List each ground on which a foreign award may be refused
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- Against the award, the arbitration agreement, and the proof of notice, list each ground on which recognition or enforcement may be refused and the document that bears on it. List whether the application includes the award, the agreement, and a translation where one is required. Do not say that the award should be enforced.
- What the lawyer must review
- You decide whether to apply for confirmation, and you do not treat a ground as made out because it is listed. 9 U.S.C. § 207 says that within three years after an arbitral award falling under the Convention is made, any party may apply to a court having jurisdiction under that chapter for an order confirming the award, and the court shall confirm unless it finds one of the grounds for refusal or deferral of recognition or enforcement specified in the Convention. That three-year period is not the one-year period in 9 U.S.C. § 9. Article IV requires the applicant to supply the duly authenticated original award or a certified copy, and the original agreement referred to in Article II or a certified copy. If either is not in an official language of the country where the award is relied upon, the applicant must produce a translation certified by an official or sworn translator or by a diplomatic or consular agent. Article V(1) says recognition and enforcement may be refused, at the request of the party against whom it is invoked, only if that party furnishes proof of a listed ground: incapacity or an agreement that is not valid; lack of proper notice of the arbitrator's appointment or of the proceedings, or inability to present the case; a decision on a difference not submitted, with a separable part still able to be recognized; a tribunal or procedure not in accordance with the parties' agreement or, failing agreement, the law of the country where the arbitration took place; or an award not yet binding, or set aside or suspended by a competent authority of the country in which, or under the law of which, it was made. Article V(2) says recognition and enforcement may also be refused if that authority finds the subject matter is not capable of settlement by arbitration under its law, or that recognition or enforcement would be contrary to the public policy of that country. The word in Article V is may, not must. Article VI allows that authority, if a set-aside or suspension application has been made to an authority referred to in Article V(1)(e), to adjourn and, on application of the party claiming enforcement, to order suitable security.
- Written for / version
- United States versionUS
Who does what
| Role | What they do |
|---|---|
| Assistance | Consider narrowly defined preparation support after confirming the tool’s capability and permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Open each relied-on authority independently. Confirm its existence, current status, proposition and any quotation or pinpoint reference.
- Review operative clauses in the complete document, including definitions, cross-references, schedules and inconsistencies with the instructions.
- Confirm that the wording reflects the client’s instructions and contains no unintended admission, concession or commitment. Check the recipient and tone.
- Confirm instructions and personal circumstances through appropriate direct engagement. Have the responsible lawyer assess safety, capacity or vulnerability concerns and escalation.
- Use an appropriately qualified person to verify translation and meaning, and confirm any certification required for the intended use.
- Preserve original files and relevant metadata. Document provenance and handling, and seek forensic review where authenticity needs to be resolved.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.