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.

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- Select a subject - ¶001 » Interpretation of the Convention ¶101 » Award made in the territory of another (Contracting) State (paragraphs 1 and 3 – first or "reciprocity" reservation) ¶102 » Arbitral award not considered as domestic (paragraph 1) ¶103 » Nationality of the parties no criterion ¶104 » Convention’s applicability in other cases ¶105 » “Persons, whether physical or legal” (paragraph 1) (including sovereign immunity) ¶106 » Problems concerning the identity of a party ¶107 » Second reservation (“commercial reservation”) (paragraph 3) ¶108 » Arbitral award: arbitrato irrituale (italy) and other procedures akin to arbitration ¶109 » Arbitral award: “a-national” award ¶110 » Arbitral award: types ¶111 » Permanent arbitral bodies (paragraph 2) ¶112 » Retroactivity ¶113 » Implementing legislation ¶114 » Iran-US Claims Tribunal ¶201 » Scope of arbitration agreement ¶202 » Contents of arbitration agreement ¶203 » Uniform rule ¶203-204 » Formal validity, uniform law and municipal law ¶204 » Formal validity and municipal law ¶205 » Signatures ¶206 » Exchange of letters or telegrams ¶207 » Means of communication for achieving the exchange in writing ¶208 » Sales or purchase confirmation ¶209 » Incorporation by reference and standard conditions ¶210 » Articles 1341 and 1342 Italian Civil Code ¶211 » Bill of lading and charter party ¶212 » Agent/broker, etc. ¶213 » Amendment or renewal ¶214 » Agreement providing for arbitration in another state ¶214-216 » Field of application ¶215 » Agreement providing for arbitration within forum’s state ¶216 » No place of arbitration designated ¶216A » Analogous applicability of Art. VII(1) ¶217 » Referral to arbitration in general ¶218 » Referral is mandatory ¶219 » There must be a dispute ¶220 » “Null and void”, etc. ¶221 » Law applicable to “null and void”, etc. (for formal validity and applicable law, see Art. II, 204 above) ¶222 » Arbitrator’s competence and separability of the arbitration clause ¶223 » Arbitrability (see also Art. V(2) sub ground a. “arbitrability”, 519 below) ¶224 » Declaratory judgment on validity arbitration agreement ¶225 » Related arbitrations (consolidation, etc.) ¶226 » Third parties (see also Art. I sub “problems concerning the identity of the respondent”, 106 above) ¶227 » Concurrent court proceedings (“indivisibility”) ¶228 » Pre-award attachment and other provisional measures ¶229 » Measures in aid of arbitration ¶301 » Procedure for enforcement in general ¶302 » Discovery of evidence ¶303 » Estoppel/waiver ¶304 » Set-off/counterclaim ¶305 » Entry of judgment clause ¶306 » Period of limitation for enforcement ¶307 » Interest on award ¶401 » Conditions to be fulfilled by petitioner in general ¶402 » Original or copy arbitral award ¶403 » Original or copy arbitration agreement ¶404 » Authentication and certification ¶405 » “At the time of application” ¶406 » Translation (paragraph 2) ¶500 » Grounds for refusal of enforcement in general ¶500A » Residual power to enforce notwithstanding existence of ground for refusal ¶501 » Grounds are exhaustive ¶502 » No re-examination of the merits of the arbitral award ¶503 » Burden of proof on respondent ¶504 » Paragraph 1 - Ground a: Invalidity of the arbitration agreement - Agreement referred to in Art. II ¶505 » Incapacity of party ¶506 » Law applicable to the arbitration agreement ¶507 » Miscellaneous cases regarding the arbitration agreement ¶508 » Ground b: Violation of due process in general ¶509 » “Proper notice” ¶510 » Time limits and notice periods ¶511 » “Otherwise unable to present his case” ¶512 » Ground c: Excess by arbitrator of his authority - Excess of authority ¶512A » Partial enforcement (ultra petita) ¶513 » Ground d: Irregularity in the composition of the arbitral tribunal or arbitral procedure ¶514 » Ground e: Award not binding, suspended or set aside - "Binding" ¶515 » Merger of award into judgment ¶516 » “Set aside” ¶517 » “Suspended” ¶518 » Paragraph 2 - Distinction domestic–international public policy ¶519 » Ground a: Arbitrability ¶520 » Ground b: Public policy - Default of party ¶521 » Lack of impartiality of arbitrator ¶522 » Lack of reasons in award ¶523 » Irregularities in the arbitral procedure (see also Art. V(1)(b)) ¶524 » Other cases ¶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

