Empirical Analysis of National Courts Vacatur and Enforcement of International Commercial Arbitration Awards

39 J. INT’L ARB. 299 (2022)

33 Pages Posted: 17 Nov 2022

See all articles by Roger Paul Alford

Roger Paul Alford

University of Notre Dame; Notre Dame Law School

Crina Baltag

Stockholm University

Matthew Hall

University of Notre Dame

Monique Sasson

D|R Arbitration & Litigation

Date Written: September 29, 2022

Abstract

The empirical research in this article relies on a data set including all national court decisions on recognition, enforcement and setting aside (vacatur) of international commercial arbitration awards available in the Kluwer database that were rendered from 1 January 2010 to 1 June 2020. Within the time parameters of this study, there were 504 vacatur actions and 553 offensive recognition and enforcement actions. Those decisions were rendered by national courts in 74 different jurisdictions.

The research coded every argument raised by defendants challenging the recognition and enforcement of awards based on grounds set forth in Article V of the United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards, as well as every argument raised by claimants to challenge awards based on the grounds set forth in Article 34 of the United Nations Commission on International Trade Law (UNCITRAL) Model Law on International Commercial Arbitration. In addition to these grounds, several others, outside the two instruments mentioned above, have been identified in the data set. The results of the research are presented in the article below. An overarching conclusion would be that courts overwhelmingly enforce foreign arbitration awards, in 73% of the cases in the data set, without significant variations between courts in various jurisdictions, and, respectively, overwhelmingly refuse to vacate arbitral awards, with courts vacating in only 23% of cases, again without significant variations between courts in various jurisdictions.

Note: “Reprinted from Journal of International Arbitration 39, no. 3 (2022): 299–330, with permission of Kluwer Law International.”

Keywords: international arbitration, dispute resolution, New York Convention, national court enforcement, recognition, vacatur, set aside, international commercial arbitration, empirical, Kluwer

JEL Classification: K40

Suggested Citation

Alford, Roger Paul and Alford, Roger Paul and Baltag, Crina and Hall, Matthew and Sasson, Monique, Empirical Analysis of National Courts Vacatur and Enforcement of International Commercial Arbitration Awards (September 29, 2022). 39 J. INT’L ARB. 299 (2022), Available at SSRN: https://ssrn.com/abstract=4233396

Roger Paul Alford (Contact Author)

University of Notre Dame ( email )

P.O. Box 780
Notre Dame, IN 46556-0780
United States

Notre Dame Law School ( email )

P.O. Box 780
Notre Dame, IN 46556-0780
United States

Crina Baltag

Stockholm University ( email )

Universitetsvägen 10
Stockholm, Stockholm SE-106 91
Sweden

Matthew Hall

University of Notre Dame ( email )

361 Mendoza College of Business
Notre Dame, IN 46556-5646
United States

Monique Sasson

D|R Arbitration & Litigation

Apollolaan 153
P.O. Box 75248
Amsterdam, 1070 AE
Netherlands

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