1. Read the Dispute Clause before Choosing the Forum
“Arbitration” does not answer every forum question. A license may send royalty, audit, termination, contract, and IP claims to different places or reserve some court applications. Start with the words the parties signed, then decide where the first filing belongs and why.
Separate Terms That Do Different Jobs
- Identify which claims fall within the arbitration clause and which may sit outside it.
- Distinguish the arbitral seat from the law governing the license and from any court-selection clause.
- Check notice, negotiation, mediation, and waiting-period provisions before starting arbitration.
Find Court Carve-Outs before Filing
- Check whether the contract permits court applications for injunctions or reserves defined claims for litigation.
- Ask whether a court filing supports arbitration or starts a competing merits case.
- Review the clause, seat, rules, and relief through international arbitration.
2. Use Court Support without Creating a Second Merits Case
Federal and state law can serve different roles around the same arbitration. FAA Chapter 2 governs U.S. .roceedings that fall under the Convention, while state procedural law can supply court remedies in defined circumstances. Before filing in court, decide exactly what the court is being asked to do.
Know What FAA Chapter 2 Provides
- Under 9 U.S.C. § 203, federal district courts have original jurisdiction over actions falling under the Convention.
- Under § 205, a defendant may remove a state-court case related to a Convention agreement or award before trial.
- Under § 206, a court with Chapter 2 jurisdiction may direct arbitration in accordance with the agreement.
Keep Parallel Filings Narrow
- Identify which issues belong before the tribunal and which request needs court action.
- Keep factual positions consistent so a procedural filing does not create an avoidable contradiction.
- When contract structure affects who is bound or where relief may be sought, review the underlying international transaction.
3. Choose Procedure Around the Dispute, Not the Institution Name
Institutional and ad hoc arbitration are two ways to run a case, not a quality ranking. In administered cases, an institution handles key case tasks; in ad hoc cases, the parties and tribunal do more. UNCITRAL Arbitration Rules can be used in both ad hoc and administered proceedings.
Compare the Procedural Frameworks
| Framework | Administration | Planning Point |
|---|---|---|
| Institutional | An institution administers the case under applicable rules | Review fees, appointments, and emergency procedures |
| Ad hoc | The parties and tribunal arrange administration | Define rules, appointments, and administrative roles |
Institutional
- AdministrationAn institution administers the case under applicable rules
- Planning PointReview fees, appointments, and emergency procedures
Ad hoc
- AdministrationThe parties and tribunal arrange administration
- Planning PointDefine rules, appointments, and administrative roles
Treat Confidentiality As a Rule Question
- Do not assume arbitration makes every filing, exhibit, hearing, or award confidential.
- Check the agreement, procedural rules, tribunal orders, and disclosure duties that affect privacy.
- For disputes involving IP, coordinate confidentiality with related intellectual property litigation issues.
4. Plan Interim Relief before the Final Award Arrives
Urgent relief may matter when licensed technology, confidential information, or reachable assets could change before the merits are decided. Under CPLR 7502(c), the state Supreme Court may consider attachment or a preliminary injunction when the eventual award may otherwise be rendered ineffectual.
Match the Remedy to the Immediate Problem
- Identify the conduct that may need to stop or the property that may need to remain available.
- Check whether the agreement and applicable rules permit tribunal or emergency-arbitrator relief.
- Consider injunction proceedings when a court application is needed to support the arbitration.
Calendar the Arbitration Follow-through
- If CPLR 7502(c) relief is granted before arbitration starts, track the statutory commencement period.
- The order expires if arbitration does not begin within 30 days, although the court may reduce or expand that period for good cause.
- Keep emergency papers consistent with the claims and remedies that will later reach the tribunal.
5. Treat Enforcement As Part of the Forum Decision
A favorable result has little value if it cannot be enforced where assets are held. Convention awards and foreign-country court judgments follow different U.S. .ecognition paths. A cross-border license dispute should account for that difference before the forum strategy is set.
Separate Awards from Foreign Judgments
| Result | Recognition Framework | Planning Point |
|---|---|---|
| Convention award | FAA Chapter 2 and the Convention | 9 U.S.C. § 207 provides a three-year confirmation period |
| Foreign-country money judgment | CPLR Article 53, when applicable | Check applicability and statutory non-recognition grounds |
Convention award
- Recognition FrameworkFAA Chapter 2 and the Convention
- Planning Point9 U.S.C. § 207 provides a three-year confirmation period
Foreign-country money judgment
- Recognition FrameworkCPLR Article 53, when applicable
- Planning PointCheck applicability and statutory non-recognition grounds
Add a Sovereign Counterparty Check
- Determine whether a state-owned counterparty qualifies as a foreign state or agency or instrumentality under the FSIA.
- Section 1605(a)(6) provides an arbitration exception to jurisdictional immunity in defined circumstances.
- Attachment and execution require separate analysis under 28 U.S.C. §§ 1610 and 1611.
6. Frequently Asked Questions
Can the arbitral seat and the governing law of the license be different?
Yes. The seat generally anchors the arbitration’s procedural law and supervisory court framework, while the license may choose another law for contract rights and duties.
Does choosing UNCITRAL Arbitration Rules mean UNCITRAL administers the case?
No. UNCITRAL does not administer individual arbitrations. Its Arbitration Rules may be used in ad hoc proceedings or in arbitrations administered by another institution.
Does the Convention govern recognition of a foreign court judgment?
No. The Convention concerns qualifying arbitral awards. A qualifying foreign-country money judgment follows a separate recognition framework, including CPLR Article 53 when that statute applies.
Does agreeing to arbitration eliminate sovereign immunity issues?
No. An arbitration agreement may support an FSIA jurisdictional exception in defined circumstances, but immunity from attachment or execution remains a separate question.
7. Map the Forum before the First Filing Shapes the Path
SJKP’s attorneys can review arbitral scope, court support, interim relief, procedural rules, enforcement routes, and sovereign-counterparty issues as one dispute plan. The review can identify where the merits belong, which court applications support the arbitration, and which enforcement questions need separate analysis at each later step.
13 Aug, 2026