- Select a country - Albania Antigua And Barbuda Argentina Australia Austria Bangladesh Belgium Belize Bermuda Brazil British Virgin Islands Bulgaria Canada Cayman Islands Chile Colombia Cyprus Ecuador European Union Finland France Germany Ghana Gibraltar Greece Hong Kong India Indonesia Iran-us Claims Tribunal Ireland Israel Italy Japan Jordan Kenya Korea Kuwait Luxembourg Malaysia Mexico Monaco Morocco Netherlands Netherlands Antilles New Zealand Nigeria Norway Pakistan Peru Philippines Poland Portugal Pr China Romania Russian Federation Singapore South Africa Spain Sweden Switzerland Syria Taiwan – Republic Of China Tunisia Turkey Uganda Ukraine United Arab Emirates United Kingdom United States Ussr Venezuela - Select a year (from) - 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 - Select a year (to) - 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

¶001 » Interpretation of the Convention

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

¶102 » Arbitral award not considered as domestic (paragraph 1)

¶103 » Nationality of the parties no criterion

¶104 » Convention’s applicability in other cases

¶105 » “Persons, whether physical or legal” (paragraph 1) (including sovereign immunity)

¶106 » Problems concerning the identity of a party

¶107 » Second reservation (“commercial reservation”) (paragraph 3)

¶108 » Arbitral award: arbitrato irrituale (italy) and other procedures akin to arbitration

¶109 » Arbitral award: “a-national” award

¶110 » Arbitral award: types

¶111 » Permanent arbitral bodies (paragraph 2)

¶112 » Retroactivity

¶113 » Implementing legislation

¶114 » Iran-US Claims Tribunal

¶201 » Scope of arbitration agreement

¶202 » Contents of arbitration agreement

¶203 » Uniform rule

¶203-204 » Formal validity, uniform law and municipal law

¶204 » Formal validity and municipal law

¶205 » Signatures

¶206 » Exchange of letters or telegrams

¶207 » Means of communication for achieving the exchange in writing

¶208 » Sales or purchase confirmation

¶209 » Incorporation by reference and standard conditions

¶210 » Articles 1341 and 1342 Italian Civil Code

¶211 » Bill of lading and charter party

¶212 » Agent/broker, etc.

¶213 » Amendment or renewal

¶214 » Agreement providing for arbitration in another state

¶214-216 » Field of application

¶215 » Agreement providing for arbitration within forum’s state

¶216 » No place of arbitration designated

¶216A » Analogous applicability of Art. VII(1)

¶217 » Referral to arbitration in general

¶218 » Referral is mandatory

¶219 » There must be a dispute

¶220 » “Null and void”, etc.

¶221 » Law applicable to “null and void”, etc. (for formal validity and applicable law, see Art. II, 204 above)

¶222 » Arbitrator’s competence and separability of the arbitration clause

¶223 » Arbitrability (see also Art. V(2) sub ground a. “arbitrability”, 519 below)

¶224 » Declaratory judgment on validity arbitration agreement

¶225 » Related arbitrations (consolidation, etc.)

¶226 » Third parties (see also Art. I sub “problems concerning the identity of the respondent”, 106 above)

¶227 » Concurrent court proceedings (“indivisibility”)

¶228 » Pre-award attachment and other provisional measures

¶229 » Measures in aid of arbitration

¶301 » Procedure for enforcement in general

¶302 » Discovery of evidence

¶303 » Estoppel/waiver

¶304 » Set-off/counterclaim

¶305 » Entry of judgment clause

¶306 » Period of limitation for enforcement

¶307 » Interest on award

¶401 » Conditions to be fulfilled by petitioner in general

¶402 » Original or copy arbitral award

¶403 » Original or copy arbitration agreement

¶404 » Authentication and certification

¶405 » “At the time of application”

¶406 » Translation (paragraph 2)

¶500 » Grounds for refusal of enforcement in general

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

¶501 » Grounds are exhaustive

¶502 » No re-examination of the merits of the arbitral award

¶503 » Burden of proof on respondent

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

¶505 » Incapacity of party

¶506 » Law applicable to the arbitration agreement

¶507 » Miscellaneous cases regarding the arbitration agreement

¶508 » Ground b: Violation of due process in general

¶509 » “Proper notice”

¶510 » Time limits and notice periods

¶511 » “Otherwise unable to present his case”

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

¶512A » Partial enforcement (ultra petita)

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

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

¶515 » Merger of award into judgment

¶516 » “Set aside”

¶517 » “Suspended”

¶518 » Paragraph 2 - Distinction domestic–international public policy

¶519 » Ground a: Arbitrability

¶520 » Ground b: Public policy - Default of party

¶521 » Lack of impartiality of arbitrator

¶522 » Lack of reasons in award

¶523 » Irregularities in the arbitral procedure (see also Art. V(1)(b))

