest warrant)]; US 482 [sub 30-45 (final award reversed preliminary award without notice; |
| Volume XXX (2005): | Canada 16 [sub 13-17 (no funds to attend hearing)]; France 35 [sub 15-17 (arbitrator lacked linguistic skill)]; Spain 42 [sub 12 (general reference)]; US 507 [sub 10-12 (dissenting arbitrator excluded from deliberation of award)]; |
| Volume XXXI (2006): | Austria 14; Germany 84 [sub 3-4 (refusal to accept evidence)]; Hong Kong 19 [sub 17-22 (expert report not communicated)]; UK 73; US 557 [sub 5-11 (representatives not granted visa to attend hearing in China)]; |
| Volume XXXII (2007): | Germany 96 (sub 5-7); Italy 173; Spain 59 [sub 4-8 (language of arbitration)]; US 583 [sub 4-10 (failure to hold hearing)]; US 588; US 598 [sub 8-35 (refusal to hear evidence)]; |
| Volume XXXIII (2008): | Austria 18 [sub 3 and 9-10 (language of arbitration)]; British Virgin Islands 1 [sub 10-32 (natural justice)]; Germany 108 [sub 5-6 (letters addressed to representative)]; Hong Kong 20 [sub 22-25 (request for adjournment and discovery refused)]; Russian Federation 17; US 620 [sub 4-20 (no postponement of hearing; US 630 [sub 83 and 85-89 (order restraining party from participating in arbitration)]; |
| Volume XXXIV (2009): | Germany 124 [sub 12 (language of arbitration), 13 (no opportunity to react on document submitted) and 20-22 (failure to grant set-off)]; Netherlands 31 [sub 27-28 (no postponement of hearing)]; Netherlands 32 [sub 9 (no filing of answer and counter-claim)]; US 654 [sub 17-36 (manifest disregard of the law)]; US 655 [sub 17-18 (no prior disclosure of terms of award)]; US 668 [sub 10-15 (withdrawal from arbitration to preserve right to challenge arbitral jurisdiction)]; |
| Volume XXXV (2010): | France 48 (failure to hold hearing); Germany 130 [sub 12-16 (language of the arbitration; failure to hear witness through interpreter)]; Germany 132 [sub 20-22 (failure to consider arguments; failure to hold oral hearing)]; Germany 135 [sub 12 (failure to attend hearing)]; Ireland 3 [sub 29-34 (language of arbitration)]; PR CHINA 6 [sub 24-26 (failure to clarify issue of standing)]; Russian Federation 28 [sub 7-12 (no proof of communication of arbitration documents)]; Spain 65 [sub 28-31 (means of notification)]; Spain 67 [sub 10-11 (letter not received)]; US 690 [sub 19-27 (incapacity to attend hearing)]; |
| Volume XXXVI (2011): | Australia 36 [sub 12 and 92-96 (effect of unrelated dispute)]; Russian Federation 32 [sub 22-23 (non-acceptance of arbitral jurisdiction)]; Switzerland 42 (sub 33-42 (posting of security)]; US 725 [sub 5-7 (no cross-examination of witnesses)]; |
¶512 » Ground c: Excess by arbitrator of his authority - Excess of authority
¶512A » Partial enforcement (ultra petita)
¶513 » Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure
¶514 » Ground e: Award not binding, suspended or set aside - "Binding"
¶515 » Merger of award into judgment
¶516 » “Set aside”
¶517 » “Suspended”
¶518 » Paragraph 2 - Distinction domestic–international public policy
¶519 » Ground a: Arbitrability
¶520 » Ground b: Public policy - Default of party
¶521 » Lack of impartiality of arbitrator
¶522 » Lack of reasons in award
¶523 » Irregularities in the arbitral procedure (see also Art. V(1)(b))
¶524 » Other cases
¶601 » Adjournment of decision on enforcement
¶701 » More-favourable-right provision in general
¶702 » Domestic law on enforcement of foreign award
¶703 » Bilateral and multilateral treaties in general
¶703(A) » Multilateral treaties
¶704 » European Convention of 1961
¶704(A) » Panama convention of 1975
¶704(B) » Bilateral treaties
¶704(C) » Rome treaty of 1958 and ec judgments convention of 1968/1988
¶705 » Relationship with Geneva Treaties of 1923 and 1927
¶911 » Article XI: Federal State Clause
¶914 » General reciprocity clause