¶524 » Other cases

¶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

Volume II (1977):	Germany 7; Germany 8;
Volume III (1978):	Italy 16 (sub 1); Italy 18 (sub 1);
Volume IV (1979):	Belgium 1 (sub 3); Germany 14 (sub 4 and 6); Germany 17 (sub 2);
Volume V (1980):	Germany 20 (sub 3); Germany 21 (sub 3); Italy 35 (sub 1);
Volume VII (1982):	Germany 23 (sub 7);
Volume VIII (1983):	Italy 51 (sub 7); Italy 54 (sub 1 and 4); Spain 2 (sub 1);
Volume IX (1984):	Italy 57 (sub 3-11);
Volume X (1985):	Italy 71 (sub 1); Italy 75 (sub 1);
Volume XI (1986):	France 7 (sub 1); France 8 (sub 14-24); Italy 82 (sub 2); Italy 84 (sub 1-2); Spain 11 (sub 1); Spain 6 (sub 4);
Volume XII (1987):	France 11 (sub 4);
Volume XIII (1988):	Italy 94 (sub 7);
Volume XIV (1989):	Spain 14 (sub 1-2); Spain 21 (sub 2);
Volume XV (1990):	Belgium 7 (sub 4);
Volume XVI (1991):	Spain 22 (sub 2);
Volume XXI (1996):	Germany 44 (sub 4-13); Spain 28 (sub 1and 3);
Volume XXII (1997):	Spain 29; Spain 30 (sub 3-4);
Volume XXV (2000):	Germany 49 (sub 6-7);
Volume XXVI (2001):	Spain 30bis (sub 9); Spain 31 (sub 5); Spain 32 (sub 4);
Volume XXVII (2002):	Spain 33 (sub 3 and 7); Spain 34 (sub 8); Spain 35 (sub 2); Spain 37 (sub 7);
Volume XXIX (2004):	Germany 69 (sub 9);
Volume XXX (2005):	Austria 13 (sub 1 and 3-10); Germany 82 (sub 5);
Volume XXXI (2006):	Australia 26; Germany 85 (sub 9 and 17); Spain 44 (sub 10);
Volume XXXII (2007):	Spain 49 (sub 11); Spain 51 (sub 7); Spain 52 (sub 9); Spain 53 (sub 9); Spain 54 (sub 8); Spain 56 (sub 29); Spain 58 (sub 7); Spain 61 (sub 8);
Volume XXXIII (2008):	Germany 110; Spain 63;
Volume XXXIV (2009):	Germany 117 (sub 2-4); Germany 118; Russian Federation 23; Russian Federation 24;
Volume XXXV (2010):	Austria 22 (sub 1-3); Germany 126 (sub 15); Germany 127 (sub 2); Germany 128 (sub 2-3) ; Germany 130 (sub 3-5); Spain 65 (sub 4-5, 17-18 and 49); Spain 66 (sub 4); Spain 68;
Volume XXXVI (2011):	Germany 136 (sub 11); Russian Federation 33;

¶704(A) » Panama convention of 1975

():	US 756; US 761;
Volume I (1976):	US 673 (sub 3);
Volume XIX (1994):	US 156 (sub 1-10);
Volume XX (1995):	US 184 (sub 1-10);
Volume XXVI (2001):	Spain 32 (sub 4);
Volume XXIX (2004):	US 465; US 471 (sub 32-37);
Volume XXXI (2006):	US 544; US 575 (sub 4);
Volume XXXIII (2008):	US 621 (sub 4); US 644;
Volume XXXIV (2009):	US 661;
Volume XXXV (2010):	US 706 704(A);
Volume XXXVI (2011):	Colombia 5 (sub 8); US 739;

¶704(B) » Bilateral treaties

Volume II (1977):	Germany 11; US 11;
Volume IV (1979):	Belgium 1 [sub 2-3 (Belgium-Switzerland Enforcement Treaty 1959) and 3 (European Convention providing a Uniform Law on Arbitration 1966)]; Germany 17 [sub 1-3 (Belgium-Germany Enforcement Treaty 1958)];
Volume V (1980):	Belgium 2 [sub 1-2 (Belgium-Switzerland Enforcement Treaty 1959)]; Germany 21 [sub 4 (Belgium-Germany Enforcement Treaty 1958)]; Netherlands 5;
Volume VII (1982):	Germany 23 [sub 7 (Germany-Netherlands Enforcement Treaty 1962)]; Italy 41 [sub 1-2 (Italy-UK Enforcement Treaty 1964)];
Volume VIII (1983):	Netherlands 8 [sub 9 and 12 (Belgium-Netherlands Enforcement Treaty 1925)];
Volume XI (1986):	Switzerland 9 [sub 3-6 (France-Switzerland Enforcement Treaty 1869)];
Volume XV (1990):	Austria 8 [sub 1 (Austria-Yugoslavia Enforcement Treaty 1960)]; Germany 33 [sub 1 (Belgium-Germany Enforcement Treaty 1958)];
Volume XVI (1991):	Germany 35 [sub 2 and 14-17 (Germany-USSR Trade Treaty 1958)]; Spain 23;
Volume XVII (1992):	Germany 40 [sub 1 (Germany-Netherlands Enforcement Treaty 1962)] Switzerland 21 ; Switzerland 21;
Volume XX (1995):	France 23 [sub 2-5 (France-Switzerland Enforcement Treaty 1869];
Volume XXI (1996):	Netherlands 19 [sub 1-2 (Belgium-Netherlands Enforcement Treaty 1925)];
Volume XXII (1997):	France 25 [sub 5 (France-Tunisia Treaty 1972)]; Italy 142 [sub 1-2 and 8 (Italy-Romania Judicial Assistance Treaty)]; Japan 7;
Volume XXV (2000):	Bulgaria 1 [sub 4 and 10 (Bulgaria-Yugoslavia Judicial Assistance Treaty)];
Volume XXVI (2001):	France 31; Germany 52 [sub 3 (Germany-Poland BIT )]; Spain 31 [sub 2 (France-Spain Enforcement Treaty 1969)]; Spain 32 [sub 2 (France-Spain Enforcement Treaty 1969)];
Volume XXVII (2002):	Germany 54 [sub 4-5 and 13 (Germany-USSR Trade Treaty1958)]; Japan 8 [sub 5-6 (China-Japan Trade Agreement 1974)]; Spain 33 [sub 9-10 (France-Spain Enforcement Treaty 1969)]; Spain 34 [sub 1 (France-Spain Enforcement Treaty 1969)]; Spain 35 [sub 1 (France-Spain Enforcement Treaty 1969)]; Spain 37 [sub 3 (France-Spain Enforcement Treaty 1969 )];
Volume XXIX (2004):	Switzerland 37;
Volume XXX (2005):	Austria 13 [sub 1, 3-5 and 11 (Austria-Yugoslavia Enforcement Treaty 1960)]; Germany 74 [sub 1 (Germany-USSR Trade Treaty1958)]; Germany 81 [sub 3 (Austria-Germany Enforcement Treaty 1959)]; Spain 41 [sub 2-3 and 6 (Spain-Switzerland Enforcement Treaty 1896)];
Volume XXXI (2006):	France 36; France 37 [sub 6 and 10 (France-Italy Enforcement Treaty 1930)]; Germany 91 [sub 14-18 (Germany-Russian Federation Investment Treaty 1989)]; Germany 92; Hong Kong 19 [sub 30 (Arrangement on Recognition of Awards between Mainland China and Hong Kong SAR 2000)]; PR CHINA 3; PR CHINA 4; Spain 45 [sub 3-6 (Spain-Czechoslovakia Enforcement Treaty 1987)]; Spain 46 [sub 1-5 (France-Spain Enforcement Treaty 1969)]; UK 71;
Volume XXXII (2007):	Germany 100; Germany 97; Spain 50 [sub 4 (France-Spain Enforcement Treaty 1969)];
Volume XXXIII (2008):	Germany 111 [sub 3 ((Austria-Germany Enforcement Treaty 1959)];

¶704(C) » Rome treaty of 1958 and ec judgments convention of 1968/1988

():	Netherlands 40; Spain 71;
Volume V (1980):	Germany 21 (sub 1);
Volume X (1985):	US 56 (sub 12);
Volume XXII (1997):	Switzerland 29 (sub 1 and 5); UK 43; UK 45 (sub 6-12); UK 46 (sub 6-10, 16 and 18);
Volume XXIII (1998):	Italy 148; UK 47;
Volume XXIV (1999):	European Union 1 (sub 14-17);
Volume XXIX (2004):	Italy 165 (sub 1-3 and 8-10);
Volume XXX (2005):	Spain 41 (sub 2-4); UK 67 (sub 28 and 31);
Volume XXXI (2006):	France 37 (sub 1-5 and 10); Netherlands 29;
Volume XXXII (2007):	Spain 54 (sub 8);
Volume XXXIII (2008):	Germany 113 (sub 4 and 12-16); Spain 63;
Volume XXXV (2010):	Spain 65 (sub 6-13); UK 88; UK 89;

¶705 » Relationship with Geneva Treaties of 1923 and 1927

¶911 » Article XI: Federal State Clause

¶914 » General reciprocity clause